11TH CONGRESS OF THE INTERNATIONAL SOCIETY FOR ROCK MECHANICS

2007 Taylor & Francis Group, London, UK

 BALKEMA Proceedings and Monographs
in Engineering, Water and Earth Sciences

2007 Taylor & Francis Group, London, UK

PROCEEDINGS OF THE 11TH CONGRESS OF THE INTERNATIONAL SOCIETY FOR ROCK MECHANICS
(ISRM 2007), LISBON, PORTUGAL, 913 JULY 2007

11th Congress of the International Society

for Rock Mechanics
The Second Half Century of Rock Mechanics

VOLUME 1 & 2

Editors
L. Ribeiro e Sousa
University of Porto, Porto, Portugal

C. Olalla
CEDEX, Madrid, Spain

N. Grossmann
LNEC, Lisbon, Portugal

LONDON / LEIDEN / NEW YORK / PHILADELPHIA / SINGAPORE

2007 Taylor & Francis Group, London, UK

Taylor & Francis is an imprint of the Taylor & Francis Group, an informa business

2007 Taylor & Francis Group, London, UK

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ISBN13 set: 978-0-415-45084-3

ISBN13 Vol. 1: 978-0-415-45083-6
ISBN13 Vol. 2: 978-0-415-45085-0

2007 Taylor & Francis Group, London, UK

Table of contents

Preface XIX

Organizing Committee XXI

International Scientific Committee XXI

Advisory Board XXI

VOLUME 1
1. Rock engineering and environmental issues
Acid sulfide rock: Problematic aspects in the Basque Country (Spain) 3
V. Ormaetxea
Analysis and prediction of damage zone due to subsidence considering random errors 7
C. Sunwoo & D.W. Ryu
Analysis of ground stability in the residential region located on the limestone corrosion zone 11
K.C. Han, D.S. Chun & D.W. Ryu
Analysis of tracer migration process in the crack by means of X-ray CT 15
A. Sato & A. Sawada
An investigation on long-term stability and integrity of surrounding rocks in Longyou caverns caved 2000 years ago 19
Yue Z.Q., Li L., Yang Z., Lu M., Xu J.H. & Zheng J.
Development of a numerical system for prediction calculation of underground climate in relation to design of passive
cooling of used nuclear fuel by natural ventilation 23
Y. Mizuta, Q. Chen & T. Koga
Die Rohrvortriebe fr den Regenberlaufkanal Neckarhafen (Pipe jacking for the project
Regenberlaufkanal Neckarhafen) 27
C. Erichsen, A. Gekeler & C.-D. Hauck
Excavation Damaged Zone (EDZ) in the Meuse Haute Marne underground research laboratory 33
G. Armand, Y. Wileveau, J. Morel, M. Cruchaudet & H. Rebours
Experimental study on wind erosion of the consolidated ancient earthen site by PS material in Northwest China 37
Zhao H., Wang X., Li. Z.X., Han W.F. & Guo Q.L.
Fault reactivation, an example of environmental impacts of groundwater rising on urban area due to previous
mining activities 41
M.H. Yu, I.F. Jefferson & M.G. Culshaw
Fluid flow and tracer transport simulations for rock fractures under normal loading and shear displacement 47
T. Koyama & L. Jing
Influence of water vapor pressure of surrounding environment on fracture toughness and crack velocity of rocks 51
Y. Obara, K. Sasaki, Y. Yoshinaga & Y. Suzuki
Measurement of micro crack volume in low porosity crystalline rock 55
L. Jacobsson, M. Flansbjer, R. Christiansson & T. Jansson
Micromechanical investigations of the hydro-mechanical behaviour of argillite rocks by means of optical full
field strain measurement and acoustic emission techniques 59
F. Vals, M. Bornert, H. Gharbi, D. Nguyen Minh & J.C. Eytard
Mining instability and the misuse of the 10-times-seam thickness rule 63
J.A. Taylor & R.J. Fowell

2007 Taylor & Francis Group, London, UK

Natural and thermomechanical stress field measurements at the Rochers de Valabres Pilot Site
Laboratory in France 69
C. Dnner, P. Bigarr, C. Clment, V. Merrien-Soukatchoff & Y. Gunzburger
Numerical modeling of the flooding of abandoned iron mines in Lorraine (France): Coupled
hydromechanical approach 73
D. Grgic, F. Homand & A. Giraud
Planung des Neckardkers Sirnau in Esslingen (Planning of the Neckar undercrossing Sirnau in Esslingen) 77
U. Heinemann & M. Tegelkamp
Rationalization of the impoundment of arsenic-rich muck utilizing adsorption of silty soil 83
T. Igarashi, H. Imagawa, K. Asakura & K. Kaneko
Rock erosion in spillway channels A case study of the Ligga spillway 87
L. Mrn & J. Sjberg
Rock mechanics research for radioactive waste disposal in Finland 91
E. Johansson, J.A. Hudson, M. Hakala, J. Sjberg, S. Riikonen & P. Syrjnen
Simulation of hydrogeomechanical responses of jointed rock masses to tunneling and lining 97
J.H. Kihm, S.U. Park & J.M. Kim
Subcritical crack growth in granite 101
Y. Nara & K. Kaneko
The determination of interpretation uncertainties in subsurface representations 105
W. Tegtmeier, R. Hack & S. Zlatanova
Thermal over-closure of joints and rock masses and implications for HLW repositories 109
N. Barton
Water storage of thermal waters in a closing down mine (Gavorrano, Italy) 117
C.A. Garzonio

2. The path from characterization to modelling

A comparison of stress strain behaviour of reconstituted and natural black coal 123
D. Jasinge, P.G. Ranjith, J. Kodikara & S.K. Choi
A constitutive model for elastic visco-plastic behavior of weak sandstones 127
M.-C. Weng, L.-S. Tsai, F.-S. Jeng & M.-L. Lin
A correction coefficient of mechanical parameters of coal or rock test samples and its application in roadway
support design 131
Liu C., Wu X. & Chen Y.
A damage-plasticity model for porous geomaterials and the simulation of strain localization bands 133
Chen X. & Yang Q.
A discussion on the decrease of unconfined compressive strength between saturated and dry rock samples 139
M. Romana & B. Vsrhelyi
A laboratory testing technique and a model for the swelling behavior of anhydritic rock 143
E. Pimentel
A new procedure to assess in-situ rock stress by empirical and probabilistic methodologies 147
L.I. Gonzlez de Vallejo & T. Hijazo
A new type of loading platen minimizing frictional restraint at the specimen boundary 151
M. Sagong, J.G. Kim, S. Kim, J.S. Lee and K.-H. You
A review of the Cerchar and LCPC rock abrasivity measurement methods 155
R.J. Fowell & M.Z. Abu Bakar
A unified procedure for Hoek-Brown prediction of strength and post yield behaviour for rockmasses at the
extreme ends of the rock competency scale 161
T.G. Carter, M.S. Diederichs & J.L. Carvalho
An application of planar elastic displacement solution for double hole problem in back-analysis of two testing
adits of Three Gorges Project, China 165
Zhang L.Q., Yang Z.F. & Xu P.

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An introduction to version 1.0 of software on large deformation analysis for soft rock engineering at great depth 169
He M., Chen X., Liang G.P., Qian H.S., Zhou Y.F. & Zhuang X.Y.
An investigation on the dynamic testing, properties and responses of support systems 175
L. St-Pierre, F.P. Hassani, J. Ouellet & P.H. Radziszewski
Analysis on time-dependent process of crack growth and strength degradation of rock 179
J.H. Synn, C. Park & Y.B. Jung
Block formation around excavations using deterministic and probabilistic methods 183
A.G. Thompson & C.R. Windsor
Characterization of variable weathered profiles by using DPR 187
A. Viana da Fonseca & S. Coelho
Classification of anisotropic rocks 191
H. Saroglou & G. Tsiambaos
Comparing the RQD and the C values 197
. Vr, B. Vsrhelyi & L. Kovcs
Comparison of hand-mapping with remote data capture systems for effective rock mass characterisation 201
J.S. Coggan, A. Wetherelt, X.P. Gwynn & Z.N. Flynn
Contribution for the knowledge of the fracturing and hydraulic characterization of the granitic pluton of
Castro Daire region Viseu (Portugal) 207
L.M. Ferreira Gomes, L. Andrade Pais & E. Mendes
Determination of orthotropic anisotropy of layered rock Back analysis from loading tests in arbitrary directions 211
K. Shin, K. Ogawa & T. Yokoyama
Determining fracture size probability distribution functions from trace length probability distribution functions 215
F. Tonon
Development of rock joints with time and consequences for engineering 223
S. Hencher & R. Knipe
Discontinuity distribution in granites and its effects on rock mass classification 227
Shang Y., Shi Y., Yuan G. & Sun Y.
Discrete fracture network modelling and characterisation of rock masses for block caving design 231
N.T. Ford, R.J. Pine & Z.N. Flynn
Effect of confining pressure, intermediate principal stress and minimum principal stress on the
mechanical behavior of a sandstone 237
M. Kwasniewski & M. Takahashi
Effect of joint parameters on the stress-strain response of rocks 243
G. Arunakumari & G. Madhavi Latha
Effect of rock bridge continuity and area on shear behavior of joints 247
A. Ghazvinian, M.R. Nikudel & V. Sarfarazi
Ellipsoidal elasticity for anisotropic rocks and rock masses 251
A. Pouya & M. Chalhoub
Estimation of rock mass strength and deformability for a 30m cube in three dimensions including
anisotropy A case study 255
P.H.S.W. Kulatilake, J. Park & J.-G. Um
Estimation of uniaxial compressive strength of clay-bearing weak rocks using needle penetration resistance 265
Z.A. Erguler & R. Ulusay
Evaluation of Brazilian tensile strength in transversely isotropic sandstone 269
A. Tavallali, B. Debecker & A. Vervoort
Evaluation of fracturing process of soft rocks at great depth by AE measurement and DEM simulation 273
Y. Mito, C.S. Chang, K. Aoki, H. Matsui, S. Niunoya & M. Minami
Evaluation of groundwater flow during excavation of shafts by inversion of tilt data 277
K. Matsuki, K. Nakatani, T. Arai, K. Ohmura, R. Takeuchi, Y. Arai & S. Takeuchi
Experimental analyses of strain rate effect of frozen clay in the low temperature 281
Ma Q., Cai M., Hu S. & Chen B.

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2007 Taylor & Francis Group, London, UK

Experimental study on the seepage characteristics of rock mass under unloading condition 285
Liu X.R., Liang N.H. & Bao T.
Extension of the Hoek-Brown failure criterion to three dimensions 289
A. Serrano, J. Estaire & C. Olalla
Fracture characterisation determined by numerical modelling analyses 293
Z.N. Flynn & R.J. Pine
Fracture mapping using 3D laser scanning techniques 299
S. Slob, H.R.G.K. Hack, Q. Feng, K. Rshoff & A.K. Turner
Geomechanical tests and their applications in rock anchorage design 303
Kang H. & Lin J.
Geotechnical mapping evaluation of rock groynes in Espinho area (NW Portugal) 307
A.C. Pires & H.I. Chamin
Geotechnical properties in an alteration profile of the granite of Covilh 311
V.M. Cavaleiro, P.G. Almeida & J.F. Riscado
Influence of chemical attack on physical and mechanical properties of some dimension stones from Brazil 315
M. de P. Bastos, E.G. Marques & F.J.M. Sossai
Interpretation of rock joint orientations exposed on the rock faces using a multistage convergence
photogrammetric technique 319
J. Kim, S.O. Choi & D.H. Kim
Inversion of drying tests on partially saturated argillite for hydromechanical parameter identification 323
R. Giot, A. Giraud, F. Homand & K. Su
Laboratory measurements of hydraulic exchanges and associated hydromechanical couplings between
fracture and rock mass in the case of a sandstone 327
M. Souley, M. Boulon, I. Rahmani & A. Thoraval
Laboratory study on the characteristics of breakout under polyaxial stress conditions 331
D.S. Cheon, C. Park, J.H. Synn & S. Jeon
Laboratory testing methods for in-situ stress measurement and time-to-failure prediction 335
A. Lehtonen, S. Mononen & J. Antikainen
Model failure tests on rock anchors 339
S. Garca-Wolfrum, A. Serrano & C. Olalla
Moment-frequency distribution used as a constraint for hydro-mechanical modeling in fracture networks 343
D. Bruel & J. Charlety
New insights on the geomechanical concept of joint roughness 347
M.J.A. Leal-Gomes & C. Dinis-da-Gama
New model for the volumetric strain of rocks under high differential stress and large shear displacement 351
M. Takahashi, T. Takemura, M. Kato, M. Kwasniewski & X. Li
New peak shear strength criteria for anisotropic rock joints using quantified joint roughness parameters 355
D.Y. Kim & Y.N. Lee
New Zealand greywacke characteristics and influences on rock mass behaviour 359
L. Richards & S.A.L. Read
Non-destructive evaluation of the stable behavior of a quasi-brittle sandstone 365
M.P. Luong, M. Emami Tabrizi, B. Halphen & J.C. Eytard
Numerical analysis of fracture toughness with Chevron Bend test 369
T. Ha, W.-B. Kim, J.-H. Jeong, H.-S. Yang & M.-H. Jang
Numerical examination of flow mechanism during shear in a rock joint 373
Y. Mitani, T. Esaki, H. Ikemi & F. Vallier
Numerical modelling of the mechanical behaviour of bimrock 377
M. Barbero, M. Bonini & M. Borri-Brunetto
Obtaining modeling parameters for engineering design by rock mass characterization 381
M. Cai & P.K. Kaiser

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Predicting weathering grades by Schmidt hammer test: An investigation on granitic rock materials from
Southeastern Brazil 385
A. Basu, T.B. Celestino & A.A. Bortolucci
Probabilistic analysis of block stability in underground excavations using realistic fracture network models 391
K.M. Moffitt & S.F. Rogers
Problems and experimental methods of surface soft rock in Nanning, Guangxi, P.R. China 395
X.G. Zhang & N.P. Yi
Propagation of large, twinned fractures in shear A numerical investigation 399
H. Hakami
Real-time CT testing of rock damage evolution mechanism under triaxial compression 403
Ge X. & Ren J.
Recent developments for automatic identification of rock discontinuity sets 407
R. Jimenez-Rodriguez & C.D. Klose
Sensitivity analysis of the Hoek-Diederichs rock mass deformation modulus estimating formula 411
P. Vn & B. Vsrhelyi
Setting up a new direct shear testing apparatus 415
G. Barla, M. Barla, M. Camusso & M.E. Martinotti
Shear behavior of rock joints under CNS conditions 419
Y. Kim, S. Kim & J. Kim
Simulation and visualisation of the installation of cable bolt anchors 423
A.G. Thompson
Strain softening behaviour and constitutive modeling of schist 427
Rakesh Kumar, K.G. Sharma & A. Varadarajan
Stress paths in laboratory rock joint shear tests 431
J. Muralha
Stress recovery procedure for discontinuous deformation analysis 435
Z.Y. Zhao, J. Gu & H.R. Bao
Study on the numerical modeling of crack propagation in rock by the distinct element method 439
T. Funatsu, M. Ishikawa, Q. Li, N. Shimizu & M. Seto
Swelling pressure of mudstone under cyclic wetting and drying 443
R. Doostmohammadi, M. Moosavi, Th. Mutschler & C. Osan
Synergetic effect and visible simulation of AE in rock mass failure process 447
Yu G., Xu Y., Zhang M., Tang C. & Pan Y.
The Baixo Alentejo (Portugal) flysch rocks: Physical properties and correlations 451
A.B. Pinho, I.M.R. Duarte & J.A. Rodrigues-Carvalho
The dilation potential of rough rock joints under CNL and CNS conditions 455
M. Ptsch, M. Blmel, T. Schieg & C. Seywald
The effect of scale on the surface damage and asperity degradation of rock joint 461
N. Fardin
The effect of stone consolidation on the physical properties of porous limestone: A rock mechanical approach 465
Z. Ppay & . Trk
The local degradation approach applied to the modelling of brittle fracture of anisotropic heterogeneous rock 469
S.C. Yuan & J.P. Harrison
The Mogi-Coulomb true-triaxial failure criterion and some implications for Rock Engineering 475
A.M. Al-Ajmi & R.W. Zimmerman
The strength of rock defects numerical analysis of scale effects 481
Z.H.F. Lai, K.J. Douglas & G. Mostyn
The Synthetic Rock Mass approach A step forward in the characterization of jointed rock masses 485
D. Mas Ivars, N. Deisman, M. Pierce & C. Fairhurst

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The use of a bonded-particle model for studying the mechanical behavior of weak rock 491
F.-S. Jeng, H.-H. Li, T.-H. Huang & Y.-M. Hsieh
Thermal modeling using particle clusters in PFC 495
T.S. Wanne & R.P. Young
Thermo-mechanical analysis of jointed rock masses under cryogenic conditions 499
C. Park, E.-S. Park, C. Park, S.-K. Chung, H.-Y. Kim & D.-H. Lee
Three-dimensional continuum modeling of masonry structures application to the SE/E corner of the
Acropolis wall of Athens 503
I. Stefanou, J. Sulem & I. Vardoulakis
Time-dependent damage growth and failure mechanism around tunnel under deep geological environments 509
T. Takemura, A. Golshani, M. Oda, Y. Okui & M. Takahashi
Uniaxial compression behaviour of the Jarmelo granite (Guarda, Portugal) 513
M. Quinta-Ferreira & A.M. Anto
Validation of determination of rock deformation moduli by different methods 517
A.I. Savich, E.G. Gaziev, V.I. Rechitski & A.V. Kolichko

3. Slopes, foundations and open pit mining

3D simulation analysis of failure of rock slope with crack propagation by DEM 525
S. Ohtsuki, H. Kusumi & T. Matsuoka
Active and passive earth pressures on retaining walls assuming a non-linear strength criterion and constant dilatancy 529
A. Serrano, C. Olalla & A. Perucho
An innovative approach for the use of 3D images in the mechanical analysis of blocks in a rock mass 533
M. Ptsch, W. Schubert & A. Gaich
Analysis of laser scanner data collected during a survey of faces in a rock quarry 539
T. Rotonda, M. Marsella, L. Lizzadro & A. Ricca
Analysis of stability condition of rock slopes lying along a far East motorway based on laser scanner surveys 543
A.M. Ferrero, G. Forlani, M. Migliazza, R. Roncella, P. Grasso & E. Rabbi
Anchoring mechanism of self-locking pre-stressed anchor cable and design of self-locker 547
Zhu B., Liu Q. & Wu Z.
Application of DOM borehole information for rock slope monitoring 551
T.F. Cho, G.H. Lee, K.S. Won, Y.J. Kim & J.W. Choi
Assessment of rock mass deformation and slope stability predictions of Odessa Port plant 555
E. Freiberg, E. Bellendir, A. Fedchun, A. Elkin, G. Bich & E. Cherkez
Bearing capacity of jointed rock foundations under gravity concrete dams 559
A. Fahimifar & M. Imani
Brief and systematic evaluation for deformation characteristics of dam site rock mass by shock response value 563
Y. Ito, K. Agui, K. Kikuchi, M. Fujieda, T. Kobayashi & T. Saito
Challenging problems in the Xiaowan super large arch dam under construction 567
Zhou W., Lin P., Yang Q. & Yang R.
Controlling of the Jietai Temple landslide, Beijing 571
Wang Z.
Deformation reinforcement theory and its application in the dam toe anchorage design 575
Yang Q., Chen Y.R. & Liu Y.
El Cune slide in mudstones and shales in Colombia: History and analyses 579
A.J. Gonzalez-Garcia & J. Montero-Olarte
Evaluating the adhesion strength of different sealants on kimberlite 585
S. Saydam & Y.S. Docrat
Evaluation of the rock mass properties using the downhole hammer drilling logs 589
J.P. Tshibangu, S. Wittemans, B. Deschamps & S. Duray
Excavation of rock concretions in Hambach opencast mine: In situ tests 593
R.M. Schmitz

2007 Taylor & Francis Group, London, UK

Experiences on flysch rock mass reinforcing in engineered slopes 597
. Arbanas, M. Groic & D. Juric-Kacunic
Experimental study on overhead transmission lines foundation in Xinjiang Tianshan permafrost region 601
Qian Z., Lu X. & Cheng Y.
Hydromechanical effects on stability of jointed rock abutments in concrete arch dam 605
M. Yazdani & S. Yazdani
Kinematics of overhanging rock slopes 609
M. Tsesarsky & Y.H. Hatzor
Load test in pile models in sandstone 615
C.A. Costa, A.L.L.S. Nunes
Long-term monitoring of deformation behavior of large excavated rock slope in a dam site 619
T. Eguchi, K. Ooyabu, K. Kido & M. Tsukui
Modeling of excavated rock slope at Antaibao coal mine, China 623
Feng J. & He M.
Numerical modeling and shear strength estimates of bi-planar dip slope failures 629
B.R. Fisher & E. Eberhardt
Numerical modelling of composite large scale rock slope failure mechanisms dominated by
major geological structures 633
J. Franz, Y. Cai & B. Hebblewhite
Optimization criteria for using dynamic rockfall protection systems 637
J. Gonzlez Gallego & R.J. Luis Fonseca
Probabilistic rockfall encounter analysis using a three-dimensional simulation model 641
T. Nishimura & H. Kiyama
Proposed thrust failure analytical method for slope collapse in open pit mines 645
M.F. Handley & K.N. Karparov
Re-evaluation of an anchored slope using a digital terrain model 653
P. Fritz & M. Hauser
Rock avalanches: Experimental study of the main parameters influencing propagation 657
I. Manzella & V. Labiouse
Rock engineering in karst: Belgian case histories 661
R.M. Schmitz, C. Schroeder, A. van Cotthem & B. Dethy
Rock slope stabilization and numerical modelling with pretensioned metallic meshes 667
J.E.T. Quintanilha de Menezes & A.I. Soares Cardoso
Slope stability in heterogeneous materials 671
A. Serrano, A. Perucho & J. Estaire
Stability analysis and deformation features of Yinshuigou deposit at the dam abutment of
Xiaowan Hydropower Station 677
Zhao H., Li S., Dong Z., Huang S., Xiao S., Jiang Y., Yuan P. & Lu Z.
Stability analysis of the Miduk mine pit slopes 681
S.H. Khoshrou & M. Jamali
Stabilization of the Arrbida Cliffs, on the EN 379-1, in Setbal 685
R.S. Pistone, A.G. Coelho, R. Freitas, J. Santos & P. Sousa
Step-path characterization in rock slopes: An integrated digital imaging-numerical
modeling approach 693
M. Yan, D. Stead & M. Sturzenegger
Strength and deformation properties of the concrete-to-rock contact 697
I. Vrkljan, B. Kavur & N. tambuk Cvitanovic
Stress evaluation experience at different quarry sites in the Apuane Alps (Italy) 701
G. Iabichino & M. Cravero

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Study on shear strength characteristic of coal bearing strata 705
S. Kramadibrata, R.K. Wattimena, B. Sulistianto, G.M. Simangunsong & A. Tobing
The shear strength of joints in existing dam foundations 711
G. Ballivy, C. Gravel, T. El Malki, P. Rivard, B. Rousseau & J. Gagnon
The use of geomechanical indices to predict the settlement of a 40-storey tower in
jointed basalt 715
J.L. Justo, E. Justo & P. Durand
The use of rock mass characterization in the development of founding criteria for dams 719
G.N. Davis
Toppling mechanism: Resolving the question of alignment of slope and discontinuities 725
P.M. Maurenbrecher & H.R.G.K. Hack
Visual sensibility analysis of Slope Mass Rating (SMR) correction parameters using continuous functions 729
R. Toms, J. Delgado & J.B. Sern
733

VOLUME 2
4. Tunnels, caverns and underground mining
3D analysis of the longwall coal mining on caving processes in the Velenje Coal Mine 741
J. Likar, J. Cade, E. Dervaric & M. Medved
3D-numerical simulation of Isfahan subway twin tunnels excavation 747
M. Hashemi, R. Rahman-Nezhad & B. Saiedtarrah
A dynamic multi-region approach to model elastic, visco- and poroelastic rock media 751
A.M.B. Pereira & G. Beer
A realistic approach to estimate stand-up time 757
T. Ramamurthy
A study on development of loosening zone and allowable limit of deformation in tunnelling 761
K. Tsusaka, C. Tanimoto, Y. Mitarashi & T. Aoki
An evaluation approach of rock bolting effect considering the coupling and decoupling behavior 765
Y. Cai, T. Esaki, Y. Mitani, H. Ikemi & Y.J. Jiang
Advanced numerical simulation of the tunnel excavation/construction process with the boundary element method 769
G. Beer & Ch. Dnser
Alternative support designs for tunneling gypsiferous-anhydritic claystones 775
I.R. Berdugo, E.E. Alonso, A. Gens & E.E. Romero
Analysis of fracture imprints for appropriate selection of interpanel lead/lag distances in South African gold mines 779
T. Rangasamy
Analysis of the behavior of circular openings in rock mass using different support systems 787
F.E.E. Mackay & A.P. Assis
Analytical solution of displacement for circular tunnel using strain strength criterion 791
Y. Chang
Application of definite integral estimates in stope support design 795
R.A. Lamos & A.W. Lamos
Approximation of stresses and displacements around circular opening excavated in strain-softening rock masses 799
Y.-K. Lee & S.-H. Chang
Bau und Planung des Kallidromo Tunnels auf der NBS Athen-Thessaloniki (Construction and planning
of the Kallidromo tunnel on the NCL Athens-Thessaloniki) 803
D. Schmitt
Behavior category and design loads for conventionally excavated tunnels 809
G. Perri
Critical strain: A measure of squeezing problems in tunnels 815
M. Singh, B. Singh, N.K. Samadhiya & J. Choudhari

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Damage to mountain tunnels by earthquake and deformation mechanism 819
T. Asakura, Y. Kojima, T. Matsunaga, Y. Shigeta & K. Tsukada
Delayed deformation analyses for mountain tunnels 825
Y. Jiang, Z. Guan & Y. Tanabashi
Design and analysis of yielding support in squeezing ground 829
G. Anagnostou & L. Cantieni
Design and reliability analysis of pillar performance for underground limestone mine in Korea 833
Y.B. Jung, C. Sunwoo & S.K. Chung
Design of a large deep cavern at the United States Deep Underground Science and
Engineering Laboratory (DUSEL) 837
C. Laughton, M. Kuchta & W. Roggenthen
Design of displacement chamber with bedding parallel shear zones in Siah Bishe Dam, Iran 845
H. Hassani & S. Arshadnejad
Discussion on 1st stage construction techniques for deeply buried long tunnels in the West Line of the
Mega South to North Water Diversion Project in China 849
Fu B.-J., Zhang J.-J. & Li Z.
Displacements around circular tunnels in viscoelastoplastic media with non linear yield criterion and
non associated flow rule 853
A. Serrano, G. Sandoval & A. Perucho
Elucidating the anisotropic squeezing behavior of New Guanyin tunnel 857
T.-H. Huang, C.-H. Chen & T.-T. Wang
Engineering estimation method of rock masses on the tunnelling root by conversion analysis using seismic
velocity and electric resistivity 861
H. Kusumi & M. Nakamura
Enlarged interpretation of hydrofracturing in-situ stress by 3-D numerical analysis 865
S.O. Choi, J.D. Kim & K.S. Kim
Entwurf von 5 maschinell aufgefahrenen Felstunnels der Bahnstrecke Genua-Ventimiglia (Design of
5 machine-driven rock tunnels of the railway line Genoa-Ventimiglia) 869
B. Wittke-Schmitt & F. Lorenzo Martn
Experimental assessment of rock mass behaviour in surrounding of utility tunnels 877
J. Trckov
External collapse angle and its application 881
Wang Z.
Failure mechanisms around shallow tunnels in brittle rock 883
D. Saiang & E. Nordlund
First approaches to an adaptable geomechanical design using databases 891
F. Krenn, J. Brandl, H.-Ch. Kurzweil & R. Galler
First full-face and open-type TBM excavation for railway mountain tunnel in Japan 897
N. Okano, M. Shimizu, T. Tsuji, K. Chino, K. Shimizu & T. Asakura
Geomechanical characteristics study of deposit in underground mining method selection process 901
K. Shahriar, V. Shariati & F. S. Namin
Geomechanical features of the exploitations of Iscaycruz mine (Peru) 905
J. Cuadros, D. Crdoba & L.R. Alejano
Geomechanical parameters updating in an underground work 909
T. Miranda, A.G. Correia & L. Ribeiro e Sousa
Geophysical investigations to evaluate geotechnical conditions in glacial deposits along the route of a
planned communication tunnel 913
Z. Bestynski & K. Thiel
Gotthard Base tunnel: Rock burst phenomenon during construction of a multifunctional section in a fault zone area 917
H. Hagedorn, M. Rehbock-Sander & R. Stadelmann
Guideline for influence estimation on existing tunnel due to embankment and excavation above a tunnel 921
Y. Kojima, K. Yashiro, K. Yoshikawa, Y. Shigeta & T. Asakura

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Hydromechanical coupled discrete modelling for the assessment of airtightness of unlined large rock cavern 925
K. Aoki, Y. Mito, C.S. Chang, Y. Tasaka & T. Maejima
Intelligent stability analysis and design optimum of a large hydraulic cavern group under high geo-stress condition 931
Feng X.T., Su G. & Jiang Q.
Interpreting in-situ stress measurements using geological models, Sweden 935
C. Derek Martin & R. Christiansson
Investigation into ground convergence effect on TBM performance in squeezing ground 939
A. Jafari, M. Mollaee & H. Shamsi
Japanese state of the art on tunnel maintenance technology 943
T. Asakura, Y. Kojima & T. Matsunaga
Long term stability assessment of Siah Bisheh pumped storage powerhouse cavern under saturated condition 947
M. Sharifzadeh, M. Ghorbani, R. Nateghi & R. Masoudi
Numerical analyses of Masjed-E-Soleiman powerhouse cavern, Iran 951
M. Ahmadi, K. Goshtasbi & R. Ashjari
Numerical analyses of shotcrete reinforcement 955
F. Perman, J. Sjberg, O. Olofsson & L. Rosengren
Numerical analysis of soft rock tunneling in Western Taiwan area 959
K.J. Shou & Y.C. Chuang
Numerical analysis of the development of squeezing pressure during TBM standstills 963
M. Ramoni & G. Anagnostou
Numerical modeling and monitoring analysis of Herosmo station, Metro do Porto 967
P. Ferreira, T. Sousa, P. Silva, H. Vasconcelos, N. Foged & L. Ribeiro e Sousa
Numerical modeling of strain driven fractures around tunnels in layered rock masses 971
S. Stefanizzi, G. Barla & P.K. Kaiser
On the adequacy of the plane strain assumption in tunnel analyses 975
L. Cantieni & G. Anagnostou
On the classification of the rock mass excavation behaviour in tunneling 979
G. Russo & P. Grasso
On the variability of squeezing in tunneling 983
L. Cantieni & G. Anagnostou
Parameter identification and subsidence prediction by Artificial Neural Networks and FEM database for design
and construction of NATM tunnels 987
J.H. Lee, S. Akutagawa, H. Iida & Y. Yokota
Picote II underground powerhouse Geotechnical characterization and design 991
C. Lima, N. Plasencia & C. Esteves
Prdiction du comportement des ouvrages souterrains en milieu rocheux sur la base dune approche simplifie
(Prediction of the behaviour of the underground works in a rock medium on the basis of a simplified approach) 995
F. Laigle
Preliminary identification of Swiss road tunnels pathologies based on geotechnical G.I.S. data 999
F. Sandrone, V. Labiouse & J.-F. Mathier
Pre-split surface blasting to modify goaf behavior above shortwall panels 1003
J.W. Latilla, J.J. van Wijk, H. Booysen, C. Silver & P. Fourie
Results of monitoring for underground excavations behaviour during construction of Tehri dam project, India 1009
V.I. Rechitski, M.M. Ilyin, A.M. Zamakhaev, O.V. Kozlov, S.A. Erlikhman, A.K. Fink & A.G. Karpinskaya
Rock mass behavior during a period of interrupted excavation and completion of caverns 1015
V.I. Bronshteyn, V.N. Zhukov, S.A. Yufin, M.G. Zertsalov & D.V. Ustinov
Rock mass characterisation for tunnelling and mining using 3D images 1019
A. Gaich, M. Ptsch & W. Schubert
Rock mass characterization for tunnels in the Copenhagen limestone 1025
N. Foged, L. Jakobsen, P. Jackson & L. Erichsen

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Spatio-temporal evolution of the Excavation Damaged Zones (EDZ): Lessons learned from the French
Tournemire site in indurate clay 1031
A. Rejeb & J. Rutqvist
Stability analysis of super large-scale caverns by 3D finite element method based on elastic-plastic-brittle theory 1035
Luo X., Ge X. & Zhang Z.
Stabilization of highly stressed weak and soft rocks Observations, principles and practice 1041
C. Chunlin Li
Statistical and neural regression approach for prediction of longwall chock-shield support pressure 1047
A.K. Verma & D. Deb
Statistical joint modeling and stability analysis of rock blocks around a tunnel 1053
J.-W. Park, J.-J. Song & H.-J. Shim
Study on tunnel excavation disturbed zone in weak rock with time-dependent behavior 1057
T.-T. Wang, W. Lo, Y.-C. Ding & S.-T. Liu
Testing and analysis of steel wire mesh for mining applications of rock surface support 1061
E.C. Morton, A.G. Thompson, E. Villaescusa & A. Roth
The importance of stresses in Arctic coal mining 1065
T.F. Hansen
The influences of the height of overburden and unsupported tunnel length on tunnel face stability 1071
A. Preh, R. Poisel & B. Bogner
Theoretical prediction of ground settlement induced by longwall mining 1075
A. Majdi, A. Ghomghaleh & M.H. Arabzadeh
Time dependent behavior of rock and practical implications to tunnel design 1079
F.L. Pellet & M. Roosefid
Toward the design of attractive underground space: Coupling human sensibility and rock mechanics 1083
N. Shimizu, A. Imaizumi, S. Takeo & S. Sakurai

5. Earthquake engineering and rock dynamics

A study of stability and design optimization of a large underground opening complex in
high earthquake intensity areas 1091
Zhu W., Sui B., Zhang X. & Li S.
Acceleration response of rocks during fracturing and its implications in earthquake engineering 1095
. Aydan, M. Daido, N. Tokashiki, A. Bilgin & T. Kawamoto
Application of the fiber optical oscillation sensor to AE measurement at the rock compression test 1101
T. Mori, M. Nakajima, K. Iwano, M. Tanaka, S. Kikuyama & Y. Machijima
Comparison of in-situ stress orientations and magnitudes determined by anelastic strain recovery measurement
and borehole breakout analysis in the vicinity of an active fault 1105
W. Lin, W. Soh, H. Ito, E.-C. Yeh, M. Kwasniewski & C.-Y. Wang
Consideration on stability and collapse at earthquake of rock slope based on a case 1109
R. Yoshinaka, T. Sasaki, K. Sasaki & S. Horikawa
Controlled blasting technique for navigation lock trench excavation at the TGP 1113
Dai H. & Zhu H.
Derivation of elastic rock parameters via active and passive tunnel seismic methods 1117
G. Kneib
Dynamic analysis of Masjed Soleiman underground powerhouse cavern 1123
M. Moosavi & H. Zamani
Dynamic Brazilian splitting and spalling tests for granite 1127
Z. Zhou, G. Ma & X. Li
Dynamic characteristics of unstable rock blocks 1131
Y. Yamauchi, Y.J. Jiang & Y. Tanabashi
Dynamic properties of granite exposed to high temperature 1135
S. Lim & G. Ma

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Effect of stress amplitudes of dynamic disturbance on the failure behavior of rock subjected to a biaxial
static compressive yield load 1139
Li X., Ma C., Chen F. & Xu J.
Experimental research on rock penetration performance of linear shaped charge 1143
Luo Y., Fu J. & Cui X.
Large-scale field experiment to calibrate microseismic source parameters applied to real-time monitoring
of post-mining instabilities 1147
J. Tastet, I. Contrucci, E. Klein, P. Bigarr & L. Driad-Lebeau
Mining-induced earthquakes focal mechanisms in the Khibiny massif 1151
N.N. Melnikov, A.A. Kozyrev, Yu. V. Fedotova & S.P. Reshetnyak
Modeling the stress-strain state of large-size geomechanical objects on the basis of tectonophysical, seismological,
geophysical and geodetic data 1155
L.A. Nazarova, L.A. Nazarov & P.G. Dyadkov
Numerical estimation of rock mass strength in underground mining operations 1159
G.B. Sharrock, M. Sandy, J. Albrecht & F. Basson
Numerical simulation for estimation of blast-damaged zone around a tunnel 1163
Y.-H. Jong, C.-I. Lee & S. Jeon
Research of energy distribution during dynamic loading of rocks 1167
V. Petros, J. Sancer & Z. Kadlec
Seismic vulnerability of rock tunnels using fragility curves 1173
M. Corigliano, C.G. Lai & G. Barla
Selected geological factors impacting effects of induced seismicity on surface in conditions of Ostrava-Karvina
coalfield in the Czech Republic 1177
J. Holecko & P. Konicek
Slope stability analysis of a large slope in rock mass: A case study 1185
T.G. Sitharam & V.B. Maji
Strengthening of longwall gate support against dynamic effects of rockbursts in coal mines 1189
P. Horyl, R. nuprek & J. Havaj
Stress wave propagation across discontinuous granite medium 1193
Li J., Wei X. & Ma G.
Study on structural dynamics of rock slope based on eigenvalue analysis 1199
A. Hirata, T. Inokuchi & T. Sugita
Verification of two-dimensional numerical earthquake site effects on a dam site, Costa Rica 1203
C. Sigarn-Lora & R. Hack
Weiterentwicklungen der Bohr- und Sprengtechnik im Tunnelbau (Further developments of the boring and
blasting technique in the tunnel construction) 1209
G. Brem & J. Gattermann

6. Petroleum engineering and hydrocarbon storage

Analysis of 2D distinct element models of the Cooper Basin, Australia 1217
C.P. Morelli, S.P. Hunt & P.J. Boult
Effect of rocks anisotropy on deviation tendencies of drilling systems 1221
R. Boualleg, H. Sellami, A. Rouabhi, S. Menand & C. Simon
Estimation of residual oil saturation in reservoir rock using lattice-Boltzmann model 1225
S. Murata, T. Akai, T. Ishida, K. Tani & T. Saito
Experimental studies on water curtain in underground engineering 1229
Li Z., Liu H., Wang K., Liao Y. & Zeng L.
Fault seal prediction in unconsolidated sediments with a novel experimental apparatus 1233
F. Cuisiat, E. Skurtveit & R. Cleave
Feasibility study of using the existing solution-mined caverns in Jintan Salt Mine as gas storage 1241
Yang C., Li Y., Qian Q., Wei D., Chen F. & Yin X.

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Geotechnical monitoring of a pilot cavern for underground LNG storage 1245
S.-K. Chung, E.-S. Park, H.-Y. Kim, H.-S. Lee & D.-H. Lee
Micromechanisms of borehole failure in reservoir rocks 1249
B. Haimson
Oil and gas reservoirs compaction-induced production decline Influence of rock parameters 1255
M.B. Geilikman & S.W. Wong
Pressure diffusion and ion diffusion properties of terciary shales 1261
S.A.B. da Fontoura, E.S. Muniz & R.F.T. Lomba
Simulation of solute transport in fractured media 1265
I.A. Telles, E.A. Vargas Jr., W.W.M. Lira & L.F. Martha
Studies of mechanisms associated with sand production using X Ray CT scan in real time 1269
J.B. Santos, E.V. Barroso, E.A. Vargas Jr., J.T. Castro, C. Gonalves & E. Campos
Three-dimensional hydrogeological modelling around the large rock cavern for the LPG storage project 1273
T. Maejima, H. Uno, Y. Mito, C.S. Chang & K. Aoki

7. Safety evaluation and risk management

A Fracture Mechanics approach to the study of rock fall triggering 1281
M. Castelli, A. Allodi, C. Scavia & M. Frayssines
An estimation of rock mass rating using 3D indicator kriging approach with uncertainty assessment of
rock mass classification 1285
J.-Y. Choi & C.-I. Lee
Environmental safety risk management in urban subway tunnel construction using shallow method 1289
Zhang D., Fang Q. & Hou Y.
Risiken bei TVM-Vortrieben in klftigem Fels (Risks at TDM drivings in jointed rock) 1293
W. Wittke & P. Wittke-Gattermann
Risk analysis for tunneling projects using Bayesian Networks 1301
R. Sousa & H.H. Einstein
Risk management of the landslide Lrchberg-Galgenwald (Austria) 1305
R. Poisel, H. Angerer, M. Pllinger, T. Kalcher & H. Kittl
Rock mass monitoring as a hazard assessment tool in deep Merensky and UG2 stopes 1311
D.F. Malan
Serviceability-based slope factor of safety using the shear strength reduction (SSR) method 1317
R.E. Hammah, T.E. Yacoub & J.H. Curran
Zonation of the landslide hazards based on weights of evidence modeling 1321
Wang Z., Li D. & Cheng Q.

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2007 Taylor & Francis Group, London, UK

Preface

The SPG Sociedade Portuguesa de Geotecnia, the Portuguese National Group of the ISRM, hosted the 11th ISRM Congress,
in Lisbon, 913 July 2007. The event was also co-sponsored by the SEMR Sociedad Espaola de Mecnica das Rocas, the
Spanish Society for Rock Mechanics.
In the past 50 years, Rock Mechanics has established itself as recognized subject in Geotechnical Engineering. Now, 40
years later, and at the same location where the first ISRM Congress was held, SPG proposed to define new perspectives and
developments in Rock Engineering.
The Organizing Committee decided to set the event under the name of The Second Half Century of Rock Mechanics.
Seven main themes were selected:
1. Rock engineering and environmental issues
2. The path from characterization to modelling
3. Slopes, foundations and open pit mining
4. Tunnels, caverns and underground mining
5. Earthquake engineering and rock dynamics
6. Petroleum engineering and hydrocarbon storage
7. Safety evaluation and risk management
The first two volumes of the Congress Proceedings contain the papers received by the Organizing Committee in accordance
with the Congress theme to which they belong. These papers were reviewed and selected by each ISRM National Group. Minor
corrections were included by the Editors in order to follow the guidelines indicated by the Publisher.
For each theme, internationally recognized experts accepted to prepare a General Report, which will be published in the third
volume of the Proceedings. This volume will also include seven Keynote Lectures prepared by special invited personalities, as
well as the Mller Lecture and a text prepared by the Rocha Medal recipient.
The Congress has benefited from generous help of several entities and companies mentioned in the Proceedings. The third
volume will update the list of Sponsors of the Congress.

The Editors
L. Ribeiro e Sousa
Claudio Olalla
Nuno F. Grossmann

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Organizing Committee
Lus Ribeiro e Sousa, Portugal
Congress Chairman
Claudio Olalla, Spain
Congress Co-Chairman
Nuno Grossmann, Portugal
Congress Co-Chairman
Jos Vieira de Lemos, Portugal
Technical Programme Chairman
Pedro Bernardo, Portugal
General Secretary
Ricardo Resende, Portugal
Treasurer
Manuel Romana Ruiz, Spain
President of the Workshop on
Underground Works under Special
Conditions
International Scientific Committee
Carlos Dinis da Gama, Portugal
Chairman
Alcibades Serrano, Spain
Antnio Campos e Matos, Portugal
Carlos Brito Pina, Portugal
Charles Fairhurst, USA
Don Banks, USA
Eurpedes Vargas Jr., Brazil
Fernando Peres Rodrigues, Portugal
Georg Vavrosky, Austria
Herbert Einstein, USA
John Franklin, Canada
Jos Dias, Angola
Jos Rosado Catarino, Portugal
Advisory Board
Nielen van der Merwe
ISRM President
John Hudson
ISRM President-Elect
Martin J. Pretorius
ISRM Vice President for Africa
Zhao Jian
ISRM Vice President for Asia
John St George
ISRM Vice President for Australasia
Claus Erichsen
ISRM Vice President for Europe
2007 Taylor & Francis Group, London, UK
Ana Malheiro, Portugal
President of the 2nd Workshop on Volcanic Rocks
Pedro Sola, Spain
President of the Workshop on Preservation of Natural Stone and Rock Weathering
Antnio Pinto da Cunha, Portugal
urea Perucho, Spain
Celso Lima, Portugal
Eduardo Quintanilha de Menezes, Portugal
Jos Muralha, Portugal
Lus Nolasco Lamas, Portugal
Noemi Schclar Leito, Portugal
Vicente Cuellar, Spain
Marek Kwasniewski, Poland
Michel van Sint Jan, Chile
Nguyen Minh Duc, France
Nick Barton, Norway
Pierre Brest, France
Ricardo Oliveira, Portugal
Richard Stacey, South Africa
Robert Hack, The Netherlands
Rui Correia, Portugal
Sergey Yufin, Russia
Shunsuke Sakurai, Japan
Walter Wittke, Germany
Wang Sijing, China
Franois E. Heuz
ISRM Vice President for North America
Eda Freitas de Quadros
ISRM Vice President for South America
Qian Qihu
ISRM Vice President at Large
Lus Ribeiro e Sousa
ISRM Vice President at Large
Lus Nolasco Lamas
ISRM Secretary General
XXI
The 11th ISRM Congress organizers wish to thank to the following sponsors:

Special Sponsors
ANA Aeroportos de Portugal NAER Novo Aeroporto
Fundao Calouste Gulbenkian
Fundao Oriente
Fundao para a Cincia e Tecnologia
Laboratrio Nacional de Engenharia Civil
TAP Air Portugal

General Sponsors
Atlas Copco
EDP Energias de Portugal
MTS Systems Corporation
RAVE Rede Ferroviria de Alta Velocidade SA
SOMINCOR Sociedade Mineira de Neves Corvo SA

Others Sponsors
BRISA Auto Estradas de Portugal SA
Metropolitano de Lisboa

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2007 Taylor & Francis Group, London, UK

 1. Rock engineering and environmental issues

2007 Taylor & Francis Group, London, UK

 Acid sulfide rock: Problematic aspects in the Basque Country (Spain)
V. Ormaetxea
Harrilur Geotecnia S.L., Arrasate-Mondragon, Gipuzkoa, Spain
ABSTRACT: Although acid drainage is quite known in mining, it is not known in construction and mans influence in soils and
water, because this process causes environmental damage. On the other hand, when the process is under control, the damage is
reduced. This paper provides a clear explanation about the acid drainage process in building and how to avoid it in the Basque
Country.
1 INTRODUCTION
Acid sulfide rocks are the common name given to rocks con-
taining iron sulfides (pyrite principally, FeS2 ). When the iron
sulfides are exposed to air (because drainage and dredging),
sulfuric acid moves through the soil, acidifying groundwater.
This acid drainage (mostly known as mine drainage,
because it usually happens in coal mines), is produced when
the sulfurs, specially, pyrite and marcasite, react with air and
water to generate sulfuric acid and iron hydroxide, such as
follows:
Summarizing: pyrite and water and oxygen => iron hydrox-
ide and sulfuric acid.
The acid produced by oxidation of iron sulfides affects both
soil and water and can damage the environment severely. There
are some harms which begin before acid drainage was known
and could be fought against. If the pyrite oxidation begins, it
is too difficult and expensive to control. Even though there are
some solutions to avoid the process, the methods are expen-
sive and they are not forever. Nevertheless, the best method is
to avoid the development of the reaction, because at the begin-
ning the acid generation is a slow process that needs time to
develop. However, once process starts, acid rate increase in
time, as Thiobacillus Ferroxidans bacterium goes up, because
in nature the reaction happens quickly in presence of this bac-
terium. This bacterium gets the energy from sulfur oxidation
process and it is useful to accelerate the reaction which can
take when there is no bacterium. The reaction also produces a
great amount of heat and it causes trouble when the rock con-
taining pyrite is stored. The natural alteration of the rock only
exposes a little amount of reactive iron sulfur and the reaction
explained before is not a problem until great artificial exca-
vations quickly expose great volumes rich in sulfurs to the
atmosphere. Consequently, the reaction goes rapidly and can
produce great acid volumes.
In the last years, the urban development in the Basque Coun-
try has increased quickly. Some areas which have been built
with stone in the past (traditional construction) are nowa-
days constructed with concrete. Consequently, problems have
2007 Taylor & Francis Group, London, UK
appeared in areas situated in the Purbeck-Weald Formation
(lutite with pyrite).
2 PROBLEMATIC ISSUES INVOLVED WITH
ACID SULFIDE ROCKS
When reaction begins, sulfuric acid damages the water and red
iron hydroxide attacks rivers and reservoirs (acid drainage).
Acid waters kill aquatic life and damage frames built by men,
such as bridges, retaining walls, concrete, etc.
The process of pyrite oxidation, if it occurs without control,
develops low pH environment. The water flowing through a
landfill with acid drainage troubles can produce lixiviation
generating potential pollutants which will affect the runoff
water such as rivers or streams, and groundwater. Historically,
these problems have been recognized in mining industry and
some old mines in the world have caused important impacts
in the environment.
Acid drainage control is the most important objective in
design and construction of fillings which are susceptible to
produce acid drainage. It is also important to be sure that
there are not adverse effects in streams and rivers.
Acid sulfide rocks are important in engineering and urban
planning, agriculture and environmental quality. Acid sulfide
rocks can affect the use and development of the land. It is
therefore necessary to be kept in mind in land management
during urban planning.
2.1 Factors which develop pyrite oxidation
Environmental potential impacts of acid sulfide rocks depends
on several factors, such as:
Exposure to oxidizer conditions (these rocks cannot gener-
ate acid discharges if there is no oxygen and water)
Type and extension of the sulfuric characteristics of the rock
(these characteristics can change widely and they will affect
both quantity and some acid discharges concentrations and
acid generations ratio)
Autoneutralization capability (acid discharges can be neu-
tralizated while occurring, depending on content and
kind and nature of the rock mineral, organic matter and
carbonates)
Store capacity of the receiving environment (acid dis-
charges can be neutralized in presence of organic matter
or store effects in some hydraulic environments)
 These factors will determine the environmental risk caused
by acid sulfide rocks. Depending on circumstances, the
acid discharges can be less harmful in one environment but
dangerous in others.
Environmental impacts risk is greater as metallic sulfurs
concentration increase.
2.2 Problems involved with pyrite
The pyrite oxidation in building can impact in three ways:
great deformations and pressures when sulfides are in contact
with the water, loss of the strength characteristics because of
rock massif s degradation, and concrete degradation. Sulfide
oxidation stops when rock is completely submerged in water;
but when there are phreatic levels fluctuations or wet-dryness
cycles, oxidation rate increases.
A water leak can produce a structural damage with a ter-
rains raising because acid generation produces rock massif s
swelling.
In reinforced concrete, on the one hand, there is a concrete
cements degrading (sulfate attack) and, on the other hand,
sulfuric acid attacks steel frames.
3 IDENTIFICATION AND CRITERIOUS TO
PREDICT ACID GENERATION
Usually, geotechnical field exploration is enough to identify
acid sulfide rocks. The most common indicators are:
pyrite minerals presence (visible crystals)
ochre deposits or red waters (called iron fountains in the
Basque Country)
jarosite presence (yellowish green mineral that deposits in
joints)
concrete and steel damage in structures
plants associated with acid waters
Geological information and visu inspection can help to
identify acid sulfide rocks (sulfur presence). Sulfur miner-
als in rocks normally look like metallic. In alteration, these
minerals can be oxidized.
These indicators alone do not predict the acid generation,
because the oxidation potential is the factor that indicates if
the acid sulfuric will appear and damage structures and the
environment.
In the first place, to know these rocks oxidation potential,
it is necessary to know the content of sulfurs in the rock, for
example using chemical tests of content in acid-soluble sul-
furs, but this parameter alone doesnt indicate if the rock is
susceptible to generate sulfuric acid. Therefore, there are some
regulations associated to mining industry, Australian regula-
tions, for example, evaluate rock capability to generate acid
drainage and depending on it, it can be considered if there is
an environmental risk of pollution. There are two test types to
predict oxidation potential: static tests and kinetic test.
1. Static tests: They predict the drainage quality comparing in
a sample, its maximum potential of acid production with
its maximum neutralization potential, measuring sulfur
content and carbonate content.
2. Kinetic tests: they are distinguished from the previous ones
because the natural oxidation reactions occurring in nature
are imitating and bring information about oxidation rating
and acid generation, as well as an indicator of drainage
waters quality.
2007 Taylor & Francis Group, London, UK
Figure 1. Lower Cretaceous outcrops in the Basque Country.
4 WHERE CAN ACID SULFIDE ROCKS BE
FOUND IN THE BASQUE COUNTRY
Iron sulfurs are usually found in black lutite; and in the Basque-
Cantabrian Basin, these black lutites with pyrite are found in
low Cretacic materials, in the Purbeck-Weald Formations and
Valmaseda Formation principally (see figure 1).
The most important problems at the moment have been
found in the Purbeck-Weald Formation. That is the reason
why this formation has been studied in the last few years.
The Purbeck-Weald Formation was defined in the peri-
Asturian sector of Basque-Cantabrian Basin and it represents
the period between Kimmeridgian and Barremian age. In
the Basque-Cantabrian Basin, there is no difference between
Purbeck and Weald materials because it is practically impos-
sible to divide both sediments.
At the beginning of the Malm, conditions of marine sed-
imentation dominating the North Spain, stopped consider-
ably. Therefore and until the end of the Barremian epoch,
continental, intermediate and marine restricted deposits
were accumulating progressively, formed mostly by coarse
terrigenous.
Weald Formation is not a continental facies, even it is
not certain that they were deposed in an environment of
fresh water; the evidences indicate marine water, but per-
haps with a lower salinity. Weald series shows the following
characteristics:
1. Dominant lithology consists of black lutite, fine laminated,
where pyrite is very abundant. Facies were deposited under
reducing conditions. It is probable that first was oil shale,
but the hydrocarbons inside, have been lost because of the
high grade of diagenesis that these deposits have.At the sur-
face of some of these layers, carbonized vegetable remains
are often found.
2. Scarce sandy layers show storm levels characteristics
(plain base, with cross-lamination and dunes morphology
on top).
3. The series inserts limestone layers which show some well
defined and peculiar characteristics, such as: fetid nature,
spectacular and frequent seaweed lamination; plain clasts
breccia; characteristic diagenetic structures of tidal shelf,
with mixtures of phreatic fresh and salt water. Specifically,
 they are chicken-wire structures and plentiful presence of
microscopic anhydrite, visible on plate glass.
4. Layers of fibrous gypsum and anhydrite have frequently
been found.
All of these characteristics show that these matters were
deposited in a marine gulf with shallow and lagoon waters
where black facies were put on.
5 PROBLEMATIC ISSUES AND CONSTRUCTIVE
SOLUTIONS ADOPTED IN THE BASQUE COUNTRY
The first evidence relating to these rocks has been found in
slopes. Although acid drainage is not a problem in this envi-
ronment because only a bit amount of pyrite is in contact with
the atmospheric agents, there are concrete damages and red
colorations in gutters.
However the main impact in engineering has been the effect
on landfills and building. In fillings, the rocks area is reduced
and there is an increase on the alteration area, so the reac-
tion develops quickly and there are dispersed phenomena of
warning-up in the rock (high temperature), sulfuric smell
(rotten egg), and also groundwaters pollution that affects
vegetable kingdom.
On the other hand, fillings are used in building because
the Basque Country is mountainous and the houses are often
built on slopes. In this case, there are also phenomena of
swelling (soil uplift) and the rock loses its geomechanical
characteristics.
Fortunately, at the moment damage hasnt been found on
foundations. In all the case area, foundations have been found
in good conditions, since the buildings are new enough for
concrete degradations appear (two or three years old). As for
old buildings (caserio, typical house), foundations are made
of stone.
For the time being, to build in this rock type, it is recom-
mended to use sulfate resistant cements in reinforced concrete,
and dredging has to be done as fast as possible. Neverthe-
less, Spanish current regulation does not consider pyrites
2007 Taylor & Francis Group, London, UK
damage and there is little knowledge about acid drainage and
its consequences.
On the other hand, it is recommended that the rock has to be
mixed with organic soil, clays or limestone before being used
in fillings or being dumped. It has to be emphasized that there
are not restrictions to dump this type of rocks at the moment
in Spain (so, it could cause problems in the course of time).
Furthermore, it is better to use stone in retaining walls
(stone retaining walls made with limestone). Fortunately in
the Basque Country, the most common rock is limestone.
It must not be forgotten to protect the rock massif against
water and air (drainage, vegetation, etc).
6 CONCLUSIONS
If pyrite oxidation is quite known in construction, the issues
involved will be mitigated and the reaction will be avoided,
preserving the vegetable kingdom and aquatic life.
On the other hand, Spanish current regulation has to be
changed to keep this phenomenon in mind and chemical tests
have to be compulsory. It is recommended to use theAustralian
regulations to know the oxidation potential which is the best
manner to predict the acid drainage.
REFERENCES
Australian Seafood Industry Council. 2000. An introduction to acid
sulfate soils. Australia. Natural Heritage Trust.
Environment Protection Authority. 1999. Acid Sulfate Soil and Rock.
EPA Information Bulletin. 655. Sydney.
Suarez, L. & Regueiro, M. 1997. Riesgos causados por Materiales
Geolgicos. Guia ciudadana de los riesgos geolgicos. 2329.
Madrid: Ilustre Colegio Oficial de Geologos.
Garrote, A., Garca, J., Muoz, L. & Arias, V. 1995. Euskal Herriko
Mapa Geologikoa E 1/100.000. 3336. Bilbo: Ente Vasco de
Energia.
USA Environmental Protection Agency. 1994. Acid mine drainage
predition. EPA 530-R-94-036. Washington.
 Analysis and prediction of damage zone due to subsidence considering random errors

C. Sunwoo & D.W. Ryu

KIGAM (Korea Institute of Geoscience and Mineral Resources), Daejeon, Korea

ABSTRACT: The surface damage in an abandoned underground limestone mine in Korea is observed to be of different forms
from simple sinkhole formation to a large scale landslide of the ground in the subsided area. For the prevention of damage, it is
very important to predict an extent of ground movement. A probabilistic approach based on a simple predictor model is applied
to a subsidence case. Geological and mining parameters can affect the magnitude and extent of sinkhole subsidence. These
influence factors should be evaluated to predict and mitigate subsidence hazards. The model needs geometrical parameters
and mechanical properties and these measurements can imply random errors. Therefore, Monte Carlo simulation is used to
consider the effects of random errors on the modified model. A number of the sets realized from the simulation, which are
combined of depth of subsided ground, bulking factor and angle of repose, are used to calculate the extent of subsidence.

1 INTRODUCTION 2 CASE STUDY-ABANDONED LIMESTONE MINE

SITE (DAESUNG MINE)
The term subsidence is commonly used to imply a grad-
ual sinking, but it also can refer to an instantaneous or 2.1 Geological setting
catastrophic collapse of the surface. The common form of sub-
The geology of the studied area consists of Youngheung and
sidence in underground limestone mining areas is due to the
Gabsan formation. The major structures of this area are folds
formations of sinkholes. Sinkholes result from various mech-
and several faults lying along NNW-SSE direction. The thick-
anisms(Sowers, 1976), including consolidation from loading
ness of limestone deposits of Gabsan formation couldnt be
and dewatering, hydraulic compaction, settling as materials
measured since its upper beds are not distributed on the sur-
are removed by groundwater flow, stoping of materials and
vey area and fold structures. However, based on its lithology
instantaneous collapse of roof rock. Sinkhole subsidence gen-
the Gabsan formation could be divided into three lithologi-
erally occurs following the failure of the mine roof which
cal units. These are the upper(shale banded limestones), the
migrates through the overlying strata until the failure zone
middle(limestones) and the lower member(sandstones). The
intercepts the unconsolidated overburden. Of the many factors
middle member, a major resources of high grade limestone, is
which influence the subsidence the important factors include
about 25 m35 m(max. 150 m) in thickness. But its thickness
a shallow depth of cover, competence and nature of mined and
varies due to fold structure. The Youngheung formation con-
surrounding strata, geological discontinuities and dissolution
sists of limestones and dolomites that are banded irregularly.
of rocks. Piggot & Eynon(1977) defined shallow depth, from
Daesung underground limestone mine has a hilly terrene with
the point of view of sinkhole subsidence, as a maximum of
a variation in the overburden of 20 m at the portal to 150 m
10 times the height of the o riginal gangway excluding surface
at the innermost point where the mining operation has termi-
unconsolidated deposits. Matheson and Eckert-Clift(1986)
nated (Fig. 1).The reported width and height of the opening are
correlated sinkhole subsidence with the ratio of thickness
around 20 m and 10 m respectively. Majority of mine develop-
of overburden(h) to height of the opening(m). Accordingly,
ment and the subsequent room-and-pillar operation had been
where the h/m ratio is less than 5, there is a strong possibility
with in 100 m cover, where the possibilities of sinkhole subsi-
of the occurrence of sinkholes which decreases rapidly when
dence remained very high. Abandoned mine workings pose a
the ratio is between 5 and 11.
wide variety of problems due to the gradual strength deterio-
Whenever an underground opening is excavated, the strata
ration of the support pillars left in the stopes due to weathering
immediately above the opening become de-stressed.The open-
and time dependent deformation. Therefore the uncertainty in
ing will remain stable as long as the stresses do not exceed the
terms of its stability creates problems in many situations.
strength of the roof rock. Over a period of time, roof sta-
bility may be jeopardized by the change in the stresses and
the strength of the roof rock. These changes may be due to a
2.2 Mining method of working
great extent to groundwater inflow and time dependent defor-
mation. When a roof is consist of blocks bounded by joints The mine was developed into three levels at 6th level(353 m),
or cracks, it may fail by shearing along planes of weakness 7th upper(382 m), and 7th lower level(408 m) above the sea
when the induced stress exceeds the shear resistance along the level (Fig. 1). The main stoping operations adopted in the
joints. In a heavily jointed rock mass, the presence of water mine were room-and-pillar and sublevel caving. However, the
creates severe problems to the strength and the stability of sublevel caving was confined to a single level. Some portion
underground openings. Rainwater seepage through the cracks of ore remaining in place is typically a function of the required
and pores into the mine opening can trigger the caving of support necessary to prevent the overlying strata from the
weak roof. immediate caving or falling in while mining is being operated.

2007 Taylor & Francis Group, London, UK


Figure 1. Plan and sectional view of abandoned underground
limestone mine and zone of subsidence.
Figure 2. Sublevel caving method of stoping at the abandoned
limestone mine.
From the plan it is clear that the extraction was made following
the grade values of ore leaving lower grade ore blocks in pil-
lars, which consequently resulted in irregular pillars of random
sizes in the stope. Ore is fragmented by blasting using the holes
drilled upwards. The draw points were developed between the
7th upper and lower levels, while the crown pillar between the
6th and 7th upper level, which is height of 26 m was drilled
and blasted(Fig. 2). The mining method produces significant
disturbance at the ground surface, imposing some possible
limitations on its applicability from the considerations of its
potential to cause surface subsidence.
2.3 History of subsidence
The environmental impacts from mining may worsen over
time as the ground continues to settle. The exact location and
2007 Taylor & Francis Group, London, UK
Figure 3. Sinkhole formation.
Figure 4. The possible sequence of surface failure above the
abandoned limestone mine.
time of a disaster related to subsidence cannot usually be pre-
dicted with any degree of certainty. The possible sequence
of roof failure leading to subsidence due to sinkholes may
be established with certain degree of confidence from the
observations. First, the void created by the ore withdrawal
from the sublevel caving stope must have lead to the progres-
sive failure of the roof, which ultimately daylighted in the
form of a sinkhole(Fig. 3). Second, the main influencing fac-
tor must be the sloping ground above the abandoned mine.
The decreased depth near the portal end of the deposit must
have given rise to increased number of sink-holes at the sur-
face. Lines of sinkholes along the contours of the slope yield
a slope weakening effect by virtue of the perforated charac-
ter of the overburden. The presence of this form of surface
subsidence generally changes the pattern of drainage close to
the sinkhole area. The overburden must have been weakened
by weathering effects and sinkholes cluster together over the
room-and-pillar workings close to the surface.The depth of the
weathering effect depends upon the climatic conditions. And
heavy rainfall conditions favor increased depth of weathering.
Final form of failure can be attributed to the large scale slid-
ing of the weakened/fractured rocks from within the subsided
zone(Fig. 4).
3 EFFECTIVE RANGE OF SUBSIDENCE
A probabilistic approach based on a simple predictor model is
applied to obtain the effective range of subsidence. Geological
 Table 1. Correlation models between a depth of subsidence and
effective range.

Exponential
decay Exponential decay
model I model II
Ds = A exp Ds = A1 exp(d/B1) +
Model (d/B) + C A2 exp(d/B2) + C

2 / DoF 160.65 114.18

R2 0.891 0.923
Parameters A = 205.42 A1 = 216.41 A2 = 100.14
B = 0.97 B1 = 0.32 B2 = 2.54
C = 43.47 C = 27.56

Figure 5. Assumed distribution models of various parameters.

and mining parameters can affect the magnitude and extent

of sinkhole subsidence. These factors should be evaluated
to predict and mitigate subsidence hazards. The conventional
and empirical predictor model is modified for estimating the
extent of damage due to subsidence by sinkhole formation.The
model needs geometrical parameters and mechanical proper-
ties. The measurements of these parameters contain random
errors inherently. Therefore, Monte Carlo simulation was car-
ried out to consider the uncertainty of parameters and predict
effectively the range of the further damage zone.This approach
can evaluate the damaged zone of subsidence probabilisti-
cally. Monte Carlo method uses random or pseudo-random
numbers to sample from probability distributions and, if suf- Figure 6. Correlation between a depth of subsidence and an
effective range.
ficiently large numbers of samples are generated and used in a
calculation such as that for a factor of safety, a distribution of
values for the end product will be generated. Therefore, Monte
Carlo technique can be applied to a wide variety of problems
involving random behavior and a number of algorithms are
available for generating random Monte Carlo samples from
different types of probability distributions.
A number of the sets, which are the combinations of depth
of subsided zone, bulking factor and angle of repose realized
from the simulation, are used to calculate the extent of sub-
sidence. Assumed distribution models of various parameters
are shown in Figure 5. The random numbers realized from
these distributions can give us a number of combinations of
parameters, which produced possible ranges of damaged zone.
Probabilistic analysis of damaged zone due to subsidence was
performed based on a number of realizations. To model the
behavior of effective range according to depth of subsidence,
two exponential decay functions were considered. The correla-
tion models between a depth of subsidence(d) and an effective
range(Ds), which is diameter of chimney, were deduced from Figure 7. Effective range of subsidence associated with each cone
the results of the analysis(Table 1 and Fig. 6). chute.
The model II shows a higher correlation coefficient than
the model I, which is due to trade off the degree of freedom
(Table 1). The determination factor C in the models has a sim-
ilar physical meaning of a diameter of sinkhole. And a lower subsidence, which is drawn from Figure 7. The damage zone
angle of break makes the diameter of sinkhole near ground of subsidence might be expanded 300 m along NE direc-
more and more like that of caved area due to the decreased tion than the present boundary of damage zone. It can be
space for broken material. expected that a large scale landslide will be progressively
At each cone chute, the range of subsidence was evaluated occurred by the newly developed subsidence in the eastern
by using model II(Fig. 7). Figure 8 shows the area of surface part of subsided zone.

2007 Taylor & Francis Group, London, UK


Figure 8. Hazard map of subsidence and landslide over the aban-
doned limestone mine.
4 CONCLUSION
Various types of information like the mining methodology
and history of mine and ground condition are needed for an
appropriate remedial strategy in an abandoned mine. Hazard
map of subsidence and landslide based on the information
can be helpful for a determination of land usage and an extent
of restoration. For the construction of hazard map, the pre-
diction of the damage zone was carried out with considering
the uncertainties of geometric and geotechnical attributes. It
is found that the uncertainties inherent in the attributes can
make the extent of the damage zone underestimated or over-
estimated. Therefore, Monte Carlo technique can provide an
efficient tool to avoid these problems caused by uncertainties.
10
2007 Taylor & Francis Group, London, UK
Structural damage is imminent in any mining operation and
it is also true that most of failures do not happen without
warning. Recognition of these phases allows for timely action
to prevent heavy losses of personnel and equipment. A full
range of geotechnical monitoring is required to understand the
behavior of potentially unstable rock mass and to predict rock
mass failures. Since the area under consideration belongs to a
land of low public importance, one of the best safety measures
is the prevention of public access to the areas and filling in of
the sinkholes.
ACKNOWLEDGEMENT
This research was supported by the Basic Research Project
of KIGAM funded by the MST(Ministry of Science &
Technology) of Korea.
REFERENCES
Matheson, G.M. & Eckert-Clift, A.D. 1986. Characteristics of chim-
ney subsidence and sinkhole development from abandoned under-
ground coal mines along the Colorad.o Front Range. Proc. of the
2nd Workshop on Surface Subsidence due to Underground Mining,
West-Virginia University , Morgantown, WV: 204214.
Piggott, R.J. & Eynon, P. 1977. Ground movements arising from
the presence of shallow abandoned mine workings. Proc. of the
Conference on Large Ground Movements and structures, UWIST,
Cardiff, Geddes J.D. (ed), Pentech Press: 7980.
Sowers, G.F. 1976. Mechanisms of subsidence due to underground
openings, in Subsidence over mines and caverns, moisture and
frost actions, and classification. Washington, D.C., Transportation
Research Board Record 612, National Academy of Science: 28.
Whittaker, B.N. & Reddish, D.J. 1989. Subsidence-Occurrence,
Prediction and Control, Elsevier: 528 p.
 Analysis of ground stability in the residential region located on the
limestone corrosion zone

K.C. Han, D.S. Chun & D.W. Ryu

Korea Institute of Geoscience and Mineral Resources(KIGAM), Daejeon, Korea

ABSTRACT: The limestone as a bedrock located near the surface is corroded by groundwater and its process forms
underground cavities. Serious ground stability problems such as ground subsidence and building crack, etc., come to the
front in the region where underground cavities are distributed present. For the investigation of the cavity distribution in lime-
stone region, various geophysical investigations such as electroresistivity tomography, electromagnetic prospecting are carried
out. Geotechnical field tests with drilling are also carried out for the evaluation of the ground characteristics. Based upon their
results, numerical modeling is performed for the simulation and prediction of the ground subsidence with the conditions of
cavity geometry and groundwater level. The main factor to cause the ground subsidence is estimated as the draw down of the
groundwater level below soil overburden, which disturbs the mechanical equilibrium of ground and drives washing away the
overburden soil through the cavity and surface subsidence.

1 INTRODUCTION

The dissolution process of limestone on the long-term scale

of time induces the formation of the scattered cavities with
various shape and size. The formation of cavity geometry is
related with the geological structure, the type of overburden
and groundwater. The distribution pattern of the cavities in
limestone region at shallow depth may cause abrupt ground
subsidence.
For the analysis of the ground subsidence, the cavity distri-
bution in limestone region needs to be identified. Geotechnical
field tests with drilling are carried out to investigate the dis-
tribution of the soft ground accordingly, including the rock
mechanical investigation so that we can examine the mechan-
ical characteristics of rock mass needed for examination of
ground subsidence causes and evaluation of ground stability.
The analysis of ground stability was conducted based on
Figure 1. Drilling sites of the investigation region.
the cavity distribution survey and the mechanical property
investigation of rock mass through drilling and geophysical
exploration. The numerical analysis of ground stability was logging data and electro-resistivity tomography were adopted
conducted to predict a future possibility of ground subsidence. to reproduce the local strata. The strata and geological
For this, the FLAC program was used as a continuous model. structure are strongly influenced by the fault fracture zone and
We set the shape and pattern of cavities and linked them they are found to be complicate in structural formation. The
with the drawdown of groundwater level which is regarded sequence of strata include the reclamation layer accumulated
as a major factor in ground subsidence and then analyzed the from the ground surface; followed by the order of weathered
ground subsidence occurrence by each condition. And we also soil, weathered rock, and soft rock. Figure 1 shows drilling
evaluated whether ground subsidence is safe according to the sites of the investigation region. Boring data show that the
cavity pattern and the groundwater conditions. earth and sand, and the weathered soil are located approxi-
mately 515 m in depth and the groundwater level is located
12 m from the surface. The limestone in soft rock and weath-
2 INVESTIGATION OF GROUND CHARACTERISTICS ered rock are the bedrock covered by the earth and sand, and
AND DISTRIBUTION OF LIMESTONE CAVITY the weathered soil. The weathered rock exists under the soft
rock.
Geophysical prospecting and rock mechanical tests with Figure 2 shows the fence diagram of electroresistivity
drilling are carried out to evaluate geological structure pat- tomography including the houses damaged by ground subsi-
tern, ground condition, cavity distribution and weak zone. The dence. The tomography image is relatively well matched with
basic geological formation is limestone and schist before the the boring result. They show that the fault fracture zone is
Mesozoic era with the intrusion of granite and rhyolite later. widely developed ranging from the depth of 40 m in borehole
It is difficult to reproduce the geological structure changed BH-11, 12, 13 to the depth of 10 m in borehole BH-07, 08, 09.
by the location and depth of strata as it is. Therefore boring The small cavities were observed at borehole BH-04, BH-12,

11

2007 Taylor & Francis Group, London, UK

Figure 2. Fence diagram of electroresistivity tomography in the
investigation region.
but their shape and distribution were difficult to be quantified
with the existing drilling. Nonetheless, it is generally accepted
that the cavities exist in the weathered soil as well as the lime-
stone, which means that when the groundwater level is high,
the cavities are filled with clay; whereas the clay in cavities is
washed out as the groundwater level drops, resulting in the for-
mation of cavities. In this paper, it is assumed that the cavities
would be formed as the gorindwater level dorps.
3 NUMERICAL ANALYSIS ON THE GROUND
SUBSIDENCE WITH THE GROUNDWATER
CONDITIONS
3.1 Numerical model and analysis condition
A numerical analysis of ground subsidence is set to analytical
section including a mud-wall hut and a Western-style house
damaged by ground subsidence, and a library which is part
of public facility (Figure 3). The strata used for analysis were
classified into three categories; they are the weathered soil
layer, the soft rock layer, and the weathered rock layer. In the
analytical condition, the initial groundwater level was set to
1 m. As surrounding groundwater was pumped, the ground-
water level was dropped to 11, 16, 26 m. Pumping water
was performed at the southeast or southwest where there
were rice paddies and dry fields. So the groundwater level in
the analytical section was set to a slant (Figure 3(B)(D)).
Figure 3(1)(5) show the position to analyze the vertical
displacements in main buildings. A vertical load was set to
1.2 tonf/m2 for a mud-wall hut and 1.5 tonf/m2 by each floor
for a Western-style house and library, respectively.
Physical properties used for numerical analysis are listed in
Table 1. It is assumed that the strata are fully saturated under
the water table. When the groundwater level is dropped, the
water pressure is removed from the upper stratum of the new
water table. Since water does not move within a short period
of time and the total load does not significantly change, the
saturated unit weight was continuously applied to the stratum
existing under the past water table for the entire numerical
calculation. The saturated unit weight back-calculated for each
stratum can be founded in Table 1. Since the unit weight of
groundwater in general includes clay, 1300 kg/m3 is adopted
for the calculation which is higher than the unit weight of
common water.
12
2007 Taylor & Francis Group, London, UK
Figure 3. Strata distribution and groundwater conditions in the
section.
3.2 Analysis result
This numerical model simulates the cavities observed at
approximately 3 m (BH-04) and 12 m (BH-12) in the depth
as the groundwater drops. The dimension of cavities is lim-
ited to 1 m 1 m and 2 m 2 m based on the observed size of
cavities in drilling data. There are not many cavities observed
in the drilling. But, the result of electroresistivity tomography
suggest that lots of cavities may be scattered locally under
strata and the displacement on the ground surface may be
different from their size and number. This conclusion can be
found from the existing research.
Figure 4 shows the vertical displacement occurred in the
bottom of each building. Figure 4(a) is for the groundwa-
ter level at 11 m. When the groundwater level is formed as
shown in Figure 3(B), small cavities may be formed in the
weathered soil below mud-wall huts. The vertical displace-
ment is converged within about 1.2 mm. Figure 4(b) case sets
the groundwater level to 16m. When the groundwater level
is formed in Figure 3(C), cavities may be additionally formed
in the soft rock below mud-wall huts and in the weathered
soil below Western-style houses. The vertical displacement
is converged within 1.2 mm for mud-wall huts and 0.6 mm
for Western-style houses. Figure 4(c) sets the groundwater
level to 26 m. The vertical displacement in mud-wall huts
and Western-style houses is same as Figure 4(b) case. For a
library, located on the upper part of the weathered soil, the
vertical displacement is converged within 0.18 mm, and no
significant displacement occurs in the other part of the library,
however.
The vertical displacement is related to the depth of cavi-
ties. In case of mud-wall huts, as the groundwater level drops
down to 11 m and 16 m, a cavity is formed at 3 m and
10 m from the surface, respectively. However, comparing
with a cavity formed at 3 m, a cavity formed at 10 m did
scarcely influence the vertical displacement occurred in mud-
wall huts. Even cavities formed at the same depth indicated the
different vertical displacement according to the strata and the
relative groundwater level. That is, when a cavity was formed
at 3 m in all of a mud-wall hut, a Western-style house and a
library, the mud-wall hut that has the lowest groundwater level
and the thick weathered soil indicated the relatively high dis-
placement. This coincides closely with the ground subsidence
occurrence.
 Table 1. Physical properties of each stratum for the numerical analysis.

Dried Saturated Internal

unit unit Youngs friction Tensile
weight weight modulus Poissons angle Cohesion strength
Stratum Porosity (kg/m3 ) (kg/m3 ) (GPa) ratio ( ) (kPa) (kPa)

Weathered soil 0.3 1800 1800 0.01 0.30 24 50 0

Soft rock 0.2 2700 2900 5.62 0.16 30 1850 80
Weathered rock 0.2 2500 2900 1.78 0.20 28 680 60

(a) The groundwater level is set to -11m (b) The groundwater level is set to -16m (c) The groundwater is set to -26m

Figure 4. The vertical displacement of the bottom of buildings by the drawdown of groundwater level.

(a) Cavity size of 2m2m at the depth of -3m (b) Cavity size of 2m2m at the depth of -10m (c) All cavities size of 2m2m
below mud-wall hut below mud-wall hut

Figure 5. The displacement of the bottom of buildings depending on the size and location of cavities.

The numerical analysis is also carried out for the estima-
tion of the influence of cavity size on a change in the vertical
displacement. For this analysis, the groundwater level is set to
26 m. Figure 5(a) shows the vertical displacement of the bot-
tom of buildings for the cavity size (2 m 2 m) approximately
3 m located below mud-wall hut. The maximum vertical dis-
placements at the bottom of mud-wall hut is 6 mm and is 5
times greater than the displacement in case of the cavity size
of 1 m 1 m. But the displacements of the bottom of the other
buildings are not greatly changed.
Figure 5(b) shows the vertical displacements of the bottom
of buildings for cavity size of 2 m 2 m around 10 m in the
depth below a mud-wall hut. The vertical displacements at the
bottom of building are shown in Figure 5(c) for all cavities are
same size of 2 m 2 m. The maximum vertical displacement
in mud-wall hut is observed 1.2 mm as shown in Figure 5(b),
and it differs little from the case of cavity size of 1 m 1 m.
In Figure 5(c), the maximum vertical displacement of mud-
wall hut is 6 mm similar to Figure 5(a). Even though the size
of deep-located cavities grows large, there is no influence on
a change of the vertical displacement. Therefore, the location
and depth of cavities are more important than their size in
ground subsidence.
4 CONCLUSION
Based on the numerical analysis results, we identified as
follows; When there were cavities in the shallow place, the
possibility of ground subsidence was high; especially when
the groundwater level was dropped, the possibility of ground
subsidence increases because new cavities are formed. That is
why groundwater movement along with clay makes new cav-
ities in the limestone rock mass and decreases the effective

13

2007 Taylor & Francis Group, London, UK

vertical stress in the stratum. This process lowers the bear-
ing capacity of underground rock mass and leads to the direct
deformation to the overburden buildings. On the contrary, it
was identified that, when there were cavities in a relatively
deep place, they were influenced less than those in the shallow
place. And a change in the size of cavities in a relatively shal-
low depth influenced the vertical displacement of the ground
much more than a change in the size of deep-located cavities.
The conclusion draws that the exact identification of cavities
distributed around the ground was very important to predict
the ground subsidence.
Park, S.K. et al., 2006, Geophysical prospecting and geotechni-
cal field tests for the Gyochon residential region of Muan city,
Uiwang, Korea rural community and agriculture corporation.
Goodman, R.E., 1989, Introduction to Rock mechanics, 2nd edn.
Chichester, John Wiley.
Guarascio, M., Fabris, M. & Castelli, E., 1999, Numerical model
simulation of the subsidence induced by solution mining, Proc.
Int. FLAC Symposium FLAC and Numerical Modeling in
Geomechanics, Minnesota, Itasca Co.
Hoek, E. and Bray J.W., 1981, Rock slope engineering, London,
The institution of Mining and Metallurgy.

REFERENCES

Park, S.K. et al., 2004, 3th geophysical prospecting and geotechni-

cal field tests for the Sungnam residential region of Muan city,
Uiwang, Korea rural community and agriculture corporation.

14

2007 Taylor & Francis Group, London, UK

 Analysis of tracer migration process in the crack by means of X-ray CT

A. Sato
Graduate School of Science & Technology, Kumamoto University, Kumamoto, Japan

A. Sawada
Japan Atomic Energy Agency, Tokai, Ibaraki, Japan

ABSTRACT: In order to visualize advection and dispersion phenomena in the crack, the tracer migration test has been
conducted and the tracer migration process was visualized by X-ray CT scanner. An additional parameter, coefficient of tracer
density increment was also introduced to analyze the tracer migration tests. From the obtained CT data, the relation between
the advection and dispersion phenomena and crack aperture was discussed. The velocity of tracer tip and the breakthrough
point were also estimated.

1 INTRODUCTION
The advection and dispersion of contaminated materials in a
rock mass are one of the important factors to evaluate the
characteristics of the rock mass as a natural barrier func-
tion for a radioactive waste disposal project. In the case of
crystalline rocks, such as granite, fractures/cracks in the rock
mass become a main path of the migration of contaminated
materials.
In this study, X-ray CT method is applied to evaluate the
advection and dispersion of solute in the crack which exists
in rock mass. In order to visualize advection and dispersion
phenomena, the tracer migration test has been conducted and
tracer migration process is visualized by X-ray CT scanner.
Here, a parameter, coefficient of tracer density increment,
is newly introduced to analyze tracer migration. This is the
parameter that represents the density of the tracer in the crack,
and the evaluation of the density distribution of the tracer
become possible. In this study, the influences of the crack
aperture to the tracer migration process are discussed.
2 EMPLOYED X-RAY CT SCANNER
An X-ray CT scanner (TOSCANER-20000RE), manufac-
tured by the Toshiba Corporation, is utilized in this study. An
X-ray bulb operating at 300 kV/2 mA provides the radiation
source from which an X-ray beam is emitted. 176 detectors
are aligned with the X-ray source in the horizontal plane to
record attenuation data. The object to be scanned is positioned
on a traversing turntable and the X-ray beam is projected
through one plane of the object as it rotates and traverses.
The beam thickness can be determined with collimators and
the thickness is set to be 2 mm in this study. The pixel is a
square of 0.072 mm 0.072 mm, and the volume of a voxel
is 0.0104 mm3 . Please refer to the references for a more
detailed description of the specifications and principles (Sato
et al., 2003).
3 ROCK SAMPLE
A 100 mm 100 mm 100 mm cubic granite sample shown
in Figure 1 is used for the tracer migration test. At first,
Inducedcrack
z
100mm
y
O
100mm
100mm
x
Figure 1. Geometry of a cubic rock sample for tracer migration test.
this cubic rock sample was separated by splitting test. Then
the fractured surfaces are put together and artificial crack is
simulated.
An example of an X-ray CT image of the sample is shown
in Figure 2. This is a single scan image of an X-ray
CT in the xy plane of the rock sample (Figure 1). The white
part in the figure represents a relatively high density region,
while dark areas represent regions of low density. The inside
of the crack is filled with water in this figure. The existence of
the induced crack can be easily visualized as the dark region at
the center of sample. The profiles of the induced crack (major
crack) are clearly visualized and the existence of several small
cracks (sub-cracks) is also confirmed.
Sato et al. (2003) introduced a technique to evaluate the
crack aperture from X-ray CT image data and indicated that
the evaluation of crack aperture is possible less than the size
of the pixel of the X-ray CT images. Here, same technique is
applied to the granite rock sample, and the mean aperture of
the rock sample was evaluated as 0.23 mm. The crack aperture
distribution was also estimated from the profilometer mea-
surements, and it is confirmed that the results obtained from
CT image coincide with the results of profilometer measure-
ments. The detailed results of crack aperture distribution will
be described later.

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2007 Taylor & Francis Group, London, UK

4 TRACER MIGRATION TEST
Initially the crack shown in Figure 2 was completely filled with
water. Then the tracer is injected into the rock sample under
the constant flow rate condition. As shown in Figure 1, rock
sample is installed in which the crack surface is almost parallel
to the vertical direction. Here the tracer was injected from the
lower surface of the cubic sample. Therefore, injected tracer
migrates upword in the crack and the water which initially fills
the crack is replaced by the injected tracer. Here the flow rate
is set to be 1.35 ml/h. This is the rate that the space inside of
the crack is replaced with the tracer in two hours. This tracer
migration process is visualized by X-ray CT system. Here
five horizontal planes at z = 19 mm, 34 mm, 49 mm, 64 mm
and 79 mm are set to be tomography regions.
As is well known X-ray CT is the system to visualize the
density distribution. In order to visualize tracer migration
process by X-ray CT system, it is necessary to give enough
Figure 2. Single scan X-ray CT image of cubic rock sample.
Figure 3. Single scan image during tracer migration test. Crack part becomes brighter since the high density tracer migrates into the crack.
Figure 4. X-ray CT images after image subtraction. Only the information in the crack can be extracted.
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2007 Taylor & Francis Group, London, UK
density increment by the tracer. In this study, the mixture of
Potassium Iodide (KI) solution and a medical contrast agent
is applied as a tracer. The tracer has relatively higher density
(1,254 kg/m3 ), and Fukahori et al. (2006) have proved that it
is suitable for visualizing water flow in rock by X-ray CT.
5 RESULTS
Single scan images at z = 19 mm during the test are shown
in Figure 3. These are the images of 25, 39 and 128 minutes
after the commencement of tracer migration test. By focusing
on the region circled by the dotted line in Figure 3, it is found
that the crack part in the image becomes brighter gradually
with the passage of time. This change means that the CT value
in the crack increased. This represents that the nominal density
of the part increases due to the migration of the higher density
tracer, and it can be shown that the visualization of the tracer
migration by the X-ray CT scanner is possible.
X-ray CT is a useful technique to visualize inside of the
material without destruction. However, the images in Figure
3 contain not only the information of CT value increment due
to the tracer migration but also the information of rock matrix
part. Sato et al. (2003) and Sato et al. (2006) introduced that
the image subtraction technique is effective to eliminate the
information of the matrix part in the CT images. Here, the
same technique is applied to the obtained CT images. Before
the commencement of the tracer migration test, X-ray CT
images are taken under the condition that the crack is filled
with water. The image subtraction was conducted between this
initial image before the commencement of the tracer tests and
other image at each time. The results are shown in Figure 4. By
applying this technique, it becomes possible to clearly obtain
only the increment of density in the crack due to the tracer
migration as the increment of CT values (region in the dotted
line in the Figure 4).
In order to confirm the distribution of CT value increment,
CT value projection in the x-axis direction (approximately
perpendicular to the crack surface) of the images in Figure 4
has been conducted. The result is shown in Figure 5. Generally
the increment of CT value increases gradually with the passage
of time. This distribution represents the total amount of the
migrated tracer which exists in the crack on an image, and the
value is strongly related to the crack aperture. This point will
be discussed in the next section.
6 COEFFICENT OF TRACER DENSITY INCREMENT
As stated before, the CT value increment due to the tracer
migration represents the total amount of the migrated tracer
into the crack. Therefore, the value also tends to become larger
at where the crack aperture is larger, and it is necessary to
obtain a new parameter which can describe the density dis-
tribution of the tracer exists in the crack. Sato et al. (2006)
introduced the image projection technique in the process of
crack aperture evaluation. Here, same idea is applied to the CT
Figure 5. Distribution of CT value increment along y-axis.
Figure 6. Distribution of coefficient of tracer density increment together with the X-ray CT image and the valuated crack aperture
distribution.
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2007 Taylor & Francis Group, London, UK
images after image subtraction. Firstly, tomography under the
two different conditions are conducted. One is the case that the
crack is filled with air, and another is the case that the crack is
filled with water. By conducting image subtraction between
the conditions, the increment of CT values Cw when the
crack is filled with air and water respectively is obtained. The
projection of the image in the x-axis direction and the crack
aperture are denoted by Pw and w respectively, the relation
between Cw and Pw is given by
The CT value increment after the commencement of tracer
migration test and its projection are denoted by Cl and Pl
respectively, the two quantities also have a following relation.
Here, the ratio between Pw and Pl is newly defined as a
coefficient of tracer density increment in this study, and
given by
As equation (3) shows, the crack aperture w is eliminated
in the quantity , and it becomes the parameter related to
the density of the tracer. Moreover, Cw is the value which
corresponds to the density of water since the density of air is
negligible, and represents the ratio of the density of tracer
towards the density of water.
7 ANALYSIS OF DENSITY DISTRIBUTION
The result of distribution of is shown in Figure 6 together
with the CT image (Figure 6 (a)) and the result of crack
aperture distribution (Figure 6 (b)). This is also the result
at z = 19 mm. As Figure 6 (c) shows, generally the value
of gradually increases due to the tracer migration. How-
ever, the distribution of is not uniform within crack, even
though the tracer is injected uniformly. It represents that the
flow in the crack is very complex even in the case the flow rate
is very low. Moreover, there is a tendency that the increases
faster where the crack aperture is smaller. That is, the tracer
Figure 7. Relation between mean and time.
Figure 8. Relation between the arrival time and distance.
easily migrates into the small space, and there is a possibility
that stagnation of flow occurs at the region which has large
aperture.
The variation of the mean with the elapsed time is shown
in Figure 7. The mean is obtained as a mean value of along
y-axis direction at each measurement time. From this figure,
the arrival time when the tracer firstly arrived at tomography
region can be estimated. In the case of Figure 7, the arrival
time is approximately 23 minutes after the commencement of
the tracer migration test. In this study, the tracer was uniformly
injected into the rock sample at constant flow rate, however,
there is a time difference between the arrival time and the time
until the value of is saturated. This time difference represents
the fact that the flow in the crack is complex and there are some
regions where it takes longer time for the tracer to migrate. The
breakthrough time when reaches 50% of maximum value
can be also estimated. The relation between arrival time and
the distance from the entrance is shown in Figure 8, and the
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2007 Taylor & Francis Group, London, UK
Figure 9. Relation between the breakthrough time and distance.
relation between the breakthrough time and the distance is
shown in Figure 9. From these figures, velocity of the tip of
tracer and the breakthrough point are estimated as 52.5 mm/h
and 32.5 mm/h, respectively.
8 CONCLUSIONS
The advection and dispersion phenomena in the crack were
visualized by X-ray CT method through the tracer migra-
tion test. In order to discuss the tracer migration process, a
new parameter, coefficient of tracer density increment was
introduced, and the influence of the crack aperture to the tracer
flow and the process of the replacement were discussed. In the
conducted tracer test, the tracer easily migrated into the region
where the crack aperture is relatively smaller, and there is a
possibility that stagnation of flow occurs at the region which
has large aperture. From the variation of? with time, the
difference between the velocity at tracer tip and breakthrough
point was estimated.
REFERENCES
Fukahori, D., Sato, A. & Sugawara, K., 2006. Development of a new
X-ray CT permeation test system and application to porous rocks,
Proceedings of 2006 GeoCongress, Sensing Methods and Devices,
Application of X-ray Computed Tomography.
Sato, A., Fukahori, D., Takebe, A., Sawada, A. & Sugawara, K. 2006.
Analysis of Open Crack in Rock by X-ray CT, Proceedings of
2006 GeoCongress, Sensing Methods and Devices, Application
of X-ray Computed Tomography.
Sato, A., Fukabori, D. & Sugawara,K., 2003. Crack opening anal-
ysis by the X-ray CT image subtraction method, X-ray CT for
Geomaterials Soilds, Concrete and Rocks-, 247253.
 An investigation on long-term stability and integrity of surrounding rocks in
Longyou caverns caved 2000 years ago

Yue Zhong qi
Civil Engineering Department, The University of Hong Kong, Hong Kong, P.R. China

Li Lihui & Yang Zhifa

Key Laboratory of Engineering Geomechanics, Institute of Geology and Geophysics,
Chinese Academy of Sciences, Beijing, P.R. China

Lu Min, Xu JianHong & Zheng Jian

Longyou Culture & Tourism Administration, Longyou, Zhejiang Province, P.R. China

ABSTRACT: This paper briefly presents the findings of the field and laboratory investigations on the long-term stability
and integrity of 24 Longyou rock caverns. The Longyou rock caverns were caved more than 2000 years ago. They are large
spanned and near ground rock caverns. The investigations have led to the discovery that the full water occupation of the ten
individual pelitic siltstone caverns is the natural factor that has made them stable and integrate for more than 2000 years. This
discovery is believed of general interest and significance in rock mechanics and rock engineering.

1 INTRODUCTION

In June 1992, a large man-caved rock cavern (Figure 1) was

unearthed by four local farmers after they pumped water out
of a small pool (Figure 2) in their village near the town of
Longyou in middle Zhejiang Province of eastern China (Fig-
ure 3). They were excited, continued to pump water out of
four adjacent small pools and, once again unearthed another
four individual large man-caved rock caverns. Subsequently,
many people including archaeologists, historians, social scien-
tists, geo-scientists, and geotechnical engineers have carried
out many detailed investigations on the caverns (Wang, 2000,
Sun et al. 2001, Li & Tanimoto, 2002, Yang et al. 2006).
The five large caverns were formed with manual caving in
pelitic siltstone of the Cretaceous age. Their spans are between
18 and 34 m and heights between 10 and 20 m. The roofs are
declined following the bedding planes so that the thickness Figure 2. Small and vertical entrance of a complete stable and inte-
grate rock cavern fully filled with water (photo taken in 2003, this
entrance is similar to that unearthed in 1992).

Figure 1. Internal space of a complete stable and integrate rock

cavern after water pumped out in 1992 (photo taken in 2003, five Figure 3. Location of plan of Longyou rock caverns in Zhe Jiang
persons are in the middle and left side of the photo). Province, eastern China.

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2007 Taylor & Francis Group, London, UK


Figure 4. Clear cave imprints on the internal wall surface of a
complete stable and integrate rock cavern after water pumped out
in 1992 (photo taken in 2003).
from the roofs to the roughly flat ground surface varies from
0.6 to 20 m. Each of the five original small pools was actu-
ally the vertical entrance of one of the five rock caverns.
The ground surface has a thin mantle of residual soil due to
decomposition of the bedrock pelitic siltstone.
The roofs, sidewalls and pillars are made of in-situ pelitic
siltstone. Their rock surfaces of regular cave imprints were
completely fine and looked as their original conditions when
they were unearthed (Figure 4). Findings of historical relics
inside the caverns have shown that the caverns were caved at
least 2000 years ago.
2 QUESTIONS TO BE ADDRESSED
Up to now, there are many questions to be answered and
unknowns to be revealed. Some of the questions and unknowns
are (a) who caved them, (b) why did they cave them, (c) when
were they cave them, and (d) how did they cave them.
The caverns were caved manually, demonstrating the pelitic
siltstone is neither hard nor soft. Furthermore, the five caverns
are large spanned and near ground surface rock caverns. They
have been fine and stable for more than 2000 years. Literature
review of the relevant open publications has shown that for
such more than 2000 years old, man-caved, large spanned,
near ground surface and medium-hard rock caverns, there are
few experience and examples around the world that can be
used as reference (Sun et al. 2001).
Since the long-term stability and serviceability of large rock
caverns are always essential to modern rock mechanics and
rock engineering, the following questions must be addressed:
(a) Did the ancient men have plans and methodologies to
design and construct the caverns stable and integrate for
more than 2000 years?
(b) If not, why have the caverns been stable and integrate for
so many years?
3 INVESTIGATIONS AND RESULTS
With the questions in mind, we have carried out many detailed
field investigations, laboratory testing, numerical modeling
and theoretical analyses. Summaries of the relevant factual
data that have been found are briefly given below.
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2007 Taylor & Francis Group, London, UK
3.1 Regional geological and geographical conditions
Longyou county locates in the basin of the Qu River and has
a little tectonic movements and seismic activities. The man-
caved rock caverns located in small hilly terrains with height
differences less than 30 m and slope angles between 10 and
15 on the Qu River. The rocks are the Quxian Formation of
the Upper Cretaceous. They are mainly siltstone of more than
100 meter thick. The stratum are regular and their beddings
have a dip direction 45 and a dip angle 22 . The rocks are
intact and blocky and have little faults and fractures.
The region has a sub-tropic periodic wind climate. The pre-
cipitation is about 1542 to 1763 mm annually and distributes
non-uniformly over a year. The rainwater is the only source of
the groundwater.
3.2 Rock and water properties
The unit weight, the modulus of elasticity, Poissons ratio, and
the uniaxial compressive strength (UCS) of the pelitic siltstone
are found to have the values of 22 kN/m3, 4.5 GPa, 0.266
and 31.6 MPa at the dry condition and, 23 kN/m3, 3.0 GPa,
0.269 and 18.13 MPa at the saturated condition, respectively.
Therefore the surrounding rock is a soft rock with medium-
low density. The value of the UCS at the saturated condition
is about 57.36% of that at the dry condition, showing that
the rock strength can be significantly reduced after they are
immersed in water. Besides, test results show that the pelitic
siltstone has medium cementation and its main cements are
argillaceous, calcareous and iron. It is a rock with high dura-
bility. Its durability can be reduced with alternation of wetting
and drying.
Further tests on water specimens have found that the
groundwater has the mineralization degree less than 1 gram/
liter, which belongs fresh water. The water in the river and
from seepage in the caverns has the PH values between 5.29
to 6.31, which shows a weak acidity.
3.3 Characteristics of the rock caverns
Including the five unearthed integrate caverns in 1992, there
are 24 individual caverns in the field. They were formed with
similar manual caving methods in the pelitic siltstone. Another
five large caverns still fully contain water (Figure 2) and are
stable and integrate.
The other 14 caverns were failed partly or completely. The
failure modes include (a) collapse of the cavern entrance,
(b) lamellate and wedge falling of the roof, and (c) block slide
of the sidewall (Figure 5).
The 10 caverns that fully contain water up to their entrances
have their roofs, sidewalls and pillars stable and in integrate
state (Figure 2). The other 14 caverns that either partially con-
tain water or have no water have their roofs, sidewalls or pillars
partly or completely collapsed (Figure 5) and that their cav-
ing imprints have been partially or completely erased due to
weathering (Figure 6).
The 10 caverns fully containing water have vertical
entrances (Figure 3) while the other 14 caverns partially con-
taining water or without water have horizontal or inclined
entrances (Figure 5).
There are surface drainage channels and water traps well
designed and caved in the five unearthed integrate caverns in
1992 and in other collapsed caverns (Figure 1). Minor seep-
age and wetting are present on the internal surfaces of the five
unearthed integrate caverns in 1992 (Figure 7) and in other
 Figure 7. Seepage and new calcareous sinter from new cracks on the
Figure 5. A typical case of collapsed Longyou rock cavern with internal wall surface of a complete stable and integrate rock cavern
water table below its roof (photo taken in 2003). after water pumped out in 1992 (photo taken in 2003).

Figure 8. Typical cross-section and mechanism of the complete

Figure 6. Almost completed weathered caving imprints on the wall stable and integrate Longyou rock caverns.
surface of the collapsed Longyou rock cavern in Figure 5. (photo
taken in 2003).

partly collapsed caverns. This phenomenon is particularly

visible in wetting seasons.
Furthermore, fractures on the internal surfaces of the five
integrate caverns whose water was pumped out in 1992
were monitored for three years. Fresh fractures and recent
calcareous sinters from cracks were observed on these inter-
nal surfaces (Figure 7). Some fractures had extended and
propagated over the monitoring period.

4 ANSWERS TO THE QUESTIONS

Figure 8 shows a typical cross-section of the complete stable

and integrate Longyou rock caverns. It shows that the cavern
entrance is vertical and small. The rock cavern space is fully
occupied with water. The water in the cavern has two main
functions.
At the first, the water functions as a completely flexible sup-
port material to the surrounding rocks of the cavern including
the inclined roof, the near vertical walls and the base. Since
the unit weight of the water is about 43.5% to 44.5% of the
unit weight of the pelitic siltstone, the full water occupation of
the excavated space in the rock largely reduce the stress level
and deformation of the surrounding rocks.
Secondly, The water offers a sealed and static environment
to significantly reduce the extent and degree of the physical
Figure 9. Typical cross-section and mechanism of the completely
or partially collapsed Longyou rock cavern.
and chemical weathering on the internal surfaces of the rock
caverns.
Figure 9 shows a typical cross-section of the already col-
lapsed Longyou rock caverns. It shows that since the cavern
entrance is horizontal, the rock cavern space cannot be fully
occupied with water. Water would flow out of the cavern.
Therefore, the roof and pillars of the rock cavern space are
subjected to the full loading of the gravity force of the over-
lying rocks and the caved surfaces of the rock caverns are

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2007 Taylor & Francis Group, London, UK

completely exposed to the physical and chemical weather-
ing. Consequently, these rock caverns are subject to distresses,
cracking, weathering and collapses.
On the basis of the above phenomena and further theoretical
analysis, we have found the answers to the two questions in
Section 2 as follows.
(A) The ancient men did not have plans and methodologies to
design and construct the caverns so that they have been
fine and stable for more than 2000 years because there
are 24 caverns with at least two different geometrical
design schemes. The caverns with the design scheme as
shown in Figure 8 have been stable and integrate rock
while the other caverns with the design scheme as shown
in Figure 9 have been experienced partly or completely
failures.
(B) The reason for the 10 rock caverns having been stable and
integrate for more than 2000 years is mainly due to the
fact that their internal spaces have been fully occupied
with water.
Of course, the stable geological and geographical setting of
the region, the fresh and clean rainwater and groundwater, the
limited human interaction, and the unknown to human beings
are the basic conditions for the 10 rock caverns having been
stable and integrate for more than 2000 years.
5 THE IMPORTANT DISCOVERY
Based on the above findings and discussions, it is argued that
the full water occupation of the 10 pelitic siltstone caverns is
the natural factor that has made them stable and integrate for
more than 2000 years.
It is believed that this conclusion is a discovery of general
interests and significance in science and technology. This dis-
covery in Longyou rock caverns enable us to propose a theory
that a large rock cavern fully filled with stable water can be
stable and integrate for thousand years.
6 CONCLUDING REMARKS
Human history has demonstrated that underground spaces
and caverns have always had very important values and func-
tions in politics, militaries, economics and societies. Human
beings have always been urgently requiring a large amount of
underground spaces. Up to now, the sciences and technolo-
gies for construction and utilization of underground spaces
have been thoroughly and rapidly developed. Rock mechan-
ics and engineering geology are the scientific fundamentals
for the design and construction of modern underground spaces
and caverns. They have been well developed in recent 50 years
since the establishment of ISRM. There are many publications
and literatures documenting the state-of-the-arts of modern
rock mechanics for cavern engineering.These documentations
include many modern theories, methods and technologies and
they are the important basis and tools for further investigating
large cavern engineer projects.
When human beings are economically and reasonably uti-
lizing more and more and larger and larger rock caverns, we
are facing one of the most challenging and difficult questions.
This question is the prediction and assurance on the long-term
stability and integrity of the rocks surrounding the caverns
after hundreds and even thousand years. For instance, some
countries have adopted the strategy to permanently dispose the
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2007 Taylor & Francis Group, London, UK
heat-emitting highly radioactive wastes in deep rock forma-
tions. The safe containment for the waste for periods in excess
of ten thousand years is the focus of the concerns of many
people, because during which time, some of the stored waste
may be leaked into groundwater, could substantially affect
environment, and would become harmful to human health.
It is definitely difficult to find the right answers in the many
success cases and research findings of modern rock mechan-
ics and cavern engineering. One of the main difficulties is due
to the fact that the modern rock mechanics and carven engi-
neering are younger than 100 years. No large rock caverns that
were designed and constructed in accordance to the modern
rock mechanics and rock engineering have experienced and
functioned for more than 100 years.
This important question may be resolved from the inves-
tigation of old, large and man-caved rock caverns with the
methodologies of modern rock mechanics and engineering
geology. At least, such investigation can enlighten us and give
clues to us so that we can find the right answers to the predic-
tion and assurance of the long-term stability and integrity of
modern rock caverns for hundreds and thousands years.
As discussed above, the Longyou rock caverns have offered
us an extremely prestigious and very rear case history and a
golden opportunity for extending our knowledge and expe-
rience on rock mechanics and prolonging our design time
limits from less than 100 years to more than 2000 years in
the stability and integrity of rock caverns. Particularly, the
discovery on the functions of full water occupation in large
rock caverns presented in this paper above can give an innova-
tive design and construction approach to protect the unearthed
five rock caverns for thousand years while they are being used
as a historical relic for education and tourists. Furthermore,
the discovery can be used in the design and construction of
underground spaces for water sealed oil storage tanks and
permanent storage of nuclear waste disposts, and control
and mitigation of geological and geo-environmental hazards.
These hazards include karst collapse, land subsidence due to
excessive groundwater withdraw and land subsidence due to
abandoned mines.
ACKNOWLEDGEMENTS
The authors would like to thank financial supports from from
the Chinese National Fund of Natural Sciences (Project No.
42272122), and the Research Grants Council of Hong Kong
SAR Government. One of the authors Ms. L.H. Li would
also like to thank The University of Hong Kong for research
assistantship.
REFERENCES
Li, L. & Tanimoto, C. 2002. The investigation of the geologic envi-
ronment and diseases of Longyou Grottoes, Dun Huang Research,
No. 4: 9296.
Sun, J., Lin, J.M., Jia, G. & Zhan, Y.P. 2001. Chinas Longyou grot-
toes, Zhejiang Province, News Journal, International Society for
Rock Mechanics, 6(3): 4446.
Wang, S.J. 2000. The wonderful article excelling nature, Longyou
Grottoes (keynote), Rock Mechanics and Engineering Trends,
No.53: 89.
Yang, L.D., Yang, Z.F. & Lu, M. 2006. Proceedings of the interna-
tional symposium on Protection of Longyou Grottoes in China,
Culture Relics Publishing House.
 Development of a numerical system for prediction calculation of underground
climate in relation to design of passive cooling of used nuclear fuel by
natural ventilation

Y. Mizuta
Department of Civil Engineering, Sojo University, Ikeda, Kumamoto, Japan

Q. Chen
R&D Section, 3D Geoscience, Inc., Higashikiwa, Ube, Japan

T. Koga
Civil Engineering Research Laboratory, Central Research Institute of Electric Power Industry, Abiko, Japan

ABSTRACT: The authors developed a computer program for predictive calculation of transient underground climate. They
made an underground network model in which heat sources are placed in the drifts. The heat sources represent the casks in
which the used nuclear fuel sticks are put. They approximated a field data set of seasonal cyclic changes of air temperature
and humidity at the inlets to the sine curves. Then, they adopted those as the input data. In this paper, numerical calculation of
the variations of flow rate, temperature and humidity distributions in the underground network model with time lapsed since
natural ventilation started, were carried out.

1 INTRODUCTION underground network and the quantities of heat sources in the

In order to design an underground airway network, predictive
calculation system in which heat transfer to air flow from
rock around the airways and heat sources put in some airways,
should be taken into consideration.
In addition to that, underground climate relatively near the
surface is influenced by seasonal cyclic change of surface
climate. Hence, previous understanding of variation of under-
ground climate with time passage, i. e. variation of flow rate,
temperature and humidity of air flow in each airway, taking
both the factors mentioned above into account is, needed.
Such a calculation system can be available for evaluation
of effective cooling of used nuclear fuel put in underground
depository and, passive cooling by natural ventilation, not
active cooling by compulsory ventilation, is desired for design
of safety and economical construction of the underground
facilities.
The authors developed a computer program for predictive
calculation of transient distribution of underground climate.
They made an underground network model in which no fan
is installed and some heat sources are placed along the drifts.
They assumed a data set of seasonal cyclic changes of air
temperature and humidity at the inlets and adopted those as
the input data.
It is to contribute to applicability evaluation of passive cool-
ing of used nuclear fuel put in the underground depository by
natural ventilation.
In this paper, numerical calculation of the variations of
flow rate, temperature and humidity distributions in the
underground network model with time lapsed after natural
ventilation start, was carried out.
The airway characteristics, thermal constants of rock around
airways and lining over airway wall, the original temperatures
of rock around airways, the altitude of the junctions of the
drifts, were put into the calculation system as the input data.
The following values were calculated simultaneously for
each small time increment:
natural ventilation pressure (along each mesh)
rate of flow (in weight/volume), dry bulb and wet bulb tem-
perature, specific and relative humidity, average specific
weight of air, and average airway wall temperature (in each
airway)
temperature, humidity and average specific weight of air
(at each junction).
2 NUMERICAL SYSTEM FOR PREDICTION
CALCULATION
2.1 Outline of construction of the system
A numerical system for predicting quasi-steady underground
climate has been developed (Amano, Mizuta and Hiramatsu,
1982). It has been named VENTCLIM (Mizuta and Vutukuri,
1990) and used for ventilation design of underground mining
(Sakai, Shibata, Takemura and Mizuta, 1993). The computing
code, VENTCLIM is applicable to any underground network
and gives distribution of rate of flow, temperature and humid-
ity over the underground network, simultaneously. However,
in the system, no cyclic change with time is assumed. Fur-
thermore, it is assumed that heat delivery between airflow and
rock around airway monotonously decrease with time passage
after airway excavation. That is to say, underground climate
given from VENTCLIM is not affected by surface climate and
so, it does not vary hourly.
The other numerical system for predicting transient under-
ground climate has been developed (Amano and Mizuta,
1987) and it has been named TRANCLIM (Mizuta and

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2007 Taylor & Francis Group, London, UK


Figure 1. The variations of air temperature and specific humidity
at the inlet, used as input data of the numerical calculation.
Vutukuri, 1990). However, TRANCLIM is only applicable to
one circuit model and no change of flow rate with time is
assumed. More recently, it has been re-mdae that flow rate
change with change of natural ventilation pressure which is
determined by distribution of air temperature and humidity
along the circuit (Mizuta, Hirata and Koga, 2005). But, it is
still not applicable to network model. Therefore, a subroutine
of the finite difference modeling in TRANCLIM, which is
named calculation of temperature distribution in rock and
gives hourly varying heat delivery between airflow and rock
around airway was incorporated into VENTCLIM. The other
two subroutines in TRANCLIM those are calculation of vary-
ing hourly surface climate and calculation of airway wall
temperature were also incorporated into VENTCLIM.
Furthermore, as air ventilation in network is generated
by natural ventilation pressure distribution even if no fan
is installed, initial setting up of natural ventilation pressure
along each mesh was added to VENTCLIM.
2.2 Creation of seasonal cyclic change of climate at inlet
In 1983FY, surface climate was measured through a year
form April 1st at both the entrances of Abo tunnel which is
along No.158 national road. As daily cyclic change of surface
climate has high frequency, influence of it on underground cli-
mate is negligible and so, the average temperature and specific
humidity of each day were adopted as the data. Those are as
plotted by small circles in Fig. 1. The variation of temperature
measured was approximated by a sine curve and the variation
of specific humidity measured was approximated by two sine
curves. The solid curves in Figure 1 are the variations repre-
sented by the trigonometrical functions written in the figure.
2.3 Calculation of temperature distribution in rock
It is assumed in calculation system that every airway is cir-
cular tunnel in homogeneous and infinite solid medium. The
24
2007 Taylor & Francis Group, London, UK
Figure 2. Division of the rock around airway into the elements for
Finite Difference Analysis.
medium around airway is divided into the ring elements by
concentric circles as shown in Fig. 2. Let each center of the
element divided be temperature point j and let those tempera-
ture at temperature point (j = 2, 3, . . ., e) be 2 , 3 , . . . , e . Note
that the temperature point j = 1 corresponds to airway wall and
so, 1 = w where w is average wall temperature. The point
j = e must be far enough from airway wall, that is, e is always
equal to the original rock temperature 0 . Distance of the point
becomes greater, temperature gradient at the point becomes
smaller. Hence, as shown in the figure, the interval of division
was varied as it becomes larger with increase of the distance
from the airway in order to do effective computation.
The differential equation of heat conduction in solid is given
as follows:
a in the equation is thermal diffusivity (m2 /s) and is given by
g /cg g , where g is thermal conductivity (J/msK) of solid,
cg is specific heat (J/kgK) of solid and g is density (kg/m3 )
of solid.
If j becomes j after time passage t, the following expres-
sion is given through differential representation of Equation 1:
where
in the above expression, x = x1 , in the region I, x = x2
in the region II and x = x3 in the region III.
For heat conduction in the element (j = 2) which contact
with airflow, however, x = x1 /2 between point 1 and 2
and x = x1 between points 2 and 3, and the following
expression is given in the interval j = 2.
where
Note that time increment t is should be limited by the
following stability condition.
2.4 Calculation of average wall temperature 21

In case that airway wall is totally wet, as the heat transferred (23) (22)
from rock t0 airflow is approximately equal to the heat trans- Inlet Outlet
mitted from point 2 (j = 2) to the airway wall (j = 1) through 1 17

the plane at the center between those points, wall temperature (1) (16)

ww is given from the following equation: 2 16

(2) (15)
3 15
No. of airway
(3) (14)
4 14
(4) (13)
No. of Junction
where cp is specific heat of air under constant pressure, w is 5
(17) (18) 13
thermal conductivity of water, f (ww ) is specific humidity at (5) 18
(12)
wall temperature ww . 6 (19) (20) (21)
12
The relationship between heat transfer coefficient (J/m2 sK) (6)
19 20
(11)
and velocity of airflow(m/s) is assumed as follows:
7 11
(7) 8 (8) 9 (9) 10 (10)

Figure 3. The underground ventilation network used for the calcu-

lation (Vutukuri Model).
The value of ww to satisfy Equation (7) can be given
by reiteration calculation by using the following relationship
between ww and pww (saturated vapor pressure at ww ):

Specific humidity f (ww ) can be given by the following

formula:

In case that airway wall is totally dry, wall temperature wd

can be given by the following expression:
Figure 4. The variations of average temperature of airflow in the
five airways.

where h = a/g
Average airway wall temperature w is given by the follow-
ing formula:
where is wetness factor which represents the ratio of the wet
area to total area on the airway wall.
3 NETWORK MODEL AND PRIMARY INPUT DATA
Underground network model used for predictive numeri-
cal calculation is the same as Vutukuri Model (Mizuta and
Vutukuri, 1990) but the fan installed in Vutukuri Model is
removed. The network consisting of 3 mesh, 23 branch (air-
way) and 21 junction as shown in Fig. 3. As shown in the
figure, one of the junctions, No.21 is in the sky. Airway char-
acteristics, distribution of original temperature of rock, the
altitude of each junction, etc. are the same as Vutukuri Model.
In the model shown in Fig. 3 the heat sources of Q = 100 (kJ/s)
are installed in every drift.
4 CALCULATED RESULTS
The following parameters for the underground network model
mentioned above were calculated every time increment
through a year by using the predictive numerical system
developed by the authors:
ventilation pressure (Pa) and rate of flow (kg/s or m3 /s) for
each mesh,
dry bulb and wet bulb temperature ( C), the values related
to humidity of air, average specific weight of air for each
airway,
temperature ( C) and specific humidity (kg/kg) of air and
average specific weight of air for each junction,
airway wall temperatures ww and wd (in cases that air-
way wall is totally wet and totally dry) and average wall
temperature w (for each airway).
The calculated results for a year after ventilation start are
shown in Figs. 46. The Figs. 4 and 5 show the variation of
temperature and humidity of air in the airways, No. 4, 8, 13,
17, 20 with time passage, and Fig. 6 shows variation of rate
of flow in those five airways.
It can be seen from the calculated results that distributions
of flow rate, temperature and humidity varies being affected
by the seasonal cyclic change of surface climate.

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2007 Taylor & Francis Group, London, UK

 5 CONCLUSION

The authors developed a numerical system for predictive

Figure 5. The variations of average specific humidity of airflow in
the five airways.
calculation of hourly varying underground climate taking sea-
sonal cyclic change of surface climate into consideration.
Then, they carried out calculation to know the variation of
underground climate through a year by using the system and a
network model, and by assuming the parameters such as sur-
face climate, heat sources put in the network, etc. under the
condition that no fan is installed.
The system is to contribute to design underground facilities
for passive cooling of used nuclear fuel by natural ventilation
and the calculated results may suggest sufficient feasibility
of underground cooling of used nuclear fuel only by natural
ventilation.

REFERENCES

Amano, k., Mizuta, Y. & Hiramatsu, Y. 1982. Method of predicting

underground climate, Int. J. Rock Mech.Min. Sci.& Geomech.
Abstr. Vol.19:3138
Amano, k. & Mizuta, Y. 1987. Prediction calculation of climate in
road tunnel, Jour. Geo. Engineering (Japan). No.367/II-8:219228
Sakai, S., Shibata, K., Takemura, S. & Mizuta, Y. 1993. Effective
expansion of ventilation network for development of the new
deposit in very hot area, Shigen-to-Sozai(Japan). Vol.109:915
Mizuta, Y. & Vutukui, V.S. 1990. Computer Programs for Predicting
Ventilation and Climatic Conditions in Mines and Tunnels, Private
Book
Mizuta, Y., Hirata, A. & Koga, T. 2005. Preliminary numerical mod-
eling on design of underground facilities for passive pre-cooling of
Figure 6. The variation of volumetric rate of flow in the five used nuclear fuel by natural ventilation, Int. J. JCRM, Vol.1:.1923
airways.

26

2007 Taylor & Francis Group, London, UK

 Die Rohrvortriebe fr den Regenberlaufkanal Neckarhafen
Pipe jacking for the project Regenberlaufkanal Neckarhafen

C. Erichsen
WBI - Prof. Dr.-Ing. W. Wittke Beratende Ingenieure fr Grundbau und Felsbau GmbH

A. Gekeler & C.-D. Hauck

Landeshauptstadt Stuttgart, Tiefbauamt

ZUSAMMENFASSUNG: Die Stadtentwsserung Stuttgart plant im Bereich des Hafens eine Neuordnung der Entwsserung.
Danach ist fr das Gebiet mit einer Gesamtflche von ca. 51,5 ha zuknftig eine Entwsserung im modifizierten Mischsystem
vorgesehen. Mit der Umstellung des Entwsserungsverfahrens soll gleichzeitig die Regenwasserbehandlung fr das zugehrige
Einzugsgebiet sichergestellt werden.
Im Herbst 2006 soll die Realisierung mit dem Regenberlaufkanal Neckarhafen beginnen. Dieser umfasst die insgesamt etwa
810 m langen, tiefliegenden Kanle unter den Hafenbecken 1 und 2 sowie unter dem Mittel- und Ostkai und die zugehrigen
Schachtbauwerke mit oberflchennahen Anschlusskanlen.
Die Rohrvortriebe kommen berwiegend im wasserfhrenden ausgelaugten Gipskeuper zu liegen, wobei zwei Kanalstrecken
mit geringen berdeckungen von ca. 2,55 m unter den Hafenbecken 1 und 2 verlaufen. Die bis zu 18 m tiefen Schachtbaugruben
sollen in den aus Auffllungen und Neckarkiesen bestehenden, stark wasserfhrenden Deckschichten und im ausgelaugten und
unausgelaugten Gipskeuper hergestellt werden.
Aufgrund der vorherrschenden Randbedingungen und Untergrundverhltnisse ergeben sich besondere Anforderungen an
die Vortriebstechnik. Das gewhlte Vortriebsverfahren muss die Standsicherheit der Ortsbrust gewhrleisten, und bei den
Vorpressungen unter den Hafenbecken mssen Wasser- und Schlammeinbrche ausgeschlossen werden. Die Auswahl der
Lsewerkzeuge und Frdertechniken muss so erfolgen, dass die kleinrumig wechselnden Gebirgseigenschaften beherrscht
werden. In einem ffentlichen Teilnahmewettbewerb sollen geeignete Bieter ausgewhlt werden, die nachfolgend im Rahmen
einer beschrnkten Ausschreibung die Aufforderung zur Abgabe eines Angebotes erhalten.
Der Baubeginn ist im Herbst 2006 vorgesehen. Die Bauzeit wird mit bis zu 18 Monaten veranschlagt:

ABSTRACT: The water authority of the City of Stuttgart is planning a new concept of dewatering for an approximately 51.5 ha
area of the harbor. The conversion of the dewatering system will also ensure the treatment of rainwater.
The structure consists of deep sewers with a total length of approx. 810 m, which are located underneath the port basins 1
and 2 and underneath the middle and the east quay. Furthermore, corresponding shafts and connecting pipes near the surface
have to be constructed.
Pipe jacking is to be carried out mainly in the water bearing leached Gypsum Keuper. Two sewers are located underneath the
port basins 1 and 2. The distance between the pipes and the ground of the port basins amounts to 2.5 to 5.0 m. The shafts with a
maximum depth of 18 m are to be excavated in water bearing deposits of the river Neckar as well as in leached and unleached
Gypsum Keuper. Due to the difficult ground conditions high demands arise for the pipe jacking technique. The stability of the
working face has to be ensured and leakage of water and mud must be excluded. The tools for excavation and the conveyor
techniques have to be adapted to frequently changing ground conditions. A public competition has been carried out. Suitable
bidders have been selected and will be requested to bid within the scope of a limited tender.
Construction will start in autumn 2006. The construction time is planned to be 18 months.

Die Stadtentwsserung Stuttgart beabsichtigt die
Entwsserung des Hafengebiets in den Stadtbezirken Wan-
gen und Hedelfingen neu zu ordnen. Der Hafen Stuttgart wird
bisher imTrennsystem entwssert. Das husliche, gewerbliche
und industrielle Schmutzwasser wird dem Hauptklrwerk
Mhlhausen zugefhrt. Das Niederschlagswasser von Dch-
ern, Hofflchen und Straen gelangt auf relativ kurzen Wegen
direkt in die nahegelegenen Hafenbecken. Wegen der immer
intensiveren Nutzung der befestigten Flchen durch den
Gterumschlag auch mit wassergefhrdenden Stoffen, ist es
aber nicht mehr vertretbar, das Oberflchenwasser auf diese
Weise in den Neckar einzuleiten.
Die zuknftigen wasserwirtschaftlichen Rahmenbedingun-
gen stellen sich wie nachfolgend beschrieben dar. Zur
Anpassung an den heutigen technischen Standard und zur
Verbesserung der Gewssergte des Neckars ist fr das Gebiet
mit einer Gesamtflche von ca. 51,5 ha eine Entwsserung
im modifizierten Mischsystem vorgesehen. Dies bedeutet,
dass auch behandlungsbedrftiges Niederschlagswasser aus
Hof-und Verkehrsflchen dem Klrwerk zugefhrt und nur
noch das nicht behandlungsbedrftige Dachflchenwasser
direkt in den Neckar eingeleitet wird. Mit der Umstellung
des Entwsserungssystems soll gleichzeitig die Regenwasser-
behandlung fr das zugehrige Einzugsgebiet durchgefhrt
werden.
Die Baumanahmen werden abschnittsweise durchgefhrt.
Im Herbst 2006 soll die Realisierung mit dem Bau des
Regenberlaufkanals (RK) beginnen.

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2007 Taylor & Francis Group, London, UK

 Bild 3. Lageplan mit Erkundungsbohrungen.

Bild 1. Hafengelnde und Einzugsgebiet fr den RK.

Bild 2. Lageplan und Bauwerk.

1 BAUVORHABEN

Zentraler Bestandteil des Regenberlaufkanals Neckarhafen

sind vier im unterirdischen Rohrvortrieb herzustellende
Kanalabschnitte mit Lngen zwischen ca. 165 und 255 m
(Bild 2). Davon kommen 2 Kanalabschnitte unterhalb der
Hafenbecken 1 und 2 zu liegen. Die Gesamtlnge der vorzu-
pressenden Kanle betrgt ca. 810 m. Die berdeckungen
betragen ca. 25 m unter den Hafenbecken und bis max.
ca. 15 m unter dem Hafengelnde. In den Kanalabschnitten
unter den Hafenbecken 1 und 2 sollen Rohre DN 2000 bzw.
DN 1600 jeweils mit Drachenprofil ausgefhrt werden. Fr
die Kanalabschnitte unter dem Mittel- und dem Ostkai sind
Kreisquerschnitte DN 1600 vorgesehen.
Fnf kreisrunde Schchte (S100, S102, S103, S105 und
S203) mit Durchmessern von 610 m und Tiefen bis zu ca.
18 m sind als Start- und Zielbaugruben fr die Rohrverpres-
sungen vorgesehen (Bild 2). Die Kanalstrecken unter den
Hafenbecken 1 und 2 sowie unter dem Mittelkai sollen aus
der Baugrube fr das Vereinigungsbauwerk (Schacht 102) und
die Kanalstrecke unter dem Ostkai aus der Baugrube fr das
Absturzbauwerk (Schacht 103) vorgepresst werden. Nach der
Rohrvorpressung knnen die Schachtbauwerke in Ortbeton
Bild 4. Bohrung im Hafenbecken vom Schwimmponton.
hergestellt und eingeschttet sowie die drei Zwischenschchte
S104, S201 und S202 (Bild 2) hergestellt werden.
Ebenfalls zum Bauabschnitt des Regenberlaufkanals
Neckarhafen gehrt ein ca. 65 m langer, in offener Bauweise
herzustellender Kanalabschnitt DN 1400, der sich am Ostkai
an das Absturzbauwerk 105 anschliet. Des Weiteren sollen
die im Baubereich befindlichen Straen- und Grundstck-
sentwsserungen an das neue Kanalsystem angeschlossen
werden.
2 UNTERGRUND
In 2 Erkundungsphasen (EKPs) wurden 14 Kernbohrungen
abgeteuft (Bild 3), von denen 2 Kernbohrungen im Bere-
ich der Hafenbecken zu liegen kommen und von einem
Schwimmponton aus durchgefhrt wurden (Bild 4).

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2007 Taylor & Francis Group, London, UK

Bild 5. Geologischer Lngsschnitt Hafenbecken 1 und 2.
Bild 6. Hafenbecken 1, Baugrund.
Bild 7. Unausgelaugter Gipskeuper, Gefgemodell.
Ca. 200 m stlich des geplanten Regenberlaufkanals
verluft die geplante Trasse des zum Projekt Stuttgart 21
gehrenden Tunnels vom Stuttgarter Hauptbahnhof nach
Obertrkheim (WBI, 2004). Die Ergebnisse der fr diesen
Tunnel durchgefhrten Erkundungen wurden fr die Bau-
grundbeurteilung mit herangezogen.
Auf Bild 5 ist der geotechnische Lngsschnitt entlang der
Kanaltrassen unter den Hafenbecken 1 und 2 dargestellt. Im
Untersuchungsraum stehen vom Liegenden zum Hangenden
der unausgelaugte Gipskeuper, der ausgelaugte Gipskeuper,
die Neckarkiese und Auelehme des Quartrs sowie Auffllun-
gen an. Bild 6 zeigt den Bohrkern einer 24 m tiefen Bohrung
(WBI, 2005).
Der unausgelaugte Gipskeuper (Bild 7) besteht aus einer
Wechsellagerung von Schluffsteinen und Sulfatgesteinen
29
2007 Taylor & Francis Group, London, UK
Bild 8. Unausgelaugter Gipskeuper, Sulfatgehalte.
(Geologisches Landesamt Baden-Wrttemberg, 1959). Der
Sulfatanteil kommt im Untersuchungsbereich fast auss-
chlielich in Form von Gips vor. Anhydrit ist nicht mehr bzw.
nur noch in Anteilen <5% vorhanden (Bild 8). Da es sich in
diesen Fllen um Reste aus der Umwandlung zu Gips handelt
und diese Reste mit Gips gepanzert sind, ist das Quellverm-
gen des Anhydrits stark eingeschrnkt. Somit drften daraus
entstehende Quelldrcke (Wittke, 1984 und 2004) wie auch
evtl. aus dem Quellen von Tonmineralen entstehende Quell-
drcke so klein sein, dass sie fr die Bemessung der Kanle
nicht mageblich werden.
Der auf Bild 6 dargestellte Bohrkern zeigt den unaus-
gelaugten Gipskeuper ab ca. 14 m unter GOF in typischer
Ausbildung. Das Gebirge ist durch annhernd horizontale
Schichtfugen und eine Vielzahl von Klften zerlegt. Die
Schichtfugen sind im ungestrten, gesteinsfesten Zustand
dicht verschlossen, die Klfte nur schwach ausgebildet und
durch Fasergips verheilt.
Vereinzelt treten neben den Trennflchen auch Harnische
auf. Entsprechend wurden in einigen Bohrungen kompakte
Bohrkerne gewonnen, oftmals jedoch wurde das Gestein beim
Bohren entlang der Klfte und der Schichtfugen plattig bis
stckig zerlegt. Die obere Begrenzung des unausgelaugten
Gipskeupers bildet die Auslaugungsfront.
Oberhalb der Auslaugungsfront ist der ehemals vorhandene
gesteinsfeste, unausgelaugte Gipskeuper durch den Einfluss
des Grundwassers vollstndig verndert worden. Die Sul-
fatanteile des Gesteins gingen in Lsung und wurden mit
dem Grundwasser abtransportiert. Die Schluffsteine sind als
Folge der Auslaugung weitgehend entfestigt. Entsprechend
der unterschiedlichen Sulfatgehalte der einzelnen Schichten
im Ausgangsgestein ergibt sich fr den ausgelaugten Zus-
tand eine Wechsellagerung von vollstndig entfestigten
Schluffsteinen (reinen Auslaugungsschluffen), mig festen
und mrben Schluffsteinen und bereichsweise annhernd
Bild 9. Ausgelaugter Gipskeuper, Gefgemodell.
Bild 10. Ausgelaugter Gipskeuper, Klassen II bis IV.
gesteinsartigen Schluffsteinlagen (Grter/Liening, 1976; Wit-
tke/Riler, 1976). Hinsichtlich des Auslaugungsgrades und
der Festigkeit kann in 4 Klassen unterteilt werden (Bild 9).
Magebender Parameter fr die Einteilung des Bodens in die
einzelnen Klassen ist neben den Ergebnissen der geotechnis-
chen Kartierungen der natrliche Wassergehalt (Bild 10).
3 GRUNDWASSER
Der Neckarkies stellt mit Durchlssigkeitsbeiwerten von 104
bis 102 m/s zusammen mit den inhomogenen Auffllun-
gen einen hochdurchlssigen Grundwasseraquifer dar. Der
Grundwasserspiegel kommt in etwa im Niveau des Neckar-
wasserstandes zu liegen. Grundwasserfhrend sind auch die
Schichten des ausgelaugten Gipskeupers, wobei die Durchls-
sigkeit mit Werten von 104 106 m/s deutlich geringer ist.
Der unausgelaugte Gipskeuper ist weitestgehend als dichtes
Gebirge anzusehen.
30
2007 Taylor & Francis Group, London, UK
Bild 11. Rohrvortriebe, Hauptrisiken und Manahmen.
4 ROHRVORTRIEBE
Die in bergmnnischer Bauweise vorgesehenen Kanalstrecken
kommen berwiegend in den Schichten des ausgelaugten
Gipskeupers der Klassen III (sehr mrbe Schluffsteine) und IV
(vollstndig entfestigte Schluffsteine, Auslaugungsschluffe)
zu liegen (Bild 5). In geringerem Umfang sind mrbe Schluff-
steine der Klasse II zwischengelagert. Die Kanalstrecke unter
dem Hafenbecken 2 schneidet die Auslaugungsfront und den
darunter anstehenden unausgelaugten Gipskeuper an. Unter
dem Hafenbecken 1 kommt die Kanalsohle nur wenig ober-
halb der prognostizierten Auslaugungsfront zu liegen, so dass
hier ein punktuelles Anschneiden nicht auszuschlieen ist.
Der unausgelaugte Gipskeuper kann in die Klassen LBM2
und LBM3 eingestuft werden, wobei die Zusatzklasse S1
rtlich in festeren Lagen auftreten kann. Der ausgelaugte
Gipskeuper neigt infolge Wasseraufnahme und mechanis-
cher Beanspruchung zur Schlammbildung und besitzt ein
mittleres Verklebungspotential. Der unausgelaugte Gipskeu-
per ist mit einaxialen Druckfestigkeiten von 520 Mpa (max.
bis 50 Mpa) der Felsklasse FD2 zuzuordnen. Eingelagerte
mrbe Zonen entsprechen der Klasse FD1 bzw. bei strkerer
Zerlegung auch den Klassen FZ1 bis FZ2.
Eines der wichtigsten Ziele der Planung war die
Abschtzung der Risiken, die ein Rohrvortrieb unter einem
Gewsser mit sich bringt.
Auf Bild 11 sind im linken Teil die Hauptrisiken,
die besonders in die Planungen einbezogen wurden,
zusammengestellt. Aufgrund der geringen Tiefenlage unter
dem Neckar und mglicher Wasserwegigkeiten wird das
Risiko von Wasser- und Schlammeinbrchen sehr hoch
eingeschtzt. Durch eine Sttzung der Ortsbrust sowie des
vorherrschenden Wasserdrucks knnen die mit einer insta-
bilen Ortsbrust zusammenhngenden Problemstellungen und
Gefhrdungspotentiale weitestgehend ausgeschlossen wer-
den. Daher sollen die Abschnitte unter dem Hafenbecken
mit geschlossenen Vortriebsmaschinen vorangetrieben wer-
den (WBI, 2005).
In Bild 12 sind die Einsatzbereiche eines Erddruckschildes
und die Krnungsbnder des ausgelaugten Gipskeupers mit
den Auslaugungsklassen III und IV dargestellt. Beim Einsatz
eines Erddruckschildes liegt man weitgehend im idealen
Bereich. Fr die Auslaugungsklasse III kann bereichsweise
eine Konditionierung notwendig werden. Ungnstig wirkt
sich das Anschneiden des unausgelaugten Gipskeupers aus,
da dieses Material nach dem derzeitigen Kenntnisstand beim
Lsen nicht zerfllt und den Erdbrei mit Kieskorn anreichert.
Damit steigt der Aufwand fr die Konditionierung.
Bild 12. Einsatzbereich eines Erddruckschildes und Krnungsbn-
der des ausgelaugten Gipskeupers.
Bild 13. Einsatzbereich eines flssigkeitsgesttzten Schildes und
Krnungsbnder des ausgelaugten Gipskeupers.
In Bild 13 sind die Einsatzbereiche eines flssigkeits-
gesttzten Schildes und die Krnungsbnder des ausgelaugten
Gipskeupers mit Auslaugungsklassen III und IV dargestellt.
Danach sind die Schichten des ausgelaugten Gipskeupers
unter Beachtung des Separieraufwandes und einer mglichen
Verklebung des Bohrkopfes und der Abbauwerkzeuge grund-
stzlich fr den Einsatz eines flssigkeitsgesttzten Schildes
geeignet.
Beim Einsatz von geschlossenen Vortriebsmaschinen stellt
das Beseitigen von mglichen Hindernissen eine besondere
Aufgabe dar (Bild 11). Es wurde deshalb bereits im Zuge der
Planungsphase versucht, eventuell auftretende Hindernisse
zu erkunden. Bestehende Bauwerke wurden auf ihre Grn-
dungstiefe hin untersucht (u. a. Tiefbauamt Stuttgart, 1958).
Im Bereich der Hafenbecken wurde eine Metalldedektion
durchgefhrt. Fr den Fall, dass Hindernisse auftreten, ist fr
den Vortrieb ein Konzept zur Beseitigung von der Maschine
aus, dann unter zu Hilfenahme von Druckluft, vorzusehen.
Die entwsserungstechnische Planung sieht den Einsatz
von Rohren mit Drachenprofilen vor (Bild 14). Zur Vermei-
dung einer Verrollung knnen die Rohre mit Zentrierstiften
in den Rohrverbindungen fixiert werden. Beim Vortrieb kann
durch die Umkehr der Drehrichtung des Schneidrades einer
Verdrehung der Rohre entgegen gewirkt werden. Eine weit-
ere Mglichkeit wre der Einsatz von kreisrunden Rohren mit
dem nachtrglichen Einbringen eines Gerinnebetons (Bild 14,
rechts).
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2007 Taylor & Francis Group, London, UK
Bild 14. Drachenprofil, Varianten.
Bild 15. Baugrubensicherung und Messprogramm.
5 SCHCHTE
Die Schchte durchrtern alle im Untersuchungsbereich vork-
ommenden Schichten (Bilder 5 und 6). Aufgrund der hohen
Wasserdurchlssigkeit im Neckarkies wird im oberen Bereich
der Baugruben ein wasserdichter Spundwandverbau vorgese-
hen. Im ausgelaugten und unausgelaugten Gipskeuper wird
eine Baugrubensicherung mit bewehrtem Spritzbeton emp-
fohlen (WBI, 2005 und Bild 15). Dieser Verbau stellt eine
sehr wirtschaftliche Methode zur Baugrubensicherung dar
und kommt deshalb in Stuttgart oft zum Einsatz.
6 FFENTLICHER TEILNAHMEWETTBEWERB FR
EINE BESCHRNKTE AUSSCHREIBUNG
Ein Rohrvortrieb im Bereich des Gipskeupers unter dem
Neckar stellt eine neue Aufgabe dar. Bislang konnten in
diesem Bereich der Stuttgarter Geologie noch keine Erfahrun-
gen gesammelt werden. Aufgrund der zuvor geschilderten
Besonderheiten und Schwierigkeiten und den daraus sich
ergebenden Anforderungen an die Vortriebstechnik hat sich
die Stadtentwsserung Stuttgart gemeinsam mit den pla-
nenden Ingenieurbros entschieden, zunchst in einem
ffentlichen Teilnahmewettbewerb den Bewerberkreis zu
erkunden und qualifizierte Firmen auszuwhlen, die bere-
its vergleichbare Projekte ausgefhrt haben. Diese erhalten
anschlieend im Rahmen einer beschrnkten Ausschreibung
die Aufforderung zur Abgabe eines Angebots. Die Zahl der
zur Angebotsabgabe aufgeforderten Firmen soll dabei auf
maximal 8 beschrnkt werden.
 Fr die Beurteilung der Eignung der Bewerber wurden
in den Bewerbungsunterlagen verschiedene Ausknfte und
Nachweise erbeten. Zur Bewertung wurden u. a. nachfolgende
Kriterien festgelegt:
Referenzprojekte des Bieters bzw. der Bietergemein-schaft
Erfahrungen des fr das Projekt vorgesehenen Personals
Auffahr- und Sicherheitskonzept fr die Rohrvortriebe
unter den Hafenbecken
Auffahrkonzept fr die Rohrvortriebe unter dem Mittel- und
dem Ostkai
Drachenprofil, Vermeidung der Verrollung
Bauablauf und Bauzeit
7 ERGEBNISSE DES TEILNAHMEWETTBEWERBS
UND WEITERES VORGEHEN
Die Teilnahmeantrge der Bewerber mussten bis zum 16.
Februar 2006 beim Tiefbauamt eingereicht werden. Alle
Bewerber knnen die erforderlichen Referenzprojekte vor-
weisen. Fr die Vortriebe unter den Hafenbecken haben
alle Bewerber geschlossene Vollschnittmaschinen vorgesehen
(Slurry- oder Erddruckschild). Unter dem Mittel- und Ostkai
wollen die meisten Bewerber ebenfalls Vollschnittmaschinen
einsetzen. Lediglich 2 Bewerber sehen hier offene Schilde mit
Bagger- oder Teilschnittmaschinen vor.
Von allen Bewerbern sind schalungserhrtete Stahlbeton-
rohre geplant, wobei bei den Vortriebsstrecken mit Drachen-
profilen die meisten Bewerber Rohre mit endgltigem
Querschnitt vorpressen wollen und nur 2 Bewerber einen
nachtrglichen Ausbau von Kreisquerschnitten zu Drachen-
profilen angedacht haben.
Der vorgenommene Teilnahmewettbewerb hat die ber-
legungen der vorausgegangenen Planungsphase weitgehend
besttigt und zudem weitere wichtige Erkenntnisse fr die
Ausarbeitung der Ausschreibungsunterlagen geliefert. In der
Ausschreibung werden nun alle Vortriebe mit geschlosse-
nen Vollschnittmaschinen vorgesehen. Die Randbedingungen
32
2007 Taylor & Francis Group, London, UK
sollen in den Ausschreibungsunterlagen mglichst detailliert
beschrieben werden. So knnen unter dem Mittel- und Ostkai
auch Nebenangebote im offenen Vortrieb zugelassen und
vergleichbar gewertet werden. Die Ausgabe der Ausschrei-
bungsunterlagen erfolgt Anfang Mai 2006.
Die Realisierung des Regenberlaufkanals Neckarhafen
soll im Herbst 2006 beginnen. Die Fertigstellung des mit ca.
4,5 Mio. veranschlagten 1. Bauabschnitts ist bis zum Frh-
jahr 2008 vorgesehen. Durch die intensive Vorbereitung dieses
beraus interessanten Bauvorhabens sieht sich der Eigen-
betrieb Stadtentwsserung der Landeshauptstadt Stuttgart
gemeinsam mit den planenden Ingenieurbros gut gerstet
fr die anstehende Bauausfhrung des Regenberlaufkanals
Neckarhafen.
QUELLENNACHWEIS
Geologisches Landesamt Baden-Wrttemberg (1959): Erluterun-
gen zur Geologischen Karte von Stuttgart und Umgebung
1:50.000. Landesvermessungsamt Baden-Wrttemberg, Stuttgart.
Tiefbauamt Stuttgart (1958): Hafen Stuttgart, Die Arbeiten des
Tiefbauamtes, Folge 2, Stuttgart.
Wittke, W. (1984): Felsmechanik Grundlagen fr wirtschaftliches
Bauen im Fels. Springer-Verlag Berlin, Heidelberg, New York,
Tokyo.
Grter, R.; Liening, B. (1976): S-Bahn Stuttgart, Planung und Bau
der Haltestelle Schwabstrae (Baulos 11) und der unterirdischen
Wendeanlage (Baulos 12), Teil I. Deutsche Gesellschaft fr Erd-
und Grundbau e. V., Vortrge der Baugrundtagung in Nrnberg.
Wittke, W.; Riler, P. (1976): S-Bahn Stuttgart, Planung und Bau
der Haltestelle Schwabstrae (Baulos 11) und der unterirdischen
Wendeanlage (Baulos 12), Teil II. Deutsche Gesellschaft fr Erd-
und Grundbau e. V., Vortrge der Baugrundtagung in Nrnberg.
WBI (2004): Stuttgart 21, PFA 1.6, Tunnel vom Hbf. nach
Obertrkheim und Abzweig Wangen nach Untertrkheim,
Baugrundgutachten (unverffentlicht).
Wittke, W. (2004): Planung, Bau und berwachung von Tunneln in
quellfhigem Gipskeuper. Geotechnik 2004/2, VGE Essen.
WBI (2005): Neckarhafen RK, Baugrund- und Geotechnisches
Gutachten (unverffentlicht).
 Excavation Damaged Zone (EDZ) in the Meuse Haute Marne underground
research laboratory
Caractrisation de la zone endommage dans le laboratoire de recherche souterrain de Meuse Haute Marne

G. Armand, Y. Wileveau, J. Morel, M. Cruchaudet & H. Rebours

Agence Nationale pour la Gestion des Dchets Radioactifs (ANDRA) Laboratoire de Recherche Souterrain de Meuse Haute-Marne,
Bure, France

RESUME: Le laboratoire de recherche souterrain de Meuse Haute Marne a t construit par lANDRA (Agence nationale
pour la gestion des dchets radioactifs) pour tudier les proprits de confinement des argillites du Callovo-Oxfordien (situes
entre 420 m et 550 m de profondeur) et la rponse hydromcanique au creusement douvrages souterrains, en vue dtudier la
faisabilit dun stockage souterrain de dchets radioactifs haute activit et vie longue. La construction du laboratoire dans
la couche hte est une exprimentation scientifique par elle-mme qui permet de caractriser les impacts du creusement. En
particulier, la zone endommage par le creusement (EDZ) est tudie autour des ouvrages avec des mesures de permabilit,
un relev gologique systmatique des fractures au front de taille et sur les carottes issues des forages dinstrumentation, des
mesures de diagraphie en forage radial et des mesures classiques dextensomtrie. Une exprimentation spcifique est aussi
ddie au concept de scellement, en tudiant les saignes radiales de faible paisseur.

ABSTRACT: An Underground Research Laboratory (URL) has been constructed in North-eastern France by Andra (French
Agency in charge of radioactive waste management) in order to perform a scientific program to characterize the confining
properties of a claystone layer (Callovo-Oxfordian formation, situated between 420 m and 550 m depth) and investigate the
hydro-mechanical properties of the rock during excavation, in order to study the feasibility of an underground radioactive waste
repository. The construction of the laboratory itself serves a research purpose through monitoring of the excavation effect. The
excavation damaged zone (EDZ) is major issue investigated by permeability measurements, by a systematic geological survey,
by velocity measurements in radial borehole and by extensometer measurements. A specific experiment is also dedicated to a
sealing concept focusing on techniques for interrupting the axial hydraulic connectivity of the EDZ by thin radial slots.

1 INTRODUCTION

In order to demonstrate the feasibility of a radioactive waste

repository in claystone formation, the French national radioac-
tive waste management agency (Andra) started in 2000 to
build an underground research laboratory (URL) in Bure
(boundary between the Meuse and Haute-Marne Depart-
ments) located nearly 300 km East of Paris (fig. 1). The host
formation consists of claystone (Callovo-Oxfordian argilla-
ceous stone) and is approximately 500 m deep and 130 m thick
(Andra 2005). The Callovo-Oxfordian clays are overlain and
underlain by poorly permeable carbonate formations.
The main objective of the research is to characterize the con-
fining properties of the clay through in situ hydrogeological Figure 1. Location of the underground research laboratory in
tests, chemical measurements and diffusion experiments and Meuse/Haute-Marne in the Paris Basin.
to demonstrate that the construction and operation of a geo-
logical disposal will not introduce pathways for radionuclides
migration (Delay et al. 2005). mechanical and hydraulic rock properties are changed. In par-
In mechanic, the thermo-hydro-mechanical behavior of the ticular, the hydraulic conductivity of these fracture networks
argillites and the EDZ characterization are two of the key may be orders of magnitude higher than the one of the virgin
issues being investigated in underground experiments carried host rock. That is why Andra is studying the EDZ geome-
out or planned in the Meuse/Haute-Marne URL. Excavation of try and properties with time. In addition, some technological
underground drifts generally causes damage to the rock in the solutions are being tested to interrupt the connectivity of these
vicinity of the openings. The level of damage depends, among fracture networks along the drifts.
other factors, on the rock properties, the stress field, the geom- First, this paper presents a brief overview of the EDZ char-
etry of the openings, the excavation method and time. Due acterization methods implemented in different drifts at the
to the stress redistribution during the excavation and subse- main level of the laboratory, and geometry and permeabil-
quent rock convergence an EDZ fracture network, consisting ity results obtained from the EDZ. Secondly, it describes a
of unloading joints and shear fractures, could appear in the specific sealing experiment focusing on a technical solution
vicinity of the openings. Within such an excavation zone the for cutting off the EDZ hydraulic connectivity.

33

2007 Taylor & Francis Group, London, UK


Figure 2. General layout drawing of the Meuse/Haute-Marne URL
showing SMR1.1, SMR1.3 and KEY drift locations.
2 EDZ CHARACTERIZATION
The mechanical behavior of the investigated rock is governed
by the geological characteristics of the argillites. Their min-
eralogical composition varies slightly within the statigraphic
horizons. At the 490 m level, it is 5055% clay minerals,
2025% carbonate and around 25% quartz silts (Andra 2005)
and sedimentation has led to a slightly anisotropic behav-
ior of the argillites. The combined effects of sedimenta-
tion, compaction and diagenesis has reduced the interstitial
or connected pore space. Therefore, the Callovo-Oxfordian
argillites are considered in their natural state as a saturated
porous medium with very low permeability (5 1020 to
5 1021 m2 ). Their mechanical behavior is closely coupled
with the pore pressure and the degree of saturation. In-situ
stresses in the argillite layer are: z = Z; h v , H /h
close to 1.2, with magnitude varying with depth and with the
rheological characteristics of the respective layers. The hori-
zontal major stress is oriented NE155 (Wileveau et al. 2006).
Taking into account the in situ stress anisotropy, EDZ char-
acterization has been extensively investigated in drifts parallel
and perpendicular to the horizontal major stress (fig. 2) in
the location called SMR1.1 (drift along h ) and SMR1.3
and GKE drift (drift along H ). Convergence measurements,
extensometer measurements (fixed point at 20 m away from
the drift), total pressure measurements between rock and sup-
port, and support deformation measurements have also been
performed in section SMR1.1 and SMR1.3 in order to moni-
tor the rock behavior during the digging of the drift. Those
results, which contribute to the understanding of the EDZ
and the deformation of the drift, can be found in Wileveau
et al (2006).
Several measuring methods were used to assess the exten-
sion of these damaged and disturbed zones around the drifts
according to different parameters:
Structural analysis of the core samples to establish the pres-
ence of fractures and define the fracture density according
to depth,
Geological survey of the drift face and of sidewalls,
Microseimic logging measurements to study the evolution
of P and S wave velocity according to the distance from
the drift wall,
Permeability measurements carried out through gas and
hydraulic tests to assess the EDZ permeability with time
and the degree of saturation of the argillites.
2007 Taylor & Francis Group, London, UK
Figure 3. Chevon patterns observed at gallery scale in relation
with the face progression (left) and damaged zone like schistosity in
the notch of chevron fracture (right).
Most of the works performed for geological characteriza-
tion were concentrated in the experimental drifts (eastern part)
where numerous boreholes cored during excavation allowed
comparing pattern, frequency and orientation of EDZ frac-
tures with the ruptures observed on the free surface. Resin
impregnation of fractures in the EDZ zone brings additional
information on the geometry and connectivity of the fracture
network.
The structural analysis provides a good understanding of
the fracture mechanisms and their succession order. From the
geological point of view, the EDZ can be conceptualized as
follows:
The chevron fractures are initiated ahead of the excava-
tion face during work. They are generally more pronounced
when the drifts are parallel to H . The chevron frac-
tures form symmetrically to the horizontal plane crossing
the gallery axis. The dip of this pattern with respect to the
horizontal plane is around 45 (Fig. 3). Extension of the
chevron zone ahead of the excavation face is close to 1
drift diameter (about 4 m). On the cross section, the exten-
sion is different according to the orientation of the drift.
At the vault and on the ground, the fractured zone is com-
prised between 2 and 2.5 m, and below when the gallery is
oriented parallel to H . On the wall side (the larger distance
in the section), the fractured zone is less than 1 m for the
gallery oriented parallel to h , but fractures up to 5 m are
observed in the other direction (// to H ). The last figure
has been obtained from boreholes drilled in a complex zone
(near a drift cross section) and has to be confirmed.
Vertical and oblique fractures which form beyond the
chevron fractures stop at them. They are oriented at a low
angle (10 to 30 ) with respect to the wall.
In addition to these shearing fractures, unloading tensile
fractures similar to those observed at Mont Terri (Bossart
et al 2004) can be observed. The mechanical deconfining
and specific shape of the section (horse shoe) induce com-
plex fractured zones concentrated at the corners of the floor.
The extension zone observed on cores (plumose structure
or tensile rupture surface) is limited in comparison with
shearing fractures. This zone represents mainly the higher
hydraulic conductivity zone where open fractures can be
observed (Fig. 4).
The combined geophysical methods tested in drifts are
microseismic logs along boreholes and tomography arrays.
The wave velocity decreases as argillites are damaged. Some
34

Figure 4. Photo of sample under UV light after overcoring in a
zone impregnated by fluoresceine resin (up) and thin section photo
showing an extension fracture and strike-slip zone.
Figure 5. Water permeability measurements (vertical and horizon-
tal profile) from the SMR1.1 tested section.
microseismic loggings have not only revealed the continuous
increase in velocity with respect to the radial distance but also
a strong local decrease in velocity which may correspond to
an isolated shearing fracture.
The results for permeability tests carried out along a section
of gallery parallel to h are shown in Figure 5. Other per-
meability measurements were performed in a perpendicular
drift (KEY experiment, see chapter 3) and give a compara-
ble hydraulic conductivity profile around drifts. The hydraulic
tests in the EDZ zone show an increase in hydraulic perme-
ability (by 4 to 5 orders of magnitude) in the extension fracture
zone close to the wall.A small increase in hydraulic permeabil-
ity is measured in the chevron sheared fracture zone which
indicates that the sheared fractures are mechanically closed.
The highest value (k = 1.105 m/s) is obtained in the interval
located at 1 m below the floor where the fracture aperture is
magnified by the invert uplift due to the horse-shoe shape and
the lack of lining at the floor.
3 SEALING DEVICE TESTS: KEY EXPERIMENT
The design of plugging and sealing systems has to consider
the geometry and the properties of the EDZ to guarantee
35
2007 Taylor & Francis Group, London, UK
Figure 6. KEY experiment concept.
proper operation (Fairhurst and Damjanak 1996). The avail-
able knowledge on EDZ emphasizes that fractures with higher
permeability than the intact rock may form a preferential path-
way (Bauer et al 2003). ANDRA is studying the concept of
thin radial slots, with a depth larger than the EDZ, filled with
swelling clay in order to cut off the EDZ around a sealed
gallery. The concept of cut-off slots for enhancing repository
performance is based on the conservative assumption that the
EDZ is a perfectly connected fracture network. In that case,
the use of multiple slots provides an impermeable barrier that
interrupts the continuity of the fracture network. The clay
swelling pressure in the slot tends to compress the zone dam-
aged by the slot excavation and prevents the slot from being
bypassed.
Experiments were performed at the Mont Terri labora-
tory (Switzerland) and at the main level of the URL (KEY
experiment) focused on thin radial slots with the aim to:
Demonstrate feasibility of creating and filling up a slot,
Assess the effectiveness of radial slots with respect to the
problem of hydraulic short circuit,
Verify the effectiveness of applying swelling pressure.
3.1 Concept of the experiment
A first experiment (EZ_A experiment) was performed at Mont
Terri to study the feasibility of slot opening and slot backfilling
and to assess the performance of the cut off by permeability
testing. It provided technological and scientific information
on the working out and behavior of thin radial slots (Armand
et al 2004). It allowed us to develop a saw prototype which can
perform a 2.5 m deep slot all around a horse shoe drift section.
The objectives and concept used in the KEY experiment are
presented in Figure 6 and summarized as follows:
Characterization of the damaged and disturbed zones was
carried out by implementing several methods described in
the previous chapter. Permeability to gas and water mea-
surements were performed with several removable or fixed
devices equipped with chambers of various lengths from
0.1 to 1 m in boreholes of various depths (2 to 20 m),
Assessment of the effectiveness of the radial slots con-
cerning the problem of hydraulic short circuit consisted
in comparing the results of tests on the interference of gas
between vertical drillings carried out from the floor of the
drift (an area of about 6 m2 ). The tests were carried out
before and after the excavation and the filling of two 7 cm
thick slots with resin at 2 m depth.
 Checking the effectiveness of applying confining pressure
along the slot consisted in measuring the deformation and
velocity of the compression waves in the close vicinity of a
slot where a pressure is applied. The device used consisted
in standard geotechnical instruments and a velocity survey
with piezoelectric sensors including some of them at the
slot face. A 33 cm thick slot was excavated at 2 m depth
from the drift floor. The pressure in the slot was cyclically
applied by flat jacks, up to 2.7 MPa. After removing the
jack, the slot was filled by compacted bentonite blocks
and equipped with a hydration system. Saturation of this
engineered barrier started early 2006 and is under way.
Results of this part of the experiment are not included in
this paper.
3.2 Effectiveness of radial slots
Effectiveness of radial slots is studied in an area, well charac-
terized by an array of 9 boreholes (Fig. 6 Zone 2). The array
follows a 3 3 grid, where the grid spacing was 1.5 meters
along and perpendicular to the tunnel axis. The holes were
prepared 2 meter-deep, with packers separating the upper and
lower 1 m sections. On one of the wallsides, boreholes are
inclined at 45 under the section foot to investigate the high-
est permeable zone. Each borehole and packer interval was
tested as a separate injection source while continuously mon-
itoring pressure in the other 17 measurement sections of the
borehole array. Air injection pressures were limited in time to
avoid propagating the fractures. Previously, a resin layer was
emplaced at the floor, up to 1 m high in the side walls, to avoid
leakage to the drift and to increase cross holes response.
The intrinsic permeability measured initially during air per-
meability tests ranges between 1 109 m2 and 5 1014 m2
in the first meters under the floor, except for three out of
nine chambers showing permeability equivalent to that of
the saturated undisturbed rock (below 1 1020 m2 ). This
emphasizes EDZ heterogeneity in an area of 3 3.2 m2 . Simi-
lar results have been found at Mont Terri (Armand et al 2004).
Permeability measured between 1 m and 2 m during air perme-
ability tests exhibits values close to the ones found for intact
saturated rock. Some cross holes response has been identified
in the first meter and has been further characterized using
helium tracer test. Helium was injected in one chamber and
helium arrival was recorded in the other chambers. Observed
arrival time varied from 6 min to 34 min for a 150 min helium
injection test.
Two slots, 2 m deep, 0.07 m thick, were excavated at the
floor up to 1 m high in the side walls (Fig. 6) on the two sides
of the boreholes centerline, perpendicular to the drift axis.
The slots were filled with resin.
Air permeability tests carried out before the excavation
and filling of the slots were performed again. Each inter-
val was tested as a separate injection source and yielded
similar permeability estimation, but no cross holes response
was detected during the continuous pressure monitoring in
the other 17 chambers whatever the injection borehole was.
Helium was injected during 150 min in the previous bore-
holes showing cross holes response. No helium was detected
36
2007 Taylor & Francis Group, London, UK
in the measurement chambers during the test and confirmed
the cut-off of the fracture network connectivity. This exper-
iment emphasizes interruption of the hydraulic connections
with thin radial slot filled with resin. Results of KEY exper-
iment confirm previous conclusions obtained at Mont Terri,
even if EDZ are slightly different at the URL and at Mont
Terri. Further test will be performed with radial slot filled
with bentonite.
4 CONCLUSIONS
Drift excavations at the main level of the URL exhibit unload-
ing and shear fractures which have not be seen in drifts at
445 m depth. The fractures pattern and extension depend
on the drift orientation versus the stress state, the velocity of
excavation and support. Shear fractures are created ahead of
the excavation face. High permeabilities are localized in the
vicinity of the drift wall and are mainly due to open fractures.
Deeper from the wall, shear fractures are nearly closed and
exhibit permeability equal to the undamaged rock. Sealing
experiment on thin radial slot shows a technique to cut-off
connectivity of the EDZ fractures network.
Further experiments will be performed in the URL to bet-
ter understand effects of excavation advance and of support
on EDZ development and further characterize extension and
permeability of the EDZ.
REFERENCES
Andra. 2005. Dossier 2005 Argile: Evaluation of the Feasibility of a
Geological Repository, www.andra.fr
Armand, G., Doe, T., Piedevache, M., Chavane, G., 2004. Permeabil-
ity measurements in the excavation damaged zone in the Opalinus
clay at Mont Terry Rock Laboratory, Switzerland, 57th Canadian
geotech. Conf., Oct. 2004, Quebec, G15-453.
Bauer C., Ppin G., Lebon P. 2003, EDZ in the performance assess-
ment of the Meuse/Haute-Marne site : Conceptual Model used
and Questions addressed to the Research , in Proceedings of the
European Commission Cluster conference on Impact of the EDZ
on the performance of radioactive waste geological repositories,
Luxembourg November 2003
Bossart, P., Meier, P.M., Moeri, A., Trick, T., Mayor, J.-C., 2002. Geo-
logical and hydraulic characterization of the excavation disturbed
zone in the Opalinus Clay of the Mont Terri Rock Laboratory,
Engineering Geology, 66, p.1938.
Delay, J., Vinsot, A., Krieguer, J.M., Rebours H., Armand, G. 2006.
Making of the underground scientific experimental programme
at the meuse/Haute marne URL, North Eastern France. J. Phys.
Chem. of Earth, in press.
Fairhurst, C., Damjanac, B., 1996. The excavation Damage Zone an
international perspective. In: Martino & Martin (Eds.), Proc. of
the EDZ Workshop. Canadian Nuclear Society, pp. 314
Wileveau, Y., Renaud, V., Kazmierczak, J.-B., Armand G., 2006.
Rheological characterization of a clay formation from drifts
excavation: elastic and elastoplastic approach, Proc. Sea to Sky
Geotechnique 2006, Vancouver, October 2006.
Wileveau, Y., Cornet, F.H., Desroches, J., Blumling, P. 2006. Com-
plete in situ stress determination in an argillite sedimentary
formation. J. Phys. Chem. of Earth, in press.
 Experimental study on wind erosion of the consolidated ancient earthen site by PS
material in Northwest China

Zhao Haiying
Institute of Rock and Soil Mechanics the Chinese Acadeny of Sciences, Wuhan, China

Wang Xudong, Li Zui-xiong, Han Wen-feng & Guo Qing-lin

The Cultural Relic Conservation Centre of Lanzhou University, Lanzhou, China
Conservation Institute of Dunhuang Academy, Dunhuan, China

ABSTRACT: There are many ruins of ancient earthen sites in Northwest China, such as the famous ancient Yumen Pass, in
Dunhuang region, the Jiaohe Ruins in Xinjiang Region, and so on. All of these constructions are precious cultural heritage,
and their valuable artistic value is rare worldwide. But the violent processes of the wind erosion caused many ancient earthen
sites collapsed. The wind erosion is the main power mechanism and the genesis resulting in destruction of the ancient earthen
ruins. Through the indoor wind-tunnel test and field wind erosion test, this paper conclude that the bear for wind erosion
of the consolidated ancient earthen sites are hugely increased.. The results of the indoor wind-tunnel test discovered that the
anti-wind erosion intensity of the samples reinforced with more than 5% of PS enhances 610 times. According to the result
of the field wind erosion test, the wall consolidated with 5% of PS is good bear for wind erosion, and the depth of penetration
and the amount of PS material directly affect reinforcing effect. In sum, the key to protecting Ruins is to choose the suitable
consistence PS material, enhance penetrability of PS material, and comprehensively develop the important instruction function
in northwest local earth ruins science protection.

1 INTRODUCTION used the PS material to reinforce the Dunhuang Yumen pass,

The Northwest arid region in China is the part channel of
the silk ancient road and many colourful historical civiliza-
tion archaics there have last for more than 2000 years. It has
numerous famous large-scale ancient sites which have dis-
tinct vantages such as Dunhuang Yumen Pass, Han Dynasty
Great wall, Hecang ancient city site and the Jiaohe Ruins
and Gaochang Ancient Cites in Xinjiang Region etc. All of
these sites are precious mankinds cultural heritages, and their
rare artistic and historical values are fantastic comparing with
the similar instances in the world.The drought environment
in northwest not only keep the ancient sites but also make
the heavy wind and rain erosion effect destroy many ancient
sites, which lead to the breakdown of these non-regenerative
resources . For the breakdown effect that the wind and sand has
on the ancient sites, Su Bai. et al has taken notice of its severity
in 50 ages of last century, through the systematical study and
investigation on several important ancient sites which are on
the brink of collapse during the past years, it has shown that
the long-lasting wind and sand erosion can make the wall face
change to the alveolus shape, the scale crack and block delam-
inations and the inverted wooden club mountain which can
make the wall become unstable. So it could be concluded that
the wind erosion is the main destroying motive power and the
most nasty disease, therefore, the prevention of the wind ero-
sion is the most important problem for protecting the ancient
sites in northwest drought region. To solve the problem, many
people have done a lot of work such as the chemical protec-
tion on the ancient site in northwest region, a lot of materials
have been adopted for studying the weathering protection and
reinforcement of the ancient sites in drought environment. In
the 90 ages of the 20 century, the Dunhuang Academy Institute
Hecang city and No. 3 tomb of the Xixia Tombs in Yingchuan,
Ningxia,. Lots of test researches and engineering practices
have shown that the adoption of PS material could reinforce
the ancient sites well. But nowdays there is little systematic
study on the corrosion resistant capacity enhancement for the
ancient sites reinforced by PS material, and also the work on
site wind erosion resistance test has not been done by any
people. In this paper, though the indoor air channel and posi-
tion simulation experiments, the enhancement of wind erosion
resistance after reinforcing with PS material was discussed, the
study can provide the theory and practice references to the sci-
entific protection, expansion of protection technique and the
effect detect of the similar protection engineering in northwest
arid region in China.
2 INDOOR AIR CHANNEL EXPERIMENT
2.1 Sample making
Considering the natural sample has more damaging effect
on cultural artifacts and there is more density difference for
the natural ramming, the remolding sample was used in this
experiment. The size of the sample was 50 50 50 mm, the
PS solution which has the optimal modulus was chose, the
concentration was 3%, 5% and 7%. First the PS percolation
reinforcement was done, the reinforcement solution could be
controlled accurately after computation according to the sat-
uration degree (Sr) was 85%, the pipette was used to do the
dropping. After the sample becoming desiccant, the reinforced
samples and the initial samples were used to the air channel
simulating experiment at the same time.

37

2007 Taylor & Francis Group, London, UK

 150 1000 5min
Wind erosion modulus

corrosion resistance(%)
120 0% 10min
800

Increment rate of
3%
(kg/m2 h)

90 15min
5% 600
60 20min
7%
400
30
0 200
6 10 15 20 PS thickness(%)
0
Wind speed m/s 3 5 7

Figure 1. Caption of wind erosion modulus and speed(T = 15 min). Figure 3. Caption of improving of resistance to corrosion
(v = 20 m/s).
Wind erosion modulus

160 3
5 Table 1. The test area.
120
(kg/m2 h)

7 Water Dry Natural

80 content density density
Number Description of wall face % (g/cm3 ) (g/cm3 )
40

0 B incrust, crack, crumbly. 0.606 1.359 1.368

0 5 10 15 20 H The incrust is loose and 0.891 1.387 1.399
Time (min) show the shape of crack,
the crevice is more
Figure 2. Caption of wind erosion modulus and time (v = 20 m/s). developed, the block
delamination. There is
area of 50 50 cm surface
2.2 Experiment condition shedding in the middle of
the H1 region
The experiment was done in the DC closing puff type low
speed sand air channel, which locates in the sand physics
and desert environment laboratory of Key Laboratory of Ice
Core and Cold Regions Environment CAREERI CAS, the air wind erosion for the reinforced samples was 6 to 10 times
channel is 38.78 m long, the sectional area is 1.2 m 1.2 m, than that for the original samples.
the lifting angle is 1 degree, which can eliminate the axial
acceleration, the wind speed can change from 2 m/s to 30 m/s,
3 SITE SIMULATING EXPERIMENT
the eddying flow intensity is less than 0.4%. The sample was
located below the experiment segment entrance and the dis-
Based on the indoor experiment, cosidering the related study
tance between them is 9 m. the wind erosion quantity can be
outcomes and the requirements of traffic and construction,
measured by weighting method . The wind erosion mainly
the Pochengzi Site a Han Dynasty ancient sites locating in
happen on the condition that there is wind with sand, the wind
the AnXi county of Gansu province, which is 20 kilometers
speed adopted in this study was 6 m/s, 10 m/s, 15 m/s and
south to the AnXi county seat, was chose as the wind erosion
20 m/s, the lasting time of sample blowout experiment was
experiment area.
5 min, 10 min, 15 min and 20 min.

2.3 Analysis of wind erosion experiment result 3.1 Introduction of the experiment area

The experiment result has shown the wind erosion intensity
increased with the increment of wind speed, when the wind
speed reached 20 m s1 , the wind erosion quantity was the
most(shown in Fig. 1). The reinforced soil capacity to resist
wind erosion become strong manifestly, and when the rein-
forcement solution concentration increased to more than 5%
and the wind erosion modules was less than 20 kg/m2 h, the
capacity of resisting wind erosion increased more than 6 times
(shown in Fig. 1). When the reinforcement solution concen-
tration increased to more than 5%, with the wind erosion
time extending the wind erosion increased a little (shown in
Fig. 2). At the same time (taking the wind speed of 20 m/s
as an instance), the increment rate of resisting wind erosion
become slightly low with the concentration of PS material
reaching 5% (shown in Fig. 3). Based on the analysis of the
experiment results, it was found that the reinforcement effect
was good when the concentration of PS material increased,
even the wind speed reached 20 m/s and the wind erosion
module was less than 20 kg/m2 h, the intensity of resisting
Pochengzi Site was called Guangzhi county in Han Dynasty
and ChangLe county in Tang Dynasty, it was kept well, it was
tamped with sandy silt, the tamping depth is more uniform
and about 812 cm. The research bygone has shown that the
surface soil of the Northwest ancient sites can be considered
as the medium and low density (1.31.5 g/cm3 ). Two typical
weathering wall faces were chose in this study, and each was
divided into 4 small blocks and the area of each block was
50 cm 100 cm, some necessary descriptions of the wall face
was done and the basic physical indexes was measured, they
were shown in Table1.
3.2 Reinforcement of experiment area
The optimum PS material module was chose and the spraying
percolating reinforcement method was adopted. The float-
ing ash on the surface was cleared first and the PS solution
of certain concentration and quantity should be used, the
homogeneous spraying speed should be controlled and the PS

38

2007 Taylor & Francis Group, London, UK

Table 2. The reinforced test area.
PS material
Area Percolation The intensity and color variation
number Concentration% Quantity ml depth (cm) Phenomenons after reinforcing in 3 months

B1
B2 5 8334 5.6 The color become slightly deep Hard, the color as the same as the
B3 5 5000 4.9 The color become slightly deep formal wall face
B4 5 2500 4.6 The color become slightly deep
H1 3 4000 5.9 The color become slightly deep Hard, the color as the same as the
H2 5 4000 5.0 The color become slightly deep formal wall face
H3 7 4000 4.6 The color become slightly deep
H4

Table 3. The grain composition.

Grain size 510 mm 25 mm 12 mm 0.51 mm <0.5 mm

Content % 0.415 35.274 5.238 17.273 41.800

Table 4. The field wind erosion experiment.

Lasting Wind
Arear time Destroying erosion area
number (min) time (cm) The eventual damage form

B1 3 20 s 24 24 3 Lozenge, the area is 24 24 3 cm3

B2 3 2 min 20 15 Honeycomb, the diameter is about 1 cm
B3 3 1 min 18 16 Honeycomb, the largest one is 5 4 2 cm3
B4 3 1 min Block shedding of the reinforced layer
H1 4 2 min 21 20 Pisolitic, the diameter is 0.20.5 cm
H2 3.97 1 min 20 18 Honeycomb, the diameter is about 0.52 cm
H3 3.75 1 min 24 26 Slabby,honeycomb
H4 3.67 30 s 30 20 5 Circular, the area is 30 20 5 cm3

material should be sprayed in the experiment area, the spray-
ing was conducted by fits and starts and it should not stop
unless there was no percolation, the experiment was shown in
Table 2. The reinforcement experiment should confirm to the
cultural artifact protection requirement repairing the old to
make it the same as the initial.
3.3 Experiment equipment
The experiment equipment was the 1500 KW blower engine
and the wind speed was even. The carrying path of sand gravel
was a sheet iron tank of trumpet shape which was 0.8 m long,
the small stoma connects with the wind source, the diameter
was 7 cm and the large stoma was the export of the sand gravel,
the diameter was 12 cm and the distance between the large
stoma and the wall face was 1 m. The loading sand vessel was
28.5 cm high, and the up and down stomatas of the hopper
vessel are open, the up area was 17.3 14 cm2 and the up area
was 8 3.5 cm2 , the sand quantity should be controlled during
the experiment. The time control of experiment blowout was
basically the same. The experiment sand was chose from the
site directly, the sand whose grain size was more than 5 mm
should not be used, the grading was shown in Table 3.
3.4 The experiment results and analysis
Making the wind with no sand blowout last for 10 minutes, the
wall face has no breakdown phenomenon, but when adopting
the wind with sand, the breakdown of unreinforced wall face
started when the blowout last for less than 30 s, the weath-
ered layer fell off in the form of large sheet and block, the
damaging speed accelerated and the wall face was undercut.
The breakdown of the PS reinforcement area would appear
when the start time was less than 1 minutes, and the break-
down form was not the same, there was the sand gravel hitting
phenomenon on the wall face in the beginning of the break-
down, under the persistent blowout of the wind, the breakdown
changed from the pisolitic to the slabby. Generally, the main
eventual damage forms were the pisolitic breakdown, slabby
breakdown or honeycomb breakdown , the sizes of breakdown
areas were not the same, which were shown in Table 4.
The experiment result has shown that the resisting wind
erosion capacity of reinforced ancient site by PS material
become manifestly strong, adopting the wall face reinforced
by medium and low concentration PS could get the best effec-
tiveness and percolating depth and percolation rate of the
reinforcement material would have the direct effect on the
reinforcement effectiveness.
4 CONCLUSIONS
The air channel and the site simulating experiments have
shown that the resisting wind erosion capacity of reinforced
ancient site by PS material become manifestly strong.

39

2007 Taylor & Francis Group, London, UK

 The wind erosion is main destroying motive power and the
main cause of the site damaging, the experiment has shown the
wind erosion quantity increased with the increment of wind
speed and with the extending of wind erosion time, the wind
erosion increased basically in the form of linear trend.
Based on the analysis of the experiment results, it was found
that for the samples reinforced with the PS material whose
content was more than 5%, their intensity of wind erosion
resisting was 6 to 10 times than the original sample even the
wind speed reached 20 m/s and the wind erosion modules was
less than 20 kg//m2 h.
The site simulating test has shown that adopting the wall
face reinforced by medium and low concentration PS could
get the best effictiveness and percolating depth and quantity
the reinforcement material could has the direct effect on the
reinforcement effictiveness. Therefore choosing the suitable
concentration and enhancing the reinforcement percolating
power are the key to protect the ancient sites.
Considering the results of the indoor air channel experiment
and site simulating experiment synthetically, it was found that
adopting the PS material of medium concentration had slight
vantages of enhancing erosion resistance and increasing per-
colating depth, therefore, for the northwest region where the
natural condition is atrocious, adopting the material is the key
scientific path to protect the ancient site and has important
guiding effect for the all-round and scientific protection of
ancient site in northwest.
ACKNOWLEDGEMENTS
Thanks for helps of engineer ZHANG Lu of the Conservation
Institute of Dunhuang Academy and the assistance of the The
cultural relic conservation center of Dunhuang Academy and
the An Xi museum.
REFERENCES
Bai Su. The 1955. Problem on the conservation of Dun-
huang MogaoGrottoes. Cultural Relic References, (2): 3948.(in
Chinese).
40
2007 Taylor & Francis Group, London, UK
Haiying Zhao, Zuixion Li, Wenfeng Han et al. 2003. Main diseases
and their causes of earthen ruins in arid region of northwest china.
Chinese Journal of Rock Mechanics and Engineering, 22 (sup2):
28752880.(in Chinese).
Hai-ying Zhao 2005. Study on conservating the great wall of the
Qin Dynasty at the waring states period and the Han Dynasty in
Gansu Province [Ph. D. Thesis]. Lanzhou: Lanzhou University, (in
Chinese).
Haiying Zhao, Xudong Wang, Zuixion Li et al. 2006. The impact of
PS modulus and concentration on consolidating the earthen archi-
tecture sites in the arid region. Chinese Journal of Rock Mechanics
and Engineering, 25(3): 557562.(in Chinese).
Jianjun Qu, Jiacheng Wang, Guodong Cheng. 2002. An Experimen-
tal study on the mechanisms of freeze thaw and wind erosion
of ancient adobe construction in Northwest China. Journal of
glaciology and geocryology, 24(1): 5156.(in Chinese).
Manli Sun, Zuixiong Li, Xudong Wang. 2005. Characterinstic of
primary damages about the ruins of the ancient city Jjiaohe.
Dunhuang Research, (5): 9299.(in Chinese).
Mo Xiao. Dunhuang 1998. Architecture research, Beijing: cultural
relics Publishing House, (in Chinese).
Xudong Wang, Lu Zhang, Zuixiong Li et al. 2002.Research about
the Actuality and Conservation of Xixia Tomb No.3. Duhuang
Research, (4): 6474.(in Chinese).
Xudong Wang 2002. The Conservation and consolidation of the grot-
toes and the earthen architecture sites in the arid region of North-
western China [Ph. D. Thesis]. Lanzhou: Lanzhou University, (in
Chinese).
Zuixiong Li. 1990. Consolidation of neolithic earthen site with
potassium, compiled by the getty conservation institute. In: 6th
international conference on the conservation of earthen architec-
ture. the Getty conservation institute, Los Angeles, New Mexico,
U.S.A., 295301.
Zuixiong Li, Huyuan Zhang, Xudong Wang. 1995. Research on
the conservation of ancient earth structures sites. Dunhuang
Research, (3): 117.(in Chinese).
Zuixiong Li. 2003. Conservation of ancient sites on the silk road.
Beijing: science press (in Chinese).
 Fault reactivation, an example of environmental impacts of groundwater rising on
urban area due to previous mining activities

M.H. Yu & I.F. Jefferson

Department of Civil Engineering, University of Birmingham, Birmingham, United Kingdom

M.G. Culshaw
British Geological Survey, Nottingham, United Kingdom
Department of Civil Engineering, University of Birmingham, Birmingham, United Kingdom

ABSTRACT: Groundwater rising phenomena have been reported in many circumstances, and the mechanism of rising ground-
water varies according to hydrological and hydrogeological conditions. Groundwater rising can cause various geohazards which
can have serious impact on environment as well as society. Fault reactivation is one such geohazard example associated with rising
groundwater. The case in the Durham Coalfield is one of the cases where many recent fissurings can be found and are considered
to be the result of fault reactivation accompanied with rising groundwater after cessation of coal mining over the region.
The aim of this research is to estimate past and present hydrogeological condition in the Durham Coalfield enabling the
evaluation of the influence of rising groundwater phenomenon on the urban and rural environment.
Hence, in this research, the hydrogeological condition of the Durham Coalfield is evaluated. The past and present condition
is discussed with the available groundwater data, and the future trend has been simulated, by a numerical hydrogeological
model using a 3-D groundwater code MODFLOW. The result of hydrogeological model for past, present and future conditions
show that general groundwater level in the Durham Coalfield has been rising for the last a few decades. The discussion of
this research shows that groundwater rising can cause pore water pressure to increase, resulting in reducing shear strength
of pre-existing fault, which has been shown by some case histories. In addition it is found that some fault directions enables
slippage and some faults have experienced fault reactivation. Therefore it is concluded that this reduction in fault strength
caused by change in hydrogeological condition of the Durham Coalfield enables a pre-existing fault to be reactivated when
they exist in a direction of slip with respect to present regional stress direction.

1 INTRODUCTION
Groundwater levels can change due to the variation of inflow
into and outflow from a groundwater body. The change in
groundwater regime can influence the ground mass in various
ways.
The research presented in this paper focused on the rising
groundwater phenomena in the Durham Coalfield, England.
Rising groundwater is considered to result from partial cessa-
tion of dewatering in former coal mine workings. At the same
time, fissuring has been reported over the region for the last a
few decades. Donnelly (2006) represented 12 cases of fault
reactivation in the Durham and Northumberland Coalfield
which date back to the 1960s, while reviewing coal mining
induced fault reactivation in U.K. Wingham (2000) introduced
several cases of open fissures which occurred at some places
in the Durham Coalfield such as Quarrington Hill. Young and
Culshaw, (2001), and Young and Lawrence (2001) reported
fissuring and related ground movement on the Houghton-
le-Spring area in the Durham Coalfield. Some fault reacti-
vations of the cases presented above are considered to have
been induced directly by coal mining activities, while other
cases are unlikely to be to have directly resulted from the coal
exploitation, as those mine workings had been closed too early
to result in any further recent fissurings. Thus the research
presented in this paper will evaluate the relationship between
rising groundwater and fissuring in the Durham Coalfield.
The research presented here has reviewed physical setting of
the Durham Coalfield, and general mechanism of groundwater
level rising from which its impact on the environment has
been suggested. The hydrogeological model of the Durham
Coalfield was created in order to evaluate the hydrogeologi-
cal change over the region. In addition, the created numerical
model, hydrogeological conditions have been evaluated under
scenario when the present pumping scheme is ceased, this rep-
resenting the worst case future scenario. Finally as the result
of groundwater level rising, the mechanism of fault reactiva-
tion will be discussed, based on the worst case scenario of a
complete cessation of pumping across the Durham Coalfield
as well as on a present hydrogeological condition.
2 DURHAM COALFIELD
2.1 Physical setting
The Durham Coalfield is located in the North-eastern side of
England, which is bounded by the North Sea to the East and by
the Pennine to the West. The River Tyne flows and makes an
approximate northern boundary of the region. The River Wear
flows through the Durham Coalfield (Figure 1). Generally
western parts consist of higher area and the topography is
slightly inclined to the east making river flow to the east.
Geology mainly consists of the Permian Rocks and the
Carboniferous Rock (Figure 2). The Pre-Carboniferous strata
exist beneath the Carboniferous Rocks but do not outcrop
over the Durham Coalfield. The Permian Rocks overlying the
Carboniferous Rocks unconformably.

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2007 Taylor & Francis Group, London, UK

Figure 1. Geographical settings of the Durham Coalfield (after
Taylor et al., 1971).
Figure 2. Geological map of the Durham Coalfield (Yu, 2006).
2.2 Fissuring and fault reactivation
In the Durham Coalfield, fissuring and related ground
movements have been reported (Wingham, 2000; Donnelly,
42
2007 Taylor & Francis Group, London, UK
Figure 3. Depression shown on the surface in the Durham
Coalfield.
2000; Young and Culshaw, 2001; Young and Lawrence, 2001;
Donnelly, 2006). One example of such fissures and holes
found near Quarrington Hill, County Durham (Figure 3)
is over 2 metres deep with a diameter of around 1 metre,
representing a threat to the local communities over the
region.
Young (2003) reported fissuring causing cracking of the
A690 road near Houghton-le-Spring in the Durham Coal-
field, which needed immediate repairs to be undertaken by
the local authority in April 2000 and again in June 2003.
Cracks appeared on the A690 road surface, fissures were
found on the west cutting of the A690 and top of hill on both
side of the road were almost at the same line (Young and
Culshaw, 2001).
In the Durham Coalfield collieries the use of deep mining
methods ceased by 1993 (Yu, 2006), which makes it unlikely
that those recent fissurings are directly influenced by coal
mining (i.e. ground expression of mining subsidence or mine
induced fault reactivation). It may be that fissuring has only
been recently noticed and the causal mechanism dates from
earlier activity and is directly related to mining activity. How-
ever, Yu (2006) after evaluating this considered that a more
likely mechanism was due to groundwater induced fault reac-
tivation (see discussion in Section 5.1). It should be noted that
in the area of Quarrington Hill, the colliery was closed in 1983
(Wingham, 2000), and in Houghton-le-Spring area, Houghton
Colliery was abandoned in 1981(Young and Culshaw, 2001).
Thus groundwater induced movement seemed a more likely
explanation.
3 GROUNDWATER RISING AND ITS IMPACT

It has been reported that in various regions groundwater

level is rising for a number of reasons. Yu (2006) reviewed
the possible sources of groundwater level change including
change in precipitation, river level change, sea level change,
urbanisation, agricultural activities, and mining activities.
With respect to the Durham Coalfield, it is concluded that
mining activities mostly influenced the change in groundwater
regime over the region (Yu, 2006).
The Durham Coalfield was one of the most famous coal-
fields in England, whose history of the coal exploitation dates
back to medieval times. During coal mining, the groundwater
level was lowered in order to make the coal work accessible.
However after closing coal mining in the Durham Coalfield,
the dewatering scheme was changed, causing an alteration
in the groundwater level over the region. Younger (1995)
and Yu (2006) showed groundwater level changes over the
research area.
Groundwater rising phenomena can cause some serious
impact on the local communities over the regions, such as land-
slides, ground subsidence, seismicity, gas emission, impact
on structures, and salinisation (Yu, 2006). It is suggested that
seismicity or fault reactivation and gas emission are main key
geohazard occurrences influenced by changes in groundwater
Figure 4. Comparison of groundwater levels of the 1980s by
level in the Durham Coalfield (Yu, 2006). Harrison et al. (1989) and 2004 (Yu, 2006).

4 HYDROGEOLOGICAL CONDITIONS OF THE

DURHAM COALFIELD

Hydrogeological setting of the Durham Coalfield has been

reviewed from late 1980s to the future case of a full cessa-
tion of dewatering (the worst scenario) based on measured
groundwater level data and numerical simulation.

4.1 Past and present conditions

Yu (2006) showed the groundwater levels have changed from
1995 to 2004. However, it was difficult to acquire reason-
able data sets on groundwater levels before 1995 since the
data sets available do not cover the whole area. This can lead
to an unreliable hydrogeological model of the Durham Coal-
field. The most detailed data for groundwater levels before
1995 has been presented by Harrison et al. (1989). Figure 4
shows the groundwater level change between late 1980s and
2004. Figure 4 indicates groundwater level in the areas around
Sunderland and Seaham change drastically for this period,
showing a change of a few hundred metres.
The reason why those two areas experienced the severe
change in groundwater level is related to the relatively late clo-
sure (early 1990s) of collieries under operation around those
areas and their associated deep groundwater control necessity. Figure 5. Comparison of groundwater levels of 2004 and worst
case scenario where no pumping is under operation (Yu, 2006).
4.2 Future conditions
conditions have been achieved). Figure 5 indicates that it
In order to simulate a worst case scenario where all present is unlikely to expect a dramatic groundwater level change,
operating pumping stations in the Durham Coalfield have but still further level rising can be expected to some extend,
stopped, a numerical model has been created. The model has partially in the Seaham area.
been created using MODFLOW, a code for three dimensional
groundwater flow using finite difference method, which was
developed by the U.S. Geological Survey (McDonald and 5 DISCUSSION: FAULT REACTVATION
Harbaugh, 1988).
Figure 5 shows groundwater level change after stop- Groundwater level has been changed for the last a few decades
ping dewatering in the Durham Coalfield (after steady state and is expected to change in the future if the present dewatering

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2007 Taylor & Francis Group, London, UK


Figure 6. Frequency of earthquakes at Rangely. Gray bars indicate
earthquakes within 1 km of experimental well. The white area indi-
cates all others. Pressure history in a well is shown by the solid line
and predicted critical pressure is shown by the dashed line (Raleigh
et al., 1976).
scheme is ceased. In the following section the relation between
groundwater level rising and fissuring found in the Durham
Coalfield.
5.1 Conventional approaches to evaluate fault
reactivation mechanisms
The mechanisms of the fissuring in Quarrington Hill, County
Durham, Wigham (2000) suggests that the spatial variations
in coal extraction rates due to existence of fault around coal
seams caused differential subsidence over the area leading to
fissuring on the surface. Donnelly (2006) reviewed several
fault reactivation cases induced by coal mining.
However, considering the time the colliery in Quarrington
Hill closed, which was in the early 1980s, and the depth of the
seams which were around 500 metres, it is unlikely that mining
subsidence is still progressing. Whittaker and Reddish (1989)
suggested that even in the case of deep mines with depth of
around 450 metres, the subsidence process is expected to be
completed in 5 years.
Hence it is considered that the fissuring, which has been
reported in the Durham Coalfield for the last several years,
is not the result of mining subsidence directly. Rather than, it
is considered to be influenced by the rising groundwater phe-
nomena caused by cessation of dewatering for coal extraction.
5.2 Pore water pressure
The increase in pore water pressure can reduce strength of a
fault shear plane, leading to a fault reactivation.
Ingebritsen and Sanford (1998) show that injection of liq-
uid can induce seismicity. Liquid was injected at northeast
of Denver, Colorado, U.S. and an unexpected earthquake was
generated. After that, Raleigh et al. (1976) evaluated the influ-
ence of fluid injection on triggering of earthquakes under
controllable fluid pressure at Rangely, Colorado. Figure 6
shows the relationship between fluid injection and earth-
quakes. Their research presented a good relationship between
liquid injection that cause pore water pressure and fault reac-
tivation, which can be used to evaluate the influence of pore
water pressure on fault reactivation.
44
2007 Taylor & Francis Group, London, UK
Figure 7. Diagram of the maximum principal stress direction
(Bott and Bott, 2004) and the orientation of the fault in Houghton-
le-Spring (Young and Culshaw, 2001) showing vulnerability of fault
reactivation (Yu, 2006).
5.3 Fault reactivation occurrence in the
Durham Coalfield
Considering pore water pressure has increased as groundwater
level is rising, the fault is considered to be reactivated in the
Durham Coalfield. Some faults lie in a direction which can
make fault reactivation easier.
An example of fault under this condition is the fault of
Houghton-le-Spring. Yu (2006) suggested that the direction
of the fault in Houghton-le-Spring is in the correct direction
to fault slip especially when considering the orientation of
the regional maximum stress suggested by Donnelly and Rees
(2001) and by Bott and Bott (2004). Figure 7 illustrates the
relationship between the direction of the maximum principal
stress (Bott and Bott, 2004) and the orientation of the fault in
Houghton-le-Spring proposed by Young and Culshaw (2001).
The shear stress on the shear plane of the fault can be
expressed as
where 1 and 3 are the maximum principal and the mini-
mum principal stress respectively,  is apparent coefficient
of friction, and is the difference between the maximum
principal stress direction and the orientation of the fault in
Houghton-le-Spring, which is 65 degree as shown in Figure 7.
Regarding the values of the maximum and minimum prin-
cipal stress, as those values are not available, the maximum
principal stress is estimated to be 10.5 MPa and the minimum
is 0.2 MPa based on the data near Clawthorpe, Cum-
bria, England by Becker and Paladini (1992), which enables
Equation 1 to be written as:
Equation 2 indicates the changes of fault condition according
to the changes in apparent coefficient of friction as pore water
pressure changes, as well as difference of the direction of the
maximum principal stress and the fault orientation, which is
drawn in Figure 8.
As shown in Figure 8, as groundwater level is rising, pore
water pressure changes are expected, resulting in decrease of

Figure 8. Diagram showing the changes in shear stress at the fault
in Houghton-le-Spring as apparent coefficient of friction of the fault
plane changes from 0.2 to 1.2 and difference between the maxi-
mum principal stress direction and the orientation of the fault in
Houghton-le-Spring varies. The diagram indicates that as the val-
ues of apparent coefficient decrease, condition of the fault becomes
unstable (Yu, 2006).
apparent coefficient of friction. As the difference of the direc-
tion of the maximum principal stress and the fault orientation
is 65 degree, the condition of the fault is assumed to change
along the vertical line crossing 65 degree on the x-axis (Fig-
ure 8). Hence apparent coefficient of friction is estimated to be
between 0.4 and 0.6 based on the fault in Houghton-le-Spring
being in an unstable condition.
In the case of modelling a fault in central California,
Reasenberg and Simpson (1992) assumed the apparent coef-
ficient of friction of the fault is 0.2, while Harris and Simpson
(1992) assumed that the apparent coefficient of friction is
0.8 when pore fluid drains and the pore water pressure
re-equilibrated with time. Therefore it seems that the range
of apparent coefficient of friction suggested from Figure 8
lies within the range by Reasenberg and Simpson (1992) and
Harris and Simpson (1992).
However, Figure 8 does not seem to imply that any other
faults whose orientations are less 65 degree are necessarily
under unstable condition since it is likely that the value of
apparent coefficient of friction can vary depending upon each
specific condition of fault such as water distribution, spa-
tial variation of groundwater level and roughness of fracture.
Hence Figure 8 is assumed to be only applicable to the case
of the fault in Houghton-le-Spring.
In addition, considering further groundwater level rising
as shown in Figure 5, further fissuring could be expected as
it is expected that pore water pressure will increase. But as
groundwater level change is not as drastic as it has been, severe
fault reactivation is not anticipated.
6 CONCLUSION
Fissuring found in the Durham Coalfield is considered not to
be the result of subsidence, since the subsidence in the Durham
Coalfield seems to be completed. Hence rising groundwater
caused by cessation of coal mining resulted in the stress pattern
in the Durham Coalfield, which reduce the strength of the fault
leading to fault reactivation over the region.
45
2007 Taylor & Francis Group, London, UK
ACKNOWLEDGEMENTS
This paper is published with the permission of the Execu-
tive Director of the British Geological Survey (NERC). The
authors greatly appreciate the data provided by the Coal
Authority and the Environment Agency.
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Becker A. and Paladini, S., 1992. Intra-plate stresses in Europe and
plate-driving mechanisms. Annales Tectonicae, 6, 2, 173192.
Bott, M.H.P. and Bott, J.D.J., 2004. The Cenozoic uplift and earth-
quake belt of mainland Britain as a response to an underlying
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Donnelly, L.J. and Rees, J.G., 2001. Tectonic and mining induced
fault reactivation around Barlaston on the Midlands Microcra-
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Donnelly, L.J., 2000. Reactivation of geological faults during min-
ing subsidence from 1859 to 2000 and beyond. Transactions of
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Donnelly, L.J., 2006. A review of coal mining induced fault reactiva-
tion in Great Britain. Quarterly Journal of Engineering Geology
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 Fluid flow and tracer transport simulations for rock fractures under
normal loading and shear displacement

T. Koyama & L. Jing

Department of Land and Water Resources Engineering, Royal Institute of Technology (KTH), Sweden

ABSTRACT: The fluid flow and tracer transport in rock fractures during shear processes has been an important issue in rock
mechanics and is investigated in this paper using Finite Element Method (FEM) for fluid flow and particle tracking simulations,
considering evolutions of aperture, transmissivity and flow rate, with large shear displacements under different normal stress
and stiffness conditions as measured during laboratory coupled shear-flow tests. Flow and tracer transport results shows that
more realistic flow and transport phenomena/mechanism were captured due to more proper treatment of contact areas compared
with pervious works reported in the literatures.

1 INTRODUCTION conditions were simulated by using numerical simulations

Coupled stress-flow-tracer transport processes in rock frac-
tures are increasingly important research topics for high-
level radioactive waste disposal facilities in crystalline rocks
because their safety assessments are mainly based on the
knowledge of paths and travel times of radioactive nuclide
transport that is dominated by groundwater flow in rock
fractures.
As far as laboratory tests for rough rock fractures are
concerned, laboratory studies focusing on the effect of both
normal and shear stresses on fluid flow through rock fractures,
so-called coupled shear-flow tests, have been a particular
attraction due to its importance to understand and quantify the
coupled stress-flow processes in fractured rocks (e.g. Esaki
et al., 1999; Auradou et al., 2005). The coupled shear-flow
tests have been performed not only under constant normal
stress/load (CNL) condition but also constant normal stiff-
ness (CNS) condition recently (Li et al., 2006a, b). However,
no coupled shear-flow-tracer tests have been performed under
combined normal stress and shear displacement even the effect
of the shear on the transport phenomena has been investigated
without considering normal stresses (Plouraboue et al., 2000).
Fluid flow and solute transport simulations in rough frac-
tures are often performed without considering effects of
any stresses, normal stress without any shear displacement
(Thompson, 1991; Jeong and Song, 2005) or shear displace-
ment without normal stress (Koyama et al., 2006a). The
Reynolds equation is commonly applied to simulate such tests
instead of the Navier-Stokes equation. How to measure or cal-
culate the fracture aperture under different normal stresses and
shear displacements during the coupled stress-flow tests and
numerical simulations for such tests are the most essential
points to understand the processes, interpret the testing and
simulation results and quantify the hydraulic properties. The
important phenomenon of shear induced anisotropy and het-
erogeneity of aperture distribution and its effects on fluid flow
and transport in fractures, such as the more significant flow
in the direction perpendicular to the shear, was reported in
Koyama et al. (2006a, b). These findings represent an impor-
tant step for more physically meaningful understanding of the
coupled shear-flow-transport processes in rock fractures.
In the present study, laboratory shear-flow tests for fracture
replicas under different normal stresses and normal stiffness
with FEM considering simulated evolutions of aperture and
transmissivity with large shear displacements first. Next, the
unidirectional flow perpendicular to the direction of shear,
which is difficult to be realized in the laboratory shear-flow
tests, was predicted. Finally, particle movement in the fracture
during shear was simulated using streamline particle tracking
method. The distributions of fracture aperture and its evolu-
tion during shearing and the flow rate were calculated from the
initial aperture and shear dilations and compared with results
measured in the laboratory coupled shear-flow tests. The con-
tact areas in the fractures were treated correctly with zero
aperture values with a special algorism so that more realistic
flow velocity fields and particle transport paths were captured.
2 EXPERIMENTAL STUDY
2.1 Sample preparation
A natural rock fracture surface, labeled J3, were taken from
the construction site of Omaru power plant in Miyazaki pre-
fecture in Japan and used as the parent fracture surface in this
study. Three replicas of fracture specimens were manufac-
tured, named as J3-1, J3-2 and J3-3, with the J3 as the parent
fracture surface. The specimens are 100 mm in width, 200 mm
in length and 100 mm in height, respectively. They were made
of mixtures of plaster, water and retardant with weight ratios
of 1: 0.2: 0.005. The surfaces of the natural rock fractures were
firstly re-cast by using resin, and then the two parts of a frac-
ture specimen were manufactured based on the resin replica.
By doing so, the two parts of each fracture specimens used in
this study are almost perfectly mated as the initial contact ratio
very close to 1.0. A 3-D laser scanning profilometer system
was employed to obtain the topographical data of rock fracture
surface J3, generating a scanning grid with a scanning interval
of 0.2 mm in both x and y-axes, as shown in Fig. 1 (Li et al.,
2006a, b).
2.2 Laboratory shear-flow tests
A series of coupled shear-flow tests under CNL and CNS
conditions (a constant normal stress of 1.0 MPa for J3-1, nor-
mal stiffness of 0.2 GPa/m with an initial normal stress of
1.0 MPa for J3-2 and normal stiffness of 0.5 GPa/m with an

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2007 Taylor & Francis Group, London, UK

Figure 1. 3-D models of fracture specimen J3 based on the
measured topographical data.
initial stiffness of 1.0 MPa for J3-3, respectively) were carried
out using the newly developed apparatus in Nagasaki Uni-
versity, Nagasaki, Japan. The details about features of the
coupled shear-flow testing apparatus and testing procedure
were reported in Li et al. (2006a, b).
2.3 Aperture calculation during shear
The mean aperture of each scanned grid zone was calculated at
each shear displacement interval (1.0 mm) based on the initial
aperture and shear dilations measured in the laboratory tests.
Numerical shearing is simulated by moving the upper surface
by a horizontal translation of 1.0 mm in the shear direction,
then uplifting by the dilation increment according to the mea-
sured mean shear dilation value at that shear interval. Shear
displacement was applied up to 18 mm. Since initial aperture
is zero for fully mated specimens, full contact is assumed
everywhere with zero aperture as the initial condition in the
numerical simulations. When a grid zone has its two opposing
surfaces separated, it represents a void zone and its aperture is
evaluated as the mean distance in the direction normal to the
mean plane of the fracture. When a grid zones two opposing
surfaces are just in touch or penetrate each other with negative
values of contact distance, it represents a contact zone and is
assigned with a zero aperture. In reality the latter represents
surface damage/asperity degradation.
3 NUMERICAL SIMULATION
3.1 Governing equations
The fluid flow was simulated using the commercial FEM
software, COMSOL Multiphysics that solves the Reynolds
equation for steady state flow with full saturation of the sam-
ple. The evolutions of the aperture distributions during the
shearing were determined in each shearing step and the evo-
lutions of the fracture transmissivity fields were calculated by
assuming the local validity of the cubic law (Koyama et al.,
2006a, b). In the numerical modeling of fluid flow, effect of
gorge materials is ignored since negligible amount of gorge
materials were observed during tests. Asperity deformation
was not considered but damage at contact points were partially
approximated by removing the overlapping parts of contacting
asperities in the contact elements.
A Lagrangian approach for a particle tracking method was
adopted for particle transport simulations, considering only
the advection process. The random dispersion due to diffu-
sion of the solute particles within the pore fluid, and other
retardation mechanisms such as sorption or decay, were not
taken into account. As steady-state fluid flow was under con-
sideration, particle tracking along the streamlines was used
(Koyama et al., 2006a).
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2007 Taylor & Francis Group, London, UK
Figure 2. Boundary conditions for the flow (a) parallel with and
(b) perpendicular to the shear displacement, and (c) calculation mesh.
3.2 Boundary conditions and the treatment of
contact area
Both unidirectional flows parallel with and perpendicular to
the shear direction were considered in the flow simulations by
fixing the initial hydraulic heads of 0.1 m and 0 m along the
left- and right-hand boundaries for the flow parallel with the
shear direction (Fig. 2a), and the bottom and top boundaries for
the flow perpendicular to the shear direction (Fig. 2b), respec-
tively. The flow boundary condition for the flow parallel with
the shear direction is the same as the one used in the laboratory
coupled shear-flow tests. Since the sizes of the upper and lower
parts of the specimens are the same, the actual contact lengths
decrease during shear. As a result, the hydraulic gradient was
not constant (became progressively larger) during shear.
In this study, contact areas/elements were numerically elim-
inated from the calculation domain and their boundaries were
treated as additional internal boundaries with a zero flux con-
dition h/n (h) n = 0, where n is the outward unit normal
vector, in order to satisfy conditions of no flow into or out of the
contact areas (Zimmerman et al., 1992), as shown in Fig. 2c.
4 RESULTS
4.1 Numerical simulation of the laboratory
shear-flow tests
The simulated results of flow velocities are superimposed in
Figure 3, with transmissivity evolutions during shear at differ-
ent shear displacements for fracture J3 under constant normal
stress of 1 MPa, J3-1. Since the samples were assumed to be
fully mated with a zero initial aperture, no flow is possible at
the start. At 1 mm of shear displacement, the contact areas are
widely and uniformly distributed over the whole fracture sam-
ple. More continuous flow paths start to form at 2 mm of shear
displacements, and continue to grow into main flow paths with
continued decrease of contact areas and increase of transmis-
sivity, with increasing shear displacement The shear caused
widely distributed contact areas and complicated void space
geometry, leading to complex structure of transmissivity and
flow velocity fields. As a result, flow patterns (or stream lines)
become very tortuous. This phenomenon is the well-known
channelling effect.
The flow rate at the outlet boundary (along x = 0) of sample
J3 with different normal loading conditions were compared
 1.0E-02

Normalized flow rate, m /sec/m

1.0E-03

3
1.0E-04 J3-1_x
J3-1_y
J3-2_x
1.0E-05
J3-2_y
J3-3_x
1.0E-06
J3-3_y

1.0E-07
0 5 10 15 20
Shear displacement, mm

Figure 5. Comparison of the normalized flow rates at the outlet

for fracture sample J3 under different normal loading conditions,
J3-1, J3-2 and J3-3, betweeen the flows in the direction parallel with
(x-direction) and perpendicular to (y-direction) the shear.

4.2 Simulation for shear-induced flow anisotropy

In Figure 3, the simulated results of flow velocity fields are
also compared between in the direction parallel with (Fig. 3a)
and perpendicular to (Fig. 3b) the shear displacement. Figure 5
shows the flow rates calculated at two cross sections. One
is the flow rate in x-direction at position of x = 0 and the
other is the flow rate in y-direction at position y = 0.1 m. It
should be noted that the flow rates are normalized by divid-
ing hydraulic gradient and edge length of the fracture samples
Figure 3. Flow velocity fields with transmissivity evolutions for since the samples are not square (the edge length is different)
J3-1 (under 1 MPa of normal stress), for the flow (a) parallel with
and therefore hydraulic gradient are different. The two sets of
and (b) perpendicular to the shear displacement.
result show completely different flow patterns. When the gen-
eral flow direction is parallel to the shear direction (Fig. 3a),
the flow is more tortuous. When the general flow direction is
1.0E-03 perpendicular to the shear direction (Fig. 3b), the flow field
1.0E-04 becomes more regular through higher transmissivity channels,
with larger flow rate than that with flow parallel with shear,
Flow rate, m3/sec

1.0E-05 about from 5 to 10 times, with increasing shear displacement.

J3-1_experiment
1.0E-06 J3-1_simulation
J3-2_experiment 4.3 Particle tracking
1.0E-07 J3-2_simulation
J3-3_experiment The particle movements for sample J3 under a normal stress
1.0E-08
J3-3_simulation of 1.0 MPa, J3-1 were predicted. The results of the particle
1.0E-09 motion are shown in Figure 6, considering only flow paral-
0 5 10 15 20 lel with shear, with 100 particles were evenly distributed at
Shear displacement, mm the inlet initially. Figure 7 shows the breakthrough curves at
different shear displacements. From these figures, particles
Figure 4. Comparision of the flow rate at the outlet between lab- started coming out of the sample after 3 mm shear displace-
oratory experiment and nemerical prediction for fracture sample J3 ment and some of the particles stay inside the fracture due
under different normal loading conditions J3-1, J3-2 and J3-3. to the local flow rotations caused by the zero-aperture contact
areas (Fig. 6). Starting at 5 mm shear displacement, the most of
the particles travel much faster and therefore the breakthrough
curves become steeper. This means that fracture dispersiv-
between laboratory tests and numerical simulations as shown ity becomes lower and advective transport is more dominant.
in Fig. 4. The general behaviors of the simulated flow rate In addition, after 5 mm shear displacement, the shape of the
variations with shear displacements under different normal breakthrough curves does not change very much, due to the
stress/stiffness conditions were captured for all three condi- more steady state of particle paths as indicated in Figures. 3
tions of normal loading, agree well with measured results. and Figure 6.
Both simulated and measured flow rates show the sharp
increase at about 2 mm shear displacements and continue to
increase but with a progressive reduction of gradient, and more 5 CONCLUSIONS
stabilized flow rate after the 5 mm shear displacement. The
general increase of flow rate is about 45 orders of magnitude The general fluid flow and particle transport behaviors pre-
from the initial state before shear. sented here are more realistic, due to more proper treatment

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2007 Taylor & Francis Group, London, UK

 At present only numerical simulations can illustrate realisti-
cally the process of complex evolution of the flow localization
(channeling) and its effect on the tracer transport during
shear under different normal loading conditions, since direct
measurement and visualization is impossible.

ACKNOWLEDGEMENT

The authors thank Dr. Y. Jiangs group at Nagasaki University,

Japan for supplying the experimental data.

REFERENCES

Auradou, H., Drazer, G., Hulin, J.P. and Koplik, J. 2005. Permeability
anisotropy induced by the shear displacement of rough fracture
Figure 6. Particle movements for the flow parallel with the shear walls. Water Resour Res, 41, W09423, doi: 10.1029/2005WR
displacement under normal stress of 1 MPa. 003938.
Esaki, T., Du, S., Mitani, Y., Ikusada, K. and Jing, L. 1999. Develop-
100 ment of a shear-flow test apparatus and determination of coupled
properties for a single rock joint. Int J Rock Mech Min Sci, 36:
10 mm
80 5 mm
64150.
Particles, %

7 mm
60
18 mm
40
3 mm
20
0 March, 2006.
0 5 10 15 20 25
Time, sec
Figure 7. Breakthrough curves at different shear displacements for
sample J3 under normal loading condition J3-1.
of contact areas with zero aperture in flow and particle trans-
port simulations, compared with earlier results reported in
literature about flow simulations without stress or shear, and
with artificially assigned very small aperture values for the
contact areas to avoid singularities of FEM models caused by
such non-zero aperture in contact areas.
This result clearly illustrates the limitations of the tradi-
tional boundary conditions in shear-flow tests in which the
significant effect of shear dilation on flow in the direction per-
pendicular to shear direction cannot be captured and therefore
is often neglected. This shortcoming may lead to signifi-
cant underestimation of the fluid transmissivity of the rock
fractures during shearing processes.
Jeong, W. and Song, J. 2005. Numerical investigations for flow and
transport in a rough fracture with hydromechanical effect. Energy
Sources, 27: 9971011.
Koyama, T., Vilarrassa, V., Neretnieks I. and Jing, L. 2006a Shear-
induced flow channels in a single rock fracture and their effect
on particle transport, Manuscript submitted to Water Resour Res,
Koyama, T., Fardin, N., Jing, L. and Stephansson, O. 2006b. Numer-
ical simulation of shear induced flow anisotropy and scale depen-
dent aperture and transmissivity evolutions of fracture replicas. Int
J Rock Mech Min Sci, 43(1): 89106.
Li, B., Jiang,Y., Koyama, T., Jing, L. and Tanabashi,Y. 2006a. Exper-
imental study on hydro-mechanical behaviour of rock joints by
using parallel-plates model containing contact area and artifi-
cial fractures. Manuscript submitted to Int J Rock Mech Min Sci,
October, 2006.
Li, B., Jiang, Y., Saho, R., Tasaku, Y. and Tanabashi, Y. 2006b. An
investigation of hydromechanical behaviour and transportability
of rock joints. In: Rock Mechanics in Underground Construction,
eds. Leung CF Y and Zhou YX, World Scientific, pp. 321.
Plouraboue, F., Kurowski, P., Boffa, J.M., Hulin, J.P. and Roux, S.
2000. Experimental study of the transport properties of rough self-
affine fractures. J Contam Hydrol, 46: 295318.
Thompson, M.E. 1991. Numerical simulation of solute transport in
rough fractures. J Geophys Res, 96(B3): 41574166.
Zimmerman, R.W., Chen, D.W. and Cook, N.G.W. 1992. The effect
of contact area on the permeability of fractures. J Hydrology, 139:
7996.

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2007 Taylor & Francis Group, London, UK

 Influence of water vapor pressure of surrounding environment on fracture
toughness and crack velocity of rocks

Y. Obara, K. Sasaki & Y. Yoshinaga

Graduate School of Science and Technology, Kumamoto University, Kumamoto, Japan

Y. Suzuki
Tokyo Electric Power Services Co., Ltd., Tokyo, Japan

ABSTRACT: The influence of water vapor pressure of surrounding environment on fracture toughness and subcritical crack
velocity of rock is clarified from the results of a series of two types of test under various water vapor pressures, namely SCB
(Semi-Circular Bend) test and DT (Double torsion) test. The rocks used in the tests are Kumamoto Andesite and Kunnum
Basalt, and the range of water vapor pressure is from 103 to 103 Pa. Base on the experimental results, it is shown that fracture
toughness decreases with increasing water vapor pressure, and that the crack velocity increases with increasing water vapor
pressure at the same stress intensity factor.

1 INTRODUCTION crack velocity within rock, SCB (Semi-Circular Bend, Lim

et al., 1994) test and DT (Double torsion, Evans, 1972) test are
At the beginning of this century in Japan, the construction of performed under the various water vapor pressures from 103
facility of high-level nuclear waste disposal is planned. Since to 103 Pa. A series of both tests is conducted for Kumamoto
this facility has to be used for a long term, it is important to esti- andesite and Kunnum basalt. The fracture toughness for Mode
mate long-term strength of surrounding rock in underground I is estimated from SCB test, and the relation between crack
environment. velocity and crack intensity factor is estimated from DT test.
The long-term strength of rock is concerned to not only Then the influence of water vapor pressure on the fracture
time dependent behavior of rock, such as creep phenomena, toughness and crack velocity is discussed from the obtained
but also initiation and propagation of cracks within rock. The results.
latter problem is one of subjects in Fracture Mechanics. The
initiation of crack is associated with stress intensity factor, and
the propagation of crack is associated with subcritical crack 2 FUNDAMENTALS OF TEST
growth.
The crack within rock opens and initiates when the stress 2.1 SCB test
intensity factor reaches a critical value. For plane strain con-
ditions, this is called fracture toughness and denoted as KIC . The schematic view for SCB test is shown in Fig. 1. The shape
The fracture toughness of rock is known to be affected by of specimen is semi-circular which a circular disk is cut into
the surrounding environment, such as temperature, humidity two halves, and has an artificial single notch of which length
and so on. Meredith & Atkinson (1985) made clear the effect is a. Radius and thickness of specimen are defined as r and
of temperature from results by double torsion (DT) test. The t respectively. The specimen is loaded in three-point bending
effect of water on fracture toughness of granite is also shown, by lower two support rollers and upper one loading roller.
based on the results of a three-point bending test (The Japan The fracture toughness for Mode I is defined by the follow-
society of Mechanical Engineering, 1989). From these results, ing equation, using maximum applied load Pmax , normalized
the fracture toughness of rock is also considered to be depen- stress intensity factor YI and specimen size (Lim et al., 1994).
dent on water vapor pressure in the atmosphere. However, it
is insufficient to discuss the influence of water vapor pressure
on the fracture toughness.
On the other hand, subcritical crack growth occurs due to
stress corrosion. Freiman (1984) and Waza et al. (1980) dis-
cussed the effect of the water content on crack velocities from
the results of DT test. Furthermore, Meredith & Atkinson
(1985) clarified influence of water vapor pressure on crack
propagation of Westerly granite by DT test. However, it is
also insufficient to discuss about the influence of water vapor
on the long-term stability of underground facilities, then more
data concerning the effect of surrounding environment of rock
is necessary.
In order to make clear the influence of water vapor pressure
in surrounding environment on fracture toughness of rock and Figure 1. Schematic view for SCB test.

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 Figure 3. Specimen of Kumamoto andesite for SCB test.

Figure 2. Schematic view for DT test.

The normal stress intensity factor is a function of crack length

a and support span width 2 s. The value of the function is used Figure 4. Specimen of Kunnum basalt for DT test.
in the case of r/s = 0.8 in this test.

2.2 DT test
The schematic view for DT test is shown in Fig. 2. The spec-
imen is a thin rectangular plate which has an artificial single
notch with length a. The specimen is loaded in four points
bending by lower two support rollers and upper two loading
rollers.
In DT test, the relaxation test is conducted. The dis-
placement of the loading point is kept constant during the
experiment in the relaxation test. The stress intensity factor Figure 5. Photograph of vacuum chamber.
KI and crack velocity da/dt is defined from obtained load
relaxation curve as follows:

where C is a coefficient. In this test, this value is 1.0. B is a

constant which depend on the elastic modulus of the material.
Pi and i are initial load and compliance, respectively. E is
Youngs modulus, v is Poissons ratio, and other parameters Figure 6. Schematic view of evacuation system.
are scale of specimen in Fig. 2.
specimens, these were kept in the electric drier oven at constant
temperature 100 C for 30 days.
3 SPECIMEN

Figure 3 is a specimen of Kumamoto andesite for SCB test.
Kumamoto andesite is composed of amphibole, plagioclase,
pyroxene, and groundmass. This rock is isotropic and homo-
geneous (Obara et al., 1992). Specimen was cut into half from
circular disk, and artificial notch made by diamond blade. The
size of specimen is: r = 37.5 mm, t = 20.0 mm, a = 0.5r with
width of 0.4 mm.
On the other hand, a specimen of Kunnum basalt for DT
test is shown in Fig. 4. This is composed of phenocryst and
grandmas, and has isotropy on wave velocity. The size of spec-
imen is the width w = 34 mm, the thickness d = 2.6 mm and
dn = 2 mm and length L = 80 mm, the length of arm of loading
point wm = 13 mm.
It is necessary that water within specimen is removed to
examine influence of surrounding environment of rock. There-
fore, in order to achieve complete dry condition of the rock
4 APPARATUS AND TESTING METHOD
The specimen on special loading tool for SCB and DT test are
setup in a special vacuum chamber as shown in Fig. 5. The
vacuum chamber is used to control surrounding environment
of rock specimen, using the evacuation system. This consists
of two vacuum pumps as shown in Fig. 6.
Figure 7 shows the change of pressure in the chamber during
test. At first, after the air in the chamber was evacuated by
using two vacuum pumps until the pressure of about 103 Pa,
and then the distilled water was injected through the injection
valve to a pressure of about 103 Pa. As the result, the pressure
in the chamber becomes the saturated water vapor pressure
at room temperature and that the chamber is filled with only
water vapor. It is considered that the air in the chamber can
be fully changed to a new environment. Then the water vapor

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Figure 7. Change of pressure in the chamber during test.
Figure 8. Load-displacement curve for Kumamoto andesite and
Kunnum basalt.
in the chamber was exhausted again. After the required water
vapor pressure was maintained for about 6 hours, SCB or DT
test is performed.
The chamber is set up at a servo-controlled testing machine
with a capacity of 100 kN. The load and displacement are
recorded using the load cell with a capacity of 2kN equipped
on the loading plate and the displacement gauge of testing
machine, respectively.
5 RESULT AND DISCUSSION
5.1 SCB test
The nine specimens for Kumamoto andesite and the eleven
specimens for Kunnum basalt were conducted in a series of
the test. The range of water vapor pressure p on the test is
from 103 to 103 Pa. Fracture toughness KIC is calculated by
equation (1).
Figure 8 shows an example of load-displacement curves
obtained by the test. These relations are downward convex
at low stress level, and then show straight until specimen is
fractured at maximum load.
The relation between fracture toughness and water vapor
pressure is shown in Figure 9. The fracture toughness is plotted
almost linearly against water vapor pressure and increases with
decreasing water vapor pressure. The solid line is drawn by
the approximation of the least square method. This line is
represented by:
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2007 Taylor & Francis Group, London, UK
Figure 9. Relation between fracture toughness and water vapor
pressure.
Figure 10. Relation between time and displacement, load.
where is a constant and m is the slope of the approximated
line on the logarithmic graph. The values of and m for
Kumamoto andesite and Kunnum basalt are 1.62 and 0.0125,
2.45 and 0.0122, respectively. It is noted that the influence of
water vapor pressure on fracture toughness is almost the same
as that on uniaxial compression strength and tensile strength
(Jeong et al., 2001, 2007).
5.2 DT test
The three specimens of Kumamoto andesite and Kunnum
basalt were conducted in a series of the test. The range of
water vapor pressure in the test is from 103 to 103 Pa.
Figure 10 shows an example of relation between time and
load, or displacement. It is found that the load is relaxed due
to crack propagation when displacement is constant.
The relation between stress intensity factor and crack veloc-
ity is shown in Fig. 11. Each result is approximated by a linear
equation as follows:
where is a constant and n represents inclination of line and
is called as stress corrosion index. The inclinations of lines
in same rock type are almost same. The value of n is 35 for

Figure 11. Relation between crack velocity and stress.
Figure 12. Model suggested by our test results.
Kumamoto andesite and 33 for Kunnum basalt, respectively.
Furthermore, these lines are moved to lift side with increas-
ing water vapor pressure. This means that the crack velocity
increases with increasing water vapor pressure at the same
stress intensity factor.
Considering this result together with the results of CSB test
in which fracture toughness decreases with increasing water
vapor pressure, the relation between crack velocity and stress
intensity factor can be modified as shown in Fig. 12.
6 CONCLUSION
A series of SCB test and DT test for Kumamoto andesite
and Kunnum basal was performed under various water vapor
pressures, and fracture toughness and relation between crack
54
2007 Taylor & Francis Group, London, UK
velocity and stress intensity factor were estimated. The results
obtained in this paper are summarized as follows:
1) Fracture toughness of rocks depends on water vapor pres-
sure of surrounding environment, and decreases with
increasing water vapor pressure. The tendency of influ-
ence of water vapor pressure on fracture toughness is the
same as that on uniaxial compressive strength or tensile
strength. The relation between fracture toughness and water
vapor pressure can be represented as: KIC = pm where
is a constant and m is the slope of the approximated
line on the logarithmic graph. These values of Kumamoto
andesite and Kunnum basalt are 1.62, 0.0125 and 2.45,
0.0122, respectively.
2) Relation between crack velocity and stress intensity fac-
tor of rocks obtained from the DT test is represented by the
equation: V = KIn , where is a constant and n is stress cor-
rosion index. The value of n is 35 for Kumamoto andesite
and 33 for Kunnum basalt, respectively. Furthermore, the
crack velocity increases with increasing water vapor pres-
sure at the same stress intensity factor. It is clear that the
crack velocity has a dependence of water vapor pressure of
surrounding environment.
3) Based on above results, a modified model for relation
between crack velocity and stress intensity factor are
suggested.
REFERENCES
Evans, A.G. 1972. A method for evaluating the time-dependent fail-
ure characteristics of brittle materials and its application to
ploycrystalline alumina. J. Mater. Sci., 7, 11371146.
Freiman, S.W. 1984. Effects of chemical environments on slow crack
growth in glasses and ceramics. J. Geophys. Res., 89, 40724076.
Jeong, H.S. & Obara, Y. 2002. Strength of Kumamoto andesite in
non-atmospheric environments. Shigen-to-Sozai, 118, 599604.
Jeong, H.S., Kang S.S & Obara Y. 2007. Influence of surrounding
environments and strain rates on the strength of rocks subjected
to uniaxial compression. Int. J. Rock Mech. Min. Sci., Vol. 44,
321331.
Lim, I.L., Johonston, I.W., Choi, S.K. & Boland, J.N. 1994. Frac-
ture Testing of a Soft Rock with Semi-circular Specimens Under
Three-point Bending. Part-Mode I. Int. J. Rock Mech. Min. Sci. &
Geomech. Abstr., Vol. 31, No. 3, 185197.
Meredith, P.G. & Atkinson, B.K. 1985. Fracture toughness and sub-
critical crack growth during high-temperature tensile deformation
of Westerly granite and Black gabbro. Phys. Earth Planet. Int., 39,
3351.
Obara, Y., Sakaguchi, K., Nakayama, T. & Sugawara, K. 1992.
Anisotropy effect on fracture toughness of rock. Proc. ISRM
Symposium: EUROCK92, 712.
The Japan society of Mechanical Engineering 1989. Fracture dynam-
ics and application. Corona Publishing Co., 4047.
Waza, T., Kurita, K. & Mizutani, H. 1980. The effect of water on
the subcritical crack growth in silicate rocks. Tectonophysics 67:
2534.
 Measurement of micro crack volume in low porosity crystalline rock

L. Jacobsson & M. Flansbjer

Building Technology and Mechanics, SP Technical Research Institute of Sweden, Bors, Sweden

R. Christiansson
Swedish Nuclear Fuel and Waste Management CO, Stockholm, Sweden

T. Jansson
Tyrens AB, Gothenburg, Sweden

ABSTRACT: The in-situ porosity is used for modelling diffusion within crystalline rock in order to determine its retention
properties. Such information is important for the safety analysis when siting a deep geological repository for nuclear waste.
The total porosity is determined in the laboratory on drill core specimens, which have experienced stress relaxation causing
an opening of natural pores and stress-induced microcracks. The in-situ porosity can be estimated by subtracting the porosity
due to microcracks from the total porosity determined in laboratory. Hydrostatic compression tests on granite specimens from
two sites, with loading up to 50 MPa and 100 MPa, were carried out in order to determine the microcrack volume. The tests indi-
cated that major closure of microcracks had occurred at 50 MPa. Moreover, the in-situ porosity was found to be approximately
1015% less than the total porosity in the laboratory samples studied.

1 INTRODUCTION at depth can lead to a significant increase in crack porosity

The Swedish Nuclear and Fuel Waste Management CO (SKB)
is currently carrying out investigations at two candidate sites
(Forsmark and Oskarshamn) for a final repository for nuclear
spent fuel, which include extensive surface and borehole
investigations down to a maximum depth of 1000 m, and site
modelling involving different geoscientific disciplines. The
results are used for preliminary Design Studies and Safety
Assessments. Among the activities, investigations and model-
ing of the transport properties of the bedrock are carried out
to develop site-specific descriptions of the radionuclide trans-
port processes. The investigations yield parameters used for
the radionuclide transport calculations performed by Safety
Assessment in models developed by Safety Assessment and
others (SKB 2005, 2006).
The transport properties of the rock mass depend on poros-
ity, diffusion and sorption. Porosity is measured on cores.
The diffusivity is quantified via the formation factor which is
obtained from diffusion experiments and electrical resistivity
measurements. The resistivity can be measured in laboratory
on rock samples saturated with NaCl and in borehole in-situ
experiments (Lfgren & Neretnieks 2003).
In-situ measurements of the formation factor at depth for
the Forsmark site indicate a considerably lower value than
corresponding values from laboratory measurements (SKB
2005). Furthermore, the laboratory resistivity measurements
suggest an increasing formation factor with depth while no
such increase could be observed for the in-situ results.This dis-
crepancy between the laboratory and in-situ formation factor
could be related to an increase in the porosity of the laboratory
samples caused by stress release. This notion is supported by
a tendency for sonic velocities measured on cores from the
Forsmark site to decrease below approximately 500550 m
depth (SKB 2005). It is known that extracting core samples
(Chernis 1984, Martin & Stimpson 1994) and the dependence
of stress on the formation factor was investigated by Skagius &
Neretnieks (1986). In this paper we report the porosity mea-
surements on laboratory samples from various depths and
compare to the estimated in-situ porosity.
2 OCCURENCE OF MICROCRACKS
In crystalline rocks the porosity occurs from two sources: (1)
new stress-induced microcracks from the coring process, and
(2) naturally closed pores that open when the in-situ stress is
released. In hard rocks natural pores tend to have polygonal
shapes, while stress-induced microcracks tend to have long-
parallel walls, see Figure 1. Investigations of granite by SKB
(2005) and SKB (2006) yielded values of the natural porosity
between 0.10.4%. Chernis & Robertson (1987) found that
most grain boundary cracks form around quartz grains in a
laboratory study of microcracks on Lac du Bonnet granite.
Ninety percent of natural cracks occur along grain boundaries.
The remaining cracks that could be distinguished from stress-
relief cracks occur as intragranular cracks, chiefly in feldspars.
There is a stress limit for which stress-induced microcrack-
ing occurs in a drilled core. Stress redistribution takes place in
the specimen around the coring bit while coring, which may
or may not exceed the threshold for inducing new microcracks
(Lim et al. 2007). The larger the amount of stress release, the
greater the potential for an increase in pore volume due to
stress-induced cracks.
Walsh (1965) found that the required pressure to fully close
a penny-shaped crack or pore within a solid material subjected
to hydrostatic compression was

55

2007 Taylor & Francis Group, London, UK


Figure 1. Pore structure in Lac du Bonnet granite, from Chernis
(1984). The left photo is a natural pore while the right photo is a
stress-induced microcrack.
Pore structure
collapse
Pressure p
Elastic
compression
Microcrack and natural
pore closure
Relative volume change DV/V
Figure 2. Schematic response during a hydrostatic compression
test. Pessure vs. volumetric deformation, cf. Goodman (1989).
where E is Youngs modulus, is the Poisson ratio and is the
ratio of the width to the length of the crack. Hence, the crack
closing pressure pc is expected to be lower for stress-induced
cracks, which are long and thin, than for natural pores, which
are significantly shorter and wider, cf. Figure 1.
The natural distribution of for pores and microcracks in
a rock material yields a response curve, which is initially
mainly associated with closure of microcracks, yielding a
non-linear progressively increasing bulk stiffness. The non-
linearity vanishes when the cracks are closed even though
a slight non-linearity associated with closing of pores above
some pressure level may be observed, cf. Figure 2. Zero poros-
ity will yield a linear response entirely given by the intact
particles constituting the grain structure, while an increase of
porosity will lead to an increased volumetric deformation.
Results from hydrostatic compression tests on low porous
rock in the literature are reported by, cf. Stephens (1964),
Brace (1965), Simmons & Siegfried (1974) and Siegfried &
Simmons (1978).
3 SPECIMEN AND TEST DESCRIPTION
The specimens tested originate from drill hole KFM01A (sub-
sequently denoted FM) at the Forsmark site investigation area
and drill hole KLX17A (subsequently denoted LX) at the
Oskarshamn site investigation area. The specimens were sat-
urated by water. The core diameters were 51 and 50 mm,
respectively. The Forsmark specimens of medium-grained
granite have a clear foliatiated texture, cf. Figure 3. The Oskar-
shamn specimens of vr granite are uniform. Both granites
have an average grain size of 34 mm. Porosity measurements
were carried out on neighbouring specimens.
Six strain gauges placed at mid-height were used on each
specimen.Three were oriented axially, denotedAV, BV and CV
56
2007 Taylor & Francis Group, London, UK
Figure 3. Lay-out of strain gauges. Specimen FM-25, from the
Forsmark site. Notice the foliations.
and three circumferential, denoted AH, BH and CH, allowing
measurements of possible anisotropic response, see Figure 3.
A gauge length of 20 mm was used in order to capture a some-
what homogenized response with respect to the grain structure
and microcrack distribution.
The test machine is equipped with a pressure vessel and
a computer controlled pressure intensifier. The strain gauges
were connected to Wheatstone bridges using a two wire cou-
pling plus a third wire, a sense channel, was connected to the
point right before the wires were going in the cell. This connec-
tion implies compensation for any temperature changes and
cable resistances in the circuit up to the electrical connector on
the cell wall. The Wheatstone bridge circuits were connected
to high accuracy amplifier modules of two types, HBM ML38
and ML10B. The data acquisition device was a HBM MGC-
plus unit. The strain gauge channels were calibrated using a
shunt resistance.
A number of pitfalls concerning the usage of foil strain
gauges relevant for the current type of test set-up exist, such
as varying lateral pressure sensitivity, scatter due to varying
bonding layer thickness and bonding problems on porous and
curved material surfaces (Brace 1964, Hoffman 1989).Acrylic
adhesive was reported by Lau & Chandler (2004) to work
in order to install strain gauges on wet rock specimens and
was therefore chosen. A method to properly install the strain
gauges and to protect them for moisture was devised.
Uniaxial and hydrostatic compression tests were carried out
on aluminium specimens prior to the tests on rock specimens
in order to check the experimental set-up and quantify the mea-
surement error, which was found to be within 40 microstrain
(0.004%) at a hydrostatic pressure of 50 MPa. The magnitude
of the scatter was linearly proportional to the applied pressure.
The specimen was placed inside the pressure cell between
platens and sealed using a thin rubber membrane. Oil sur-
rounded the specimen except under the lower platen as the
platen was fixed to the cell bottom. This set-up yields an
isotropic loading. Tests with two different load sequences were
conducted. Type 1: Loading from 0.150 MPa, hold at 50 MPa
for 15 minutes and unload 500.1 MPa and hold for 15 min-
utes. Type 2: Loading from 0.150 MPa, hold at 50 MPa for
5 minutes, loading from 50100 MPa, hold for 5 minutes,
unload 10050 MPa, short hold time, and unload 500.1 MPa
and hold for 5 minutes. The pressure rate was 10 MPa/min
during both loading and unloading, except for one test (LX-8)
in which it was 2 MPa/min.
4 RESULTS
The results from the hydrostatic compression tests are
shown in Figures 45. The volumetric strain vol was com-
puted as vol = a + 2r , where a = (AV + BV + CV )/3 and
 50 50 Table 1. Summary of hydrostatic compression test results.
Hydrostatic pressure p [MPa]

Hydrostatic pressure p [MPa]

40 40 Micro Bulk
crack Anisotropy compliance
30 30 Porosity vol (103 GPa1 )
Sample Depth  MC  HV
20 FM 21 20 AH ID (m) (%) (%) (%) (%) ini max
FM 22 BH
FM 23 CH
10 FM 24 10 AV FM-21 232 0.36 0.037 33 18 31.9 19.5
FM 25 BV FM-22 233 0.36 0.035 21 9 29.8 19.2
FM 26 CV
0 0 FM-23 490 0.28 0.046 24 15 37.7 20.0
0 0.05 0.1 0.15 0.2 0 0.02 0.04 0.06
FM-24 490 0.28 0.078 37 15 51.0 20.0
Volumetric strain vol [%] Vertical/circumferential strain [%]
FM-25 686 0.30 0.054 10 6 54.1 18.4
FM-26 686 0.30 0.057 29 15 40.2 19.7
Figure 4. Results from Forsmark specimens. Left: Confining pres- LX-1 223 0.18 0.011 32 15 16.6 15.4
sure vs. volumetric strain; Right: Confining pressure vs. strains from LX-2 223 0.18 0.013 16 4 18.8 15.4
the individual gauges on specimen FM-26. LX-4 382 0.34 0.028 19 9 26.6 19.0
LX-5 382 0.34 0.027 23 7 25.8 18.9
100 100 LX-7 556 0.36 0.048 20 0 32.3 19.2
LX-8 556 0.36 0.027 12 7 23.5 18.2
Hydrostatic pressure p [MPa]

Hydrostatic pressure p [MPa]

80 80

60 60
0
LX 1 AH ini (FM)
40 40
LX 2 BH 100 ini (LX)
LX 4 CH
20 20 max (FM)
Sampling depth [m]
LX 5 AV
200
LX 7
LX 8
BV
CV
max (LX)
0 0
0 0.05 0.1 0.15 0.2 0 0.02 0.04 0.06 0.08 300
Volumetric strain vol [%] Vertical/circumferential strain [%]
400
Figure 5. Results from Oskarshamn specimens. Left: Confining
500
pressure vs. volumetric strain; Right: Confining pressure vs. strains
from the individual gauges on specimen LX-5.
600

r = = (AH + BH + CH )/3. The tangent bulk compliance, 700

0 10 20 30 40 50 60
defined as = dvol /dp, were evaluated both at initial loading -3 -1
Bulk compliance [10 GPa ]
(ini ) and at 50 MPa (max ) at the unloading curve in order to
illustrate the amount of non-linearity and to obtain a compara- Figure 6. Bulk compliances vs. depth at initial (open symbols) and
ble indicator for major closure of microcracks by comparing 50 MPa loading (solid symbols).
the values of max .
The microcrack volume strain is computed as, cf. Walsh 0
(1965), MC = vol,max max pmax , where vol,max and pmax FM
refer to values at 50 MPa. The measured material response 100 LX
displays an anisotropic behaviour. The specimen anisotropy
Sampling depth [m]

and inhomogenity is quantified, given in percent, accord- 200

ing to  = 3 (max min )/vol,max 100, where min and
300
max refer to the minimum and the maximum strain value
in any of the strain gauges at the fully compressed state 400
after the hold time. Moreover, the anisotropy between the
axial and the circumferential directions at the fully com- 500
pressed state after the hold time, given in percent, has been
600
defined as HV = 3 (r,max a,max )/vol,max 100, where
a,max = max(a ) and r,max = max(r ). The parameter results 700
from all tests are summarized in Table 1. 0 0.02 0.04 0.06 0.08
The bulk compliances ini and max have been plotted ver- Crack volume strain MC [%]
sus depth (Figure 6). The values of max are between 18.4 and
20.0 (103 GPa1 ) except for the specimens at 223 m depth Figure 7. Crack volume vs. depth for all tests.
from Oskarshamn. Brace (1965) reports corresponding values
to max of 19.1 and 19.9 (103 GPa1 ) for two specimens of
different types of granite. This validates the current measure- confirms a growing crack volume with depth. It is also evi-
ments. Moreover, due to the similar values of max it may be dent by the results that the total crack volume is larger in
concluded that a cell pressure of 50 MPa was sufficient for samples from the Forsmark site, as MC = 0.0350.078%
this type of rock to close the majority of the microcracks. for the Forsmark specimens and MC = 0.0110.048% for
It can be noted that the difference between ini and the Oskarshamn specimens. Moreover, by studying HV , cf.
max seems to increase with depth indicating increased non- Table 1, which is greater than or equal zero (except for one
linearity and growing crack porosity. Figure 7 (also Table 1) specimen), one may assume that a larger part of the micro

57

2007 Taylor & Francis Group, London, UK

cracks probably are oriented along, or with a small angle to, the
core axis direction This is more pronounced in the Forsmark
specimens, which may be coupled to the foliated structure, cf.
Figure 3.
5 DISCUSSION AND CONCLUDING REMARKS
The measurements using strain gauges seem to properly
capture the response as the results are comparable to mea-
surements on granite by Brace (1965), despite the known
difficulties by using strain gauges subjected to lateral pres-
sure. As mentioned before, the majority of microcracks seem
to be closed at 50 MPa pressure. A hysteresis can be observed
during the tests. Moreover, some creep deformation could be
seen at full loading during the hold time. The hysteresis was
less and almost no creep deformation could be observed in
the test of 2 MPa/min. The creep rate rapidly decreases during
the hold time at full loading during the 10 MPa/min-tests. This
fact together with no significant difference between the values
of max suggests that the results from the tests with loading
rate of 10 MPa/min will yield similar results of the microcrack
volume as tests conducted with a lower rate.
The horizontal in-situ stress magnitudes are generally
higher at the Forsmark site compared to the Laxemar site
(Martin & Christiansson, 2007). The major horizontal stress
at Forsmark is in the range of 4045 MPa while at Laxemar it
is in the range of 2225 MPa at 500 m depth. Based on the test
results it appears that the crack volume in the core samples is
dependent on in-situ stress magnitude, and thus the amount
of stress relaxation. Especially the higher crack volume strain
from samples taken below 500 m depth at Forsmark (Figure 7)
is in keeping with other information on stress-induced dam-
age in core samples. Our findings also suggest that when the
in-situ stress magnitudes are relatively low, the porosity of
the core samples is dominated by the natural pores and the
difference between the in-situ porosity and the core sample
porosity is small. This is in keeping with the results from Lf-
gren & Neretnieks (2003) who found no significant difference
between in-situ and laboratory measurements from a bore-
hole at the Laxemar site, except when the core samples were
within a geologically heterogeneous section. It seems that a
certain difference in crack volume between laboratory speci-
mens and rock in-situ is needed for the method to be able to
detect a change of formation factor. With this finding in mind,
it would mean that a crack volume strain (MC ) of at least
0.0400.045% is needed in order to notice a change of the
formation factor between the in-situ and laboratory measure-
ments for the actual rock types.
The resistivity is dependent on how much and how far
the formation water can penetrate into the rock. One possi-
ble explanation for which no change of the resistivity can
be detected for small values of MC could be that the uncer-
tainty with the method such as accuracy and scatter requires
a minimum resistivity change. Another hypothesis could be
that there is a non-linear relation between how far into the
rock the formation water can penetrate and the size of MC .
To elaborate on this, small values of MC could be associated
58
2007 Taylor & Francis Group, London, UK
with damage from drilling and some stress release, yielding
relatively short microcracks. With increasing stress release,
the number of microcracks does not change, but the length of
microcracks increase with a non-linear relation to the stress
release. It should be pointed out that further investigations
would be needed to clarify the underlying facts.
This study will be followed up by microscopic studies of the
occurrence and distribution of pores and cracks to enhance our
understanding of the nature of stress-induced core damage.
REFERENCES
Brace, W.F. 1964. Effect of pressure on electric resistance strain
gages. Exp. Mech. 4:212216.
Brace, W.F. 1965. Some new measurements of linear compressibility
of rocks. J. Geophys. Res. 70(2):391398.
Chernis, P.J. 1984. Comparison of the pore-microcrack structure of
shallow and deep samples of the Lac du Bonnet granite. Atomic
Energy of Canada Limited, Technical Record TR-223.
Chemis, P.J. & Robertson, P.B. 1987, Natural and stress-relief micro-
cracks in the Lac Du Bonnet granite. In Katsube, T.J. and Hume, J.P.
(eds.), Geotechnical studies at Whiteshell Research Area, Canada
Centre for Min. Eng. Tech. Min. Res. Lab. Div., Report MRL 8752
(INT).
Goodman, R.E. 1989. Introduction to rock mechanics, 2nd Ed. Wiley.
Hoffman, K. 1989. An introduction to measurements using strain
gages. Darmstadt : Hottinger Baldwin Messtechnik GmbH.
Lau, J.S.O. & Chandler, N.S. 2004. Innovative laboratory testing. Int.
J. Rock. Mech. Min. Sci. 41:14271445.
Lim, S.S., Martin, C.D. & Christiansson, R. 2007. In-situ stress
estimation using crack closure energy in crystalline rock. In
proceedings of 1st Canada-U.S. Rock Mechanics Symposium,
Vancouver, May 2007.
Lfgren, M. & Neretnieks I. 2003. Formation factor logging by elec-
trical methods Comparison of formation factor logs obtained in
situ and in the laboratory. Journal of Contaminant Hydrology 61:
107115.
Martin C.D. & Chrisitiansson R. 2007. Interpreting in-situ stress
measurements using geological models. In proceedings of ISRM
11th International Congress on Rock Mechanics.
Martin, C.D. & Stimpson, B. 1994. The effect of sample distur-
bance on laboratory properties of Lac du Bonnet granite. Canadian
Geotechnical Journal 31:692702.
Siegfied, R.W. & Simmons, G. 1978. Characterization of ori-
ented cracks with differential strain analysis. J. Geophys. Res.
83(B3):12691278.
Simmons, G., Siegfied, R.W. & Feves, M. 1974. Differential strain
analysis: A new method for examining cracks in rocks. J. Geophys.
Res. 79(29):43834385.
Skagius, K. & Neretnieks, I. 1986. Diffusivity measurements and
electrical resistivity measurements in rock samples under mechan-
ical stress. Water Resources Research 22(4):570580.
SKB 2005. Preliminary Site Description. Forsmark area version
1.2. SKB Report R-05-18. Svensk Krnbrnslehantering AB,
Stockholm, Sweden.
SKB 2006. Site descriptive modeling. Forsmark stage 2.1. SKB
Report R-06-38. Svensk Krnbrnslehantering AB, Stockholm,
Sweden.
Stephens, D.R. 1964. The hydrostatic compression eight rocks. J.
Geophys. Res. 69(14):29672978.
Walsh, J.B. 1965. The effect of cracks on the compressibility of rock.
J. Geophys. Res. 70(2):381389.
 Micromechanical investigations of the hydro-mechanical behaviour of argillite rocks by
means of optical full field strain measurement and acoustic emission techniques

F. Vals, M. Bornert, H. Gharbi, D. Nguyen Minh & J.C. Eytard

Laboratoire de Mcanique des Solides, Ecole Polytechnique, Palaiseau, France

ABSTRACT: Digital Image Correlation techniques are applied to sequences of images of argillite rocks samples at various
saturation states at both the global scale of the sample and the local scale of the microstructure. Not only it is confirmed
that the clay matrix deforms much more than the other mineral inclusions, but it also appears that the deformation is very
inhomogeneous in the matrix, with some areas almost not deformed, while others exhibit deformation twice the average overall
strain, depending on the local distribution of the inclusions. Strain heterogeneities are also detected at the scale of the sample
of saturated rocks and can be correlated with the presence of a network of cracks. On such samples, DIC analysis shows that
the overall strain results both from the bulk deformation of the sound rock and the closing or opening of these cracks, which
is confirmed by the analysis of acoustic emissions.

1 INTRODUCTION This paper is focused on the analysis of the mechanical

One of the major objectives of the hydro-mechanical
behaviour studies of nuclear-waste storage in deep geolog-
ical formations is to assess their stability and performance
under variable hygrometry atmospheres. These perturbations
may induce damage (opening of existing or new cracks) in the
drift wall, and change the confinement properties of the rock.
In France, an underground research laboratory is built in the
argillite layers of Callovo-Oxfordian age in the Eastern Paris
Basin (Meuse/Haute-Marne site, France).
Argillite rock is sensitive to the presence of water in terms of
mechanical response due to the pore state and the interaction of
water and the clay phase. The moisture transfer between atmo-
sphere and rock induces deformation (swelling and shrinkage)
at the interface. To understand the multi-scales-effects of
the moisture conditions on argillite rocks, an experimental
program was conducted to determine the effects of water
saturation on the global physical and mechanical properties.
Micromechanical investigations aim at detecting the actual
physical deformation and damage mechanism active at a
microscopic scale, the complex averaged interactions of which
determine the macroscopic behaviour of materials. They allow
a physically-based extrapolation of experimental data to sit-
uations not accessible to experiment, by means of adequate
scale transition models. Such an approach might be very use-
ful for the determination of the long term hydro-mechanical
behaviour of argillite rocks. Qualitative observations of these
micromechanisms by means of mechanical tests inside the
chamber of a scanning electron microscope (SEM), as those
currently used for the analysis of metals and composites,
cannot however be transposed directly to geomaterials, espe-
cially because the exposition of the samples to vacuum may
noticeably modify the physical properties of the material
(microstructure, water content). To circumvent these diffi-
culties, direct optical observations of samples with controlled
degrees of saturation and mechanically loaded on conven-
tional testing machines, have been preferred. By means of
specifically designed optical microscopes, appropriate light-
ing devices and digital image correlation techniques very
small evolutions of the microstructures can be detected.
response at different observation scales of argillite samples
under uniaxial compression and with different degrees of sat-
uration, imposed by water vapour transfer. Deformation and
microstructure changes due to the imposed hydric transfer as
well as the influence of the anisotropy due to the natural bed-
ding have also been investigated by similar tools but are not
presented here.
2 GENERAL MICROSTRUCTURAL DESCRIPTION OF
THE CALLOVO-OXFORDIAN ARGILLITE ROCK
The indurated argillaceous rocks, or argillites, of the
Meuse/Haute-Marne site are well-compacted rocks. The
mineralogy (Gaucher et al. 2004) is characterized by a pre-
dominant clay fraction (4555%), and grains of carbonates
(2028%), quartz (2129%) and feldspar (04%). Other
minerals can be present as sulphur and organic mater.
Systematic investigations of the received samples reveal a
water content close to 7% (the rock is not completely saturated,
Su 2005), a total porosity of 16%, a carbonates ratio of 26.8%
and compressive elastic wave velocity perpendicular to the
bedding of 2800 m.s1 .
Microstructural investigations at different scales with the
optical microscope and the SEM reveal that these rocks exhibit
a composite structure made of a continuous clay matrix and
embedded mineral particles which might get into contact but
do not seem to be strongly connected. Quartz and carbonates
appear as homogeneously distributed and a spreading of local
iron sulphur is observed. Typical inclusion size ranges from
10 to 100 m.
3 TECHNIQUES AND DEVICE PRESENTATION
3.1 Local extensometry
Local extensometry allows the determination of strain fields
at different scales by the comparison of sequences of
images acquired during solicitation, which might be a pure

59

2007 Taylor & Francis Group, London, UK

mechanical loading, a hydric suction, a thermic perturbation Table 1. Moisture transfer and mechanical parameters.
or combination of these. The technique aims at associating
homologous points in the various images and makes use of Suction strain
Digital Image Correlation (DIC) algorithms (Bruck et al. Relative Water Young Poisson
humidity content * // ** modulus coefficient Rc
1989) which provide a discrete displacement field with sub- % RH % % % MPa MPa
pixel accuracy. The image processing can be applied to digital
images obtained with a macroscopic camera, an optical micro- Initial
scope (Schreier et a.l 2004) or a SEM (Doumalin et al. 1999). state 6.40 5000 0.24 27
The in-plane components of the deformation gradient at var-
ious scales are computed from the displacement field. More 98 8.80 +0.50 +0.15 6500 0.45 24
precisely, the average gradient on a particular domain can be 76 7.30 +0.13 +0.07 8500 0.12 29
computed as a contour integral of the displacement on this 50 4.02 0.18 0.08 10000 0.11 37
domain (Allais et al. 1994). For the small strain levels argillite 32 3.00 0.27 0.13 12000 0.10 44
rocks undergo, the linearised strain tensor is sufficient to char- Positive (respectively negative) deformation indicate expansion
acterize the strain level. The adjustable size of the considered (resp. contraction). During the suction, strain are measured in the
domains determines the gauge length of the strain measure- direction perpendicular (*) and parallel (**) to the bedding.
ment, which might be local when the averaging domain is
small, global when the whole image is considered or inter-
mediate when specific domains of interest are adopted. The 3.2 Acoustic emission (AE) technique
CorrelManuV software developed at LMS (Bornert 2003) was
used to process the image sequences and to compute strains Samples are also instrumented with acoustic emission sen-
at various scales. sors with the aim of detecting microstructure evolution and
The DIC technique has been applied with success to a damage. AE signal waveforms are recorded; a post-treatment
lot of materials such as metals, polymer or composite. The was developed to discriminate different possible mecha-
application to argillite rocks requires some precautions and nisms with identification of characteristic thresholds (closing
adaptations of optical lenses and lighting devices. Cylindri- or propagation of existing cracks, nucleation of new ones
cal rock samples are obtained after air-machining operations. and coalescence) using signal characteristics (amplitude,
Observations are conducted on polished surfaces obtained energy, duration ).
after dry-cutting and grinding operations and without marking
the surface of the samples, as DIC algorithms can make use 3.3 Suction device
of the natural contrast of the samples.
Two scales have been investigated: To obtain different degrees of water saturation, standard meth-
ods used in soil engineering (Delage et al. 1998) were used.
i a macroscale (Macro DIC) with overall sample images The Rock samples are put in a tight box whose humidity is
field of view is close to the 72 mm-sample size and the controlled; no mechanical loading is applied. The relative
pixel size is 55 m. The contrast is provided by the large humidity imposes, using specific saline solutions, a suction
mineral inclusions. Several hundred images are acquired pressure to the rock as given by the Kelvin relationship. De-
automatically during a test, with a period of 2 seconds. The saturations are conducted from the initial hydric state to four
gauge length for local strains is typically 1.5 mm. different suctions.
ii a microscale (Micro DIC) at the rock microstructure with During the imposed suctions, weight and strain (measured
a specifically designed x10 optical microscope. The field with strain gauges) variations are recorded continuously. The
of view is close to 1.5 1.5 mm2 and the pixel size equal strain gauges are disposed in axial and orthoradial directions,
to 0.74 m. Because of the small motion of the sample and respectively perpendicular ( ) and parallel (// ) to the bed-
the micrometric depth of focus, the microscope needs to be ding planes. When weight and strain evolutions are stabilized,
repositioned continuously during the test.This is done man- the sample is assumed to be in equilibrium with the controlled
ually and images are acquired typically every 10 seconds. humidity atmosphere. Then, mechanical tests are performed
The composite microstructure can be reveal with normal to obtain the requested characterization.
brightfield lighting conditions. A lateral darkfield light-
ing is however preferred for DIC since it provides more
continuously contrasted images. The image analysis tech- 4 MOISTURE TRANSFER RESULTS
nique leads to an accuracy better than 103 at the local
scale, for a typical gauge length of 50 m (which cor- Results of physical parameters evolution are given on Table 1.
responds to an accuracy on relative displacements better The data give information on the correlation between loss/gain
than 50 nm), and 105 at the scale of the whole image. of water content and shrinkage/swelling deformation.
These values have been deduced from the analysis of rigid The comparisons of images taken before and after the con-
body motions. trolled suctions reveal microstructural evolutions that would
have been very hardly detected by conventional observations.
Optical strain measurements can be compared to more clas- More specifically, for high hygrometry, observations show
sical techniques such as displacement sensors (LVDT) and the development of a network of new cracks with centimetric
strain gauges.To do so, the averaging domains used to compute size. Most of them are in the bedding planes and a few ones
strains from displacement fields need to be adjusted. Defor- perpendicular to the bedding (the nucleation of these cracks
mation is average over the whole sample for the comparison produce detectable AE activity). Micro cracks at the scale of
with the displacement sensor, while centimetric areas hav- the microstructure might develop but additional investigations
ing the same size as the strain gauges are considered for the would be required as the evolution of the image contrast at the
comparison with the measurement provided by these. local scale was too strong for a proper application of DIC

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2007 Taylor & Francis Group, London, UK


Figure 1. Deviatoric stress versus strain for different hydric state.
techniques. On the contrary, for low humidity, we observe the
closing of pre-existing cracks with an apparent densification
despite the water loss, and no apparition of new cracks.
5 MECHANICAL CHARACTERIZATION AT
DIFFERENT SCALES
Uniaxial compressive tests are performed on cylindrical sam-
ples (diameter: 36 mm; height: 72 mm) whose degree of
saturation was imposed before.
5.1 Overall mechanical approach
The mechanical behaviour of argillite as a function of degree
of saturation is presented in Figure 1. Elastic parameters are
determined on tests with loading-unloading cycles (on the
linear re-loading part) (see Tab. 1).
As the degree of saturation decreases, the macroscopic
behaviour shows an increase of Youngs modulus, axial strain
at failure and compressive strength Rc , and drastic decrease
of Poissons ratio. Responses at 50 and 32% RH are similar
(the water content difference is very low, close to 1%). The
increase of elastic stiffness with decreasing water content was
reported for most shale rocks (Su 2005, Vals et al. 2004).
The volumetric curves show an initially contractancy for all
degrees of saturation; and for higher deformation, wet state
presents important dilatancy, and for dry states a contractancy
profile.
5.2 Acoustic emission results
For dry states, AE events appear from 60% of the strength Rc ,
with a few high energy events between 6080% Rc and above
80% Rc , AE activity presents more events with less energy.
For wet states, on sample with micro-cracks due to humidity
atmosphere, AE events are distributed all along the loading
path with an increase of events just before the final failure.
5.3 Deformation evolutions at the scale of the sample
(macro DIC)
Macro DIC results for a dry sample (50%RH) and a wet one
(98%RH) are compared. The dry state presents a homoge-
neous response without significant deformation localisation
(Fig. 2). This is quantitatively confirmed by the comparison
in Figure 3 of the curves, where is the overall devia-
toric stress and the strain measured either with the LVDT
sensor, the strain gauges or macro DIC at various scales. The
curves nicely coincide with exception of the one relative to
the axial strain gauge, which probably did not stick correctly
to the sample above 1% strain.
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2007 Taylor & Francis Group, London, UK
Figure 2. Deformation map at the global and local scales for argillite
sample (dry state 50% RH) at 80% of failure load.
Figure 3. curve for dry state (50% RH). Deformation are
estimated from displacement sensor, strain gauges, Macro DIC and
Micro DIC. Stress is macroscopic stress.
Macro DIC deformation are calculated on a central area of size sim-
ilar to strain gauge (180 390 pixels or 9 19.5 mm2 , designed by
averaged central area). Micro DIC is calculated on the total average
area, on mineral grains area (1) and on clay matrix zone (2).
The deformation in the wet sample is very heteroge-
neous with some high local deformation above 4% (1.5 mm
gauge length) for an overall maximal strain of 1.2%. More
precisely, axial strains obtained with the strain gauge and
the displacement sensor coincide with macro DIC results
averaged on corresponding areas. However average macro
DIC strain measurements computed on two same-sized areas
(4.5 4.5 mm2 ), one located in a sound zone without
macro-crack due to the hydric solicitation and the other cen-
tred on a pre-cracked zone, lead to very different values. At
failure, the pre-cracked zone deformation is close to 2% while
the sound one remains close to 0.7%, which is close to the
strain of the dry sample at the same overall stress. In addition,
one can clearly observe during the test the closing of the exist-
ing cracks normal to the loading direction and the opening of
the cracks parallel to the loading. This strongly suggests that
a significative part of the deformation of the wet rock is due
to the opening or closing of the macro cracks due to the pre-
liminary saturation, while the bulk response of the sound rock
might be similar to that of the dry rock. The crack activity dur-
ing loading could be associated with the high acoustic activity
recorded for wet state even at early stages of deformation.
5.4 Deformation evolutions at the scale of the
microstructure (micro DIC)
The deformation map (Fig. 2) obtained before failure for
dry state (50% RH) at micro scale, exhibits an heterogeneity
clearly linked to the composite structure of the rock. Defor-
mation heterogeneity develops at the microstructural scale
(50100 m); no cracks could be detected in the investigated
area. curves (Fig. 3) estimated from micro DIC on vari-
ous areas (total field, inclusion rich and clay rich local areas)
feature different responses: just before failure, average Micro
DIC strain is close to 2.2% and coincides with macro DIC
measurements, while inclusion rich areas undergo less than
1% strain, i.e. almost four times less than clay rich areas.
For 98% RH, local strains levels near pre-existing cracks
are much higher than in areas far away, where strain het-
erogeneities are similar to those observed on dry samples
and correlate well with microstructure. This confirms the
conclusion of the macro DIC field measurements.
6 GENERAL CONCLUSION
The water transfer experiments without mechanical stress fea-
ture important deformation: for high suctions, a shrinkage
with no damage detected, and for high relative humidity, an
important swelling (strain perpendicular to the bedding close
to 0.5%) with the development of a network of cracks. Defor-
mation due to moisture solicitation present anisotropy with a
ratio 2 between directions perpendicular and parallel to the
bedding planes. The moisture history affect directly the rock
microstructure.
The analysis of sample surface images during uniaxial com-
pression tests reveals the strong heterogeneity of the strain
at the microscopic scale, whatever the water content. Not
only it is confirmed that the clay matrix deforms much more
than the other mineral inclusions, but it also appears that the
deformation is very inhomogeneous in the matrix, with some
areas almost not deformed, while others exhibit deformation
twice than the average overall strain, depending on the local
distribution of the inclusions.
The saturation state strongly influences the mechanical
properties: elastic modulus and compressive strength increase
with increasing suction while the Poissons ratio of wet
samples is significantly.
The different techniques allow to evaluate the relative
contribution of bulk deformation and damage mechanisms
i for dry state: for the tested samples, the behaviour is homo-
geneous at macro scale with no damage detected up to high
deformation levels. At the scale of microstructure, defor-
mation is localised in clay matrix and mineral grains appear
as hard particles.
62
2007 Taylor & Francis Group, London, UK
ii for wet state: the response is strongly heterogeneous and
seems to be the combination of bulk deformation mecha-
nisms (similar to the dry state) and the activity of the macro
cracks induced by the hydration.
The micromechanical investigations show that the hydro-
mechanical behaviour seems to be more sensitive to the
damage due to the hydric transfer than to the water quantity
in the rock.
REFERENCES
Allais, L., Bornert, M., Bretheau, T. & Caldemaison, D. 1994.
Experimental characterization of the local strain field in a het-
erogeneous elastoplastic material. Acta Metall. Mater. Vol. 42
(No. 11): 38653880.
Bornert, M. 2003. CorrelManuV user guide web site
http://www.lms.polytechnique.fr/ users/bornert/CMV_14.
Bruck, H., McNeill, S., Sutton, M. & Peters, W. 1989. Digital Image
Correlation using Newton-Raphson. Method of partial differential
correction Experimental Mechanics, 29: 261267.
Delage, P., Howat M.D. & Cui Y.J. 1998. The relationship between
suction and swelling properties in a heavily compacted unsaturated
soils. Engineering Geology. 50: 3148.
Doumalin, P., Bornert, M. & Caldemaison, D. 1999. Microextensom-
etry by image correlation applied to micromechanical studies using
the scanning electron microscopy. In: Proc. Int. Conf. on Advanced
Technology in Experimental Mechanics. Vol.I, Atem 99, The Japan
Society of Mechanical Engineering, 1999: 8186.
Gaucher, E., Robelin, C., Matray, J.M., Ngrel, G., Gros, Y.,
Heitz, J.F., Vinsot, A., Rebours, H., Cassagnabre A. & Bouchet,
A. 2004. ANDRA underground research laboratory: interpreta-
tion of the mineralogical and geochemical data acquired in the
Callovian-Oxfordian formation by investigative drilling. Physics
and Chemistry of Earth. 29: 5577.
Su K. 2005. Contribution ltude du comportement mcanique
et thermo-hydro-mcanique des argiles du Callovo-Oxfordien
Habilitation diriger des recherches Universit des Sciences et
Technologies de Lille 420 pages.
Schreier, H., Garcia, D. & Sutton, M. 2004. Advances in light
microscope stereo vision Experimental Mechanics, 44: 278288.
Vals, F., Nguyen Minh, D., Gharbi, H. & Rejeb, A. 2004. Experimen-
tal study of the influence of the degree of saturation on physical
and mechanical properties in Tournemire shale (France). Applied
Clay Science. 26: 197207.
The development of the presented methods and the relevant
experiments has been funded by Andra and CNRS. The rock
samples have been provided by Andra (EST 205 borehole).
 Mining instability and the misuse of the 10-times-seam thickness rule

J.A. Taylor
South Lanarkshire Council, East Kilbride, Scotland, United Kingdom

R.J. Fowell
University of Leeds, Leeds, England, United Kingdom

ABSTRACT: Current United Kingdom (UK) practice suggests that subsidence from abandoned room-and-pillar coal workings
should not occur if there is 10 times-the-seam thickness of rock cover overlying the workings. As this practice differs from
that of other Countries, what are the implications for geotechnical engineers if this assumption were shown to be consistently
misinterpreted? This paper traces the source of this rule-of-thumb and demonstrates that its use is an overused simplification
that should only be used as a first order approximation. References to cases of collapsed room-and-pillar workings both in the
United Kingdom and elsewhere that contradict the rule along with reference to extensive work and databases on the subject
are provided. Recommendations for a more appropriate engineering methodology to assess mining instability from abandoned
room-and-pillar coal workings irrespective of depth or age are given. The need for geotechnical engineers to carry out more
detailed investigative work is also highlighted.

1 SOURCE AND RELEVANCE OF THE

RULE-OF-THUMB

A common rule-of-thumb assumed in geotechnics within the

UK is that subsidence from coal mine workings should not
pose a problem if there is either 10 times-the-seam thickness
or 30 metres of rock cover, whichever is greater, above the
workings (McMillan & Browne 1987). Allied to this view is
the belief that if the workings are old and or lie at a depth
greater than this, then all subsidence will have ceased.
Shallow workings are defined as workings known, or
assumed, to lie within 30 m of surface and deep workings
known or assumed to lie at greater depths. The criterion
of workings within 30m of rockhead was based on limited
information concerning the geological structure and having
generally been agreed after consultation with civil engineers
Figure 1. Bulking Factors (after Wardell & Eynon).
and representatives of the former British Coal (UK) as the
normal thickness of cover strata required to isolate structures
from subsidence, assuming that bulking factors of 1020% extracted panel. The height of this dome could then be related
will affect the strata involved in the upward migration of a void to the increase in the volume of the collapsed rock compared
resulting from roof collapse (McMillan & Browne 1987). The to its original in-situ volume by the equation
concept that the bulking of fallen roof rock could control the
height of a migratory void appears in the publication Construc-
tion over Abandoned Mine Workings (Healy & Head 1984),
which referred to an earlier work (Piggot & Eynon 1978),
Figure 1 which proposed that for near surface foundations, an
a priori problem must be considered to exist where old mine where hvm = height of the dome (or migratory void); d1 =
workings are present at depths less than 10 times the extracted in-situ density of the roof rock; and d = density of the col-
thickness below rockhead; the interface between solid strata lapsed roof rock. However, equation 1 was considered too sim-
and any surface unconsolidated deposit. However, it would plified (Wardell & Eynon) to have any great practical value.
seem that the concept was raised earlier (Wardell & Eynon Other researchers (Dunrud & Osterwald 1980) agree with
1968) by an analogy with longwall mining (Tincelin 1958) the upper limit suggested by Piggot & Eynon except where
concerning the height of collapse above longwall workings the collapsed material moves laterally. This can occur when
whereby the roof beds may either deflect and span between material flows laterally through cracks or fissures within
the abutments or break down into the extracted area; in the the crown-hole (Dyne 1998). Factors such as piping, when
latter case so forming a dome of collapsed strata above the sediments move through tension cracks or fractures in the

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2007 Taylor & Francis Group, London, UK


Figure 2. Exposed void migration at Tinsley Park Opencast
Coal Site.
overburden into the mine void due to the action of water, can
also lead to crown-hole subsidence.
1.1 Examination of the rule-of-thumb
An extensive review within the UK (Garrard & Taylor 1988)
of 151 roof collapses recorded in the exposed side-walls on
18 different opencast sites (example provided in Figure 2) at
depths less than 75 metres below ground level with the major-
ity falling between 4 and 24 metres depth, found no direct
relationship between seam thickness and either the observed
or theoretical collapse height, although a study of the plots
of these variables suggested a confining envelope for the
observed height of collapse approximating to 6.5 times-seam
thickness with the theoretical height of collapse approximat-
ing to 9.8 times-seam thickness. The review also revealed that
the height of collapse, hvm was proportional to the width of
the working, rw by the equation
Despite the lack of a direct relationship between the
observed or theoretical collapse height and seam thickness
the authors concluded that the widely used multiplier of 10-
times-seam thickness was valid notwithstanding that the seam
thickness-height of collapse observation was probably more
related to working practice and the relationship between road
width and void height noted above than to bulking, suggesting
that the popularity of the rule may be due to the fact that all
too often the seam thickness is the only known parameter at
desk study stage.
From the United States (US) (Wright 1982, Karfakis 1987)
and South African (Vervoort 1992a) perspective crown-hole
subsidence or void migration is a roof stability or roof instabil-
ity problem and should be considered in these terms. Wright
has shown that for laminated or stratified roofs the theory of
beams under combined loads can be used to assess potential
roof span failure for beams under uniform transverse load; the
presence of fractures and horizontal stress can also be taken
into account. Vervoort has shown that the maximum amount of
vertical deflection max estimated from equation 3 provides the
same order of magnitude as measured underground provided
that the thickness of the roof beam is taken as the thickness
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2007 Taylor & Francis Group, London, UK
of each individual layer and not as the total thickness of the
beam composed of thin layers.
where = the unit weight of the roof rock; L = the width of
the roadway; E =Youngs modulus of elasticity of the roof
rock and trb = thickness of the beam. A method to predict
those areas likely to subside through roof failure at depths
less than 60 m has been discussed by Missavage et al., (1986).
In this work 27 subsidence events in a southern Illinois mine
in the US were examined utilizing the flexural strength of
strata overlying a coal seam to predict the vulnerability of shal-
low room-and-pillar mined areas to subsidence. The method
relates the Missavage number (Mn), which is dependant only
on the stratigraphy and rock strength, to the extraction number,
which is dependant only on the extraction ratio and maxi-
mum span of the opening. A high correlation coefficient of
0.78 between Mn and the extraction number showed potential
for the method to be utilized to delineate areas vulnerable to
subsidence. The method was subjected to a blind test and suc-
cessfully predicted 10 out of 12 subsidence events and 2 out
of 3 additional events in the known half of the study area. The
method assumes that the mine roof acts as a composite beam
with no interlayer shear strength loaded by its own weight.
1.2 Time-dependent roof failure
Whilst the bulking theory behind the rule-of-thumb can be
mathematically validated (Piggot & Eynon 1978), the body of
evidence indicates that the concept was derived from longwall
mining, a total extraction caving method, whereas room-and-
pillar is a partial extraction self supporting method of mining
(Rossouw & Fourie 1996). A fundamental difference of these
methods is that in the former, extraction panels are usually of
such a width that the tensile strength of the roof rock is insuf-
ficient to sustain the stress imposed upon them and as such
failure happens almost instantaneously. With room-and-pillar
mining the opposite is the case and so roof failure becomes
more of a time-dependent phenomenon where parameters
such as roof span, tensile stress/strength, lithological transi-
tion and unit thickness have a great influence on the stand-up
time of the roof. According to Gray et al., (1977) more than
half of the 354 chimney (crown-hole) subsidence cases studied
in Pennsylvania occurred more than 50 years after abandon-
ment of the workings. The element of time has therefore an
important, yet not fully understood, role to play in void migra-
tion and subsequent crown-hole formation. Changes in the
geotechnical properties and behaviour of the roof, pillar, floor
and collapsed roof material that occur under wet conditions
can be major contributors to residual subsidence. Given the
amount of assumptions contained in the bulking theory and
the random nature of crown-hole development resulting from
void migration Karfakis concluded that even if all the relevant
information was available only the likelihood of subsidence
occurrence may be predicted.The findings by Missavage et al.,
would appear to confirm that this is indeed the case.
1.3 Pillar failure and void migration
Fundamentally, the propagation of a migratory void requires
an open roadway into which the collapsed roof rock can fall,
which necessitates that the pillars be standing to support the
roadway. If the pillars have collapsed void migration cannot
occur. Similarly, void migration will terminate if the pillars
subsequently fail. Thus the stability of the pillars is crucial to
the formation of a migratory void. Whilst void migration may
be more problematical at shallow depths this is not to say that
pillar instability should not be considered. In most cases it is
likely that the stress imposed on a pillar at shallow depth will
be less than the in-situ pillar mass strength, which may explain
why pillar failure at shallow depth is considered uncommon.
However, a case study in Scotland (Carter 1984) illustrates
that even at relatively shallow depth (42 metres) it can take in
excess of 200 years for pillar failure to take place, which may Figure 3. Trough subsidence associated with pillar failure (from
explain why pillar failure is regarded as uncommon and as Bauer 2006).
such not problematical. With increasing depth void migration
becomes a secondary issue, whilst pillar failure becomes the
primary factor. The need to consider these factors does not
appear to be wholly understood and has led to the assumption,
certainly within the UK that subsidence from workings at a
depth in excess of the rule is unlikely (The Highways Agency
1997). Indeed in some instances (The HighwaysAgency 2005)
it is recommended that investigation may be limited to 30
metres depth or 10-times-seam thickness. The abuse of the-
matic (environmental geology) maps (McMillan & Browne
1987) also seems widespread and promotes the idea that all
mining instability can be catered for by the rule.
The UK practice differs markedly with the US viewpoint
which presupposes that unless total extraction has been car- Figure 4. Trough subsidence associated with floor failure (from
ried out there is no identifiable height above an abandoned Bauer 2006).
mine that ensures a site total freedom from subsidence and
furthermore there is no identifiable time after mining when maintained for several decades until the deterioration of the
the threat of subsidence is clearly past (Bruhn, Magnuson & strength of the pillars, roof and floor led to deformation and
Gray 1981). Hence in the US, the grouting of mine workings subsidence. The ingress of groundwater was also thought to
at depths up to 90 metres (Marino et al., 1997) is known to have contributed to the failure mechanism. The subsidence
have been carried out in order to negate potential subsidence occurred some 37 years after abandonment of the workings.
from underlying coal workings. Figures 3 and 4 illustrate subsidence from pillar and floor
Pillar failure at depths ranging from 9 to 137 metres has been failure respectively.
recorded in the Pittsburgh area of the US with more than 350 A review of mining instability carried out within the UK
subsidence events being recorded over the period 19551976 (Arup 1991) indicates that areal subsidence due to the col-
(Bruhn, Magnuson & Gray 1981), (Gray & Bruhn 1982). The lapse of pillars in room-and-pillar mining may be much more
mean thickness of overburden at the location of crown-holes common than records reveal. This is particularly the case in
was 14 metres and 36.5 metres in the case of areal subsidence. rural areas where subsidence would more or less have gone
In South Africa pillar failure has taken place at depths rang- unrecorded unless it affected a structure.
ing from 21 to 205 metres (Madden & Hardman 1992) and in
Australia (Salamon et al., 1996) at depths ranging from 70 to
1.4 Other implications from void migration
250 metres. In each of these extensive works/datasets there is
evidence to indicate that the time period from abandonment of By its very nature void migration forms pillars of strata above
the workings to pillar failure can range from a matter of sev- the original mine pillars. In coal and other mineral mining
eral weeks, (Madden & Hardman 1992) to in excess of 200 this could lead to the formation of shale or mudstone pillars
years (Bruhn, Magnuson & Gray 1981). The Scottish exam- that may have less mass strength than the original support-
ple of pillar failure at a depth of 42 metres cited by Carter ing pillars. The case of pillar failure at Wednesbury, England
(1984) resulted in over 235 mm of subsidence (measurements resulting in subsidence in the order of 1.5 m at ground surface
had commenced after subsidence had started) took over 200 (Braithwaite & Cole 1986), not only demonstrates that this
years to occur. In this particular case roof failure leading to a interaction can occur but also illustrates that the interaction
crown-hole was discounted on the grounds that the rock cover of roof and pillar failure can take considerable time to occur,
was significantly greater than 10 times-the-seam thickness. in this instance over 100 years. In this particular instance fail-
The mode of failure was attributed to a combination of fac- ure was attributed to roof failure in a limestone working, with
tors being high extraction ratio (65 to 75%), small pillar sizes a high extraction ratio, resulting in the formation of weaker
(<2.7 m wide), age of workings, steep dip (1 in 2.5), strong shale pillars above which subsequently failed.
roof and floor, proximity of workings in other seams and work- Finally, the historical reference (Price 1972) whereby a cer-
ings partly above mine water level. Similarly the example cited tain thickness of boulder clay was deemed equivalent to a
by Sizer & Gill (2002) resulting in 260 mm of subsidence from lesser thickness of rock has become increasingly employed
a mine working at 44 metres depth in Northumberland, UK within the UK when an insufficient amount of rock cover is
was attributed to a combination of factors including reduction available, notwithstanding that there is no evidence to suggest
in pillar size and weak roof and floor strata. Roof support was that such a relationship exists.

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2007 Taylor & Francis Group, London, UK

 From the available body of research it is evident that the
10 times-the-seam thickness rule is merely a primitive first
order approximation to estimate the height to which a migra-
tory void may extend that may be used in the absence of access
to or the absence of necessary input data for numerical mod-
elling. It is not a method to estimate subsidence arising from
the formation of a crown-hole at surface and more importantly
is not a method to preclude the possibility that subsidence may
occur from pillar failure or the interaction of roof and pillar
failure.
2 BACK ANALYSIS OF ABANDONED
ROOM-AND-PILLAR COAL WORKINGS
By their very nature abandoned mine workings have to be
back analysed as the analysis will be carried out after aban-
donment of the mine when physical inspection of the workings
is highly unlikely. The geotechnical engineer therefore needs
to carry out sufficient analytical work that will allow him/her
to understand what has occurred and or could occur as revealed
by a site investigation and thereafter make appropriate recom-
mendations to the client. In essence the procedure is one of
back-calculation. The back analysis should be considered as a
whole encompassing all potential modes of failure that could
lead to subsidence irrespective of depth and or age of the work-
ings. Whether or not there is a risk of mineral instability will
depend upon a number of factors. First will be the class of
mining employed i.e. unsupported, supported or caving; sec-
ond is depth and the lithological type and sequence overlying
the workings and third will be the geometric layout and dimen-
sions of the workings. It is in this regard that the experience of
the geotechnical engineer in mining matters comes into play
through knowledge of the methods of mining, modes of failure
and interpretation of the information presented. Whilst expe-
rience and judgement are prerequisites it is only when armed
with the results of the detailed mining instability assessment
that the degree of risk can be considered.
It could be argued that in dealing with mining instability we
seldom have enough data to give a reliable statistical analysis
of the problem (Cole 1987) however such a view presupposes
that the risk of instability in mines and subsidence can be
looked at in terms of statistical analysis. It should be remem-
bered that a factor of safety for a pillar is only a value at a
particular point in time. With the increase in time from the
formation of the pillar the factor of safety will reduce due
to the application of constant stress, resulting in the growth
or increase in fracture frequency within the pillar; accord-
ingly there can be no clear definition of acceptable stability
or failure. Similarly, it should be borne in mind that the use of
correlation coefficients such as Pearsons simply indicate an
association between relevant parameters, such as pillar stress
and pillar strength, and do not necessarily relate to cause and
effect.
3 ASSESSING MINING STABILITY
The procedures and techniques used to investigate mining
instability are well known (Marino et al., 1980) but within
the UK appear to be restricted to the depths limited by the
10 times-the-seam thickness rule which contrasts with the
methodology of other countries. The reasons for this differ-
ence are unclear but may be related to; the perception that
66
2007 Taylor & Francis Group, London, UK
room-and-pillar mining within the UK has long since ceased
and as such sufficient time has elapsed to remove the prob-
lem; the cost of investigative work can be expensive and/or
there is a lack of understanding in how to tackle the matter of
mining instability. A further, perhaps more frightening, factor
is that within the UK it would appear to be that case that it is
not important to understand the mechanism of mining insta-
bility but merely to have sufficient information and ability
to locate the workings within the depth of 10 times-the-seam
thickness or 30 metres of rockhead, whichever is greater and
thereafter fill them with grout. However this simplistic view
does not consider the necessary area to safeguard the proposed
structure or take into account seam dip nor instances when
multi-seam mining may have taken place. Whilst grouting of
the seam within 30 metres of rockhead may remove a subsi-
dence problem from that particular horizon it will not negate
potential subsidence from underlying seams that have yet to
fully collapse. It should also be remembered that not all room-
and-pillar mines were subjected to the robbing of pillars prior
to abandonment and indeed low extraction ratios of room-
and-pillar workings at depth may be in the process of failure.
Conversely, unrecorded open mine workings may lie at very
shallow depth and whilst subsidence may not have taken place,
development could cause failure to initiate (Fennell, 1997).
Such factors as described above are not taken into account in
the 10 times-the-seam thickness rule.
To arrive at an assessment of mining instability requires
that sufficient information be available to carry this out and
that the assessment be undertaken by a competent person with
proven experience in the field. In general there are five stages
to address when considering potential mining instability. The
first stage is a desk study to gather sufficient information on
the area under review, the second stage is examination of the
desk study information to determine whether or not a min-
ing problem exists, the third stage is a ground investigation to
clarify the mining situation and obtain sufficient site specific
data for use in the fourth stage, assessing the degree and mag-
nitude of potential instability. The fifth and final stage should
determine the risk in terms of the proposed development with
recommendations for remedial measures, if required. Depend-
ing upon the location of the proposed development and form
of mining some of the stages may not be required. In each stage
the geotechnical engineer must ask themselves what they hope
to find/achieve from that stage. The aim should be to carry out
sufficient work to proceed, either to the next stage and/or come
to a reasonable conclusion on the likelihood of mining insta-
bility. Cost may well come into the equation and whilst this is
an important aspect the need to undertake a professional job
and reach professional conclusions through the application
of engineering principles should not be jeopardised by cost
restrictions. Money spent at the ground investigation stage is
likely to be more cost effective than money spent carrying out
remedial measures.
For laminated or stratified roofs the theory of beams under
combined loads (Wright 1982), (Hoek & Brown 1980) can be
used to assess potential roof span failure. Alternatively, the
height of the void can be linked to the road width and angle of
draw associated with the limit angle in subsidence engineer-
ing (Taylor 2002) or the road width and the internal angle of
friction of the overlying rock (Wilson 1983). Numerical mod-
elling techniques such as CPillar provide a quick, simple to
use analysis tool for evaluating laminated roof beds.
A number of techniques are available to assess potential
pillar instability and fall into two categories, the ultimate
strength approach in which pillars are deemed to fail when the
applied stress reaches the compressive strength of the pillars
and the progressive failure approach where failure is initi-
ated at the most crucial point and propagates to the pillar
centre, resulting in ultimate failure of the pillar. Equations
to estimate pillar stability in terms of the ultimate strength
approach are widely available (Salamon & Munro 1967),
(Bieniawski 1967), (Salamon et al., 1996), (van der Merwe
1999a). Equations to estimate pillar stability in terms of the
progressive failure approach are also available (Wilson 1983),
(Taylor 2002). The ultimate strength approach as suggested
by Salamon and Munro has been extended for use in stone
mines (Iannacchionne 1999). Further modifications (Hardy &
Agapito 1975) have been made to assist in determining pillar
strength for oil-shale pillars.
The common complaint of having insufficient information
upon which to assess roof and or pillar stability can be off-
set through the use of down-the-hole cameras or ultrasonic
surveys. Alternatively, as the width of the roadway is gen-
erally consistent in most workings the percentage extraction
ratio can be altered through changing the pillar dimensions to
determine a range of factors of safety for chosen conditions.
However, it is to be remembered that none of the available
methodologies take into account the effect of time.
Numerical modelling software packages such as CPillar or
FLAC3D (Fast Lagrangian Analysis of Continua, which uses
the explicit finite different formulation) can aid in the solution
of problems that consist of several stages, large displacements
and strains, non-linear material behaviour and unstable sys-
tems, even cases of yield/failure over large areas, or total
collapse. The use of FLAC for the assessment of pillar sta-
bility in terms of progressive pillar failure is well documented
(Vervoort, 1992b; van der Merwe, 1993).
4 CONCLUSIONS
A custom and practice rule-of-thumb has developed within the
geotechnical profession within the UK that mining instability
can be determined through the application of one simple rule.
Whilst the rule-of-thumb may be of use as a first approxima-
tion for void migration at the initial assessment stage, the rule
should not be assumed to include all aspects of instability and
subsidence. Roof and pillar failure are time-dependent and as
such even if subsidence has not occurred within the first 100
years or so after abandonment this is not to say that subsi-
dence will not happen. Subsidence is independent of depth
and whilst an increasing amount of rock cover might lessen
the amount of subsidence it should not be assumed that sub-
sidence will not occur simply due to the depth and or age of
the workings.
4.1 Recommendations
In the authors view the use of geomechanical principles to
assess roof and pillar stability, such as those referred to in this
paper, along with the use of numerical modelling techniques
should be encouraged. All aspects of mining instability should
be considered irrespective of depth or age. The aspect of time-
dependent failure of both roof and or pillar should also be
considered. Whilst numerical modelling will not provide a
real time assessment, the use of relevant software will illustrate
yield behaviour leading to ultimate failure in time steps that
will demonstrate the importance of time-dependent failure.
67
2007 Taylor & Francis Group, London, UK
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Iannacchionne, A.T. 1999. Pillar Design for Underground Stone
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Karfakis, M.G. 1987. Mechanisms of chimney subsidence over aban-
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Madden, B.J. & Hardman, D.R. 1992. Long term stability of bord and
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Lundin, T.K., 1980. Mine subsidence and related damage in
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Marino, G.G., Patel, K.A. & Carr, P.H. 1997. Mine backfilling to
limit surface subsidence-a case history. Trans. Instn. Min. Metall.
(Sect. A: Min. Industry), A163169.
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diction in shallow room and pillar mines. Int. J. Min. and Geol.
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Piggott, R.J. & Eynon, P. 1978. Ground movements arising from
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coal pillars, J. S. Afr. Trans. Instn. Min. Metall., 68, 5567.
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Taylor, J.A. 2002. Potential Stability and Subsidence Issues Aris-
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University of Leeds, 282p.
Tincelin, E. 1958. Pressions et deformations de terrain dans les mines
de fer de Lorraine. Paris (Jouve Editeurs, 1958). 284p.
Van der Merwe, J.N. 1999a. New strength formula for coal pillar pil-
lars in South Africa, In C. Mark, K.A. Heasley, A. Iannacchione
and R. Tuchman (eds) Proc. 2nd intern. workshop on coal pillar
mechanics and design, National Institute for Occupational Safety
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Van der Merwe, J.N. 1999b. The role of overburden integrity in
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R. Tuchman (eds) Proc. 2nd intern. workshop on coal pillar
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Vaal basin. Reply to Written Contribution by Wagner, H. & Ozan,
T.T. J. S. Afr. Instn. Min. & Metall, Oct. 272276.
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 Natural and thermomechanical stress field measurements at the
Rochers de Valabres Pilot Site Laboratory in France
Mesures de contraintes naturelles et thermomcaniques sur le Site Laboratoire Pilote des Rochers de Valabres

C. Dnner & P. Bigarr

Institut National de lEnvironnement Industriel et des Risques (INERIS), Ecole des Mines de Nancy, Nancy, France

C. Clment
LAEGO INERIS, Ecole des Mines de Nancy, Nancy, France

V. Merrien-Soukatchoff & Y. Gunzburger

Laboratoire Environnement Gomcanique et Ouvrages (LAEGO), Ecole des Mines de Nancy, Universit de Nancy, France

RESUME: LINERIS a dmarr, en 2005, lexprimentation VAL-STRESS3D visant caractriser et tudier les contraintes
naturelles et les dformations thermomcaniques continues qui sexercent la surface dun versant rocheux fractur tel que
celui du Site Laboratoire Pilote (SLP) des Rochers de Valabres . Lexprimentation a consist raliser un profil de mesures
de contraintes, depuis la surface vers lintrieur du versant, en vue de quantifier les contraintes et lhtrognit du champ. Puis
des cellules de dformations et des capteurs de temprature ont t installs au niveau dune dalle rocheuse afin dtudier de
manire quantitative le champ des dformations thermomcaniques cycliques auquel est soumis en surface le massif fractur,
rsultant des variations quotidiennes et saisonnires de la temprature.

ABSTRACT: The field experiment VAL-STRESS3D, started in 2005 by INERIS, aims to characterize and study both in situ
stress and continuous thermomechanical deformations within the Rochers de Valabres rock slope, a Pilot Site Laboratory
(PSL) prone to rockfalls. Firstly, in situ stress measurements were conducted along a profile from the surface toward the interior
of the slope. This was intended to quantify the stress field and its heterogeneity acting in such a geological structure. Secondly,
a set of full 3D strain cells and temperature gauges was installed in the field around a large inclined superficial flagstone. This
shallow temperature and strain instrumentation network was designed to measure the cyclic thermal loading unloading
response of the rock on a daily and seasonal basis.

1 INTRODUCTION 2 SETTING OF THE ROCHERS DE VALABRES PSL

Although they have potentially important effects on regional
development in mountainous areas, rockfalls are a natural haz-
ard for which both preparatory and triggering mechanisms
are seldom understood. Lack of knowledge of the quantitative
role of numerous factors remains a barrier to accurate risk
assessment and reasonable identification of large-scale failure
activation processes. Mitigation techniques remain expensive
and, most of the time, do not definitely eliminate the risk. Set-
ting up operational early-warning systems, when needed, quite
often raises problems in terms of critical choices and monitor-
ing strategies. These difficulties are related to the complexity
of the studied system, i.e. the multiplicity of variables con-
cerned and their interaction or coupling effects, making time
failure unpredictable.
In order to overcome these difficulties, a large scale frac-
tured rock slope, namely the Rochers de Valabres, located
in the French Alps, and overhanging the Tine valley, is being
investigated as a Pilot Site Laboratory (PSL), by the CENARIS
the French National Monitoring Centre for Ground and
Underground Risks, part of INERIS. The main objective is to
run field experiments for research and technical development
focusing on rock slope instabilities. Since 2002, this PSL has
demonstrated its unique advantages for conducting long-term
scientific work in the field, with successive projects feeding
each other over time.
Lying at an altitude ranging from 700 to 900 m, the Rochers
de Valabres PSL is a specific zone of hard gneissic rocks. The
top of the slope culminates at 2,250 m, having a slope angle of
around 60 . The gneiss presents a marked foliation, directed
N110 140 E, strongly dipping eastward. More details may
be found in Gunzburger et al., 2005.
A glance at the bed of the river shows that this PSL has
experienced and will likely continue to experience a rather
large variety of rockfalls. The most recent history is marked by
two important rockfalls, which occurred respectively in May
2000 (most likely around 2,000 m3 of material) and October
2004 (about 30 m3 of material). The main road snaking down
the Tine Valley has been subject to many renovation works.
An old access road hugging the edge of the valley is used now
as a service road to the PSL.
3 OBJECTIVES OF THE EXPERIMENT
Among the physical processes affecting a strongly discontinu-
ous rock slope with rockfall hazards, the continuous long-term
impact of natural surface cyclic thermal loading has been men-
tioned by many authors, even though such a long term prepara-
tory cause of rockfalls has not been much studied quantita-
tively. Thermally induced stress is the only permanently cyclic

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2007 Taylor & Francis Group, London, UK

driving force inside the shallowest part of the rock mass on a 700
Axial gauges
daily and seasonal basis. This force field is most likely exerted 600 Diagonal gauges
with a high degree of heterogeneity, since it is dependent Transverse gauges
500
from one point to another on exposure to solar radiation and

Strain (microstrains)
drafts.This continuously changing complex thermally induced 400
stress field superimposes an already presumed in situ complex 300
stress field due to the presence of numerous rock joints, open
discontinuities and topography roughness. 200

Better quantitative knowledge of such stress fields is of 100

primary interest for the study of limit equilibrium conditions
0
(Vlcko et al., 2005 and Watson et al., 2004) and local-
ization of cumulated non-elastic deformations preparing for -100
0 10 20 30 40 50 60 70 80
rupture. Considering all the uncertainties affecting the input
Overcoring distance (cm)
data (Liu et al., 2004), numerical modelling cannot estimate
quantitatively and reliably such physical interactions. Figure 1. Response deformation curves obtained with a CSIRO Hi
The VAL-STRESS3D experiment was designed in accor- 12 cell at a depth of 15.75 m. Deformations are essentially elonga-
dance with two measurement phases, firstly in situ stresses tion due to the full relaxation of the instrumented hole.
and then thermally induced stresses.

4 IN SITU STRESS MEASUREMENTS

4.1 Description of the technique and data

In November 2005, INERIS conducted six in situ stress mea-
surements from the surface downwards along a sub-horizontal
borehole, using an over-coring method (Amadi, 1983). This
method is currently used in the deep mining industry (Lahaie
et al., 2003), in the storage of natural gas and in geological
waste disposal.
The main advantages of this technique using the CSIRO cell
result firstly from the fact that it makes it possible to measure
a full 3D strain tensor and then to back-calculate the 3D stress
tensor (1 , 2 , 3 ). Secondly, being a local measurement, it
is well adapted to measuring sharp stress gradients and local
heterogeneous stress fields. Eventually, the CSIRO cell may be
fixed permanently for long term remote monitoring of stress
shifts in relation to such or such physical interactions. Figure 2. Upper hemispheric projection of in situ stresses (1 , 2 ,
Basically, the over-coring method consists in drilling a large 3 ) related to field test 1 after inversion in local reference mark (X,
diameter borehole down to the target zone. A second coax- Y, Z). The spots 1, 2 and 3 represent the average orientation of (1 ,
ial 38 mm diameter borehole extends the first. A CSIRO Hi 2 , 3 ). The dense clouds of squared dots quantify the calculated
12 cell is then placed and fixed ahead. This cell contains 12 dispersion related to orientation. Plane (1 , 2 ) is clearly vertical; 3
strain gauges with multiple orientations. Over-coring releases is perpendicular to the free surface of the rock slope (YZ).
stresses exerting in the far field (relative to the 38 mm
diameter hosting hole) while induced strains are recorded.
Although the first target zone was intended to be placed at
1 m depth from the free surface, fracturing imposed the first core of the rock. The stress tensor and its variability are
measure to be backed down to a depth of 2.5 m. The six mea- obtained from data numerical inversion, performed with the
surements were conducted ranging from 2.5 m down to 18.5 m SYTGEOstress tool, which is based on the least squares
depth along the borehole, i.e. with rock overburden increas- method. Redundant data available is used to countercheck the
ing gradually from 10 to 40 m. Monitoring of the over-coring overall quality and refine the back analysis if necessary.
process and induced microdeformations was performed with In the case of the test carried out near the surface of the rock
a SYTGEO system offering a precision of 1% EM and a slope, the minor principal stress 3 is found to be oriented
resolution of 2 microdeformations. Figure 1 shows a typical perpendicular to the free surface, which is locally vertical and
record of micro-strains plotted versus core drill front advance. perpendicular to the borehole (Figure 2).
These curves appear very satisfactory: one can observe typi-
cal expected stages with first the passing by of the coring over
the cell (30 cm), and secondly a stabilization of all measure- 4.3 Determination of the rock mechanical properties
ments (65 cm), which coincides with the full relaxation of Data numerical inversion requires knowledge of the elastic
the core. parameters characterizing the rock matrix. After the over-
coring test was completed, biaxial testing of the over-core
recovered with the CSIRO cell was performed. In addition,
4.2 Inversion of deformation measurements
uniaxial laboratory measurements were conducted to refine
Numerical analysis is primarily based on the hypothe- the determination of elastic properties and especially those
sis of homogeneity and linear elastic behaviour of the related to the known transverse isotropy of the gneiss.

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2007 Taylor & Francis Group, London, UK


Figure 3. Profile of principal stresses (1 , 2 , 3 ) versus depth.
Figure 4. Direction of the plan containing the principal stresses.
4.4 Results of stress measurements
The main results are summarized in Figure 3, plotting respec-
tively (1 , 2 , 3 ) magnitudes versus depth. The results show
essentially:
an increase in 3 between 4 and 6 m depth, still oriented
perpendicularly to the free surface;
a sharp stress gradient at 10 m depth, for all three compo-
nents (1 , 2 , 3 );
a clear singularity at 15 m depth, with stresses in full con-
tinuity to those measured in the first 6 m, followed by a
maximum stress level at 18 m depth with 1 exceeding
12 MPa;
except for measurement points 4 and 6 located at 10 and
18 m depth, (1 , 2 ) is located in a sub-vertical plane,
whereas locally the slope is of 6070 (Figure 4). This ori-
entation is most likely to be explained by the different sets
of vertical fractures present in the rock mass.
5 THERMAL STRESS MEASUREMENTS
5.1 Field instrumentation layout
Following the in situ stress measurement campaign, installa-
tion of a specifically designed permanent monitoring system
was achieved on a large inclined rock flagstone of the PSL,
some 75 m above the service road. This second experimental
phase is intended to accurately study the thermal strain regime
affecting the surface and the shallowest part of the rock mass
as a potential long term cause for rockfalls.
71
2007 Taylor & Francis Group, London, UK
Figure 5. Temperature profiles versus time measured from a
thermometric probe over a 3 day period.
The experimental system is composed of four monitoring
stations, S1 to S4, spread out over locations of particular
interest:
S1 is placed on a 2 m high block located N-E. An open
discontinuity dipping strongly down the valley separates
the host block from the rock flagstone;
S2 and S3 are installed in the centre of the rock flagstone,
in a small area easily assimilated to a semi-infinite medium
bounded by a flat free surface;
S4 is located in the S-W limit of the rock flagstone.
Each monitoring station includes several CSIRO cells fixed
in the shallowest part of the rock mass between 20 and 50 cm
depth. All are connected to a digital receiver and then radio
linked for transmission to a SYTGEO monitoring system
situated below within some facilities.
In order to complete the monitoring layout, a specific multi-
point sensing probe has been designed and set up in a small size
borehole in order to characterize the invading thermal field.
This thermometric probe integrates 5 thermistors coupled to
the wallside of the hosting hole respectively at a depth of 10,
20, 30, 40 and 50 cm. With additional temperature gauges cou-
pled to the rock free surface itself, this probe aims to monitor
the temperature inside the rock skin and thereby help to char-
acterize thermal properties providing profiles of temperature
with depth versus time.
5.2 Temperature measurements
Figure 5 shows temperature profiles versus time over a
3 day period, with a noticeable 16 C daily full range varia-
tion on the free surface. Both maximum amplitude decrease
and time phase delays are clearly observable with depth. The
quasi-periodic regime considering the daily period of 24 hours
enables the penetration depth 1d (m) and thermal diffusivity
a (m2 .s1 ) to be easily estimated as:
1d 0.24 0.2 m a 2.106 0.3.106 m2 .s1
These estimates, obtained with rather excellent determina-
tion, rely on the assumption of isotropic thermal properties of
the rock matrix. This set of values is slightly higher than those
commonly published (Berest et al., 1988) and calls for fur-
ther investigation and data analysis over different and longer
periods.
5.3 Strains and thermal effects
Figure 6 shows strains recorded on a deformation cell fixed
at a depth of 30 cm and departing from the reset value at an

Figure 6. Cell n 4 station S3. Deformations recorded inside the
rock at a depth of 30 cm over a 10 day period. Convention as fol-
lows: positive change in deformation is elongation and negative is
shortening. The upper curve shows relative temperature changes.
Figure 7. Schematic view of an insulated permanent stress-
variation cell fixed close to the free surface for thermal impact
monitoring inside the rock mass.
arbitrary reference time t0 to facilitate scaling and reading.
One may notice that the maximum departing strain exceeds
200 microdeformations (shortening) the eighth day.
One recalls that the CSIRO cells used for thermal stress
measurements are the same as those described in 4. However,
in the case of stress monitoring over time, stress data inversion
comes up with stress variations in the local field around the
cell. Note that information on total stresses is neither required
nor directly available from such data alone.
Thus, according to Figure 6, if one considers thermal
induced strains during the period of eight days considered
here above, the results show that at a depth of 30 cm and
for a thermal amplitude of about 6.5 C stress variations
1 and 2 are respectively found compressive and val-
ued at 2.9 MPa and 2.3 MPa, fully constrained in a
plane parallel to the free surface (Figure 7). 3 is found ten-
sile and valued at 0.9 MPa. Although orientations of stress
variations are found to be in good agreement with what is
expected, the 1/2 ratio may probably be explained by
isotropy assumption applied at this stage of preliminary inter-
pretation, due to the lack of field information yet related to
the very local orientation of transverse isotropy.
6 CONCLUSIONS
Considering the topography and fractured setting of the rock
slope, the in situ stresses found in the first 018 m range of
72
2007 Taylor & Francis Group, London, UK
depth may be considered unexpectedly high and discontin-
uous, issuing the impact of such strong singularities in the
triggering mechanisms.
Temperature and induced 3D thermal field stresses can be
monitored with high precision inside the first meter below the
surface. Preliminary results show that induced stress varia-
tions are quite of the same order of amplitude as the in situ
stresses estimated in the first meters, where surface tempera-
ture has little influence. These results highlight the major role
of thermal stresses superimposing and governing the shallow
stress regime. It should be recalled that relatively dense frac-
turing precluded in situ stress measurements in the first meter
of depth (see 4.1). This raises the question of the possible
thermal origin of these superficial fractures and their coa-
lescence through very localized disruptions, thus explaining
daily falling of small rock fragments. Also scaling with time
and depth such a physical process is clearly issued. Data anal-
ysis over longer time periods and other stress cells is currently
being undertaken and should be discussed in the near future.
ACKNOWLEDGEMENTS
Special thanks are extended to the French Ministry of Ecol-
ogy and Sustainable Development for financial support. All
authorizations and help from the Mercantour National Park
and Electricit de France are fully acknowledged.
K. Ben Slimane and D. Billaux are thanked for their helpful
reviews.
REFERENCES
Amadi, B. 1983. Rock anisotropy and the theory of stress measure-
ments, Editions Brebbia, C.A. & Orszag, S.A., Springer-Verlag.
Berest, P., Weber, P. 1988. La thermomcanique des roches. Editions
BRGM, no. 16.
Gunzburger, Y., Merrien-Soukatchoff, V., Guglielmi, Y. 2005. Influ-
ence of daily surface temperature fluctuations on rock slope
stability: case study of the Rochers de Valabres slope (France).
International Journal of Rock Mechanics and Mining Sciences,
vol. 42, no. 3, April 2005, pp. 331349.
Lahaie, F., Bigarr, P., Al Heib, M., Josien, J.P., & Noirel, J.F. 2003.
Large-scale 3D characterization of in-situ stress field in a complex
mining district prone to rockbursting. Proc. of the 10th Inter-
national Congress on Rock Mechanics (ISRM,) 812 September
2003, pp. 689694. Sandton, South Africa.
Liu, Y.Q., Li, H.B, Zhao, J., Li, J.R., Zhou, Q.C. 2004. UDEC simu-
lation for dynamic response of a rock slope subject to explosions.
Proc. of the International Journal of Rock Mechanics and Mining
Sciences, vol. 41, no. 1, May 2004, pp. 599604.
Vlcko, J., Jezny, M., Pagacova, Z. 2005. Thermal expansion effect
on slope deformation recordings at Spis Castle. Proc. of 15th
Conference on Engineering Geology, 69 April 2005. Erlangen,
Germany.
Watson, A.D., Moore, D.P., Stewart, T.W. 2004. Temperature influ-
ence on rock slope movements at Checkerboard Creek. In: Lacerda
et al. Editors. Landslides: evaluation and stabilization, Proc. Of
the 9th International Symposium on Landslides. London: Taylor &
Francis Group; 2004.
 Numerical modeling of the flooding of abandoned iron mines in Lorraine (France):
Coupled hydromechanical approach

Dragan Grgic, Franoise Homand & Albert Giraud

LAEGO (INPL), Nancy-Universit, France

RESUME: Des effondrements miniers se produisent actuellement en Lorraine (France) au-dessus danciennes exploitations
en chambres et piliers pendant la phase transitoire dennoyage. Puisque les roches sont exposes in situ diffrentes conditions
hydriques (ventilation, ennoyage), nous avons ralis des simulations numriques 2D, dans le cadre des milieux poreux
continus et partiellement saturs, dans le but dexpliquer les mcanismes impliqus dans les effondrements miniers. Les
rsultats de ces simulations numriques sont en bon accord avec les mesures in situ (convergence des galeries) obtenues dans
un site exprimental. Il en rsulte que lennoyage de la mine induit la convergence des galeries du fait de la dilatation des roches.
Ce rsultat est en bon accord avec nos prcdents travaux qui ont montr que lennoyage peut tre responsable de ruptures en
traction des roches du toit, ce qui pourrait expliquer certaines instabilits minires.

ABSTRACT: Mining collapses currently occur in Lorraine (France) above abandoned room-and-pillar iron mines during the
transient stage of mine flooding. Since the rocks are exposed in situ to various hydrous conditions (ventilation, flooding), we
have performed two-dimensional numerical simulations, within the framework of partially saturated and continuous porous
media, in order to explain the mechanisms involved in mining collapses. The results of these numerical simulations are in
good agreement with in situ measurements (gallery convergence) obtained from an experimental site. It results that the mine
flooding induces the convergence of the galleries due to the dilatation of the rocks. This result is in good agreement with our
previous works that have shown that the flooding may be responsible for the tensile failure of roof rocks, which can explain
some mining instabilities.

1 INTRODUCTION The complex geometry of these underground iron mines has

A partial extraction method for iron ore, known as the room
and pillar system, was used in Lorraine (France) under sen-
sitive zones with houses and surface infrastructures, from
the end of the 19th century until 1980. Some of these
safety pillars have been abandoned for one hundred years. In
these areas of partial extraction, many collapses phenomena
have occurred. Then, an important research program entitled
GISOS (research Group for the Impact and Safety of Under-
ground Works) was set up in order to explain the mechanisms
involved in these mine collapses.
The iron ore formation has a 60 meter maximal thickness
and, in the deepest mines, iron ore is recovered some 250
meters below ground level. The iron ore layers, 37 meters
thick, are separated by dirt bands (argillites, siltites and cal-
carenite). Iron ore is made of ferriferous ooliths cemented
by carbonates (calcite and siderite) and berthierine. The
carbonates content varies in iron ore which is, therefore, het-
erogeneous. The most common (ferriferous) facies of iron ore,
with low carbonates content, has been considered in this study.
Mining rocks are exposed in situ to a hydrous cycle.
Before mining, rocks are saturated under a water-table. Dur-
ing the mining, the ground water-table is lowered and the
mine drainage (dewatering) is pumped. Then, the ventilation
induces the drying of the mine where the relative humidity
varies from 8590% in well ventilated areas with mining work-
ings, to 95100% in abandoned zones. At the end of mining,
the mine drainage is not pumped anymore, inducing the water-
table rising and, therefore, the mine flooding. Some of the mine
collapses have occurred during this stage.
The modeling of the rock mass surrounding deep cavi-
ties in iron ore has been performed by Grgic et al. (2006).
been modeled thanks to two-dimensional numerical simula-
tions based on a poroplastic solution. The focus of this work
was to study the impact of the hydrous transfers in the mine
during ventilation (drying) and flooding on the mechanical
behavior, within the framework of the theory of partially satu-
rated and continuous porous media developed by Coussy and
co-authors (Coussy 1995, Dangla et al. 1999). It has been
shown that the final stage of resaturation generates tran-
sient tensile mean effective stresses at the roofs and floors
and, therefore, induces tensile failures. The hydro-mechanical
equilibrium in the medium tends to annihilate these transient
tensile values but the delay for the recovery of the initial state
(compressive values) is very long due to the low permeability
of the rocks. The complex geometry of the model (rectangu-
lar rooms and dissymmetry of the upper and lower boundaries
conditions) is also one of the key points of the instabilities.The
focus of this paper is to compare the results of two dimen-
sional numerical simulations to displacement measurements
obtained from an in situ experimental site, in which the flood-
ing of the mine has been simulated. This comparison is also
presented for the real mine flooding triggered two years after
the end of this in situ experiment.
2 PRESENTATION OF THE 2D MODEL
2.1 Theoretical framework
We consider that heat transfers are isothermal (the temperature
in the mine is constant around 13 C). The main equations of
the theory of partially saturated porous media, developed by
Coussy (1995), are presented in the following lines.

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2007 Taylor & Francis Group, London, UK

 The connected porosity is saturated by 2 fluids: water and
dry air (gas, subscript g). The 2 phases of water are present:
liquid (subscript l) and gas (vapor, subscript v). We assume
that the vapor and the dry air, both considered as perfect gases,
form a perfect mixture (subscript m). Phase change between
the liquid and its vapor is allowed. The system unknowns are
the skeleton displacement, liquid and gas mixture pressure.
The stress tensor can be decomposed in an effective stress
tensor and a pressure tensor:

With this concept in mind, the behavior equation of the stress

tensor can be expressed as a function of drained parameters
which do not depend on the fluid:

b Biot coefficient; o and G Lam coefficients, equivalent

interstitial pressure.
The effective and total stress partition becomes: Figure 1. Model geometry and initial and boundaries conditions for
the 2D numerical simulations (: material density; w : water density;
g: gravity; z: depth; k: initial stresses ratio).

Hence, for Sl = 1, the permeability to liquid is maximum. The

The generalized Darcy law and the Fick law, that describe Kelvin law for the phase change (liquid water-vapor):
the hydrous transport in partially saturated porous media, are
expressed with three physical parameters: liquid and gas per-
meabilities and Fick coefficient F. F depends on temperature,
gas pressure, porous medium tortuosity. It is unknown for iron Capillary pressure Pc is the difference between the gases
ore. The Fick law traduces the vapour diffusion in the gas mixture pressure and the liquid pressure:
mixture:

Liquid saturation depends only on Pc . The experimental

Mi mass flux; pi partial pressure; i density. adsorption curve has been fitted to an empirical law. We have
The generalized Darcy law is used to describe the conduc- chosen the Vachaud-Vauclin law:
tive transport of the liquid and the gas mixture in the porous
medium:

The diffusion equations have been solved by using the finite

i hydraulic conductivity of the porous medium.
The diffusion equations of the two fluids (water and dry
air) are completely defined by the Fick diffusion law, the two
Darcy conductive equations and the two mass conservation
equations (Eq. 6) for water (liquid + vapour) and dry air:
mi mass supply.
The hydraulic coefficients, i.e. the hydraulic conductivities
of the porous medium to liquid and gas (mixture), depend on
intrinsic and relative permeabilities (i dynamic viscosity; K
intrinsic permeability):
The following evolution laws have been used for the relative
permeabilities Kir :
element method. Details on the resolving methods of these
equations are given by Chavant et al. (2002). In addition,
finite elements have been used for spatial discretization and
implicit finite differences scheme for time discretization.
The two-dimensional numerical simulations presented in this
paper have been performed by using a finite element code
CODE_ASTER developed by EDF (Electricit De France).
This numerical code give the solution of a fully coupled prob-
lem in the framework of partially saturated porous media, and
take into account all non-linearities.
2.2 Model geometry, initial and boundaries conditions,
and parameters
The deep galleries in iron ore are rectangular and, therefore,
well adapted to two dimensional numerical simulations. Fig. 1
represents the geometry and the initial and boundaries con-
ditions of the model which corresponds to the in situ case.
One considers a three levels mining exploitation with rect-
angular cavities and well superposed pillars. The medium is
continuous and isotropic and the initial stresses are deviatoric.
For the modeled site, rocks are saturated before mining
workings under a 50 m water-table and the saturated area is

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2007 Taylor & Francis Group, London, UK

 Table 1. Coefficients values of the model.
Elastic and hydromechanical coefficients
Eo (MPa) 17400*; 23300**
o 0.24*; 0.21**
b 0.9*; 0.8*
Hydraulic coefficients (Vachaud-Vauclin law)
a, b 1700, 1.09
Hydraulic conductivity coefficients
k (m2 ) 2.1018 *; 1018 **
a, b, c, d 35, 1.5, 3, 2.7

*iron ore **dirt bands.

covered by a 180 m overburden. The bottom level of the aquifer

is located at the basis of the model (i.e., 57 m below the lowest
gallery). The overburden is 200 m thick. The initial fields of
positive liquid pressure and stresses are created as a function Figure 2. Displacement sensor for the measure of the gallery
of depth. All the parameters of the model are presented in convergence in the in situ experimental site.
Table 1. In these simulations, the behavior has been assumed
to be elastic because we want to compare the displacements 0.15 DY (mm) Divergence +

within a continuous framework, i.e. without any fracture. 0.10

flooding of the
After the excavation, which is assumed to be instanta- 0.05 experimental site mine flooding

neous, the galleries are ventilated during 40 years (hr = 90%). 0.00 0
time (years)

The hydraulic conditions at the wall of the galleries corre- 39.0 40.0 41.0 42.0 43.0 44.0 45.0 46.0
-0.05
spond to fixed gaseous mixture pressure and liquid pres-
-0.10
sure which is related to the relative humidity hr through emptying of the
experimental site
the Kelvin law (Eq. 9). The imposed liquid pressure -0.15

at the wall of galleries during this ventilation is, for -0.20

hr = 90%: Pl (galleries) = Pm (galleries) Pc (hr = 90%) = -0.25

Patm 13.9 MPa = 13.8 MPa. -0.30

Hydrous loadings have been applied progressively for the -0.35

mean measure in the experimenal site

experimental site flooding and for the mine flooding; indeed
the imposed hydrous condition at the roof is shifted compared
to the ones imposed at the wall and at the floor. For the site
flooding, the floor is saturated rapidly (3 days) whereas the
wall (pillar) and the roof are saturated progressively (10
days) as the relative humidity increases in the experimental
site. For the site emptying, the floor remains saturated (only
the positive liquid pressure decreases) whereas the roof and
the pillar are desaturated progressively (10 days) as the rel-
ative humidity decreases. Hydrous loadings have also been
applied progressively for the real mine flooding in order to
simulate the progressive rising of the water-table, according
to hydrogeological data.
2.3 Presentation of the in situ experimental site
In order to explain mechanisms involved in mine collapses,
different kinds of experiments have been developed within the
GISOS research program and set up in an in situ installation
(Fig. 2). This experimental site is located in a zone with safety
pillars where three levels have been exploited. The experimen-
tal site has been installed in the lower level: two central pillars
have been isolated from the others with ten dams supported by
ten peripheric pillars. This experimental site has been filled
up with a 6 m water-table above the floor in order to simulate
the mine flooding, and emptied after one year and 3 months.
During the water removal (50 days), the water is replaced by
air with 90% relative humidity. During one year and a half, the
displacements (convergence in the galleries) generated within
this experiment have been monitored.
Two years later (November 30th 2005), the end of min-
ing workings caused the real flooding of the mine since
mine drainage is not pumped anymore. The displacements
-0.40
numerical simulation
Convergence -
Figure 3. Convergence of the lower gallery: numerical results and
in situ measurements.
induced by this real mine flooding have also been monitored.
In January 2007, the water-table was situated 50 m above the
lower gallery.
3 RESULTS AND DISCUSSION
3.1 Comparison numerical simulations-in situ experiment
Figure 3 shows the evolution of the convergence in the lower
gallery during the flooding of the experimental site and dur-
ing the flooding of the mine. The in situ experimentation has
started after 40 years of ventilation (hr = 90%).
Figure 4 represent banded contours of the liquid saturation
just before the real mine flooding, and after 1 month, 6 months
and 2 years. The resaturation front evolves progressively in
the model with the water-table rising and the medium is still
unsaturated even after 2 years due to the low permeabilities
of the rocks. Note that these results have to be considered
carefully because the intrinsic permeability in the Darcy law
(Eq. 5) does not take into account the large fractures observed
in situ at the roofs of galleries.
3.2 Discussion
The numerical displacements in the lower gallery are in good
agreement with the measures of convergence in the exper-
imental gallery (Fig. 3). The flooding of the experimental
site induces a transient convergence of the gallery due to the

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2007 Taylor & Francis Group, London, UK


Figure 4. Banded contours of the liquid saturation before, 1 month,
6 months and 2 years after the mine flooding.
dilatation of the rocks at the floor which are firstly saturated
by water. This dilatation is caused by the decrease in the equiv-
alent interstitial pressure (Eq. 3) which induces a decrease
in the effective mean stress. After this transient convergence,
the progressive saturation of the pillar and the roof induces the
divergence of the gallery due mainly to the vertical expansion
of the pillar. At the site emptying, the floor remains saturated
and still goes up due to its progressive expansion whereas the
ventilation induces the contraction of the roof and the pillar.
The result is a new rapid convergence of the gallery. Obviously,
the initial state (before the site flooding) will be recovered after
a long delay in both numerical and in situ experiments.
The same evolutions are observed during the real flooding
of the mine, highlighting the reversibility of the phenomenon.
Indeed, the contraction and the dilatation of the rocks, due
to the variation of the effective stresses, are reversible if no
plasticity or failure is produced (i.e. if the behavior is still
elastic). In January 2007, i.e. one year after the beginning of
the mine flooding, while the water-table is situated 50 m above
the lower gallery, the rocks are far from being saturated (Fig. 4)
because of the low permeabilities of the rocks that induce an
important delay for the resaturation process governed by the
diffusion equations (Eqs. 46).
Grgic et al. (2006) have shown that during the progres-
sive resaturation (with positive liquid pressures at the walls,
floors and roofs) of the rocks, the variation of the mean effec-
tive stress is important and transient positive values, which
induce tensile failures, are obtained at the roofs and at the walls
because of the complex geometry of these excavations. Even
though the hydro-mechanical equilibrium in the medium tends
to annihilate these transient tensile values, the reversibility
is very long because of the important delay of the resatura-
tion process governed by the diffusion equations, inducing
an important hysteresis in the hydromechanical cycle. The
instabilities appear during the transient stage of resaturation
if the variation of (Eq. 3) is important. This conclusion is in
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2007 Taylor & Francis Group, London, UK
good agreement with the convergence of the gallery observed
in both numerical simulations and in situ measurements dur-
ing a large scale experiment and during the real flooding of
the mine.
4 CONCLUSIONS
In order to study the impact on the mechanical behavior
of the hydrous transfers in deep iron mines during ventila-
tion and flooding, bi-dimensional numerical simulations have
been performed within the framework of partially saturated
and continuous porous media. These numerical simulations
are compared to in situ measurements (gallery convergence)
obtained from an experimental site, in which the flooding of
the mine has firstly been simulated and, two years later, at the
end of mining workings, really triggered.
The resaturation induces, in both flooding simulation and
real mine flooding, an important transient convergence of the
gallery and, afterwards, a divergence that increases until the
fluids pressures are equilibrated between the lower gallery and
the bottom level of the aquifer. These results are in good agree-
ment with previous results obtained by Grgic et al. (2006).
Indeed, the water saturation induces an important decrease
in the equivalent interstitial pressure and, therefore, the
decrease in the mean effective stress. This decrease induces the
dilatation of the rocks and, because of the complex geometry of
these excavations (Grgic et al. 2006), transient positive values
of the mean effective stress are obtained at the roofs, inducing
thus tensile failures. Therefore, the instabilities in under-
ground iron mines could be explained by the mine flooding
within the framework of partially saturated porous media.
ACKNOWLEDGEMENTS
These researches have been carried out thanks to subsidies
from the Ministries for Industry and Research and the Lorraine
Region within the GISOS (www.gisos.org) framework. The
authors express their gratitude to these organizations.
REFERENCES
Coussy, O. 1995. Mechanics of porous continua. Ed. Wiley.
Dangla, P., Coussy, O., Olchitzky, E. and Imbert, C. 1999.A microme-
chanical approach to the behaviour of unsaturated porous media. In
Symposium on Theoretical and Numerical Methods in Continuum
Mechanics of Porous Materials, IUTAM, Stuttgart.
Grgic, D., Homand, F. and Giraud, A. 2006. Modelling of the drying
and flooding of underground iron mines in Lorraine (France). Int.
J. Rock Mech. Min. Sci., 43, 388407.
Chavant, C., Granet, S. and Le Boulch, D. 2002. Modelling of a
nuclear waste disposal: numerical and practical aspects. In Biot
Conference on Poromechanics II, Thimus et al. (eds). Balkema:
Rotterdam, 2002.
 Planung des Neckardkers Sirnau in Esslingen
Planning of the Neckar undercrossing Sirnau in Esslingen

U. Heinemann
Stadt Esslingen am Neckar, Tiefbauamt

M. Tegelkamp
WBI Prof. Dr.-Ing. W. Wittke Beratende Ingenieure fr Grundbau und Felsbau GmbH

ZUSAMMENFASSUNG: Zur Ableitung von Regenwasser aus dem Gewerbegebiet Esslingen-Sirnau in den Neckar unter-
halb der Staustufe Oberesslingen ist der Bau einer neuen Rohrleitung geplant. Diese verluft zunchst als oberflchennaher
Freispiegelkanal DN 2000 parallel zum Neckar, wobei auf einer Lnge von ca. 40 m ein Straendamm in geschlossener Bauweise
zu unterfahren ist. Der Querschnitt des hierfr vorgesehenen Rohrvortriebs liegt z. T. im Auelehm und z. T. im grundwasser-
fhrenden, hoch durchlssigen Neckarkies. Im Anschluss ist der Regenwasserkanal als tiefliegende Dkerleitung DN 1800
im Fels der Stubensandsteinformation aufzufahren, da ein neckarparallel verlaufender Schifffahrtskanal und die vierspurige
B 10 unterquert werden mssen. Hierfr ist ein ca. 190 m langen Rohrvortrieb im Fels unterhalb des Grundwasserspiegels
vorgesehen. Bei den beiden Rohrvortrieben sowie beim Verbau und der Sicherung der fr die Vortriebe und die Schachtbauw-
erke erforderlichen Baugruben ergeben sich unter den vorliegenden Randbedingungen besondere Anforderungen, die bei der
Planung und der Ausfhrung zu beachten sind.

ABSTRACT: To discharge rainwater from the commercial area in Esslingen-Sirnau into the river Neckar downstream of the
weir Oberesslingen it is planned to construct a new sewer. Along its first section the sewer runs parallel to the river close to the
surface with an inner diameter of 2000 mm. Along the second 40 m long section the sewer runs underneath a road embankment.
Here the pipe jacking method will be applied partly in alluvial clay and partly in groundwater bearing high permeable gravel.
Subsequently the sewer undercrosses in a deeper position a shipping canal and a four-lane federal highway as a siphon. The
pipes in this area have an inner diameter of 1800 mm and are located in the sandstones and siltstones of the Stubensandstein
formation. Again the pipe jacking method will be applied along this approx. 190 m long section. Due to the difficult ground
conditions high demands arise which have to be considered during planning and construction.

Das zur Stadt Esslingen gehrende Gewerbegebiet Sirnau

befindet sich sdlich des Neckars in der Nhe der Staustufe
Oberesslingen (Bild 1). Das Gelnde bzw. die Kanle liegen
dort so tief, dass eine Einleitung des Regenwassers aus dem
Gewerbegebiet in das Oberwasser des Neckars nicht mglich
ist. Die Einleitung muss aus diesem Grunde auf der Unter-
wasserseite der Staustufe erfolgen. Da jedoch oberstrom
der Staustufe ein Schifffahrtskanal auf Oberwasserniveau
vom Neckar abzweigt, ist die durchgehende Verlegung eines
Kanals im Freispiegelgeflle zum Unterwasser des Neckars
von der Sdseite aus nicht mglich.
Derzeit wird das Regenwasser aus dem Gewerbegebiet
Sirnau ber eine Rohrleitung mit 50 cm Durchmesser abge-
fhrt, die den Neckar oberhalb der Staustufe unterquert.
Diese Leitung verluft im Anschluss am Nordufer parallel
zum Fluss und mndet unterhalb der Staustufe in das Unter- Bild 1. bersichtslageplan.
wasser ein. Im Zusammenhang mit der geplanten Erweiterung
des Gewerbegebietes wird zuknftig eine deutlich grere BAUABSCHNITTE UND BAUGRUNDVERHLTNISSE
Leitung erforderlich. Diese wird ausgehend vom bestehenden
Regenklrbecken RKB 1 zunchst als Freispiegelkanal paral- Da im Jahre 2004 der B 10-Anschluss Sirnau umgebaut wurde,
lel zum Sdufer des Schifffahrtskanals gefhrt. Anschlieend wurde ein ca. 280 m langer Abschnitt des Freispiegelkanals
wird die Rohrleitung zur Unterquerung der 4spurigen B 10 bereits im Rahmen einer vorgezogenen Manahme ausge-
und des Schiffahrtskanals um ca. 5 m tiefergelegt. Die Unter- fhrt. Dieser verluft parallel zur B 10 bzw. zum Neckar.
querung des Kanals in Tieflage macht die Ausfhrung als Die oberflchennah liegenden Stahlbetonrohre mit einem
Dker erforderlich (Bild 1). Durchmesser DN 2000 wurden in offener Bauweise verlegt

77

2007 Taylor & Francis Group, London, UK

Bild 2. Lageplan Freispiegelkanal.
Bild 3. Lngsschnitt Freispiegelkanal (5fach berhht).
(Bild 2). Die Rohre liegen im stark wasserdurchlssigen soge-
nannten Neckarkies, der von bindigen Auelehmen berdeckt
wird (Bild 3). Da der Grundwasserspiegel im Niveau der
Kanalrohre ansteht und die zulssigen Grundwasserentnah-
men durch behrdliche Auflagen begrenzt sind, wurde die
Kanalbaugrube abschnittsweise eingespundet. Die Spund-
bohlen wurden bis in die Verwitterungszone der unter den
Neckarkiesen anstehenden Stubensandsteinformation einger-
ammt.
Der noch auszufhrende Abschnitt des Freispiegelkanals
(Bild 2) unterquert auf ca. 40 m Lnge den Straendamm Sir-
nauer Brcke. Die Scheitelberdeckung der Rohre betrgt
hier ca. 6,5 m. Wegen der hohen verkehrlichen Belastung der
Strae wurde im Vorfeld eine offene Bauweise in diesem
Bereich ausgeschieden. Es ist daher ein Rohrvortrieb vorge-
sehen, wobei der Querschnitt teilweise im Auelehm und
teilweise im grundwasserfhrenden Neckarkies liegt. Start-
und Zielschacht sollen als Spundwandbaugruben ausgefhrt
werden (Bild 3).
Die Dkerleitung, fr die ein Durchmesser DN 1800
erforderlich ist, beginnt am schachtfrmigen Einlaufbauwerk
(Bild 4). Hier wird der Hhenunterschied von ca. 5 m zwis-
chen dem Freispiegelkanal und der tiefliegenden Dkerleitung
berwunden. Die Rohrleitung unterquert dann zunchst die
4spurige B 10 und danach den mit Spundwnden eingefassten
Neckar-Schifffahrtskanal (Bild 5). DerAbstand zwischen dem
Rohrscheitel und der Kanalsohle betrgt ca. 45 m. Nach der
Unterquerung des Kanals steigt die Dkerleitung zum Neckar
hin an. Dieses steigende Auslaufrohr mndet in der Ufer-
zone in ein Auslaufbauwerk ein. Am Dkertiefpunkt ist ein
Schachtbauwerk geplant, ber das die Rohre im Bedarfsfall
entleert und begangen werden knnen.
78
2007 Taylor & Francis Group, London, UK
Bild 4. Lageplan Dkerleitung.
Bild 5. Lngsschnitt Dkerleitung (5fach berhht).
Das tiefliegende Dkerrohr verluft durchgehend im Fels
der Stubensandsteinformation (Bild 5). Hierfr ist auf ca.
190 m Lnge ein Rohrvortrieb vorgesehen. Als Start- und
Zielschchte dienen die Baugruben fr das Einlauf- und
das Entleerungsbauwerk. Das Auslaufrohr, das aus dem Fels
in den berlagernden Neckarkies aufsteigt, wird in offener
Bauweise hergestellt.
Wie die Lngsschnitte (Bilder 3 und 5) zeigen, ist bei der
Baumanahme zwischen den Lockergesteinsdeckschichten
und dem darunter anstehenden Fels zu unterscheiden. Die
Deckschichten bestehen abgesehen von den inhomogenen,
meist gemischtkrnigen Auffllungen in den Dammbereichen
zuoberst aus Auelehmen und darunter aus Neckarkiesen. Fr
diese beiden Schichten sind im Bild 6 jeweils die Bandbreiten
der Kornverteilungen dargestellt. Bei den Auelehmen handelt
es sich um Schluff-Sand-Gemische, in die zumTeil Kieskrner
schwimmend eingelagert sind. Die Neckarkiese sind dage-
gen grobkrnig. Sie bestehen berwiegend aus Mittel- und
Grobkiesen mit einzelnen Steinen. In meist nur geringen
Anteilen sind Feinkies und Sand enthalten. Die Schluff-
beimengungen sind in der Regel sehr gering. Demzufolge ist
die Wasserdurchlssigkeit der Neckarkiese mit kf -Werten von
102 bis 103 m/s relativ hoch.
Der Felsuntergrund besteht aus der Stubensandsteinfor-
mation, einer horizontal geschichteten und nherungsweise
vertikal geklfteten Wechsellagerung aus Sandsteinen und
Schluffsteinen (Bild 7). Die an Gesteinsproben aus den Erkun-
dungsbohrungen ermittelten einaxialen Druckfestigkeiten
betragen bis zu 25 MPa. Erfahrungsgem treten vereinzelt
aber auch hhere Festigkeiten auf, die Werte zwischen 50
und 100 MPa erreichen knnen. Zur Verdeutlichung sind im
Bild 6. Kornverteilungen Auelehm und Neckarkies.
Bild 7. Stubensandstein, Gefgemodell und Gesteinsfestigkeit.
Bild 7 ergnzend die Ergebnisse von Druckversuchen an
Sandstein- und Schluffsteinproben aus der Stubensandstein-
formation an anderer Stelle im Stuttgarter Raum dargestellt.
Diese Versuche wurden im Rahmen der Erkundungen fr
das Bahnprojekt Stuttgart 21 durchgefhrt. Die Trennflchen
drften im Stubensandstein meist nur geringe ffnungsweiten
besitzen. Der mittlere Wasserdurchlssigkeitsbeiwert des Fel-
suntergrundes wurde in den hydraulischen Bohrlochtests in
einer Grenordnung von 105 m/s bestimmt. Es kann jedoch
nicht ausgeschlossen werden, dass lokal einzelne Wasser-
wegigkeiten mit hherer Durchlssigkeit und Verbindung zum
Neckarkies bestehen.
SCHACHT- UND SONDERBAUWERKE
Am Anfang der Dkerleitung wird das Einlaufbauwerk
hergestellt. Es handelt sich um ein Schachtbauwerk, in das
oberflchennah der Freispiegelkanal DN 2000 einmndet
(Bild 8). Der Einlauf in die ca. 5 m tiefer liegende Dkerleitung
DN 1800 erfolgt ber einen hydraulisch gnstig ausgerunde-
ten Rohrkanal. Innerhalb des Einlaufbauwerkes wird auch der
Richtungswechsel des Regenwasserkanals um 90 vorgenom-
men. Die ca. 10 m tiefe Baugrube fr das Einlaufbauw-
erk dient gleichzeitig als Startschacht fr den Rohrvortrieb
im Stubensandstein. Die Baugrube soll im oberen Teil mit
einem rahmenartig ausgesteiften, gering wasserdurchlssi-
gen Spundwandverbau gesichert werden. Hierdurch sollen
Grundwasserabsenkungen im Neckarkies vermieden wer-
den. Der untere Teil des Startschachtes liegt im Fels. Hier
ist als Baugrubensicherung eine drnierte Spritzbetonschale
mit Felsngeln vorgesehen. Zur Aufnahme der Pressenkrfte
79
2007 Taylor & Francis Group, London, UK
Bild 8. Schnitt durch das Einlaufbauwerk.
Bild 9. Schnitt durch das Entleerungsbauwerk.
beim Rohrvortrieb wird ein Pressenwiderlager aus Stahlbeton
angeordnet. Weiterhin ist eine Anfahrdichtung vorzusehen.
Am Ende der Rohrvortriebsstrecke fr die Dkerleitung
wird ein weiteres Schachtbauwerk angeordnet Bild 9). Dieses
ca. 12,5 m tief reichende Bauwerk ermglicht ber eine
Pumpenanlage die Entleerung der gesamten Dkerleitung und
den seitlichen Einstieg in die Leitung zu Wartungszwecken.
Das Entleerungsbauwerk dient auerdem zur Aufnahme von
zwei Schiebern, mit denen die Leitung vollstndig abgesperrt
werden kann.
Diese Absperrung ist fr den Fall eines hundert- bzw. zwei-
hundertjhrigen Neckarhochwassers erforderlich. Es wird
damit verhindert, dass Neckarwasser ber die Dkerleitung
bis in die Freispiegelleitung bzw. das Regenklrbecken ein-
dringt. Die Baugrube fr das Entleerungsbauwerk ist gle-
ichzeitig Zielschacht fr den Rohrvortrieb. Der Baugruben-
verbau soll wie beim Startschacht im Bereich des Lock-
ergesteins aus Spundwnden und im Bereich des Stubensand-
steins aus Spritzbeton und Felsngeln bestehen.
Das Auslaufbauwerk (Bild 10), ber das im Betriebszus-
tand das Regenwasser in den Neckar eingeleitet wird, wird
in die bestehende, mit Zyklopenmauerwerk befestigte Ufer-
zone integriert. Die Schwelle am Ende des Auslaufrohres liegt
ca. 40 cm oberhalb des Mittelwasserspiegels des Neckars.
Um Erosionsschden bei der Einleitung des Regenwassers
in den Neckar zu vermeiden, ist das Auslaufbauwerk als
Tosbecken mit seitlichen Flgelwnden ausgebildet. Fr den
Fall von Wartungsarbeiten im Dker kann das Auslaufrohr
vorbergehend mit Dammbalken verschlossen werden. Das
Auslaufbauwerk wird im Niveau der Felsoberkante gegrndet.
 Bild 12. Schnitt durch die Baugrube fr das Auslaufbauwerk.
Bild 10. Schnitt durch das Auslaufbauwerk.

Bild 13. Grundriss der Baugrube fr das Entleerungsbauwerk.

Bild 11. Grundriss der Baugrube fr das Auslaufbauwerk.

Die Grndungssohle liegt damit wenige Dezimeter unterhalb

der Neckarsohle.

BAUGRUBEN

Aus der Lage der Baugruben fr das Auslaufbauwerk, das

Auslaufrohr und das Entleerungsbauwerk in der grundst-
zlich hochwassergefhrdeten Uferzone des Neckars ergeben
sich besondere Anforderungen bei der Ausfhrung. So soll
zunchst in einer ersten Bauphase dasAuslaufbauwerk in einer
Baugrube hergestellt werden, die wasserseitig durch einen
Fangedamm abgeschottet ist (Bilder 11 und 12).
Die Krone dieser Baugrubenumschlieung soll ca. 2 m
oberhalb des normalen Neckarwasserstandes liegen. Damit ist
in dieser Bauphase ein begrenzter Hochwasserschutz gegeben.
Im Falle eines 200jhrigen Hochwasserereignisses steigt
der Wasserspiegel im Neckar allerdings bis auf fast 4 m ber
die Fangedammkrone an. Eine Absicherung der Baugrube
gegen ein derartiges Extremhochwasser wird wirtschaftlich
nicht fr vertretbar gehalten. Fr einen solchen Fall wird daher
das Risiko einer vorbergehenden Flutung der Baugrube in
Kauf genommen.
Nach der Fertigstellung des Auslaufbauwerks ein-
schlielich der angrenzenden Ufersicherung soll in einer
zweiten Bauphase die Baugrube fr das Entleerungsbauw-
erk und das Auslaufrohr hergestellt werden (Bilder 13 und
14). Diese Baugrube ist gleichzeitig Zielschacht fr den
Rohrvortrieb. Die Baugrube soll im Lockergestein mit einem
quasi wasserundurchlssigen, ausgesteiften Spundwandver-
bau gesichert werden. Der untere Teil der Baugrube liegt
Bild 14. Schnitt durch die Baugrube fr das Entleerungsbauwerk.
im Stubensandstein. Hier ist eine Sicherung mit bewehrtem
Spritzbeton und Felsngeln vorgesehen.
Das neckarseitige Ende der Baugrube schliet sich an
das in der ersten Bauphase fertiggestellte Auslaufbauwerk
an. Dieses wird bis zum Abschluss der Baumanahme mit
Dammbalken verschlossen. Es ergibt sich damit auch fr die
zweite Bauphase nur ein begrenzter Hochwasserschutz, der
ca. 3 m ber dem normalen Wasserstand des Neckars am
Auslaufbauwerk liegt.
ROHRVORTRIEBE
Neben den tiefen Baugruben sind beim Projekt Neckardker
Sirnau die Rohrvortriebsarbeiten von besonderer Bedeutung.
Die Dkerleitung mit einem Innendurchmesser von 1.800 mm
liegt wie im Bild 5 dargestellt vollstndig im Fels der
Stubensandsteinformation. Der Grundwasserspiegel steht im

80

2007 Taylor & Francis Group, London, UK

Bild 15. Maschinenkonzept fr den Rohrvortrieb im Stuben-
sandstein.
Neckarkies oberhalb des Stubensandsteins an. Weiterhin ist
der Schifffahrtskanal zu unterfahren, wobei der Kanalwasser-
spiegel ca. 89 m oberhalb des Rohrscheitels liegt. Fr den
Rohrvortrieb ist daher eine Maschine vorzusehen, mit der
zum einen die anstehenden Sand- und Schluffsteine auch in
verwitterter Form gelst werden knnen und zum anderen
die anstehenden Wasserdrcke auch im Falle lokaler grerer
Wasserwegigkeiten sicher beherrscht werden.
Nach dem Planungskonzept ist eine geschlossene Schild-
maschine mit einem Felsbohrkopf und Nassfrderung, d.
h. ein sogenannter Slurry-Schild vorgesehen. Die Bentonit-
Suspension in der Abbaukammer bernimmt dabei einer-
seits die Sttzfunktion gegen den Erd- und Wasserdruck
und dient andererseits als Frdermedium fr den Abtrans-
port des gelsten und zerkleinerten Gesteins. Die Trennung
von Suspension und Boden bzw. Gestein erfolgt in einer
Separieranlage am Startschacht.
Fr eine eventuelle Hindernisbeseitigung oder den
Werkzeugwechsel am Bohrkopf soll die Arbeitskammer bege-
hbar sein. Im Hinblick auf die anstehenden Wasserdrcke soll
der Schildbereich daher mit Druckluft beaufschlagbar sein.
Das Bild 15 zeigt im Lngsschnitt das Konzept einer Vor-
triebsmaschine, die den genannten Anforderungen entspricht.
Es ist beispielhaft eine AVN-Maschine der Fa. Herrenknecht
dargestellt.
Der Rohrvortrieb unter dem Straendamm liegt im Lock-
ergestein (vgl. Bild 3). Es ist davon auszugehen, dass sich
nherungsweise die obere Querschnittshlfte im Auelehm
und die untere im Neckarkies befindet. Der Grundwasser-
spiegel liegt innerhalb der hochdurchlssigen Neckarkiese.
Er ist etwa in halber Rohrhhe anzunehmen. Eine Absenkung
81
2007 Taylor & Francis Group, London, UK
Bild 16. Maschinenkonzept fr den Rohrvortrieb im Lockergestein
(EPB).
des Grundwasserspiegels soll nicht vorgenommen werden, da
damit die Entnahme groer, nicht genehmigter Grundwasser-
mengen verbunden wre.
Es ist daher vorgesehen, trotz der vergleichsweise kurzen
Vortriebslnge von ca. 40 m eine geschlossene Maschine
einzusetzen, mit der eine Grundwasserabsenkung vermieden
und die Ortsbrust gesttzt wird. Grundstzlich kommen
hierfr Slurry-Schilde oder Erddruckschilde (EPB) in Frage.
Obwohl der Neckarkies im Gegensatz zum Auelehm nicht
unbedingt den idealen Einsatzbereich eines Erddruckschildes
darstellt, drfte im vorliegenden Fall der Einsatz einer
EPB Vortriebsmaschine grundstzlich mglich sein. Die
Abfrderung des Ausbruchmaterials knnte dann ber einen
Schneckenfrderer und Kbel erfolgen. Das Bild 16 zeigt
beispielhaft das Konzept eines EPB-Schildes der Firma Her-
renknecht, wie er in hnlicher Form bei der Unterfahrung des
Straendammes zur Anwendung kommen knnte.
STAND DES PROJEKTES UND AUSBLICK
Fr den noch auszufhrenden Teil des Projektes Neckardker
Sirnau werden gegenwrtig die Ausschreibungsunterlagen
zusammengestellt. Aufgrund der besonderen Anforderun-
gen, insbesondere im Zusammenhang mit den Rohrvor-
triebsarbeiten, wird eine Beschrnkte Ausschreibung nach
ffentlichem Teilnahmewettbewerb durchgefhrt. Die Verf-
fentlichung und die Ausgabe der Bewerbungsunterlagen
erfolgt im April 2006. Mit der Bauausfhrung, die im Som-
mer 2007 abgeschlossen werden soll, soll im Herbst 2006
begonnen werden.
 Rationalization of the impoundment of arsenic-rich muck utilizing adsorption of silty soil

Toshifumi Igarashi
Division of Field Eng. for Environment, Graduate School of Engineering, Hokkaido University

Harue Imagawa
Technology Development Center, Nippon Mining & Metal Co., Ltd.

Kuniomi Asakura & Katsuhiko Kaneko

Division of Field Eng. for Environment, Graduate School of Engineering, Hokkaido University

ABSTRACT: The reasonable impoundment of the muck with arsenic (As) is required when tunnel or dam is constructed
in hydrothermally altered areas. Consecutive batch leaching experiments from muck with As and subsequent adsorption
experiments by silty soils were carried out to evaluate the fate of As. The results of the leaching and adsorption experiments
showed that the As concentration leached from the muck decreased with the number of extractions, and that the leached As was
adsorbed by silty soils in accordance with a Henry type-adsorption isotherm. This indicates that utilizing silty soil as a bottom
layer for adsorption is effective as a barrier against As leaching from As-rich muck.

1 INTRODUCTION

Hokkaido, in the north of Japan, has many active volcanoes,

hot springs, and closed mines, implying that hydrothermally
altered rock is widely distributed throughout Hokkaido. The
arsenic (As) content of altered rock is known to be higher
than that of unaltered rock1) , and it may induce higher As
concentration in seepages through altered rock formations. In
particular, the leachate through impoundment of altered rock
excavated during tunnel or dam construction, called muck,
often displays noticeably elevated As concentrations because
the geochemical conditions of the rock are changed from
anoxic to oxic and because the specific surface area of exca-
vated rock is dramatically higher than that of the intact rock,
causing an enhancement in the mobility of As2)3) .
Since Soil Contamination Countermeasures Law was
enforced in 2003, the disposal of As-rich muck has been a
major concern in Japan. Public Works Research Institute4)
details the procedures for treating the hazardous muck in
accordance with the law. The replacement of the polluted soils
with unpolluted ones, the complete treatment of the polluted
soils, or the use of impermeable layers such as a duplicate
geomembrane or clay liner so as to enclose the polluted soils
have been strongly recommended. However, the rational dis-
posal of a high-volume, low-concentration waste like As-rich
muck is imminently required. Geological Survey of Japan5)
published geochemical maps that depict the spatial distribu-
tion of various heavy metals in Japan. Based on the map, it is
apparent that As-rich rock is ubiquitously distributed around
active volcanoes throughout Japan.
The As is also highly adsorbed by soils in comparison to the
other major anions. This As adsorption leads to a reduction
in the liquid-phase concentration by partitioning the leached
As into solid and liquid phases. Installation of an adsorption
layer underneath the muck might reduce the As concentration
outside the disposal site. Silty soils are promising from the
standpoint of hydrogeology and geochemistry.
Figure 1. Illustration of As-rich muck disposal.
Figure 1 illustrates one of the alternatives to rational muck
disposal. However, the As leaching from muck and subse-
quent migration through the bottom silty soil have never been
examined. The objective of the present research is to propose
a new method for reasonably safe disposal of As-rich muck
by utilizing bottom silty soils with adsorption.
2 EXPERIMENTS
2.1 Samples used
Three hydrothermally altered igneous rock samples, K1, K2,
and K3, and three sedimentary rock samples, Y1, Y2, and N1,
were provided for leaching experiments. The altered igneous
rock samples are tuff, theY1 is mudstone, theY2 is sandstone,
and N1 is hydrothermally altered slate. All of the samples
were collected in Hokkaido. The samples were crushed after
air-dried for the experiments.
Two silty soil samples, Ks and Ns, were collected and used
as As adsorbents. The Ks was sampled near the K-series
rock sampling site whereas the Ns was sampled near the N1
sampling site.
The mineralogical properties of the rock and soil samples
determined by X-ray diffraction analysis (XRD) are shown in
Table 1. Pyrite (FeS2 ) that is predicted to be closely related
to As leaching is detected in the K1, K2, and Y1 samples.

83

2007 Taylor & Francis Group, London, UK

Table 1. Identified minerals in samples used. 50

Samples Identified minerals K1

40 K2
K1 Quartz, Feldspar, Chlorite, Muscovite, Pyrite K3
K2 Quartz, Feldspar, Chlorite, Pyrite Y1

As ( g/L)
30
K3 Quartz, Feldspar, Calcite, Muscovite, Chlorite Y2
Y1 Quartz, Feldspar, Calcite, Chlorite, N1
Muscovite, Montmorillonte, Pyrite 20
Y2 Quartz, Feldspar, Calcite, Chlorite
N1 Quartz, Feldspar, Chlorite, Muscovite, Calcite, Kaolinite
Ks Quartz 10
Ns Quartz, Feldspar, Muscovite
0
0 2 4 6 8 10
Table 2. Chemical properties of rock samples. Number of extraction

K1 K2 K3 Y1 Y2 N1 Figure 2. As concentration change with extraction.

SiO2 (wt.%) 55.2 54.3 49.9 72.6 39.6 43.0 10

TiO2 (wt.%) 1.12 0.92 1.19 0.59 0.96 0.41
Al2 O3 (wt.%) 18.2 17.6 19.2 14.5 10.9 12.1
Fe2 O3 (wt.%) 7.84 7.45 6.96 1.32 5.23 5.43 9
MgO (wt.%) 2.42 6.15 9.41 1.98 1.76 2.85
CaO (wt.%) 0.8 1.87 6.65 2.54 20.9 1.59
Na2 O (wt.%) 1.17 4.96 0.22 0.26 2.19 0.50 pH 8
K2 O (wt.%) 8.75 2.15 3.55 2.38 1.49 3.02
K1
S (wt.%) 0.53 0.32 0.17 0.65 0.041 0.27 7 K2
As (mg/kg) 265 611 14.3 8.7 5.3 10.5
K3
6 Y1
Y2
The chemical composition of the rock samples determined N1
by X-ray florescence analysis (XRF) is presented in Table 2. 5
0 2 4 6 8 10
The As content of igneous rock samples ranged from 14 to
Number of extraction
611 mg/kg whereas that of sedimentary rock samples from 5
to 11 mg/kg. The sulfur content of the rock ranged from 0.3 Figure 3. pH change with extraction.
to 0.7 wt% when pyrite was detected, and was less than 0.3%
when pyrite was not identified.
leachate was obtained by the first leaching experiment from
the crushed rock sample. The solid-liquid ratio ranged from
2.2 Consecutive leaching experiments 0.005 to 100 g/L. After mixing, the leachate was separated
The leaching of As from crushed rock samples was conducted with a 0.45 m membrane filter to analyze As. The amount of
in batch tests. Fifteen grams of crushed-rock samples and As adsorbed on the soil was calculated based on the difference
150 mL of deionized water were mixed in a 200-mL Erlen- between the initial As concentration and the equilibrium As
meyer flask at room temperature. The flask was agitated at concentration.
approximately 120 rpm in a reciprocal shaker. After 1 day mix-
ing, the leachate was filtered with a 0.45 m membrane filter.
3 RESULTS AND DISCUSSION
The filtrate was provided for the analysis of As and other coex-
isting ions, such as Ca, Mg, Na, K, Fe, Al, Mn, Si, SO24 , and 3.1 Consecutive leaching experiments
HCO 3 . Hydride generation ICP-AES or ICP-MS was used
in the analysis of As. Titration with sulfuric acid solution for Figure 2 presents the As concentration in the leachate versus
alkalinity measurements and ion chromatograph or ICP-AES the number of extractions. The As concentration decreased
for SO2 with the number of extractions, irrespective of the sample
4 analysis were applied. ICP-AES was used in the used. This trend was observed both for igneous rocks and
analysis of the other constituents.
The residue of the crushed rock sample after extracting the sedimentary rocks. In particular, the decrease in As concen-
leachate was provided for subsequent leaching experiments tration was more noticeable when the initial As concentration
by adding deionized water, mixing, and filtering. The con- in the leachate was higher. This means that the As leaching
secutive batch experiments continued for 5 to 10 cycles. No from crushed rock samples decreased with time. The pH of
tight cap was installed on the flask to maintain oxic condition the leachates ranged from 7.5 to 8.5, and was nearly constant,
throughout the experiment. independent of the number of extractions as shown in Figure 3.
The SO24 concentration in the leachate versus the number
of extractions is shown in Figure 4. The SO2 4 concentra-
2.3 Batch adsorption experiments
tion decreased dramatically at first, and then gradually. The
A silty soil sample, Ks or Ns, was added to the leachate from decrease in concentration with the number of extractions was
crushed rock samples and mixed for 1 day to understand observed for Mg, Na, Fe, Al, and Si. The Ca concentration
the As partitioning between the solid and liquid phase. The in the leachate versus the number of extractions is presented

84

2007 Taylor & Francis Group, London, UK

 25 Table 3. Input parameters.
K1 Parameters Input values
20 K2
K3 Muck layer Thickness = 5 m
SO 42 - ( m g /L )

15
Y1 = 0.5
Y2
Bottom soil layer Thickness = 0.3 m
N1
d = 1.77 Mg/m3
10
= 0.336
Kd = 1.85 or 0.36 m3 /kg
5 D = 0.1 m2 /y
Effective rainfall v = 333 mm/y
0
0 2 4 6 8 10
Num ber of ex t r ac t ion 50

Figure 4. SO2
4 concentration change with extraction.
40

25 K

As ( g/L)
30 N

20
20
K1
Ca (mg/L)

15 K2
K3 10
10 Y1
Y2
N1 0
5 0 500 1000 1500 2000
Time (y)
0
0 2 4 6 8 10 Figure 7. As concentration change in the muck layer.
Number of extraction

Figure 5. Ca concentration change with extraction. According to the method of least squares, the Kd of Ks
and Ns samples are 1.85 and 0.36 m3 /kg, respectively. Fig-
ure 6 indicates that the silty soils have a significant adsorption
4
capacity for As.
Ks
Ns 3.3 Prediction of As migration
3
q (mg /kg)

q = 1.85C The As leaching from the bottom of a silty adsorption layer

2 R2 = 0.83 exemplified in Figure 1 is estimated based on the consecutive
leaching from crushed rock samples and adsorption by silty
q = 0.36C
1
soils. One-dimensional advection dispersion equation with a
R2 = 0.85 step input was used for simulatingAs migration.The following
analytical solution was applied.
0
0 2 4 6 8
C ( g/L)

Figure 6. As adsorption isotherms of silty soils.

in Figure 5. The Ca concentration in the leachate was con-

stant regardless of the number of extractions, indicating that
the Ca-bearing minerals quickly dissolve in water. The almost
constant Ca concentration in the leachate corresponded to the
constant pH.
3.2 Batch adsorption experiments
The adsorption isotherm of As by silty soils, Ks and Ns, is
shown in Figure 6. The relation between solid-phase concen-
tration q and liquid-phase concentration C can be expressed
by the following linear equation.
where, Kd is the distribution coefficient.
where, erfc represents the complementary error function, x
is distance, t is time, v is interstitial velocity, Rf is retarda-
tion factor, D is longitudinal dispersion coefficient, d is bulk
density, and is volumetric water content.
The input parameters listed in Table 3 were used for mod-
eling As migration. The thickness of the muck layer and that
of the bottom silty layer was assumed to be 5 m and 0.5 m,
respectively. The As concentration change in the muck layer
was assumed as shown in Figure 7. The As concentration
change in Figure 7 was obtained from the consecutive leaching
experiments assuming that the volume of groundwater that has
contacted the muck can be calculated from net annual precipi-
tation, and that the As concentration in the much layer remains

85

2007 Taylor & Francis Group, London, UK

 20 (1) The As concentration leached from the muck decreased
with the number of extractions.
K
N (2) The leached As was adsorbed by silty soils in accordance
15 with a Henry type adsorption isotherm.
(3) The above results indicates that the use of silty soil as an
As ( g/L)

10
underneath layer for As adsorption is an effective barrier
that can reduce As leaching from As-rich muck.

5
REFERENCES

0 1) Tanaka, T.: Distribution of arsenic in the natural environment

0 500 1000 1500 2000 2500
Time (y)
Figure 8. As leakage from the bottom silty layer.
constant during the first 210 years corresponding to the solid-
liquid ratio of 1:10 used for batch leaching experiments and
then the As concentration decreases every 210 years.
The leaching concentration of As from the bottom silty layer
was calculated as shown in Figure 8. From this figure, the max-
imum As concentrations were predicted to be 12 to 15 g/L,
depending on the leaching and adsorption properties. How-
ever, a thicker or denser bottom layer can significantly reduce
the As concentration.
4 CONCLUSIONS
Consecutive batch leaching experiments from crushed rock
samples and adsorption experiments by silty soil samples
were conducted to evaluate a reasonable method for disposing
As-rich muck. The obtained results are following.
with emphasis on rocks and soils, Applied Organometallic
Chemistry, Vol.2, pp.283295, 1988.
2) Smedley,P.L. and Kinniburgh,D.K.: A review of the source,
behavior and distribution of arsenic in natural waters, Applied
geochemistry, Vol.17, pp.517568, 2002.
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iments, and groundwater pollution; A review, Earth Science
(Chikyu Kagaku), Vol.57, pp.137154, 2003.
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wal,P.K., Geochemical study of arsenic release mechanisms
in the Bengal Basin groundwater, Water Resources Research,
Vol.38, pp.11731190, 2002.
5) Igarashi,T., Imagawa,H., Uchiyama,H., and Asakura,K.: Leach-
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geochemical conditions, Submitted toMinerals Engineering,
2007.
6) Public Works Research Institute, Manual on countermeasures
against soil pollution associated with construction works, Kajima
Institute Publishing Co., Ltd., 2004.
7) Imai,N., Terashima,S., Mikoshiba,M., Okai,T., Tachibana,Y.,
Togashi,S., Matsuhisa,Y., Kanai,Y., Kamioka,A., and
Taniguchi,M., Geochemical map of Japan, Geological Survey
of Japan, AIST, 2004.

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 Rock erosion in spillway channels A case study of the Ligga spillway

L. Mrn
Tyrns AB, Ume, Sweden (formerly at Vattenfall Power Consultant AB, Lule, Sweden)

J. Sjberg
Vattenfall Power Consultant AB, Lule, Sweden

ABSTRACT: High flow in spillway channels of hydropower dams may cause erosion of the rock in the channel, which may
result in damage of concrete structures, change of flow patterns and/or endanger dam stability. This paper presents a case study
of the Ligga spillway, in which physical model tests and dynamic numerical analysis were used to study the potential for erosion
for several alternative designs of the spillway channel. The results from the numerical modeling clearly showed that a flattened
channel bed (in the upper portion), in combination with a constructed groove in the middle portion, was the most favorable to
reduce the amount of rock scour. This design was chosen to be implemented for the re-construction of the spillway channel,
which is currently underway.

1 INTRODUCTION

The global climate changes will probably result in an increased

precipitation in Sweden. This will cause higher floods in
the rivers and increased water loads on existing hydropower
dams along the rivers. This potential situation will result in
higher demands on the safety of the dams, and new guide-
lines for design flood has been determined by the flood
committee appointed by SMHI (the Swedish Meteorologi-
cal and Hydrological Institute) and the hydropower industry
(Fldeskommittn 1990). In order to maintain the safety of
the dams, remedial measures and investigations to increase
the safety have been undertaken for many of the larger dams
in Sweden.
Higher floods in the spillway channels of hydropower dams
may cause erosion of the rock in the channels.There are several Figure 1. Eroded block in the spillway channel of the Harsprnget
hydropower stations in Sweden in which the spillway channels hydropower plant.
have been subjected to extensive rock erosion, even though
none of the spillways have experienced any long-term high When water is discharged in a spillway it is often done with a
flow. high flow.The load from the flowing water can cause erosion of
This paper focuses on the Ligga spillway in the Lulelven the rock in the channel, where whole blocks become detached
river, where the risk for rock erosion in the current spillway from the rock mass. The blocks that erode can be large, with
channel is judged to be large. Using physical model tests and volumes of up to 2030 m3 , see Figure 1.
numerical analysis, several alternative designs of the channel Block erosion in a spillway channel may result in:
were investigated, with the aim of reducing rock scour.
damage of the concrete structures if eroded blocks crashes
into them,
2 PROBLEM DESCRIPTION changes in the flow patterns in the channel if the erosion is
extensive or if eroded blocks land in impropriate places,
2.1 General undermining of guidewalls and other constructions if the
Hydropower is an important energy source and in Sweden rock mass where these are placed erode, and
alone there are nearly 1900 hydropower plants, and some 190 stability problems of the dam if the erosion propagates back
hydropower dams (Johansson et al. 2003). Many of these dams towards the dam constructions
are filling dams with filling material such as till, silt, gravel
and clay. This construction is sensitive to overtopping flow
2.2 Mechanism for block erosion
and can easily break if water starts to flow over the top. An
important part of the dam construction is therefore spillways Rock block erosion due to flowing water is caused by the pres-
with floodgates through which water can be discharged in sure fluctuation in the water. The pressure varies because of
flood times. The spillway channels are in many cases blasted turbulence and waves in the water. The rock mass in a spill-
into the rock mass or located directly in the old river bed. way channel is affected by a surface shear force resulting from

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2007 Taylor & Francis Group, London, UK

flowing water passing over the upper surface of the blocks. The
rock mass is also affected by varying pressure caused by the
turbulence and waves in the water. This varying pressure can
cause pressure differences between upper and lower parts of
blocks, which may result in instantaneous lift forces.
The combination of lift forces and drag forces from the flow-
ing water can enable entire rock blocks to detach from the rock
mass. The extent of the erosion depends on the magnitude of
the difference between the shear forces, lift forces and resisting
forces, the mass of the rock blocks, and the length of time dur-
ing which the shear forces exceed the resisting forces (Lorig
2002). The jointing pattern affects the vulnerability of a rock
mass to water loads a rock mass with sub-horizontal joint-
ing is particularly susceptible to block erosion from flowing
water. Joints dipping in the direction of the flow also results a
higher potential for block erosion (Cato & Mattewson 1990).
3 APPROACH
In the Lulelven and Indalslven rivers, there are several
hydropower stations for which the spillway channels have
been subjected to extensive block erosion, e.g. the Satisjaure,
Harsprnget, and Midskog stations. The relatively extensive
problems prompted re-design of several of the channels. Using
physical model tests and numerical analysis, several alterna-
tive designs of the channels were investigated, with the aim of
reducing rock scour. The channels were then rebuilt based on
these results (Billstein et al. 2003, Billstein & Ekstrm 2004).
These remedial measures have later proven to work well when
the stations were taken in operation again, proving that the
methodology used for assessing rock erosion (physical model
tests complemented by numerical analysis) was sound and rea-
sonable (Billstein et al. 2003). Hence, a similar methodology
was utilized for the investigation of a new design of the Ligga
spillway.
power in the water (Annandale, 1995). When the erodability
index is calculated for the rock mass in the Ligga spillway
channel and compared with the power in the water for a dis-
charge of 900 m3 /s, a high risk of damaging scour is predicted
as shown in Figure 3. In order to improve the dam safety,
increase the capacity of the discharge through the floodgates,
and still reduce the high risk of scour, the spillway channel
has to be redesigned.
4.3 Numerical analysis
4.3.1 Physical model tests and indata
To determine the amount of the measures that has to be done in
the Ligga spillway channel to reduce the risk of scour, physical
model tests combined with numerical analysis was performed.
In the physical model tests a 1:50 scale model of the spillway
channel was built at the Vattenfall laboratory in lvkarleby.
The model was used to identify problem areas and to test dif-
ferent designs for the spillway. Data regarding water depth,
pressure fluctuations at specific exposed locations and flow
velocities at two different flows and designs of the spillway
were registered (Yang et al. 2006). This data were used as input
(load from flowing water) in the numerical model. The two
examined flows that were used were 900 m3 /s and 2040 m3 /s.
A new design of the spillway, in which a groove was created
(through blasting) into the middle portion of the channel bed

4 THE LIGGA CASE

4.1 The Ligga spillway conditions

The Ligga hydropower plant is located in the Stora Lulel-
ven river, 25 km north of the town of Jokkmokk. The dam is
classified as a high-risk dam (by the flood committee), which
means that it shall be possible to discharge 2000 m3 /s water Figure 2. The spillway channel in Ligga.
from the dam reservoir without endangering the safety of the
dam. The spillway channel has been subjected to extensive
10000
block erosion, despite that the largest documented discharge
is only 900 m3 /s. The risk for continued (and increased) rock Scour LIGGA
erosion in the current spillway channel is therefore judged to 1000 No Scour
Stream Power KW/m

be very large. Threshold

The rock mass in the spillway channel consists mainly of
granite. The dominating jointing pattern in the rock mass is 100
subhorizontal joints with small spacing. The joint spacing
varies between 0.11 m, see also Figure 2. 10

4.2 Erodability index

1
The erodablility of a rock mass due to flowing water is difficult
to determine due to the complexity of flow and rock condi- 0.10
tions. A semi-empirical method exists in which the risk for 0.01 0.1 1 10 100 1000
scour is predicted based on an erodability index. This method Erodibility Index
is based on 137 field observations on erodability of emer-
gency spillways and presents a threshold relationship between Figure 3. Erosion threshold for rock with the spillway of Ligga
a geomechanical index of the bed materials and the erosive marked.

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2007 Taylor & Francis Group, London, UK

(see Figure 4), gave the most favorable flow pattern in the phys-
ical model tests. This design was subsequently investigated in
the numerical analysis.
4.3.2 Numerical method
Numerical analysis was performed in order to examine if the
design judged most favorable from the physical model test also
reduces the risk of rock erosion. Dynamic analysis is neces-
sary, because of the varying loads from flowing and turbulent
water. The distinct element program UDEC (Itasca 2004) was
chosen for this type of analysis.
The simulated dynamic loading comprised the pressure
variations on the rock mass surface due to turbulence in the
flowing water. Data of pressure variations was based on the
physical model test where the pressure was registered at 35
locations in the channel bed. Static loading in the model was
due to the static water head and to the shear forces caused
by water passing over the upper surface of the rock blocks.
The magnitude of the static loading was based on results from
measurements in the physical model tests.
Calibration and validation of the numerical model were per-
formed by using loading values for a 900 m3 /s discharge (from
the physical model) applied on two profiles of the channel
one profile at the right-hand side of the channel and one profile
at the left-hand side of the channel (looking downstream). The
right-hand side of the channel has been exposed to more ero-
sion than the left-hand side for the 900 m3 /s flow. The model
was thus calibrated, by changing the strength properties of the
Figure 4. The design of the spillway that gave the most favorable
flow pattern in the physical model tests.
Figure 5. One of the profile used in the numerical model with the applied varying loads applied.
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2007 Taylor & Francis Group, London, UK
joints, until model results agreed with actual observations of
block erosion.
4.3.3 Conducted numerical analysis
Three different profiles of the channel were modeled in the
numerical analysis; Two profiles were from the current design
and one profile from the new design of the spillway that gave
the most favorable flow pattern in the physical model tests. The
profiles for the current design were investigated both for cal-
ibration (as described above) as well as to examine the effects
of maximum discharge, 2040 m3 /s, in the present channel,
in terms of risk for erosion. The new design was modeled
to examine if the redesigning was an adequate measure to
decrease the risk of erosion.
Jointing pattern and rock properties in the model were deter-
mined based on field studies in the channel to get the profiles
as site-specific as possible. The rock mass was generalized to
have two joint sets one subhorizontal set with 5 dip and one
vertical joint set.
The sensitivity of the variations in parameters in the models
was studied through a parametric study, in which one param-
eter at the time was varied, and the difference in extent of
erosion as predicted by the model was observed. An example
of one of the examined profiles with varying loads applied is
shown in Figure 5. The erodability of the rock was judged by
studying the displacements and separation of rock blocks in
the model.
4.4 Results
The parametric study showed that the erodability in the model
was more affected by the tensile strength than the cohesion of
the joints. Furthermore, the joint spacing of the subhorizontal
joint set had a large effect on the erosion. A change in the
joint spacing of only 10 cm could change the behavior from
no erosion to extensive erosion.
For the analysis of the various designs of the Ligga channel,
the tensile strength and the cohesion were set to zero as this
gave the best agreement with observed behavior. The model
of the right-hand side of the channel for the current layout
showed that there is a large risk for erosion both for 900 m3 /s
and 2040 m3 /s water discharge. The results of the analysis of
the left-hand side of the current channel showed no erosion
for these conditions.
The numerical analysis of the new design of the channel
showed that a discharge of 900 m3 /s caused erosion in the
upper portion of the channel In fact, all of the examined cases

Figure 6. The black parts show erosion in the redesigned spillway
with discharge of 2040 m3 /s water.
with this new design indicated a high risk for erosion. This
result prompted new physical model tests, which were aimed
at reducing the turbulence in the water in the upper portion
of the channel. This was achieved by refilling an old erosion
damage located below the sluice gates.
New calculations were carried out based on the data from
these new physical model tests. These analyses (with a flat-
tened channel bed in the upper portion) showed no erosion for
a discharge of 900 m3 /s. Under the action of water loads from
the discharge of 2040 m3 /s, some rock erosion developed, but
to a lesser extent than for the same flow without the flattened
start of the channel bed, compare Figure 6a and Figure 6b.
5 CONCLUSIONS AND RECOMMENDATIONS
The results from the numerical analysis of the Ligga spillway
can be summarized as follows:
The risk for block erosion in a rock mass is strongly related
to the joint spacing of subhorizontal joint sets, such as bed-
ding planes or exfoliation, for which a small spacing results
in a high risk of erosion.
The scatter and amplitude of the pressure variations (due to
turbulence and waves in the flowing water) strongly affects
the extent of the rock erosion in the channel.
The design of the Ligga spillway channel, in which a groove
was blasted into the middle portion of the channel bed
and the upper portion of the channel was flattened, greatly
reduced the risk for erosion.
A groove in the middle of the channel in Ligga concentrates
the flow and reduces the loads from the water at the edges
of the channel. The risk of erosion will therefore decrease
at the channel edges, whereas the risk remains large in the
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2007 Taylor & Francis Group, London, UK
middle part of the channel. By lowering the load of water in the
right-hand side of the channel the risk of erosion undermining
the guidewalls is reduced. A failure of the guidewall could
endanger the whole dam. Severe erosion in the middle part
of the channel may also cause problems; the flow pattern can
change so that the stability of the dam is jeopardized. Hence,
it is recommended that the upper portion of the blasted groove
is reinforced.
This summer (2007), remedial works are planned for the
spillway channel of Ligga. The chosen new design is based on
the present study. The layout will be a reinforced groove in the
middle portion of the channel and flattening of the channel
bed in the upper portion.
ACKNOWLEDGEMENTS
The work presented in this paper was sponsored by Vatten-
fall AB, Vattenkraft. The permission by all involved project
sponsors, in particular Leif Ask, to publish this work is hereby
acknowledged.
REFERENCES
Annandale, G.W. 1995. Erodability. Int. J. Hydraulic Research, 33:
471494.
Billstein, M., Carlsson, A., Johansson, N. & Sder, P. E. 2003. Mid-
skog gets Physical. . . and Numerical, International Water Power &
Dam Construction, 55: 2226.
Billstein, M. & Ekstrm I. 2004. Upgrading of Harsprnget
hydropower plant to meet the discharge criteria and increase the
dam safety. In Proc.of the ICOLD 72nd Annual Meeting, Seoul,
Korea.
Cato, K. D. & Mattewson, C. 1990. Rock Material Performance dur-
ing Emergency Spillway Flows. Proc. of the 1990 Annual Symp.
on Engineering Geology & Geotechnical Engineering, Idaho State
university, Pocatello, Idaho: 29.129.15.
Fldeskommittn 1990. Riktlinjer fr bestmning av dimesionerande
flden fr dammanlggningar. Statens Vattenkraftverk, Sven-
ska kraftfreningen, Swedish Meteorological and Hydrological
Institute, Stockholm
Itasca. 2004. UDEC. Version 4.0. Manual. Minneapolis: ICG.
Johansson, S., Mill, O., Fridofsson, T. & Hammar, L. 2003.
Kompetensfrsrjning inom lv- och dammskerhet En
behovsstudie av hgskoleutbildning och forskning. Report
03:28, webpage: Vrmeforsk http://www.svk.se/upload/3556/
Kompetensforsorjning_alv_och_dammsakerhet.pdf (2004-11-04).
Lorig, L. 2002. Numerical modeling of Spillway Erosion at Midskog
Dam in Sweden. Itasca, Santiago report to SwedPower.
Yang, J., Amnell, G., Skrberg, P. & Aurosell, U. 2006. Ombyggnad
av Ligga kraftstation Modellfrsk med dammskerhetsh-
jande tgrder. Report number U06:01, Vattenfall Utveckling AB,
lvkarleby.
 Rock mechanics research for radioactive waste disposal in Finland

E. Johansson
Saanio & Riekkola Oy, Helsinki, Finland

J.A. Hudson
Imperial College and Rock Engineering Consultants, Welwyn Garden City, UK

M. Hakala
KMS Hakala Oy, Joensuu, Finland

J. Sjberg
Vattenfall Power Consultant AB, Sweden

S. Riikonen
Posiva Oy, Olkiluoto, Finland

P. Syrjnen
WSP Finland Oy, WSP Gridpoint, Helsinki, Finland

ABSTRACT: The design and construction of a final repository for spent fuel deep in the crystalline bedrock requires special
considerations beyond those required for a conventional rock engineering structure in particular, aspects relating to the waste
isolation function and the associated extremely long design life. The rock mechanics research necessary to support the design
of the repository requires an adequate understanding of the geological setting, together with knowledge of the in situ stress
state, the anisotropic and time-dependent properties of the intact rock, the thermal properties of the rock mass, the fracture
occurrence, the brittle deformation zones, the impact of construction and the long-term behavior of the disposal tunnels and
deposition holes. Posiva Oy is currently constructing a rock characterization facility termed the ONKALO in Olkiluoto,
western Finland, to an anticipated depth of 420 m. The paper describes these aspects and raises questions concerning the extent
to which generic rock mechanics information can be used to support the specific site characterization, and how one can establish
that sufficient information has been obtained for numerical modeling and hence for adequate repository design.

1 INTRODUCTION

After the Finnish Governments favourable policy decision

in 2001, Posiva Oy has focused further investigations at
the Olkiluoto site and began preparations for the construc-
tion of an underground characterisation facility termed the
ONKALO. The construction of the ONKALO began in June
2004 and it is to be continued untill 2014, with the actual
characterisation stage anticipated for 20072014. The find-
ings of the ONKALO and other investigations will enable the
knowledge needed for an application, supported by a Prelim-
inary Safety Assessment, and to construct a final repository
for spent nuclear fuel at the site. Posiva will submit an appli-
cation for the construction licence for a disposal facility by
the end of 2012. The target is to begin disposal operations
in 2020.
The access tunnel and shafts of the ONKALO will be exca-
vated to the main characterisation level at a depth of 420 m
(Figure 1). The access ramp of the ONKALO has already been
excavated to a chainage of 1800 m, which is equivalent to
the depth level of about 180 m because the ramp has an incli-
nation of 1:10. The main rock type in the ONKALO area is Figure 1. The layout of the ONKALO underground characterisation
foliated migmatitic gneiss. facility.

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2007 Taylor & Francis Group, London, UK

 Posiva's Rock Mechanics Programme Rock mechanics Empirical and numerical
ROCK characterization; analyses to support Ability to characterize
rock mechanics ONKALO and the EDZ and be able to
OBJECTIVE MECHANICS domains; empirical, repository design; make statements
Basic objective: to support the Licence Application WORK statistical and modelling recommended regarding the long-term
analyses; principles in terms of mechanical stability and
+
P-O studies; orientations, locations, other issues related to
Work Item 1: Work Item 2: Work Item 3:
ONKALO recommended dimensions, etc., CEIC* the Safety Assessment
ROCK characterization method methodologies
Olkiluoto Supporting the Supporting the ROCK
MECHANICS Site Characterization ONKALO and Safety MECHANICS
WORK ITEMS => Site Report Repository Design Assessment
EXPERIMENTS Rock Mechanics Experiments at ca. 1000 m intervals
Rock stress, rock properties, back analysis, EDZ

Figure 2. The objective and three associated work items of Posivas OUTPUT Output Information for the Licence Application
rock mechanics strategy.

Figure 4. Flowchart Component 3: Rock mechanics work related

Geology Hydrogeology Hydrogeochemistry
to the three work items.
Main input is overall Main input is water Main input is fracture
geology and input for pressure and water precipitation and
INPUT Prediction-Outcome flow values dissolution effects
AND studies strategy and so the listing is not fully comprehensive at this
INTERACTIONS
Rock stress; Water pressure at Long-term rates of
stage.
Intact rock; different locations in
order to have coupled
precipitation in
fractures;
It is also essential that the current work is based on a com-
Fractures;
Rock mass; HM modelling and
effective stress;
dissolution of fracture
surfaces; and
plete knowledge of previous related rock mechanics work. A
Brittle deform. zones
fracture flow mechanical linkages summary description of all the previous rock mechanics work
conducted for Posiva is found in Hudson & Johansson, 2006,
Figure 3. Flowchart Component 2: Input to the rock mechanics and the rock mechanics implications of the Olkiluoto geology
work and discipline interactions. can be found in Hudson & Cosgrove 2006.

3 ROCK MECHANICS SITE CHARACTERIZATION

This paper summarizes the rock mechanics research activi-
ties and results obtained before the ONKALO construction
and the initial results and experiences obtained during the
early part of the ONKALO construction work, noting that
the ONKALO ramp has enabled direct in situ inspection of the
underground rock mass, including the exposed brittle defor-
mation zones. Near future rock mechanics measurements and
research are also briefly discussed.
2 ROCK MECHANICS STRATEGY
The fundamental objective of Posivas rock mechanics work is
to support the Construction Licence Application for the final
repository. This involves three separate areas of work:
1. Rock mechanics characterisation of the Olkiluoto site;
2. Studies supporting the ONKALO and repository design
and operations; and
3. Studies supporting the Safety Assessment.
The objective and the three work items are presented in the
first flowchart component in Figure. 2.
The next flowchart component, presented in Figure 3 relates
to the input information and the interactions with other disci-
plines. The main input is geology and geological site models
which also provide input to hydrogeology and hydrogeo-
chemistry. However, there are also interactions between rock
mechanics and hydrogeology and hydrogeochemistry, which
are in detail presented, e.g. in Posiva 2005.
Finally, Flowchart Component 3 summarizes the main rock
mechanics work as related to the three work items shown in
Figure 2.
In order to execute the strategy, a series of campaigns have
been developed relating to the different rock mechanics sub-
jects. Following the establishment of the background rock
mechanics knowledge, these campaigns cover the topics of
contributions to the Olkiluoto site reports, primary stress, rock
properties, deformation zones, impact of construction and
EDZ, prediction-outcome studies and characterization level
testing. Note that this is an overview of the rock mechanics
3.1 General
Site investigations for the disposal of spent fuel at Olkiluoto
were already started in 1987; however, recent site investiga-
tions at Olkiluoto have concentrated mainly in the ONKALO
area. The investigation site to date contains more than 40
deep drillholes, whose main aim has been in obtaining data
for planning the ONKALO and also for the development of
site understanding. From the start, geological mapping of the
ONKALO tunnel has been the most significant investigation
method in the ONKALO. Flow measurements in probe holes
also commenced at the beginning of construction activities,
followed by pilot hole drilling parallel to the tunnel axis and
associated investigations. So far, six pilot holes have been
drilled and investigated, providing valuable information for
construction purposes; pilot holes also have an important
role to play in the prediction outcome studies (see further in
Chapter 4).
Also, monitoring of the changes caused by construction
of the ONKALO has started. The monitoring programme
related to the construction includes rock mechanics, hydroge-
ological and hydrogeochemical monitoring and, in addition,
monitoring of the biosphere is also taking place (Posiva 2003).
3.2 Rock mechanics data
Rock mechanics investigations are mainly concentrated on
obtaining data relating to the in situ stresses and the mechani-
cal and thermal properties of different rock domains at differ-
ent scales. The stress-strength ratio is an important parameter
when evaluating the mechanical stability of the anticipated
deep repository in the hard, crystalline, rock regime.
3.3 Rock stress
In situ stresses have been measured at Olkiluoto at depths
of 300800 m in five deep surface boreholes by using con-
ventional methods, such as hydraulic fracturing to evaluate
horizontal stresses and the 3D overcoring methods to evaluate

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2007 Taylor & Francis Group, London, UK


Figure 5. Locations of the in situ stress sites at Olkiluoto.
H [MPa]
0 10 20 30 40 50
0 0
100
200
300
Vertical depth [m]
Vertical depth [m]
400
500
600
700
800
900
Figure 6. Magnitude and orientation of the major horizontal stress
component with depth and with lower and upper limits.
the complete stress tensor. The first underground measure-
ment campaign was conducted in the ONKALO ramp at the
120 m level in 2006 using the 3D overcoring method. In addi-
tion, a stress measurement method based on the Kaiser Effect
(KE) has been developed and tested on cores from three drill-
holes (see e.g. Lehtonen 2005). The locations of the stress
measurement sites in Olkiluoto are shown in Figure 5.
The stress measurement results show scatter in the stress
profile with depth, so lower and upper limits for the stress
components have been defined and used as input data for cal-
culations (Figure 6). Not only is the interpreted in situ stress
a point tensor, but the defined value has uncertainties related
to geological factors, accuracy of each measurement method
and method of data analysis. As part of the quality control
and assurance of rock stress measurement data, Posiva has,
together with the Swedish SKB, developed a practical tool
to improve the quality of the stress measurements (Hakala
et al. 2006). The tool can also be used in the interpretation of
the stress measurement data obtained in transversely isotropic
2007 Taylor & Francis Group, London, UK
rock, which is the typical case at Olkiluoto (i.e. in foliated
gneiss). Although, the dispersion in the stress data at Olk-
iluoto can be considered typical for the methods used, more
effort - including the effect of anisotropy and the link between
geological structures and the local stress state, will be made
to reduce the uncertainties. The ONKALO facility will also
allow us to conduct rock excavation response measurements,
which can be used to back analyze in situ stresses over a con-
siderably larger rock volume and more reliably than in the case
of borehole methods.
In addition to the conventional, direct stress measurements,
efforts are also being made to use indirect methods to evaluate
the in situ stresses, such as the above mentioned rock response
measurements during the tunnel excavation/shaft raise boring,
plus tunnel mapping of stress induced damage or block fall-
outs and microseismic measurements.
3.4 Properties of intact rock
In order to estimate the potential for rock damages or spalling
deep in the repository facilities, the mechanical characteris-
tics of the intact rock should be well understood. These have
been studied by carrying out field loading tests on the core
with a portable test unit and by conducting more detailed tests
in the laboratory. The field tests are performed systematically
at about 30 m intervals on cores in each drillhole. The lab-
Orientation of H []
oratory tests have consisted of uniaxial and triaxial loading
60 120 180
0
tests, damage controlled tests and tensile tests, in some cases
together with acoustic emission monitoring. Due to the nature
100
of the gneissic rock material, an anisotropic testing proce-
200 dure has also been developed (Hakala et al. 2005). The results
Overcoring have shown a mean anisotropy factor of 1.4 for Youngs mod-
300
ulus, which indicates that the anisotropic solution for stress
Hydraulic
fracturing
400 Kaiser Effect estimation should also be used. The results indicate that, while
500 Lower limit
the peak strength follows the standard single plane of weak-
Upper limit
ness reduction at adverse foliation angles, the crack damage
600 stress is less affected, and the crack initiation stress is not
700
detectably affected (Figure 7). Further tests are still needed,
e.g. for rock types where currently we only have limited data.
800
Thermal properties are also important since they affect
900 the repository layout, spacing of deposition holes and tun-
nels, and are needed to evaluate the thermal stresses induced
by heat produced by the radioactive waste. Similar to the
mechanical properties, the Olkiluoto gneisses are also ther-
mally anisotropic and heterogeneous due to variations in
their texture, mineral composition and the orientations of the
migmatitic banding and the foliation. Moreover, there is a need
to appropriately upscale the laboratory properties to the rock
mass thermal properties. Therefore Posiva has developed an
in situ drillhole probe called TERO (see e.g. Kukkonen et al.
2005).
The rock mass properties are estimated via geophysical
measurements and empirical and/or numerical modelling,
based on the properties of the rock mass components, i.e.
intact rock, fractures and the fracture/deformation zones.
3.5 Properties of fractures and fracture zones
A characteristic of the ONKALO site is the existence of frac-
tures and fracture (brittle deformation) zones. These are not
so well established because of the difficulty of direct mea-
surements. Geological information and indications via rock
mass classification schemes (the Q-system) have been used
to estimate the properties as shown in Figure 8. The result
indicates that mean friction angle for all fractures is 45 ; 50%
93

Figure 7. Effect of anisotropy on the peak strength (upper diagram
showing a reduction at an adverse anisotropy angle) and on the crack
initiation strength (lower diagram showing no detectable effect) of
dry Olkiluoto veined gneiss (Posiva 2007).
Figure 8. Joint friction angle and fracture length for all mapped
fractures for the first 1170 m in the ONKALO tunnel (Posiva 2007).
of the values are between 27 and 56 ; and 95% are between
14 and 72 . The proportion of the longest fractures (length
> 4 m) is slightly higher for the low friction angle categories.
Fracture testing at the laboratory is also currently underway
but further effort is also required in this area for the fracture
zones, e.g. work is currently underway on a methodology for
characterizing the fracture zones (Hudson et al. 2007). The
brittle deformation zone features will be described in more
detail with reference to their degree of localisation, from sin-
gle discrete fractures, through shear networks to a pervasive
foliation fabric. The scale of observation of the features can
affect their apparent properties, so the effects of the relative
scales of the deformational features and the excavation size
need to be considered.
94
2007 Taylor & Francis Group, London, UK
4 PREDICTION-OUTCOME STUDIES
In line with the necessity to develop a predictive capability
for design purposes, a Prediction-Outcome campaign being
conducted for the ONKALO ramp conditions has been devel-
oped by the OMTF (Olkiluoto Modelling Task Force) and
the associated principles have been outlined (Andersson et al.
2005).
This Prediction-Outcome work is considered to be one
of the most important campaigns because it will progres-
sively refine and improve the ability to predict the mechanical
conditions ahead of excavation. The aim of the work is:
to enhance confidence in the ability to predict rock con-
ditions in general and especially for the repository
volumes,
to allow testing and verification of repository design rules
as it will not be possible to make too many additional
boreholes in the repository volume, and
to support the on-going construction work and assist with
the application of the CEIC (Co-ordination of Engineering,
Investigation and Construction) method.
Four types of predictions are made during the ONKALO
construction:
the Type A prediction for a particular increment of chainage
ahead of the tunnel face is made before construction and
only uses the latest version of the Site Model and the
ONKALO model,
the Type B prediction is made before the construction of a
tunnel section, but should make use of all available data,
mapping of previous tunnel sections etc.,
the Type Bpilothole prediction is made before the construc-
tion of a tunnel section, should make use of all available
data, mapping of previous tunnel sections etc, but including
pilot hole data, and
the Type C prediction or outcome assessment is made
after construction (to see whether the prediction techniques
can in fact predict the outcome).
We recall that in order to be able to design the antici-
pated repository for nuclear waste, there are two major rock
mechanics requirements:
knowledge of the rock mechanics properties for input to
modelling; and
the ability to model the consequences of tunnel and depo-
sition hole excavation and canister emplacement.
The list of rock mechanics properties that can potentially
be involved in the Prediction-Outcome studies and how the
information is received and how the results are compared is
given in Table 1. These 11 items provide an overview of the
rock mechanics characteristics for a given rock mass.
The rock mechanics data are obtained from the geological
mapping which is performed in the following manner: all map-
ping data are collected in a table sheet, which consists of fields
for chainage location and information, rock type, structural
observations, rock quality and water inflows. The structural
elements are described as single observations and marked on
the tunnel with a corresponding number. The structural obser-
vations include foliation, fracturing, ductile and brittle zone
intersections, lineation and folding. Each fracture is measured
separately, and the fracture attribute data include orientation,
description of the fracture surface and infillings.
Table 1. List of rock properties potentially included in the
Prediction-Outcome studies.
Prediction/Outcome Information/
Parameter Comparison method
Q classification value Geology/From tunnel mapping/direct
GSI classification value Geology/From tunnel mapping/direct
Intact rock properties Geology, Point load, seismic/Schmidt,lab
testing, Rockma?/direct
Primary rock stress Estimation from measurements/
measurement/direct
Secondary rock stress Numerical analysis/measurements/direct
Rock displacements Numerical analysis/measurements/direct
Block failure Numerical analysis/mapping,mess./direct
Stress failure Empirical, numerical analyses/mapping,
measurements/direct
Impact of R-structures Empirical, numerical analyses/mapping,
measurements/direct
Blast damage Empirical/mapping,measurements/direct
EDZ characterization Numerical analyses/mapping,
measurement/direct
10000
OUTCOME (FROM TUNNEL MAPPING), Q PREDICTED (FROM PILOT HOLE), Q
1000
Q-VALUE
100
10
1
0,1
0 200 400 600
ONKALO TUNNEL CHAINAGE [m]
Figure 9. Comparison of predicted and measured Q -value for the
first 1170 m of the ONKALO tunnel (Posiva 2007).
This mapping information provides a wealth of data and
allows the generation of various presentational methods, the
latter being illustrated by the Q -value example in Figure 9
where the predictions and outcomes have been compared for
the first 1170 m of the ONKALO tunnel. From the rock mass
classification indices, rock properties, such as elastic modulus
of the rock mass (E), can be estimated. This is one important
parameter and is required as input for numerical modelling;
however, there are several empirical formulae for relating clas-
sification indices to E and a decision needs to be made as to
which of these is the best to use within this prediction-outcome
context. A comparative study of the use of the different formu-
lae will be included in future work, inter alia through feedback
from sensitivity studies in the numerical modelling. Also, later
in the ONKALO development, there will be special mea-
surement locations for assessing more of the rock mechanics
parameters.
Considerable point-to-point variation along the tunnel
occurs, as also highlighted in Figure 9 and, questions naturally
arise, one of the most important being Over what lengths of
tunnel should the prediction-outcome comparison be made?
First, we should ask why the local variation occurs and why
the prediction-outcome values differ for the tunnel increments.
There are several factors at work, as noted in the bullet points
below, related to the fact that the predictions are made from
2007 Taylor & Francis Group, London, UK
the pilot hole cores and the outcomes are established from
mapping of the excavated tunnel periphery:
The cores are stress relieved, and so could contain more
fractures. Also, the geologists have more time to study the
core and the fractures are more evident.
The number of fracture sets is hard to evaluate from small
core.
An EDZ will be present around the tunnel, although its
extent is unclear.
The prediction is based on a horizontal pilot hole parallel to
the tunnel axis, whereas the outcome is a composite value
based on tunnel mapping on the tunnel walls, i.e. there will
be different forms of directional bias associated with the
different procedures for prediction and outcome.
It will be necessary to account for the biases and to imple-
ment a form of averaging, so that sections of the rock mass
with different overall properties can be identified.
The concept of partitioning the rock mass into structural
domains, so that zones of different properties, and hence
behaviour, can be identified and established, is relevant in
this context. There is no standardised approach to rock mass
partitioning for structural domains; however, partitioning in
the current context should be based on properties that domi-
nate the engineering behaviour. Examples of factors that can
govern the characterization of domains are changes in rock
type and rock structure, rock mechanics properties, fracture
frequency and clusters in fracture orientations. In particular
and before the characterization level at 420 m is reached,
we aim to establish a methodology for predicting the rock
mechanics properties as an A prediction because this will be
the most significant requirement, i.e. to be able to predict the
rock mechanics properties and hence engineering behaviour
800 1000 1200
in the repository volume from the Site Model.
Another factor is the ability to predict the rock mechanics
properties of the fracture or brittle deformation zones. The
existence of the zones themselves is predicted via the geolog-
ical model and rock mechanics work is in progress to translate
the geological descriptions of the deformation zones into their
rock mechanics properties in conjunction with their proper-
ties being estimated via the rock mass classification values and
numerical modelling. The measurement of the rock mechan-
ics properties of brittle deformation zones can be undertaken
indirectly, via seismic methods and by back analysis of con-
vergence values in suitably located tunnel sections, but direct
methods (e.g. by using large flatjacks) are impractical, given
the significant inhomogeneity of such zones.
The structural domain and brittle deformation zone work is
currently taking place and will be refined as more Prediction-
Outcome tunnel lengths are studied. In this way, there will be
incremental improvements in the ability to predict the rock
conditions ahead of excavation, so that when the characterisa-
tion level is reached the methodology will be at an advanced
stage as required for the repository design and construction.
5 CONCLUSION
Posiva has extended the site characterization at Olkiluoto from
the surface investigations to underground investigations in the
ONKALO characterization facility. The ONKALO ramp, cur-
rently excavated to a chainage of about 1800 m, has enabled
direct in situ investigations and testing of some newly devel-
oped rock mechanics tools. The associated rock mechanics
95
research will contribute to the Olkiluoto site descriptions
and support the licence application for the repository con-
struction by covering the necessary topics such as in situ
stress, rock properties (intact rock, fractures, fracture zones),
prediction-outcome studies and later the characterization level
testing.
The prediction-outcome studies are considered to be one
of the most important campaigns because they will improve
the ability to predict the rock mechanics conditions ahead of
excavation. The concept of partitioning the rock mass into
structural domains, so that zones of different properties, and
hence behaviour, can be identified and established, is most rel-
evant. The final aim is that we will establish a methodology for
predicting the rock mechanics properties as an A prediction
i.e. to be able to predict the rock mechanics properties and
hence engineering behaviour in the repository volume from
the Site Model.
ACKNOWLEDGEMENTS
The authors wish to thank Posiva Oy, Finland for supporting
the work and letting to publish this paper.
REFERENCES
Andersson, J., Hudson, J.A., Anttila, P., Hautojrvi, A., Koskinen, L.,
Pitknen, P. & Wickstrm, L. Principles for guiding the ONKALO
Prediction-Outcome studies. Posiva Working Report 200545.
96
2007 Taylor & Francis Group, London, UK
Hakala, M., Kuula, H. & Hudson, J.A. 2005. Strength and strain
anisotropy of Olkiluoto mica gneiss. Posiva Working Report
200561.
Hakala, M., Sjberg, J., Hudson, J.A., Christiansson, R., Johansson,
E. & Riikonen, S. 2006. Quality control and interpretation of in
situ stress measurement data. In M.Lu, C. Li, H. Kjorholt & H.
Dahle (eds), In-situ Rock Stress. Measurement, Interpretation and
Application: 399407. London: Taylor & Francis.
Hudson, J.A. & Cosgrove, J. 2006. Geological history and its impact
on the rock mechanics properties of the Olkiluoto site. Posiva
Working Report 200614.
Hudson, J.A, Cosgrove, J. & Johansson, E. 2007, in prep. Rock
mechanics characterisation of the brittle deformation zones at
Olkiluoto. Posiva Working Report 2007xx.
Hudson, J.A. & Johansson, E. 2005. Summary of rock mechanics
work completed for Posiva before 2005. Report POSIVA 200604.
Kukkonen, I., Suppala, I., Korpisalo, A. & Koskinen, T. 2005. TERO
borehole logging device and test measurements of rock thermal
properties in Olkiluoto. Report POSIVA 200509.
Lehtonen, A. 2005. Evaluation of rock stress estimation by the Kaiser
Effect. Posiva Working Report 200567.
Posiva 2003. Programme of monitoring at Olkiluoto during construc-
tion and operation of the ONKALO. Report POSIVA 200305.
Posiva 2005. Olkiluoto site description 2004. Report POSIVA
200503.
Posiva 2007, in press. Site report 2006. Report POSIVA 2007xx.
 Simulation of hydrogeomechanical responses of jointed rock masses to
tunneling and lining

J.H. Kihm, S.U. Park & J.M. Kim

School of Earth and Environmental Sciences, Seoul National University, Seoul, Republic of Korea

ABSTRACT: A series of numerical simulations is performed to analyze fully coupled groundwater flow and land deformation
due to tunneling and lining in unsaturated jointed rock masses. The numerical simulation results show that the orientation of
the joint set has significant effects on the spatial distributions and temporal changes of groundwater flow and land deformation
during tunneling and lining. Such effects of the joint set are caused by its relatively higher hydraulic conductivity and deforma-
bility compared with the intact rock matrix. Therefore it may be concluded that joint sets must be properly considered when
rigorous and reasonable predictions of the long-term hydromechanical responses of actual jointed rock masses to tunneling
and lining are to be obtained.

1 INTRODUCTION simulation is COWADE123D (Kim, 2003). This numerical

A variety of field studies have frequently reported that under-
ground excavation leads to the hydraulic and mechanical
impacts including land deformation, groundwater level draw-
down, and alteration of hydraulic properties of surrounding
geologic media (Kim et al., 1997). These studies have also
shown that such impacts are not only caused by the drainage
of groundwater into excavation spaces (hydraulic stress) but
also by the changes in stress regime around caves (mechanical
stress). In other words, underground excavation disrupts the
pre-existing hydraulic and mechanical equilibrium conditions
and simultaneously leads to the fully coupled hydromechan-
ical interaction between groundwater flow and solid skeleton
(land) deformation fields.
The increasing use of underground spaces has prompted the
need for rigorous and quantitative understanding of hydroge-
ological and geomechanical behavior and effects of individual
joints or joint sets in jointed rock masses under underground
excavation. Such knowledge may provide some useful guide-
lines for controlling and minimizing the adverse hydrogeolog-
ical and geomechanical impacts of underground excavation on
surrounding geologic media.
For rigorous and quantitative interpretation of the hydrome-
chanical phenomena due to underground excavation, it is
essential to develop and apply a hydromechanical numeri-
cal model based on the hydromechanical coupling theory,
which can fully couple the groundwater flow and solid skele-
ton deformation fields, instead of the conventional theories,
which are forced to decouple these two fields.
The objectives of this study are to simulate fully coupled
groundwater flow and land deformation due to tunneling and
lining in unsaturated jointed rock masses using a hydrome-
chanical numerical model and to evaluate effects of joint sets
on such hydromechanical phenomena during tunneling and
lining.
model is a general multidimensional fully coupled finite
element method model and can simulate a variety of hydrome-
chanical phenomena within saturated-unsaturated heteroge-
neous true anisotropic porous, fractured, and fractured porous
geologic media due to various cases. The hydromechani-
cal coupling theory and governing equations related to the
hydromechanical numerical model has been described by Kim
(1996), Kim et al. (1997), Kim & Parizek (1999a), Kim &
Parizek (1999b), Kim (2000), Kim (2004), Kim (2005a), and
Kim (2005b).
3 STUDY AREA
The study area, which is located in Busan, Republic of Korea,
is a tunnel construction site as a part of the Korea Train Express
(KTX) railroad. The bedrock in the study area is mainly com-
posed of the Cretaceous volcanic rocks and granite, which
have three major joint sets and overlain by the Quaternary
alluvium. A vertical cross section around the tunnel is selected
for numerical simulation, and it consists of the Cretaceous
andesite which is classified as soft rock.
4 NUMERICAL SIMULATION SETUPS
The vertical cross section around the tunnel is discretized into
1504 quadrilateral elements with 1596 nodes, while its height
and width are 100 m and 300 m, respectively (Figure 1). The
tunnel height and width are 10.3 m and 12.1 m, respectively,

2 HYDROMECHANICAL NUMERICAL MODEL

The hydromechanical numerical model used in this study to Figure 1. Vertical cross section around the tunnel, finite element
simulate fully coupled groundwater flow and land deformation mesh, and monitoring point used in the numerical simulations.

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2007 Taylor & Francis Group, London, UK

Table 1. Material properties of soft rock, joint set, and
groundwater.

Property Value

Porosity 8.08 103

Saturated hydraulic conductivity [m/sec] 9.73 107
Poissons ratio 0.25
Youngs modulus [N/m2 ] 4.71 1010
Poissons ratio of solid 0.25
Youngs modulus of solid [N/m2 ] 4.71 1011
Density of solid [kg/m ] 3
2.81 103
Initial fracture spacing [m] 0.41
Initial fracture aperture [m] 3.61 104
Fracture normal stiffness [N/m2 /m] 3.99 1010
2
Fracture shear stiffness [N/m /m] 2.04 109
Cohesion [N/m ] 2
1.80 106 Figure 2. Spatial distributions of pressure head after tunneling
(t = 1.5 days): (a) isotropic rock mass, (b) = 0.0 , (c) = 22.5 ,
Angle of internal friction [degree] 4.00 101
(d) = 45.0 , (e) = 67.5 , (f) = 90.0 .
Tensile strength [N/m2 ] 7.72 105
Residual water saturation 6.69 102
Unsaturated hydraulic parameters (van Genuchten model)
av [m1 ] 5.19 103
nv 1.78
Compressibility of water [m2 /N] 4.40 1010
Density of water [kg/m ] 3
1.00 103
Dynamic viscosity of water [kg/m/sec] 1.00 103
Gravitational acceleration constant [m/sec2 ] 9.81

and the tunnel shape is arc with an invert. The tunnel is trans-
versely centered in the vertical cross section, and the depth
from the ground surface to the tunnel crown is 40 m. The
monitoring point is located right above the tunnel crown at
z = 95 m.
In the numerical simulations, six different geologic media Figure 3. Spatial distributions of groundwater flow velocity after
are considered for the purpose of comparison: an isotropic tunneling (t = 1.5 days): (a) isotropic rock mass, (b) = 0.0 ,
(c) = 22.5 , (d) = 45.0 , (e) = 67.5 , (f) = 90.0 .
porous medium and five jointed porous media with different
dipping angles (i.e., = 0.0 , 22.5 , 45.0 , 67.5 , and 90.0 )
for a joint set. The material properties of soft rock, joint set,
and groundwater are summarized in Table 1 (Carsel & Parrish
1998, Korea Rail Network Authority and SK Engineering and
Construction Company 2004).
Along the left and right sides, a no-horizontal displace-
ment boundary condition is applied, but vertical displacement
is allowed. A constant head boundary condition (hydraulic
head = 96.9 m) corresponding to the water table from field
measurement is also applied along the left and right sides.
Along the bottom side, no-flow and no-vertical displacement
boundary conditions are applied, but horizontal displacement
is allowed. Along the ground surface, no-flow and free dis-
placement boundary conditions are applied. Along the tunnel
face, a seepage boundary condition is applied during tunnel-
Figure 4. Spatial distributions of displacement vector after tunnel-
ing, and a no-flow boundary condition is applied during lining. ing (t = 1.5 days): (a) isotropic rock mass, (b) = 0.0 , (c) = 22.5 ,
A free displacement boundary condition is also applied along (d) = 45.0 , (e) = 67.5 , (f) = 90.0 .
the tunneling face during tunneling and lining.
The total simulation time period is about 197 days for 30
face with the result that pressure head decreases and an unsa-
time steps. Tunneling begins at 0 day, and then lining begins at
turated zone occurs above the tunnel. The groundwater table
1.5 days, which is the time required to reach hydromechanical
drawdown is significantly influenced by the orientation of the
equilibrium conditions under tunneling for all the six cases of
joint set. The spatial distributions of groundwater flow velo-
geologic media described above.
city around the tunnel are shown in Figure 3. The groundwater
flow is also significantly influenced by the orientation of the
5 RESULTS AND ANALYSES joint set. After lining, the groundwater table recovers almost
to its initial state.
The spatial distributions of pressure head are shown in Fig- The spatial distributions of displacement vector and
ure 2. During tunneling, groundwater drains into the tunnel deformed mesh around the tunnel are shown in Figures 4

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2007 Taylor & Francis Group, London, UK

Figure 5. Spatial distributions of deformed mesh after tunneling Figure 7. Spatial distributions of factor of safety against ten-
(t = 1.5 days): (a) isotropic rock mass, (b) = 0.0 , (c) = 22.5 , (d) sion failure after tunneling (t = 1.5 days): (a) isotropic rock mass,
= 45.0 , (e) = 67.5 , (f) = 90.0 . (b) = 0.0 , (c) = 22.5 , (d) = 45.0 , (e) = 67.5 , (f) = 90.0 .

Figure 6. Spatial distributions of factor of safety against shear fail-

ure after tunneling (t = 1.5 days): (a) isotropic rock mass, (b) = 0.0 , Figure 8. Spatial distributions of normalized porosity after tunnel-
(c) = 22.5 , (d) = 45.0 , (e) = 67.5 , (f) = 90.0 . ing (t = 1.5 days): (a) isotropic rock mass, (b) = 0.0 , (c) = 22.5 ,
(d) = 45.0 , (e) = 67.5 , (f) = 90.0 .
and 5, respectively. The displacement vector normal to the
orientation of the joint set is significantly larger than other
directions. It is caused by relatively higher deformability of the
joint set normal to its orientation compared with the deforma-
bility of the joint set parallel to its orientation. This mechanical
anisotropy due to orientation of the joint set also influences
the factors of safety around the tunnel.
The spatial distributions of factors of safety against shear
and tension failure around the tunnel are shown in Figures 6
and 7, respectively. During tunneling, shear failure does not
occur in the whole modeling domain, and tension failure
occurs only at the bottom of the tunnel face. However, an
unstable zone, in which the factors of safety are close to or
smaller than 1.0, occurs and expands around the tunnel. The Figure 9. Profiles of ground surface displacements: (a) horizontal
expansion of the unstable zone is significantly influenced by displacement after tunneling (t = 1.5 days), (b) horizontal displace-
the orientation of the joint set. ment after lining (t = 13.5 days), (c) vertical displacement after tun-
neling (t = 1.5 days), (d) vertical displacement after lining (t = 13.5
The spatial distributions of normalized porosity are shown days).
in Figure 8. The extension zone, in which the normalized
porosity is larger than 1.0, distributes normal to the orientation
of the joint set. On the other hand, the compression zone, in asymmetric curve for the cases of joint set dipping angles
which the normalized porosity is smaller than 1.0, distributes of 22.5 , 45.0 , and 67.5 . The maximum vertical displace-
parallel to the orientation of the joint set. This mechanical ment point is not located at the top of the tunnel for the cases
anisotropy due to orientation of the joint set also influences of joint set dipping angles of 22.5 , 45.0 , and 67.5 . After
on the saturated hydraulic conductivity tensor. lining, horizontal and vertical displacements recover due to
The profiles of ground surface displacements are shown in groundwater table recovery but do not recover completely to
Figure 9. The horizontal displacement at the top of tunnel is their initial states.
not zero, and horizontal displacement has asymmetric curve The temporal distributions of hydraulic head, horizontal dis-
for the cases of joint set dipping angles of 22.5 , 45.0 , and placement, and vertical displacement are shown in Figure 10.
67.5 . The vertical displacement (surface settlement) also has The variations of hydraulic head at the monitoring point vary

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2007 Taylor & Francis Group, London, UK

 set are caused by its relatively higher hydraulic conductiv-
ity and deformability compared with the intact rock matrix.
Therefore it may be concluded that joint sets must be properly
considered when rigorous and reasonable predictions of the
long-term hydromechanical responses of actual jointed rock
masses to tunneling and lining are to be obtained.

REFERENCES

Figure 10. Temporal distributions of hydraulic head, horizontal
displacement, and vertical displacement: (a) hydraulic head during
tunneling, (b) hydraulic head during lining, (c) horizontal displace-
ment during tunneling, (d) horizontal displacement during lining,
(e) vertical displacement during tunneling, (f) vertical displacement
during lining.
with the orientation of the joint set. In the early stage of tun-
neling, rapid land deformation leads to the abrupt changes of
hydraulic head due to extension or compression of geologic
media. Later, slow decreasing hydraulic head leads to grad-
ual land deformation due to increasing effective stress until
t = 1.5 days. After lining, hydraulic head increases and recov-
ers almost to its initial state until t = 13.5 days. The horizontal
and vertical displacements simultaneously recover according
to hydraulic head recovery but do not recover completely to
their initial states.
6 CONCLUSIONS
A series of numerical simulations is performed to analyze
fully coupled groundwater flow and land deformation due
to tunneling and lining in unsaturated jointed rock masses.
The numerical simulation results show that the orientation of
the joint set has significant effects on the spatial distributions
and temporal changes of groundwater flow and land defor-
mation during tunneling and lining. Such effects of the joint
Carsel, R.F. & Parrish, R.S. 1998. Developing joint probability dis-
tributions of soil water retention characteristics. Water Resources
Research 24: 755769.
Kim, J.M. 1996. A fully coupled model for saturated-unsaturated
fluid flow in deformable porous and fractured media. Ph.D. Dis-
sertation. Pennsylvania State University, University Park, Penn-
sylvania. 201 pp.
Kim, J.M. 2000. Generalized poroelastic analytical solutions for pore
water pressure change and land subsidence due to surface loading.
Geosciences Journal 4: 95104.
Kim, J.M. 2003. COWADE123D: A finite element model for fully
coupled saturated-unsaturated water flow in deforming one-,
two-, three-dimensional porous and fractured media, version 2.12.
Technical Report No. GGEL-200312. Geological and Ground-
water Engineering Laboratory, School of Earth and Environmental
Sciences, Seoul National University, Seoul, Korea. 354 pp.
Kim, J.M. 2004. Fully coupled poroelastic governing equations for
groundwater flow and solid skeleton deformation in variably satu-
rated true anisotropic porous geologic media. Geosciences Journal
8: 291300.
Kim, J.M. 2005a. Three-dimensional numerical simulation of fully
coupled groundwater flow and land deformation in unsaturated
true anisotropic aquifers due to groundwater pumping. Water
Resources Research 41: W01003, doi:10.1029/2003WR002941.
Kim, J.M. 2005b. Vectorial formulation of direction cosines for
anisotropic geologic structures from their geologic angle measure-
ments. Mathematical Geology 37: 929941.
Kim, J.M. & Parizek, R.R. 1999a. Three-dimensional finite element
modelling for consolidation due to groundwater withdrawal in a
desaturating anisotropic aquifer system. International Journal for
Numerical and Analytical Methods in Geomechanics 23: 549571.
Kim, J.M. & Parizek, R.R. 1999b. A mathematical model for the
hydraulic properties of deforming porous media. Ground Water
37: 546554.
Kim, J.M. Parizek, R.R. & Elsworth, D. 1997. Evaluation of fully-
coupled strata deformation and groundwater flow in response to
longwall mining. International Journal of Rock Mechanics and
Mining Sciences 34: 11871199.
Korea Rail Network Authority and SK Engineering and Construc-
tion Company 2004. Investigation report of foundation in 143
section of work of the Korea Train Express (KTX) railroad.
Investigation Report. 100 pp.

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2007 Taylor & Francis Group, London, UK

 Subcritical crack growth in granite

Y. Nara & K. Kaneko

Graduate School of Engineering, Hokkaido University, Sapporo, Japan

ABSTRACT: Effects of environment and rock fabric on subcritical crack growth in granite were investigated. Double Torsion
test was used. It was shown that the relation between the crack velocity and the stress intensity factor was anisotropic. Under
the same temperature and humidity, the crack velocity depended on the crack opening direction, and it was the highest when
the crack propagated parallel to Rift plane. From the results under different temperature and humidity, it was shown that the
crack velocity was higher when the temperature and humidity were higher. The crack velocity in water was higher than that
in air. These results agreed well with the concept that stress corrosion is the main mechanism of subcritical crack growth in
rock. From the experimental results in this study, it is concluded that subcritical crack growth in granite is affected by water
and pre-existing microcracks.

1 INTRODUCTION

In the classical fracture mechanics, it was postulated that the

crack propagated rapidly once the fracture toughness has been
reached. In fact, the crack can propagate even when the stress
intensity factor is lower than the fracture toughness. This phe-
nomenon is called subcritical crack growth (Atkinson 1984),
which is one of the main causes of time-dependent behavior
in rock. Knowledge of time-dependent crack propagation is
important to consider the long-term stability of structures in
rock mass, such as underground power plants or repositories
for radioactive wastes in underground.
In this study, subcritical crack growth in granite was inves-
tigated. Especially, the relation between the crack velocity and
the stress intensity factor was determined experimentally by
Double Torsion (DT) test (Williams & Evans 1973, Sano &
Kudo 1992), which is the typical fracture mechanics test used
to measure subcritical crack growth. Dependence of subcrit- Figure 1. The specimen and the loading configuration for Double
ical crack growth on the environmental conditions and rock Torsion test.
fabric was investigated.
3 EXPERIMENTAL METHOD

2 SUBCRITICAL CRACK GROWTH
Under low homologous temperatures and atmospheric pres-
sure, stress corrosion (Anderson & Grew 1977) is considered
to be the main mechanism of subcritical crack growth. Stress
corrosion is a weakening process due to a chemical reaction
between the siloxane bond structure near the crack tip strained
by the tensile stress and water (Michalske & Freiman 1982).
The relation between the crack velocity, da/dt, and the stress
intensity factor, KI , is expressed as
In this study, Double Torsion test was used. The specimen and
the loading configuration for DT test are shown in Figure 1.
The experimental apparatus was set in the room where the
temperature and the relative humidity were controlled and kept
constant.All experiments were conducted under the controlled
temperature and humidity. For the apparatus used in this study,
the temperature and the relative humidity can be controlled
within 0.1 K in the range of 283333 K and within 1% in the
range of 4075%, respectively (Nara & Kaneko 2005).

4 ROCK SAMPLES

Oshima granite, Westerly granite, and Inada granite were used

where is the activity of the corrosive avent, E is the activa-
tion energy, R is the gas constant, T is the absolute temperature,
and v1 and are material constants (Wiederhorn et al. 1980,
Freiman 1984).
as rock samples. It is known that granite has orthorhombic
elasticity (Sano et al. 1992). In Table 1, the P-wave velocities in
three orthogonal directions are shown. It is shown that granites
in this study are also anisotropic. In this study, three principal
axes of orthorhombic elasticity are defined as axis-1, axis-
2, and axis-3 in order of P-wave velocity. Additionally, the

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 Table 1. P-wave velocity in granite.

P-wave velocity [km/s]

Rocks Axis-1 Axis-2 Axis-3

Oshima 4.91 4.61 4.51

Westerly 4.83 4.80 4.72
Inada 4.69 4.33 4.06

Figure 2. Specimen orientations for granite.

planes normal to these axes are called as plane-1, plane-2,

and plane-3, respectively.
Considering the orthorhombic elasticity, 6 kinds of spec-
imen were prepared as shown in Figure 2. For example, the
crack propagates parallel to axis-1 and opens parallel to axis-2
in 1 2-specimen. Since the sample block of Westerly granite
was not large enough to prepare that 6 kinds of specimen, 3
kinds of specimens (1 2, 1 3 and 2 1) were prepared.
5 RESULTS
In this study, subcritical crack growth under air and water
environment was investigated by DT test.
Before DT test in air, rock specimen was exposed to the
testing environment for 20 h. In Figure 3, the relations between
the crack velocity and the stress intensity factor (KI -da/dt
relations) for Inada granite and Oshima granite obtained under
the same environmental condition are shown (Nara & Kaneko
2006). It is shown that the KI -da/dt relation for granite is
anisotropic. In the case of 1 3-specimen and 2 3-specimen,
that is, when the crack propagates parallel to plane-3 (Rift
plane), the crack velocity at the same stress intensity factor
is the highest. The same tendency was observed for KI -da/dt
relation of Westerly granite (Nara & Kaneko 2006).
KI -da/dt relations for Oshima granite and Westerly granite
obtained under different environmental conditions are shown
in Figure 4 (Nara & Kaneko 2006). Solid and open symbols
show the relations obtained under the high temperature and
humidity conditions and the low temperature and humidity
conditions, respectively. It is shown that the crack velocity is
higher when the temperature and the humidity are higher. This
Figure 3. KI -da/dt relations obtained under the same temperature
and humidity (284K, 44%). (a) : Inada granite, (b) : Oshima granite.
result is in harmony with the concept that stress corrosion con-
trols subcritical crack growth in granite. The same tendency
was observed in other specimens.
Rock specimens for experiments under water environment
were kept in distilled water for 2 weeks before DT test. In
Figure 5, KI -da/dt relations for Oshima granite in distilled
water are shown as well as those in air under the same tem-
perature. It is shown that the crack velocity in water is much
higher than that in air. Therefore, it is considered that water
accelerates subcritical crack growth in granite. This result is
also in harmony with the concept that stress corrosion controls
subcritical crack growth.
6 DISCUSSION
Since the crack velocity was the highest when the crack prop-
agated parallel to Plane-3 (Rift plane), it is considered that the
crack propagated with connecting the microcracks existing
ahead of the crack front and parallel to the crack propagation
direction. To consider the effect of microcracks, the relation
between the energy applied to the crack tip, KI , and the
density of the microcracks parallel to the crack propagation
direction, , was investigated. The relation between KI and

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 Figure 5. KI -da/dt relations for Oshima granite in air and water.

Figure 6. Relation between the crack density and the energy applied
Figure 4. KI -da/dt relations obtained under different temperature to the crack tip at da/dt = 105 [m/s].
and humidity. (a) : Oshima granite, (b) : Westerly granite.
2
 is shown in Figure 6. From this figure, it is shown that KI 1
decreases with increasing . It can be concluded that the crack 0
velocity in granite is dependent on the density of microcracks 0 5 10 15 20 25
unit : mm
parallel to the crack propagation direction (Nara & Kaneko
2006). Figure 7. Crack path for Oshima granite.
By using the results obtained under different temperature
and humidity, the activation energy was determined. Consid-
ering the anisotropy of KI -da/dt relation due to the density Table 2. Results of the crack path observation for
of microcracks, it was assumed that the activation energy for Oshima granite.
grantie decreased by the effect of the crack density. In this Opening plane NCL D E [kJ/mol]
study, the effect was expressed as follows:
Plane-1 1.36 1.40 173
Plane-2 1.29 1.08 159

Plane-3 1.26 1.07 154
where E0 is the activation energy of the matrix material in
which no microcracks exist, and is a constant. For granite,

E0 and was determined as 179 kJ/mol and 3.02, respectively.
It is considered that the microcracks affect the roughness 2006). In this table, NCL means the trace length of the crack
of the crack path. By preparing thin sections after DT tests path normalized by the distance between the start and end
and digitizing the crack path as shown in Figure 7, Nara et al. point of the digitized crack path, and D is the fractal dimen-
(2006) estimated the geometry of the crack paths and reported sion determined by the spectrum method. If NCL and D are
the effect of microcracks on the roughness of the crack path small, the geometry of the crack path is smooth. From Table 2,
in Oshima granite. In Table 2, results of the crack path obser- it is shown that the roughness of the crack path is low when
vation are shown as well as the activation energy (Nara et al. the crack propagated parallel to Plane-3. This result indicates

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the manner of the crack propagation in granite. If the crack
propagates parallel to the direction of the preferred orientation
of microcracks, the distance between the crack front and the
nearest microcrack parallel to the crack propagation direction
tends to be small. Therefore, the roughness of the crack path
becomes low. As a result, NCL and D become small when the
crack propagates parallel to Plane-3.
It is necessary to mention the effect of liquid water on sub-
critical crack growth. It is considered that water acted as the
corrosive agent from Figure 5. Since the crack velocity in air
is proportional to the water vapor pressure (Wiederhorn et al.
1980), it is clear that the crack velocity in water is higher than
that in air in which the relative humidity is 100%. The chemi-
cal condition around the crack tip in liquid water is considered
to be different from that in air.
The amount of water molecules supplied from the sur-
rounding environment can be different. The amount of water
molecules in liquid water is much larger than that in air. This
can be one of the causes of the difference of the crack velocity
between in liquid water and in air.
7 CONCLUSIONS
In this study, subcritical crack growth in granite was investi-
gated using Double Torsion test.
It was shown that the KI -da/dt relation for granite is
anisotropic. If the crack propagated parallel to Rift plane, the
crack velocity at the same stress intensity factor was the high-
est. The anisotropy was due to the preferred orientation of
pre-existing micorcracks.
From the observation of the crack path, it was shown that
the crack path became smoother when the crack propagated
parallel to Rift plane. This result was due to the preferred
orientation of microcracks.
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2007 Taylor & Francis Group, London, UK
The crack velocity was higher when the water vapor pres-
sure was higher.Additionally, the crack velocity in liquid water
is much higher than that in air. These results agreed well with
the concept that stress corrosion is the main mechanism of
subcritical crack growth in granite.
REFERENCES
Anderson, O.L. & Grew, P.C. 1977. Stress corrosion theory of crack
propagation with applications to geophysics. Rev. Geophys. Space
Phys. 15(1): 77104.
Atkinson, B.K. 1984. Subcritical crack growth in geological materi-
als. J. Geophys. Res. 89(B6): 40774114.
Freiman, S.W. 1984. Effects of chemical environments on slow crack
growth in glasses and ceramics. J. Geophys. Res. 89(B6): 4072
4076.
Michalske, T.A. & Freiman, S.W. 1982. A molecular interpretation
of stress corrosion in silica. Nature 295(11): 511512.
Nara, Y. & Kaneko, K. 2005. Study of subcritical crack growth in
andesite using the Double Torsion test. Int. J. Rock Mech. Min.
Sci. 42(4): 521530.
Nara,Y. & Kaneko, K. 2006. Sub-critical crack growth in anisotropic
rock. Int. J. Rock Mech. Min. Sci. 43(3): 437453.
Nara, Y., Koike, K., Yoneda, T. & Kaneko, K. 2006. Relation between
subcritical crack growth behavior and crack paths in granite. Int.
J. Rock. Mech. Min. Sci. 43(8): 12561261.
Sano, O. & Kudo, Y. 1992. Relation of fracture resistance to fabric
for granitic rocks, PAGEOPH 138(4): 657677.
Sano, O., Kudo,Y. & Mizuta,Y. 1992. Experimental determination of
elastic constants of Oshima granite, Barre granite, and Chelmsford
granite. J. Geophys. Res. 97(B3): 33673379.
Wiederhorn, S.M., Fuller Jr., E.R. & Thomson, R. 1980. Micromech-
anisms of crack growth in ceramics and glasses in corrosive
environments. Met. Sci. 14: 450458.
Williams, D.P. & Evans, A.G. 1973. A simple method for studying
slow crack growth. J. Test. Eval. 1(4): 264270.
 The determination of interpretation uncertainties in subsurface representations

W. Tegtmeier
International Institute for Geo-Information Science and Earth Observation (ITC), Enschede, The Netherlands
University of Technology Delft (TU Delft), Research Institute OTB, Delft, The Netherlands

R. Hack
International Institute for Geo-Information Science and Earth Observation (ITC), Enschede, The Netherlands

S. Zlatanova
University of Technology Delft (TU Delft), Research Institute OTB, Delft, The Netherlands

ABSTRACT: In geo-engineering re-use of existing data and real world representations is, at present, limited to non-existent.
This is mostly due to difficulties regarding the use of data obtained by a number of various professionals. The main problem in
this respect is a lack of standardization of data (lack of data harmonization) and, underlying, the often-unknown quality of
the collected data and derived real world representations. Particularly in geological interpretations, uncertainties are high, since
only sparse information is available for the interpretation process. The paper presents a methodology, which will be applied
in order to determine the influence of so-called interpretation uncertainties on subsurface representations and to develop an
appropriate way to include quality and uncertainty expressions in the metadata of the subsurface representation. In addition,
an outlook will be given regarding the problem of data harmonization and standardization within the process of infrastructural
development.

1 INTRODUCTION in infrastructural development. The problem of data harmo-

Increasing mobility is of major importance in todays society.
To be able to cover the needs of the worlds citizens concerning
their unobstructed movement, sufficient infrastructural capac-
ities (e.g. highways, railways, airports, etc.) in the same way
as infrastructure security and transportation safety must be
ensured. Clearly, this requires the occupation of a number
of specialists, each of them facing different problems, which
have to be solved. With it, new civil infrastructures must be
planned, designed, and built and existing structures monitored,
maintained and eventually be abandoned. These diverse pro-
cesses are commonly spread over the whole lifecycle of civil
infrastructures with a duration of commonly tens of years. The
lifecycle can generally be subdivided into six main stages that
are namely:
1. Exploration
2. Planning
3. Design
4. Realization
5. Maintenance
6. Abandon
For the execution of the various tasks during infrastructural
development, the skills of a number of various professionals
(e.g. civil engineers, engineering geologists, GIS technolo-
gists, etc.) are needed. Large quantities of geo-information
(e.g. GIS-, CAD-, and various other data sets) are collected,
generated, (re-) used, managed and exchanged throughout the
lifecycle of a civil infrastructure and the main problem as iden-
tified today is the difficulty regarding data harmonization;
that is the process by which different parties adopt a common
(ideally standardized) way of working with geo-information
nization is partly caused by the lack of information about
qualities and possible uncertainties regarding the collected
data as well as derived real world representations. Still, at
present, large parts of the data as well as representations are
not equipped with quality or uncertainty information. This
aggravates the communication and also co-operation between
the different parties involved in infrastructural development
and intensifies the problems concerning the (re-) use of geo-
information as delivered by diverse companies and experts.
This missing uncertainty information regarding various types
of geo-information and real world representations, and also the
use of different types of data structures, geo-information man-
agement systems and software packages are, thus, the main
obstacles when trying to achieve data harmonization in large
infrastructural projects (Figure 1). Consequently, the question
is: How can geo-information be harmonized and equipped
with uncertainty estimations?
2 QUALITY AS PART OF THE GEO-INFORMATION
Many people of different professions are involved in infras-
tructural projects. Regarding the fact that they have to rely
on the correctness of the work that is delivered to them by
other experts in order to (re-) use this information for fur-
ther planning and decision making, the quality aspect of
geo-information plays an important role in infrastructural
development. This makes quality, thus, an important aspect
of geo-information and to be able to make successful use of
collected data as well as derived representations and interpre-
tations, it is important to receive indications about their quality
(Hack 1997, Dilo 2006). Before one can start to determine

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 Quality & Possible Uncertainties
Real World Representations
Survey & Measurements
Explore

Abandon Plan

Infra-
structure

Main-
tain Design

Figure 2. The different types of uncertainties in geo-engineering

Realize (Hack et al. 2006).

real world representations concerning the geotechnical (sub-

surface) part of infrastructural development. This seems to be
Figure 1. The lifecycle of civil engineering infrastructures.
most appropriate considering the fact that, usually, only sparse
information is available for the interpretation as well as rep-
resentation of the geological situation at the construction site
the quality of the diverse types of geo-information, however, and, thus, the knowledge and experience of the geo-engineers
it is important to understand the meaning behind the term has a significant influence on the final result.
quality.
Countless definitions can be found in the literature, varying
2.1 The uncertainty aspect of quality in geo-information
for each profession (e.g. car industry, medicine, education,
engineering, etc.) they have been especially defined for. In Uncertainty in geo-information plays an important role
their pioneering work, Harvey & Green (1993), for example, throughout the development of infrastructural projects,
determined the nature and usage of quality in relation to higher because it can affect the future (re-) use and processing of
education, where they conclude that quality is often referred geo-information, and also, most importantly, the process of
to as a relative concept. First, quality is described to be rel- decision making in these large projects. Despite the number
ative to the user of the term and the circumstances in which of initiatives trying to reduce the uncertainty from an end-
it is invoked. Then again, regarding higher education, is the users and decision-makers perspective, it is, still, not possible
benchmark relativism of quality, where, on the one hand, to completely eliminate this factor of uncertainty (Foody &
quality is to be seen in terms of absolutes and, on the other Atkinson 2002).
hand, quality is to be judged in terms of absolute thresholds Often, uncertainty is described in rather general terms as
that have to be exceeded to obtain a quality rating. Follow- . . . a measure of the difference between estimation and real-
ing, Harvey & Green suggested that quality should rather be ity. This, for example, might be the difference between the
grouped into five discrete but interrelated ways of thinking, thickness and extent of a sand lens as determined via an inter-
rather than being described by only one meaning. pretation of borehole and CPT data as compared to the real
The main definition of quality, however, as used by many world situation; expressed in percentage. A definition similar
engineers and scientists and as defined in various international to this rather general description is used in statistics, where the
standards (e.g. ISO 9001:2000) is derived from the meaning of uncertainty is defined as the estimated amount or percentage
quality as fitness for purpose; that is namely quality as satisfy- by which an observed or calculated value may differ from the
ing the determined needs of the user. In these definitions, it is true value.
stated: Quality: The totality of features and characteristics of In the same way as the quality aspect, uncertainty as part of
a product or service that bear on its ability to satisfy stated or this quality aspect is determined by different types of uncer-
implied needs. Not to be mistaken for degree of excellence tainty (Figure 2). These are, for example, uncertainty with
or fitness for use that meet only part of the definition. regard to spatial prediction, uncertainty resulting from site
Many factors can affect the quality of data and representa- investigations/surveys/measurements, or uncertainties result-
tions and, eventually, lead to imperfections in the data as well ing from geological and geotechnical interpretations (i.e.
as in the resulting work of the various companies. Different mainly caused by limited amounts of data).
kinds of imperfection in data have been defined in the work These days, numerous techniques are available for the
by Smets (1996). The main aspects are, accordingly, impreci- determination of uncertainty resulting from the process of
sion, inconsistency, and uncertainty. Thereby, imprecision and spatial prediction. Depending on the quantity and quality
inconsistency are properties of the data, whereas uncertainty of available data, but also on the type of object (i.e. con-
is introduced into the data by attaching weights to the worlds tinuous or categorical), for which the uncertainty must be
in order to express our opinion about which might be the real determined, different estimation techniques are frequently
world situation. used; that are namely geostatistical simulations, kriging and
Since the problem of data and representation quality probability-based methods (Orlic 1997, Zhang & Goodchild
together with the numerous factors influencing this quality is 2002).
too complex to be covered all at once, this specific part of the As described by Hack et al. (2006), also in geo-engineering
research is focused on uncertainties in geo-information and work it is (or should be) common practice to make an

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estimation of the errors/possible errors in the geotechnical
properties of the subsurface and the influence of these errors
on the engineering structure to be built in or on it. Different
methodologies, such as the geotechnical base-line methods
(Staveren & Knoeff 2004), probability studies and Monte
Carlo simulations (Viseur & Shtuka 1997, Hack 1998, Hack
et al. 2003), are applied to give a certain amount of quan-
tification of possible errors in the design of an engineering
structure due to uncertainty regarding the subsurface proper-
ties. Statistical routines exist, thus, in extenso, to calculate the
temporal-spatial distribution of properties in a unit (see also
Deutsch & Journal 1998, Houlding 2000).
Next to the uncertainty associated with spatial prediction or
the prediction of geotechnical properties, there are, however,
mainly two other sources of uncertainty one should constantly
be aware of, since these types of uncertainties are less promi-
nent and, thus, difficult to be defined. Due to the scarcity of
data, these additional types of uncertainty are most prominent
in geo-engineering and, accordingly, in subsurface real world
representations. As described by Houlding (1994), these two
sources of uncertainty are:
1. The potential for investigation errors (i.e. locational errors
or measurement errors caused by wrongly calibrated
machines)
2. The potential for interpretations errors (i.e. uncertainty
introduced by the expert, depending on the experience and
prior knowledge).
Unfortunately, there is little one can do about these specific
types of uncertainty in geo-information. To be able to quantify
the uncertainties regarding investigation error in sample and
observation values, comprehensive research would be neces-
sary into each of the common investigation techniques in use.
In the same way, it is rather difficult to determine uncertain-
ties that are caused by errors made during the interpretation of
geological features. This is a rather subjective procedure and
up till now, there is no way of incorporating it into a comput-
erized approach unless we are prepared to quantify ourselves
during the interpretation process.
Thus, numerous estimation techniques for the determina-
tion of uncertainties associated with spatial prediction have
been developed and are frequently used in practice. How-
ever, especially regarding the problem of uncertainties in
subsurface real world representations, more research is still
to be undertaken and especially the so-called interpretation
uncertainties; that are uncertainties introduced into the repre-
sentation by the experts themselves; must be determined and
communicated, as they form a dominant source of uncertainty
in geo-information.
3 CRITICAL RESEARCH ISSUES AND
DEVELOPMENTS
Due to the fact that for the representation of the subsur-
face (geotechnical) situation at a construction site only sparse
information is available, the knowledge and experience of the
interpreter plays an important role regarding the outcome of
the interpretation. The quality of his experience and a priori
knowledge that is of major importance for the interpretation
process can, however, not be qualified at present. If the engi-
neer/geologist is good, this will result in a good and reliable
geotechnical representation. If the engineer/geologist is not
as good, it will result in higher uncertainties and, thus, a poor
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2007 Taylor & Francis Group, London, UK
geotechnical representation. Today, many up-to-date analyses
are available describing all sorts of uncertainties in measurable
properties. Without an indication on the level of interpretation
uncertainties to be expected in the representation, it is, how-
ever, difficult to rely on any geotechnical representation and
to use it for further planning and decision-making.
Therefore, part of the research will be focused on the deter-
mination and communication of the so-called interpretation
uncertainties in subsurface geotechnical representations.
As this problem cannot be completely solved in this limited
amount of time, a first step will be made towards an acceptable
solution. The goal within this research is to arrive at a descrip-
tion of the level of interpretation uncertainty to be expected in
a certain interpretation or representation of subsurface condi-
tions. This level of interpretation uncertainty in geotechnical
representations is, at this time, intended to be described on a
scale of, for example, 1 to 5; with 1 a low level of interpretation
uncertainty and high reliability of the subsurface representa-
tion and 5 vice versa. For the determination of the level of
interpretation uncertainty, a weighting system will be devel-
oped and applied in order to arrive at scalable values indicating
the interpretation uncertainties to be expected in a certain
geotechnical representation as well as their influence on the
construction and maintenance measures as needed for the
infrastructural project. Aspects that will be taken into account
in the weighting system are, for example, the quantity of the
collected data, the quality of the collected data, the extent/size
of the construction site, the expected impact of the civil con-
struction on the geology (i.e. type/size/etc. of construction)
and the experience of the geotechnical expert executing the
interpretation (i.e. familiarity with geology around the con-
struction site, number of representations made in this area,
etc.). Each of these aspects will then be given a factor depend-
ing on the conditions met in a certain project. Additionally,
these factors are weighted depending on their influence on
the final interpretation uncertainty to be expected in this
geotechnical representation.
In order to get insight in the present use of uncertainty
information, it will be co-operated with various engineering
companies throughout this research. A number of compa-
nies involved in infrastructural development will be visited
and questioned about their use of uncertainty information in
subsurface real world representations and case studies will
be analyzed in order to acquire information about the influ-
ence of the expert knowledge on the quality of a real world
representation.
Finally, the newly determined uncertainty information will,
ideally, be included in the metadata; that is data about data,
additional information that is used to provide further infor-
mation to, for example, attribute tables; of the subsurface
(geotechnical) representation and, if possible, be equipped
with supplementary information regarding the implications
of this interpretation on the construction of the infrastructural
project.. This should, significantly improve the communica-
tion between the companies involved in infrastructural devel-
opment and facilitate the (re-) use of the geo-information.
4 CONCLUSIONS AND FUTURE RESEARCH
In addition to the missing information concerning possible
uncertainties in real world representations, the numerous types
of geo-information as used in infrastructural development, a
lack of standardization and, especially, harmonization of the
geo-information makes the different working steps in civil
engineering projects difficult.
In infrastructural development, a number of different
experts are involved in the lifecycle of the civil infrastructure.
Thereby, different types of data, file formats, software pack-
ages, etc. are used for the representation of the real world.
Depending on the specialization, also different representa-
tion techniques for the representation of the diverse real world
objects are available. During the last years, several initiatives
have been followed in order to integrate the various types of
geo-information (Oosterom et al. 1994, 2006; Zlatanova et al.
2002). The whole problem of geo-information harmonization
is, however, too complex to be solved in a short time. Thus,
more work still needs to be done to achieve a solution to this
problem.
In order to increase the data harmonization and to improve
the communication and co-operation of the different par-
ties involved in infrastructural works, the second part of this
research will be focused on the topic of data harmonization;
with its main focus on the meaning of the data (the themat-
ical semantics of data). With it, it is desirable to use similar
semantics for the representation of the various objects. Fur-
thermore, real world representations should be equipped with
sufficient metadata describing their meaning and implications
for the development of the project in a language understand-
able by all different parties. Consistent application of terms
is thereby a prerequisite for successful implementation and
unambiguous adoption of legislation, regulations, guidelines
and interpretations.
To achieve this, a glossary shall be established to define
the meaning of those terms regarding geographic informa-
tion that are used regularly within infrastructural projects.
Therefore, various (engineering) companies will be visited
and, together with information gathered with the help of a
questionnaire, information about commonly used semantics,
attributes, definitions, standards, etc. gathered. Finally, a con-
cept will be developed for the harmonized use of common
semantics together with additional metadata.
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simulation of channels. 15th GOCAD Meeting Report.
Zhang, J. & Goodchild, M. 2002. Uncertainty in Geographical
Information. London: Taylor & Francis.
Zlatanova, S. 2000. 3D GIS for urban development. PhD thesis, ITC,
Enschede, The Netherlands.
Zlatanova, S., Rahman, A.A. & Pilouk, M. 2002. Trends in 3D GIS
Development. Journal of Geospatial Engineering 4: 110.
 Thermal over-closure of joints and rock masses and implications for HLW repositories

N. Barton
Nick Barton & Associates, Oslo, Norway

ABSTRACT: Rough joints can be over-closed, and remain over-closed by a previous application of a higher normal stress. This
is an exaggerated form of hysteresis. Rough joints in igneous and metamorphic rocks can over-close even due to temperature
increase alone, due to better fit, which is something beyond hysteresis. The rock mass deformation moduli, thermal expansion
coefficients, hydraulic apertures, and seismic velocities may each be affected. Well-controlled laboratory HTM tests, in situ HTM
block tests, and large-scale heated rock mass tests, lasting several years at Stripa, Climax and Yucca Mountain, have produced
evidence for this extra fully-coupled response. Over-closed laboratory direct shear tests give elevated strength envelopes in
the case of tension fractures and joint replicas. Heating alone also increases the shear strength of natural joints. The coupled
thermal-OC effect in HTM numerical modeling will require, as a minimum, thermal expansion coefficients that include rather
than exclude relevant joint sets, if these have marked roughness and if they originated at elevated temperature. Subsequently
elevated deformation moduli that attract higher stress must be expected.

1 INTRODUCTION

Hydro-thermo-mechanical HTM modelling of high level

nuclear waste disposal scenarios has been actively sought in
the last 30 years. In simplified form, the HTM (and chemical)
effects of excavation, heating and cooling (with eventual seis-
mic loading from major earthquakes in the very long term),
have each to be simulated. The effects of heating and cooling
on rock joints likely to exist in the geological containment
will be the focus of this paper.
A phenomenon revealed almost 40 years ago, that has
proved to have relevance for both HTM field experiments and
HTM modelling, concerns over-closure of joints. Under ambi-
ent conditions we may refer simply to hysteresis effects, but
when heat is added, thermal over-closure appears to accentu-
ate closure effects in the rock mass. This sounds positive for
waste isolation: in fact it may be adverse, due to the subsequent
cooling that requires shrinkage in a rock mass that may have
over-closed rough joint sets that remain closed despite cooling.
Difficulties in obtaining excavation-induced failure of arti-
ficial rock slope models, each consisting of 40,000 blocks,
reported in Barton, 1971 and 1972, has proved to have an
unexpected link to the above concerns. Steep, gravity- and
horizontally-stressed slopes with adversely-dipping sets of
tension fractures would not fail, in relation to slope stability
calculations based on strengths obtained from conventional
1:1 direct shear tests.
When loading to 4 or 8 times higher normal stress, prior to
unloading and shearing, successively steeper shear strength
envelopes were obtained, as illustrated in Figure 1. The
excessively stable slopes (Figure 2) were actually caused by Figure 1. Over-closure (OC) ratios of 8:1, 4:1 and 1:1 (conven-
over-closure of the rough tension fractures. As observed some- tional) prior to direct shear testing of rough tension fractures. Barton,
times in real slope failures, there was evidence in slope-failure 1972. An example of the model tension fractures, and their surface
roughness is also shown. Back-analysis refers to the model slope
debris, of over-closedmasses of blocks, which might be inter- failures.
preted as discontinuous jointing or evidence of cohesive
strength in field observations.
These elevated strengths explained the slope-failure diffi- previously higher loading, when estimating available shear
culties seen in Figure 2, since when excavating a rock slope or strength. The continued failures might be due to errors in
open-pit, (as also in these experiments), a reduction in normal stress-transformation from 1 and 2 to and n on joint
stress is usually caused. Many important slope-failures occur surfaces that dilate (Barton, 2006), or for other reasons of
in the open-cast mining industry, despite the usual neglect of structural control including elevated joint water pressure.

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Figure 2. Example of extreme stability (left) and post-failure
masses (right) caused by unloading from a higher normal stress when
excavating the slopes. Barton, 1971.
Figure 3. A demonstration of obviously exaggerated hysteresis, due
to unloading of over-closed tension fractures. Barton and Hansteen,
1979. Deformation vectors were derived from photogrammetric
analysis.
Rougher joints seem to have greater closure-related bene-
fit, both from ambient and thermo-mechanical loading than
smoother, more planar joints. During subsequent cooling, with
rougher joints possibly over-closed, it is likely to be the more
continuous, smoother joints that open to compensate for those
that are closed. Reduced shear strength and increased per-
meability are the possible results, which are clearly effects
that should be considered when deciding on the detailed
lay-out/location, of high-level nuclear waste disposal.
2 AN AMBIENT TEMPERATURE EXAMPLE
Figure 3 shows how hysteresis affected the sequential devel-
opment of deformation when excavating parallel caverns in
physical models, using both exaggerated pillar slenderness,
and the same exaggeratedly rough sets of tension fractures as
shown in Figures 1 and 2. The cavern models were excavated
in a stressed rock mass consisting of some 20,000 blocks, in
the sequence shown. Note how the pillar deformations did not
reverse with subsequent excavation, as they would have done,
if there had been less severe effects of hysteresis.
3 TEST EVIDENCE FOR THERMAL OVER-CLOSURE
Conducting aperture decreases in Terra Tek/CSM HTM
block test (for ONWI).
Joint closures in HTM coupled stress flow tests (CSFT) (for
AECL/URL).
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2007 Taylor & Francis Group, London, UK
Figure 4. Biaxially-loaded 2 2 2 m heated block test, with
HTM measurements along the diagonal (shaded) joint. Hardin et al.,
1981. Average joint spacings are indicated in this 3D schematic.
Conducting aperture reductions from HTM block test in
G-Tunnel (for Sandia National Laboratory).
Reduced thermal expansion coefficients at NSTF Hanford
(for Rockwell-Hanford).
Reduced Vp and Vs after long-term heated/cooled bore-
hole test at Stripa (for SKB). Poor model prediction due to
thermal joint over-closure and changed moduli.
Increased cohesive and frictional strength of joints in
welded tuff that have been heated. (Sandia N.L).
Heated mine-by (Spent Fuel Test) at Climax (for Lawrence
Livermore). Poor model prediction due to higher final mod-
uli, lower thermal expansion coefficients, due to thermal
over-closure of joints.
Heated and ambient sides of plate load test at Yucca Moun-
tain (for DoE). Widely different moduli in the ambient and
heated sides of the same drift.
A selection from the above experiments will be given during
the remainder of this paper, to illustrate the different facets of
thermal over-closure.
3.1 Joint aperture decreases due to heating
Figures 4 and 5 illustrate the loading principles and some key
HTM results, from the TerraTek heated block test that was
conducted for ONWI in 1980 and 1981. The rock was quartz
monzonite, and the rough diagonal joint that was the sub-
ject of this particular set of HTM data, had JRCo = 13, and
JCSo = 90 MPa. Hydraulic apertures were back-calculated
both before and after flatjack-slot drilling, and during the
loading, unloading, heating and cooling sequences shown in
Figure 5.
Figure 5. Hydro-thermo-mechanical (HTM) hydraulic aperture,
temperature, normal stress behaviour, as back-calculated from the
heated block test. Barton, 1982.
Figure 6. Contrasting stress-permeability behaviour caused by the
addition of heat. (Present study refers to Hardin et al. 1981 heated
block test referred to initially as gneiss, but as quartz monzonite in
subsequent publications). Note comparison to some University of
Berkeley tests on tension fractures from Iwai, 1976. Barton, 1982.
The inset tabulation of hydraulic apertures in Figure 5, indi-
cates that ambient loading to 7 MPa (approx.) reduced the
hydraulic aperture from about 50 to 30 m. From this point,
thermal loading to 75 C at constant normal stress (achieved
by bleeding expanding oil from the flatjacks), caused the
hydraulic aperture to reduce successively to 9 m. During
subsequent cooling and partial unloading: a typical nuclear
waste scenario, the aperture had increased to only 16 m, in
other words the joint was thermally over-closed.
Somewhere between a normal stress of 3.5 MPa and full
unloading, the hydraulic aperture jumped open to 42 m.
A lesson to be learned is that continuum modelling will be
inadequate to trace such phenomena, and therefore will tend
to miss the most critical events regarding potential hydro-
geologic waste isolation.
2007 Taylor & Francis Group, London, UK
Figure 7. Tilt tests conducted on selected lengths of core drilled
in-plane with respect to the diagonal test joint. The extended lengths
of core gave JRCn values from 7.9 to 8.3, while JRCo (with 100 mm
reference length) averaged 13.
A feel for the roughness of the diagonal test joint that was
the subject of the above heated block permeability tests, is
given by the reconstructed tilt tests, and by the photograph
shown in Figure 7. The JRCn values obtained from tilt tests
of these longer samples are smaller than the nominal 100 mm
standard, where JRCo was 13.
3.2 Coupled stress flow CSFT laboratory tests
CSFT test methods described by Makurat et al. 1990, using
the apparatus depicted in Figure 8, showed physical aperture
reductions when heating joints (Figure 9), that were in excess
of those expected due to application of higher normal stress.
Three tests on joints in granite from URL in Canada, were
loaded up to 14, 19 and 26 MPa, and on the 4th load cycle
of each test, suffered joint closures (E) at the respective
test temperatures of 20 C, 60 C and 80 C of 24 m, 54 m
and 151 m, that were out of all proportion in relation to the
moderate stress increases. These reductions of physical aper-
ture (E) lead of course to smaller reductions of conducting
aperture (e), due to roughness effects, from e E2 /JRC2.5
o .
(Barton et al. 1985). An increase of 40 C was shown to
decrease e by 39% inTest 2.The highest temperature cracked
Test 3 sample, so e was unreliable.
111

Figure 8. The CSFT apparatus used for MHT coupled-process joint
tests in NGIs nuclear waste related projects for the Stripa SCV/SKB,
Sellafield/UK Nirex Ltd, and URL/AECL studies. Makurat et al.
1990.
Figure 9. CSFT tests on URL granite joints, showing the effect of
increased temperature on the 4th cycle of loading of Tests 1, 2 and
3. For methodology, see Makurat et al. 1990.
3.3 Heated block test in G-Tunnel, Nevada
A second heated block test in the USA was conducted in G-
Tunnel at the Nevada Test Site, by SAIC engineers, for Sandia
National Laboratories. This is shown in diagrammatic form in
Figure 10, and the detailed jointing and permeability test joint
are shown in Figure 11.
This 2 2 2 m block test was also instrumented exten-
sively, in order that deformation moduli, mass Poissons ratio
(that reached 0.6), thermal expansion coefficients and joint
permeability could be monitored through a range of load
cycles (0 to 10.6 MPa) and temperature cycles (48 , 69 , 94 C
at block centre).
Hydraulic apertures reduced from approximately 60 to
35 m along the diagonal test joint, due to the effect of this
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2007 Taylor & Francis Group, London, UK
Figure 10. HMT block test performed by SAIC, for Sandia in
welded tuff, in G-tunnel (Nevada Test Site). Zimmermann et al. 1985.
Figure 11. Details of jointing in the G-Tunnel test block. Zimmer-
mann et al. 1985.
heating. (Zimmerman et al. 1985). The measured joint rough-
ness JRCo for the NW-SE joint set that was showing this
thermal over-closure averaged 9.0 (TerraTek, 1983) with a
range from 6 to 11. Joint profiling was conducted in the drift
walls in the immediate proximity of the block test.
3.4 Plate jacking tests at Yucca Mountain ESF
Sandia National Laboratories conducted plate jacking tests
across a small drift at the Yucca Mountain ESF (Exploratory
Studies Facility). The jointed, welded tuff yielded two differ-
ent values of deformation modulus, depending upon whether
the walls of the drift were heated due to proximity to a large
scale heater experiment. One side of the plate-loaded drift
was heated to 100 C, the other side was at near ambient
temperature.
The authors, George et al. 1999 calculated ambient and ther-
mal rock mass deformation moduli of 11.4 GPa and 24.5 GPa
respectively, based on the widely different load-deformation
responses shown in Figure 12. They surmised that the rock
mass quality might be more heterogeneous than previously
thought, but were unable to conclude that the heated side had
higher quality (i.e. higher RMR or Q-values). Observation by
this author confirms this opinion.
3.5 Near-surface test tacility in Hanford basalt
At the Near-Surface Test Facility, at Hanford, another well-
instrumented 2.3 2.3 m block was flat-jack loaded and
heated in the wall of a drift in the Colombia River basalt

Figure 12a,b. Yucca Mountain plate-load test performed in an
adit with one side heated. Emass (ambient) = 11.4 GPa, Emass
(heated) = 24.5 GPa. George et al., 1999.
formation. Although this heated block test did not give direct
measurement of thermally induced joint closure (or over-
closure), there was enough circumstantial evidence to suggest
that such was occurring. Cramer and Kim, 1986.
The thermal expansion coefficient of the rock mass in three
dimensions, showed a maximum reduction from 6.34 106
C1 (over the range 18 to 60 C) to 2.59 106 C1 (over
the range 60 to 100 C).
At 100 C, Cramer and Kim (1986) reported a related 30%
increase in deformation modulus, while at 200 C there was a
135 to 190% increase. All in situ moduli, even those at elevated
temperature, were of course significantly lower than the intact
rock value that averaged 86 GPa.
The increased temperature testing of the heated block of
columnar basalt reportedly reduced the degree of inelastic and
continuously yielding deformational behaviour. Translation
and rotational movements of the columnar structures inferred
from numerical modelling, were assumed to have been
reduced by the thermally induced lock-up of interacting rock
block structures. This case of course had joints formed at very
high temperature when the basalt was sufficiently brittle.
3.6 The Spent Fuel Test (SFT) at Climax Mine
A large scale mine-by and spent fuel heater test was con-
ducted by Lawrence Livermore National Laboratory in the
early eighties. A cross-section showing the extensive instru-
mentation is shown in Figure 13. The three parallel drifts of
about 10 and 15 m span, were excavated at 430 m depth in
jointed quartz monzonite. The test location was about 150 m
above the water table, i.e. it was unsaturated but not dry. Joint
frequencies were about 0.9 to 2.2 per meter in the test area,
and there were reportedly four dominant joint sets. (Yow and
Wilder, 1993).
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2007 Taylor & Francis Group, London, UK
Figure 13. A heated mine-by experiment in the Climax Mine, in
quartz monzonite. Spent Fuel Test, Yow and Wilder, 1993.
The extensive instrumentation was designed to measure the
bulk response of a jointed rock mass, to excavation of the
central tunnel (the mine-by), followed by a 3-year period of
heating, and 6 months of cooling. Unfortunately monitoring
beyond this 6 months was not reported, presumably due to
project termination.
Extensive finite element (ADINA) calculations were per-
formed to compare predicted performance with measured
performance. In this code, isotropic thermoelastic behavior
was assumed, with temperature dependent thermal expan-
sion coefficients (Butkovich and Patrick, 1986). Numerous
scales of deformation moduli were tested. As in the case of
the smaller scale Stripa heater tests discussed next, there was
significant discrepancy between measured thermally induced
displacements in the canister drift, which were about 1/4 to 1/2
of those calculated, both in the horizontal and vertical direc-
tions. Instrument error was first suspected, but was eliminated
by thermal calibration.
Yow and Wilder (1993) interpreted these discrepancies as
evidence for a thermally increased rock mass modulus, citing
possible thermal closure of joints as described by Barton et al.,
1985, as the reason for increased rock mass stiffness.
At the end of the monitored 6 months of cooling, joints that
had closed during heating had not yet unloaded enough for one
to determine whether or not all of the heating-phase deforma-
tion would be recovered (Yow and Wielder, 1993).Obviously
non-recoverable, thermally induced shear displacements were
also reported.
Thermally induced hysteresis, and deformation moduli and
expansion coefficients different from what was expected seem
to be a general pattern of behavior for these heater experi-
ments. Constitutive modeling needs to allow for these extra
fully-coupled phenomena, i.e. thermal over-closure.
3.7 Stripa borehole heater effects on velocities
The Stripa heater experiment has been described by numer-
ous authors. The full duration of the test was eventually 750
days, with 398 days of heating. The simple basic layout of
the test is shown in Figure 14. The long period of cooling
generally returned seismic velocities to values lower than
before the heating, suggesting permanent changes, such as
Figure 14. The Stripa borehole heater experiment. Paulsson et al.
1985.

local excessive joint opening as hypothesised elsewhere in

this paper.
The non-linear, thermally induced strains were about half
those expected from linear thermo-elastic analyses, using lab-
oratory tests of C1 on intact samples. These important
effects were discussed by Cook (1983). The discrepancy, as
at Climax, was due to thermally-induced joint closure and
hysteresis, what we now call thermal over-closure. A signifi-
cant quantity of water expelled during the heating signified
the general closing of the joints. Temperatures were over
100 C in only a small region around the heater, and water
was expelled also from distant boreholes where perhaps the
low initial permeability was less reduced.
The initial increase in velocity with temperature was linear
and varied from 2 to 4 m/s/ C. The average joint frequency
in the test area, analyzed from 224 m of core, was 8.3/m. The
largest velocity changes caused by the heating, amounting to
Figure 15a and b. Stripa borehole heater test, and the effects of
0.20.3 km/s, were interpreted as occurring in the direction of prolonged heating and cooling on VP and VS . Paulsson et al. 1985.
the minimum horizontal stress, which is logical since the cal-
culated thermal stress was as much as 55 MPa in, presumably,
the direction of maximum horizontal stress.
An elastic continuum analysis conducted prior to the test tens if not several hundreds of degrees, in relation to their
had indicated larger stresses and local displacements than were formation, often nearer the brittle-ductile transition, or when
actually measured presumably due to the thermal compliance deeply buried in a typical geothermal gradient. When cooled,
of all these joints. The full record of P-wave and S-wave veloc- the 3D roughness finger-print, though very recognizable in
ities over the 750 days duration of the test is shown in Fig. 15. relation to the original, would be subtly altered in its finer
details.
If (or because) the constituent minerals have unequal
4 DISCUSSION thermal expansion coefficients (for example a log normal dis-
tribution of values from 1 to 20 106 C1 , giving a mean
The explanation for the phenomenon of thermal over-closure (measured) value for the whole rock of say 10 106 C1 ,
is assumed to be quite simple (Barton, 1982, Barton, 2006). then it is reasonable to expect a degree of micro-mismatch
Namely that the joints in question, and perhaps the huge across the joint walls, assuming that several different minerals
majority of joints developed in the crust, were formed at vari- usually form the joint walls. (At the heated block test described
ously elevated temperatures compared to ambient.They were by Hardin et al. 1981, the thermal expansion coefficient was
thereby given a primeval finger-print of 3D-roughness that 1/2 to 1/3 parallel to foliation, compared to perpendicular to
reflected the warmer conditions at their birth. The details of foliation).
this finger-print would clearly be influenced by the diverse The variable quantities of constituent minerals in igneous
properties of all the minerals (or grains) forming the joint rocks, and in addition the important differences in C1 when
walls, and their mechanical resistance to joint formation, heating or cooling, quoted from Skinner (Section 6 of Clark,
whether in tension or shear or by cooling. 1966), suggest that micro-mismatch is inevitable when joints
Todays rock joints as sampled at the surface or near surface are tested colder than at their formation. This is surely one
(1 km is also near-surface) have probably cooled by many reason for the variously hyperbolic shape of (ambient) normal

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2007 Taylor & Francis Group, London, UK


Figure 16a and b. Dolomite pavement which can be used to illustrate
some important aspects of HTM modeling.
closure tests, as described in great numbers by Bandis et al.
1983, for a wide range of JRCo and JCSo values.
The mechanical over-closure and the thermal over-closure
referred to in this brief review of test data, suggests that it
is time to perform a more comprehensive series of tests on
rock joints in rock mechanics laboratories. For example, we
do not usually (ever?) load rock joints to normal stress levels
appropriate to existing stress levels, followed by unloading to
the post-excavation stress levels, prior to shearing in direct
shear testing. The addition of heating is seldom considered.
Concerning geologicdisposal of nuclear waste with subse-
quent thermal loading and unloading, it is clearly necessary to
perform permeability tests on rock joints in the heated state.
Specifically, the effect of increasing temperature combined
with increased normal stress needs to be investigated, and most
importantly the effect of reducing temperature and reducing
stress, all as a function of roughness JRCo . Just the measure-
ment of shear strength changes as a result of heating, for a
range of JRCo , would also be informative.
Under ambient conditions, maximum joint closure was
aided by lower JCSo and lower JRCo for the medium to hard
jointed rocks tested by Bandis. However, when thermally over-
closed, joints will display higher stiffness and higher strength,
as though both JCSo and JRCo have been increased by the pro-
cess of intimate interlock. This is the dilemma that we face in
constitutive modelling, and unloading may or may not reverse
the above process.
Consider the jointed pavement (in a prominent dolomite
bed) at Kimmeridge Bay in southern England, which is
depicted in Figure 16. The rougher, less continuous joints that
occur between the two (or three) major sets, contribute to an
initially reduced deformation modulus through the reduced
RQD and reduced Q-value. The ambient deformation mod-
ulus would depend on Q and Qc (= Q c /100) and on the
depth or stress level (Barton, 2002, 2006).
If this rock mass became heated, it would be these short,
rough joints that closed most efficiently, causing an increased
deformation modulus at higher temperature. Upon cooling
these same joints would tend to remain with small aperture,
thereby requiring opening of the more continuous joints. It
is these more continuous joints that would usually be dis-
cretely modeled in a numerical model such as UDEC-BB or
3DEC-MC.
An adjustment to the input data for such a model would
be the requirement of thermal expansion coefficients that
included the thermally compliant rough jointing. Some of
the thermal expansion would thereby be absorbed, but the
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2007 Taylor & Francis Group, London, UK
Figure 17a and b. Two contrasting joints with JRCo values of about
1 and 16 according to back-analysed direct shear tests.
negative factor might be that the reduced apertures would
remain closedduring subsequent cooling, thereby potentially
activating the major joints.
The rougher of the two joints shown in Figure 17, must
be expected to suffer thermal over-closure, while the planar
discontinuity, possibly a minor fault, might be opened dur-
ing cooling, if in the same neighbourhood, to compensate for
this closure. The fourth component of coupled behavior; the
chemical changes incorporated in HTMC modeling, would
logically include the increased likelihood of chemical depo-
sition in the low-permeability thermally over-closed joints, as
actually appears to have occurred already.
5 CONCLUSIONS
1. Numerous HTM in situ experiments, some of them heated
block tests, others consisting of larger scale heating of the
rock mass, have demonstrated a consistent phenomenon of
changed properties caused by joint closure during heating.
This is something additional to the expectation of higher
thermally-induced stresses causing joint closure.
2. During the heating of jointed rock in the immediate sur-
roundings of an HLW repository, the thermal over-closure
mechanism that appears to affect non-planar joints, will
tend to cause a marked reduction in joint permeability, an
increase in seismic velocity, and a final increase in defor-
mation moduli, due to the transient reduction of the thermal
expansion coefficients.The latter is due to transient soften-
ing of joint normal stiffnesses with heating, due to thermal
compliance causing thermal over-closure.
3. During the subsequent cooling phase of an HLW repository,
one may experience rougher joints that have been thermally
over-closed, and that may not open during cooling. These
joints have increased cohesive and frictional strength and
reduced aperture. They may also be preferentially involved
in chemical deposition and sealing.
4. Smoother, planar, and probably more continuous fea-
tures will tend to open to compensate for those that may
remain closed during the cooling, thereby potentially losing
strength and gaining permeability. This should alert design-
ers to avoid the continuous features in e.g. their disposal
canister deployments.
5. Thermal over-closure phenomena seem to have been almost
ignored in more recent rock mechanics testing and engi-
neering design work. The numerical modeling of over-
closure in repository scenarios, including both mechanical
 and subsequent thermal effects, is therefore needed, once
the necessary data base is developed.
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 Water storage of thermal waters in a closing down mine (Gavorrano, Italy)

C.A. Garzonio
Department of Restoration and Preservation of Architetcs Heritage, Florence, Italy

ABSTRACT: The cessation of mining activities is an environmental and socio-economical problem. Slope stability and
subsidence, together with hydrogeological and mine-water management are the main problems. The paper describes the hydro-
geological problems linked to the rehabilitation and re-utilisation of the water resources of the mining area of Gavorrano
(Tuscany, Italy). The results of the studies and the recent situations concerning circulation, quality and discharge of the mine
water are reported, with particular reference to the future effects of the controlled water rebound and the complex measures
necessary for the dewatering stoppage. Different uses and possible actions are proposed, taking into account thermal, chemical
and discharge characteristics as well as local planning objectives.

1 INTRODUCTION

The study of mine water quality, discharge and re-utilisation

is an important research topic because it brings to an econom-
ically profitable rehabilitation of mining areas and of its water
resources. The geological and structural settings of the min-
ing areas control the water quality, chemistry and discharge
as well as the water rebound.
The Gavorrano mine was one of the largest pyrite mines in
Europe throughout the last century. The company is trying to
give up its mining concession by adopting the safety measures
required by the Bureau of Mines for the decommissioning.
A major aspect of the rehabilitation involves the evaluation
of the underground openings. In particular, the present study
described the results of a new geognostic campaign and the
setting up of monitoring system of the water level and water
chemistry changes, both during and after an important phase
of mining operations.
Figure 1. Geological map.
The waters pumped from the tunnels have a complex ori-
gin. It is present a surface circulation, due to the infiltration
in fractured and karstfied carbonatic rocks, and a deep circu-
lation of thermal water. The latter sulphate-calcic water, with
a temperature of almost 40 , were cut off and deviated dur-
ing the mining activity of the pyrite, and mixed with the other
groundwater pumped out. The study area corresponds to the
ridge of Mt. Calvo which is composed of fractured and karstic
limestones (Figs. 12). The reliefs are crossed by more than
one fault system, with throws >600 m. Figure 2. Geological section.
The masses of pyrite which were mined coincided with the
contact with faults between the sedimentary units and intrusive the volumes of the mine and above all the source, flows and
granite, quartz-monzonitic masses. Geological, geostructural, courses of the deep, thermal circulations waters. For this aim
geomechanical and hydrogeological, and geophysical analy- pumping tests in the different points are being carried out to
ses as well as, the measurement of the flow rate pumped by evaluate the possibility to separate the different waters and to
pumping system (mean discharge 65 l/sec) and recent bore- plan the re-utilization of the different waters resources.
holes (monitoring network), all the above have allowed us to
draw up hydrogeological conceptuale models and to attempt
to formulate a hydrogeological balance and to try to predict 2 GEOLOGICAL, GEOMORFOLOGICAL AND
the main water-flow directions. Unfortunately the analysis of HYDROGEOLOGICAL FEATURES
the data obtained in the mine and Mining Society archives is
very difficult due to the destruction of many documents. One Gavorrano is located in south-western Tuscany, in the Metal-
important aspect concerns the geo-chemical analysis, with the liferous Hills (Colline Metallifere), 150 kilometres south of
study of the natural tracers and other prospecting, in order to Florence and a few kilometres from the sea. The area is charac-
evaluate the effects on the quality of the water which crosses terized by rapid topographic changes passing from a very flat

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2007 Taylor & Francis Group, London, UK

plain (Follonica gulf, Pecora river valley) up to rocky hills with
a maximum elevation of about 500 m.a.s.l. (Mt. Calvo). The
area is characterized by NNW-SSE elongated post-orogenic
basins developed over an antecedent extensional horst and
Graben structure consequent to the Tyrrhenian sea opening.
Intrusive bodies, with decreasing age from west (78 My) to
east (4 My), are typical of this tectonic province, and their
emplacement was followed by their greater extension. The
activity of the province is attested by important geothermal
fields (Larderello, Amiata) located within a major mining
district (Campiglia, Elba island, Mt. Amiata). The hydroge-
ological system in the Gavorrano area is complicated by the
presence of three sub-systems: a superficial alluvial system,
a karstic system and a deep hydrothermal system.
The first system consisted of a small multifalda aquifer
in the area around the sub-inclined plane of the alluvial and
debris plane of the large village of Bagno di Gavorrano.
Waters from the last two systems have been forcefully mixed
by the mining activity. In fact, 500 m of production levels
were excavated in over a century of mining. The pre-existing
groundwater circulation, with springs placed at a maximum
height of 180 m a.s.l., was depressed up to 250 m b.s.l., when
old thermal springs (Bagno di Gavorrano, Terre Rosse) were
drained through the underground drifts system.
The permeability classes were attributed by considering: the
lithology, the degree of fracturing, the degree of weathering
and alteration, the presence of karstic structures, as observable
both at the surface and within mine drifts. Karstic features and
degree of fracturing were determining factors in distinguish-
ing carbonate rocks. A groundwater balance was performed by
attributing different coefficients of potential infiltration to the
different lithotypes and by computing the contributing areas
for each lithotype. For this purpose the geomechanical charac-
terization in representative sites has been performed through
a series of geomechanical field surveys and also in the mine.
In particular, the potential infiltration coefficient for the
carbonate rocks was estimated within the range of 8.7 to
10.1 lt km2 /s, as a function of the increase in fracturing and
karst conduits. However, it must be stressed that rock mass
properties, in particular hydraulic conductivity, have been
strongly and permanently influenced by mining and subse-
quent induced processes (e.g., tunnel presence, the increase
in the fracturing degree and the enlargement of existing frac-
tures by acid water circulation and water level lowering which
increased karst solution in places). In fact, tunnels and drifts
form a drainage network characterised both by voids and
refilled spaces.
The three basic elements that characterized the geomorpho-
logical set-up of the area are: karstification, subsidence and
mining activity. In the summit area of Mt. Calvo we can see
Karrens and Dolines. The last ones are bowl shaped with a
diameter of 2030 m.
Subsidence contributes more to morphology, especially in
the east side of the Mt. Calvo characterized by a wide circular
area reduced by the presence of several sub-vertical slopes
where we can see, at the base, collapse phenomena.
When limestones are not covered by detritic blankets we
can find fissures and fractures.
3 WATER DISCHARGE
Groundwater level recovery is typical of the closure of mines.
It is a common process that can give important information for
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2007 Taylor & Francis Group, London, UK
Figure 3. Schematic section of the mine with water pumping
systems and sites of investigation and water sampling.
understanding the effects, starting from the data recorded dur-
ing the water level lowering and some occasional or accidental
water risings. The control of groundwater rebound, in progress
at the Gavorrano mine since August 1995, is regulated by a
submersible pumping systems. These systems consist of three
pumping points immerged in the Rigoloccio Shaft, the Roma
shaft and Rigoloccio shaft (since 2000) respectively. They are
adopted to avoid too fast a rising in the groundwater level,
which could induce turbulent flow and internal erosion of the
back-filling; excessive hydraulic gradients and groundwater
re-emergence at the surface within inhabited areas (Bagno
di Gavorrano). The first phase of rebound was from the level
250 m.b.s.l. reached the level 140 m.b.s.l. (augustoctober
1995); in the second phase the level rised at 110 m.b.s.l.
(mayaugust 2005), the third phase up to 80 m.b.s.l. (august
december 2006). Furthermore, the controlling of the rebound
allows us to evaluate the volume of water storable within the
mine voids system, as well as the changes in the chemical
composition of drainage waters. The passage of the Second
World War front between 1944 and 1945 caused a forced
water level rising and, together with data collected since 1995,
these are the only ones available for the mine. Data for the
194445 forced rising are available for the main mining cen-
ters of that time (Rigoloccio, Boccheggiano-Gavorrano and
Valmaggiore from N to S). The data of the water level rising
and the pump discharge neeeded to maintain prefixed water
level during each flooding step suggest a power law trend for
the groundwater level rise with decreasing rate and with the
general form:
where Ht and Ho are the initial and final groundwater level
elevations, and t is the elapsed time. In fact, the rising rates at
Boccheggiano-Gavorrano and Valmaggiore are quite similar
while at the Rigoloccio the rate was lower (Crosta & Garzonio,
2000). The recent records were compared with the old ones by
putting all the rising steps (from 197 m b.s.l. to 143 m b.s.l.,
because initial water level rising between 236 m b.s.l. and
197 m.b.s.l. was uncontrolled.) in sequence, without con-
sidering the steady level intervals. It must be stressed that the
mines were separated from each other during the 19441945
period, and have only been linked since 1969. Since 1995 the
pump discharge has remained almost constant at 65 l/sec, with
the exception of three periods of heavy rainfall with discharge
until 110 l/sec. Recently, in particular during he last phase, in
some steps, the discharge was being lowered. Considering the
fact that the meteoric waters in the last years were approxi-
mately the same quantity, we can suppose the aquifer system
is wider than before, because the water has found new ways
in the fractured rockmass.
Figure 4. Pump discharge decrease.

Figure 5. Map of the boreholes (between Gavorrano and Bagno di

This allowed the storage of about 550*103 m3 of water stor- Gavorrano).
age. Using the data recorded, in a complete way, during the two
phases (1997, 1998) of increased discharge, it was possible to
perform a recession analysis which gives us a good insight into
the aquifer structure. Starting from these data and the reces-
sion analysis, confirmation of the previous results concerning
the groundwater balance was obtained. In fact, according to
the recession analysis, the average water resources that are
renewed yearly amount to 2.2 M cubic meters or 66 l/sec.
These values are quite comparable with the average yearly
pump discharge (65 l/sec or 2.08 M cubic meters). Finally, by
comparing these data with the ones obtained by the effective
infiltration analysis (1.1 Mm3 ) it emerges that almost 1 Mm3
of hot water flows regularly from the deep circulation system
into the mine every year.

4 NEW FIELD INVESTIGATIONS AND MONITORING

With the aim of the survey in particular of the inhabited area

of Bagno di Gavorrano, a new geognostic campaign to moni-
toring water levels during the controlled flooding of the mine
has been carried out. Five boreholes, named PZ1, PZ2, PZ3,
PZ4 and PZ5 in fig. 5, have been drilled in the site in order to
control aquifer, chemistry and temperature data. These results
have been compared with the old ones (Filippi, 1988). The new
boreholes have pointed out a new and interesting stratigraphy
of the site and the exact location, the characteristics of the cav-
ernous limestone. In this unit there is the deep thermal circuit
and it is linked to the mine reservoir. In all wells will putting
automatic equipment to provide, with temperature and water
level data, pH and electric conductivity values. For example, it
is describe the first borehole named PZ1. It is localized in the
S. Francesco farm, 200 meters deep and 2,5 inches large.
Inside PZ1 it was situated an automatic surveyor that control
water level, temperature and pH via PC. Geophysical data are
obtained by seismic down-hole campaign made after few days
(Fig. 6). We are obtained a stratigraphic column consisting of
Renone debris (debris from quartz-monzonite), for the first
82.5 m from the surface and then Cavernous limestone until
the end of the borehole (200 m from the surface). The eleva-
tion of well is 61.2 meters a.s.l. so it reaches 140 meters
under sea level: the same elevation of the water level in the
mine before the last phases of overflowing. Around this bore-
hole geophysical analysis have been carried out to verify the
stratigraphic and to draw a geological and structural section.
The boreholes 4 and 5 have highlighted clayey and clayey-
sandy layers. This stratigraphic anomaly has pointed out the
Figure 6. Transit Time diagram and velocities for the PZ1.
presence of an important fault system, and It defines the pos-
sible geometries of the groundwater flows and the conseguent
hazard effects due to water rising below the Bagno Village.
5 HYDROGEOLOGICAL MODEL
By the analysis (stratigraphy, water level, etc.) of the 5 con-
trol wells, we suppose there was an important water flow at
the contact between superficial layer (clay, sand and palus-
trine debris) and the cavernous limestone layer. It is due to the
presence of high permeable zone constituted of limestone with
many voids derived by the erosion of the thermal waters with
the same composition of the mine waters. Furthermore, geo-
physical investigation and permeability tests in the boreholes
have pointed out the low conductivity of the calcareous for a
significant depth. It is due to secondary fills and cementation
of the joints, the infiltration of weathered materials, deposi-
tion of gypsum. The flows is mainly controlled by important
discontinuites and coniugate joints. In fact, till now, during the
water level rising in the mine (for the moment to the elevation
of 80 m.b.s.l.), the water level and temperature measuring in
the borehole had not put in evidence significant correlation.

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Figure 7. Simulation of the main flows to Bagno old spring.
These results make possible to developed a preliminary con-
ceptual model, applying numerical simulations of the water
flow to establish the water circuit and to plan the control
of water rebound and/or pumped discharge. The numerical
method chosen was MODFLOW and FEFLOW, but for the
lack of groundwater observations of the flow in the monitor-
ing points the application is restricted to symplified layers
and it is constrained by artificial boundary conditions and
inflows in determined paths (fresh waters in a limit of Gavor-
rano mine, and regional thermal water in Rigoloccio mine).
Regular finite different grids of 35 30 m., two and/or three
layers, 100 columns were used. On the basis of conceptual
model, the maximum height in the mine volumes (with the
conseguent heads) are considered in Rigoloccio shaft, where
in 1945 the water level rised +50 m.a.s.l..The fault system,
which is parallel to Rigoloccio fault (see Fig. 1), represent a
barrier with probably thresholds at the top of carbonatic unit.
The preliminary simulation has highlighted the possibility of
out-flows towards the Bagno di Gavorrano (old thermal spring
area) when the water level rises 10 m.a.s.l.
6 WATER CHEMISTRY
At a regional scale it has been observed that sulphate waters
commonly spring from the Cavernous limestone and from
intrusive rocks. Calcium bicarbonate waters are mainly asso-
ciated with carbonate formations and small depths and are
considered the less mature water class. Gavorrano mine water
samples can be clearly differentiated in two main groups:
superficial bicarbonate waters (from levels +240 m a.s.l.,
+155 m: Mg-Ca, +90 m: Ca-Mg-HCO3 ) and deep sul-
phate waters (Ca-Mg-SO4 , 80 m b.s.l., 110 m, 140 m,
200 m). This grouping can be done on the basis of the sul-
phate (from sulphide oxidation and evaporites solution), iron
and silica contents and it is also suggested by the few tem-
perature data even if more qualitative observations have been
made. A geothermal gradient of about 75 C km1 has been
determined. A water type sub-group, with peculiar character-
istics, is composed by four samples all collected within the
intrusion in a relatively localised area, and characterised by
very low pH values and high TDS contents. The area was
characterised by a conspicuous air flow and abundant water
presence, with clear and cold waters. The pH values strongly
2007 Taylor & Francis Group, London, UK
characterise this minor group. All the other sampled waters
generally presented values just a little over neutral (78). Mine
drainage is characterized by an average temperature of 32 C,
a 7 to 8 pH value, and it can be classified as a Ca-Mg-SO4 or
a Ca-Mg-SO4 -HCO3 water, probably as a result of temporal
changes and the mixing action caused by pumping. In com-
parison, the water of the old spring at Bagno di Gavorrano was
characterised by a constantly higher Na and Cl content, with a
minor SO4 content. Recently and during the increasing of the
discharge, in particular in Rigoloccio Shaft 3, we can observe
higher temperature values and lower pH values (6,36,6).
7 CONCLUSIONS
The case history of Gavorrano is associated with water recov-
ery after the termination of pumping operations and the
consequent mine water management, which would be char-
acterized by re-using different resources. The study described
includes all these aspects and highlights the great importance
of continuously monitoring the water level and water chem-
istry changes, both during and after the completion of mining
operations. The importance of this monitoring is illustrated,
for example, by the rising rates observed at different mining
sites (Valmaggiore, Gavorrano, Rigoloccio) during the forced
Word War II pumping arrest. The pH of the Gavorrano mine
waters is almost neutral. This may be due to the content of
alkaline minerals within the carbonate rocks mass, both in
the upper mine levels and the tectonically lowered rock mass
near the main faults of the area (thermal water flowing up at
the Rigoloccio mine ). The neutralisation of the naturally acid
waters, which derive from iron sulphide oxidation, because of
their contact with air and water after tunnel excavation, could
also be the result of the material used to back-filling excava-
tions (limestone blocks together with clay and cement). The
chemical monitoring has pointed out a small trend of lower-
ing of the pH values (6,4). The TDS content is high, but the
quantities of polluting elements are low.
The groundwater balance and the discharge rates pumped
confirms the volume which could be stored, and the impor-
tant presence of a thermal deep circulation coming from far
away. In conclusion the new analyses and the new monitoring
system have highlighted that in the present phase of the water
rebound the proposals of different re-utilization project of the
waters are obtainable as well as the necessity of collecting
new monitoring data (necessary to increase the conceptual and
numerical model of the water flows), before further change in
elevation of the recovering water table.
REFERENCES
Crosta G. & Garzonio C. A. 2000 The underground water storage
project in the Decommissioned Gavorrano mine (Tuscany, Italy)
Proc. Eurock 2000, Aachen, 387393.
Filippi L. 1988 Report of the stratigraphic borehole.
Garzonio C. A. 2000 Dewatering and the tourist potential of hydro-
geological resources of the Gavorrano mine, tuscany, Italy. In
O. Sililo (ed.) Proc. XXXII IAH Congress on Groundwater, Cap
Town, 26 November 1 December 2000: 11071112. Rotterdam:
Balkema.
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 A comparison of stress strain behaviour of reconstituted and natural black coal

D. Jasinge, P.G. Ranjith & J.Kodikara

Department of Civil Engineering, Monash University, VIC, Australia

S.K. Choi
CSIRO, Petroleum Division, Clayton, Australia

ABSTRACT: Coal is a highly heterogeneous material. Its strength and fluid transport properties are strongly influenced by the
structure of cleat fractures and beddings. Determination of representative coal seam properties is a challenging task. Also, it
can render interpretation of experiment results for some tests conducted using natural coal samples difficult. To overcome this
problem, reconstituted coal specimens have been made from crushed coal. The crushed coal particles were mixed with cement
and water to an optimum ratio determined in the laboratory. UCS and point load tests were conducted using the reconstituted
samples after four days of curing under ambient atmospheric conditions. A couple of natural coal samples were also subjected
to UCS tests to compare their strength and deformation properties with the reconstituted samples. The aim of this paper is to
make a comparison between the mechanical properties of the reconstituted and natural coal samples.

1 INTRODUCTION 1.3 Unconfined Compressive Strength test and Point Load

A fundamental geomechanical property of coal is its stress
strain behaviour. However, due to the heterogeneous nature of
coal, core samples extracted from the same seam can have very
different properties. Use of reconstituted coal samples would
be a way to enable reproducibility of experimental results in
the laboratory.
1.1 Size effect on mechanical properties of rock specimen
Variation of the mechanical properties of rock specimens with
the change in size has been an issue under a lot of discussion
(Pell, 1993 and Hoek and Brown, 1980). Strength of most
rock samples decreases with an increase in sample size (Pell,
1993). This occurrence is attributed to the possible inclusion
of more cracks and fractures in larger specimens compared to
smaller specimens. Hoek and Brown (1980), among others,
also reported strength reduction with an increase in sample
size. Since reconstituted coal would be intact and homo-
geneous without any cleat fractures, it is likely that there
would be less scale effect on the mechanical properties of
the reconstituted coal samples in comparison to natural core
samples.
1.2 Effect of moisture content
An increase in moisture content can contribute to a reduction in
rock strength. Water content has an effect on strength and con-
sequently on the ratio of Unconfined Compressive Strength
(UCS) and Point Load Strength Index Is50 (Kahraman, 2005).
From the data provided by Bell (1995), a reduction of UCS was
noted with an increase in water content. Strength reduction
mainly occurs between 0 and 1% moisture content, particu-
larly with stronger rocks (Hawkins, 1998). It is necessary to
relate the Is50 value to the UCS value at the same moisture
content to achieve a correlation between them (ISRM, 1985).
test results
During the past decade, many investigators have tried to find
a relationship between the Unconfined Compressive Strength
(UCS) and the Is50 value. UCS is a common way of measuring
the strength of a rock. Even though this method is simple, it
can be time consuming and expensive. A procedure for deter-
mining UCS has been suggested by ISRM (1985). The Point
Load Test, which is a tensile test, provides an indirect measure
of compressive strength of rock samples. The test is a simpler
than the UCS test, uses less sophisticated apparatus, faster and
more economical. Tests can be conducted in the field.
Calculation of Is50 depends on the test method. Axial,
diametral and block or lump are the three main types. The
basic formula used to convert the index to the UCS value is
as follows.
where K is the conversion factor when the tested core diameter
is equivalent (or near) to 50 mm. However, some researchers
have come up with equations that are different from the above
equation (e.g. Karaman, 2001; Grasso et al., 1992).
Standardization of test results to 50 mm diameter samples
is to minimize the scale effect on test results. Increase in core
diameter in the diametral point load test depicts a decrease
in PLT strength (Broch and Franklin, 1972). This scale effect
requires correction for the measured PLT values. Size correc-
tion was set out by ISRM (1985) to the point load strength
index.
Different correlations obtained by various researchers for
rocks are shown in Table 1. DAndrea et al. (1964), Broch and
Franklin (1972), Grasso et al. (1992) and Bieniawski (1975)
came up with relationships between UCS and Is50 for various
rocks. According to ISRM (1985), it was found that K varies
between 20 and 25. But a greater variation of K in anisotropic
rocks was also observed. Kahraman (2001) reported on 48
different rocks to evaluate the correlations between the param-
eters. He obtained two strong correlations were observed for

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Table 1. Selected published correlations of UCS to point load
index.
Reference Equation

DAndrea et al, 1964 qu = 15.3Is50 + 6.3

Broch and Franklin, 1972 qu = 24Is50
Bieniawski, 1975 qu = 23.5Is50
ISRM, 1985 qu = (20 to 25)Is50
Grasso et al, 1992 qu = 25.67(Is50 )0.57
qu = 9.3Is50 + 0.04
Karaman, 2001 *qu = 23.62IS50 2.69
qu = 8.41IS50 + 9.51
Carter and Sneddon, 1977 *qu = (21 to 22)Is50
Rusnak, 1998 *qu = 20Is50
Jermy & Bell, 1991 *qu = 14.1Is50

* Coal measure rocks.

coal measure rocks and other rocks. Coal measure rocks fol-
lowed a steep correlation compared to other rocks. In addition
Carter and Sneddon (1977), Jermy & Bell (1991) and Rusnak
(1998) carried out experiments on coal measure rocks and
various correlations were found as shown in above.

2 LABORATORY WORK

2.1 Sample preparation

Tests were conducted on coal samples obtained from the West
Cliff coal mine from a depth of about 450 m. Particles from
crushed coal were used to make the reconstituted samples.
Cores were crushed using the jaw crusher and a particle size
distribution determined before making the reconstituted sam-
ples. The particles from the crushed coal were mixed with
cement and water to facilitate bonding between the particles.
The best mix was decided by comparing several trial mixes
using different coal to cement and water to cement ratios. It
should be noted that, depending on the particle size distri-
bution of the crushed coal, the amount of cement and water
content needed to produce a reasonable strength can differ.
Particle sizes of crushed coal used for these reconstituted coal
samples were between 150 microns and 1.2 mm.
A UCS machine was employed to compact the samples
(Figure 1) with an innovative method of compaction. Reconsti-
tuted specimens were prepared using specially designed steel
moulds having closed with a lid to facilitate the extrusion of
the sample. The diameter of the mould was 44.8 mm and the
length was 110 mm. Before compaction, the interior of the
mould was coated with a lubricant to make it easy to extrude
the sample using a hydraulic jack. The coal, cement and water
mixture was put into the mould compacting in layers. Five
layers were found to be optimum after a couple of trial tests.
Compaction of each layer was done exactly the same way for
each sample. The compaction load was held on each layer
for ten minutes. The top surface of each layer was roughened
before the next layer was added to ensure a good bond between
layers.
Samples for UCS test were prepared having a length to
diameter ratio between 2.0 to 2.5 and the ends of the samples
were parallel. Samples for diametral point load test had length
to diameter ratio greater than 1. Diametral tests were con-
ducted since it produces a repeatable consistent result. After
compaction, samples were extruded, on the following day,
using a hydraulic jack. Samples were cured under ambient
Figure 1. Preparation of reconstituted sample.
atmospheric conditions for four days. Axial and lateral exter-
nal strain gauges were attached to measure the axial and lateral
strain.
3 RESULTS AND DISCUSSION
Trial reconstituted samples made with different cement to coal
and water to cement ratios, based on weight, were tested. Low
cement to coal samples were crumbled when extruding while
higher cement to coal samples gave higher UCS values. Sam-
ples with cement to coal ratio of 0.25 were selected for testing
with water to cement ratio of 0.75. Optimum water content
was determined by determining the maximum dry density for
different water contents. Twelve reconstituted samples and
nine natural samples were subjected to UCS test. UCS val-
ues observed for reconstituted and natural coal are shown in
Figure 2.
Twelve samples were subjected to PLT. For all the sam-
ples, PLT results were 0.30 kN and 0.35 kN. The calculated
arithmetic mean of PLT values was 0.33 kN with a standard
deviation of 0.02 kN. Twelve samples were subjected to UCS
test and a range of values between 3.68 kN and 4.50 kN was
observed with an arithmetic mean of 4.05 kN. UCS values
have a standard deviation of 0.24 kN. It is evident that the PLT
results represents less scatter and this agrees with Bronch and
Franklins (1972) results that was observed for sandstone. A
UCS tested reconstituted sample is shown in Figure 3. Based
on arithmetic mean of UCS value and Is50 , a correlation was
developed as below. A strong correlation was observed since
the standard deviation of both UCS and PLT are very low.

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 Reconstituted coal
20
18
16
14
Strength (MPa) 12
10
8
6
4
2
0
0 5
Figure 2. UCS of natural and four days cured reconstituted coal samples.
Figure 3. UCS tested reconstituted coal sample.
Comparatively, observed K value observed is higher than
the K value that could be seen in the literature for coal mea-
sure rocks as shown in Table 1. This could be due to various
factors such as heterogeneity of coal, different rank of coals
and different moisture contents at the point of testing of coal
samples. Compared to UCS results of reconstituted samples,
natural coal samples gave scattered values having a range of
values between 8.45 kN and 17.6 kN. An arithmetic mean of
13.3 kN and a standard deviation of 3.2 kN were observed
for these natural samples. Reconstituted UCS values showed
much less variability when compared with natural coal.
Since reconstituted samples are mixed with water and
cement, it is expected to observe an increase in its strength
with time due to the hydration of cement. Three samples were
2007 Taylor & Francis Group, London, UK
Natural coal
10 15 20 25
No of samples
tested for UCS after 28 days of curing and an arithmetic mean
of 6.75 kN was noticed, which is in close range to the lowest
UCS value of natural samples. Therefore, it is practicable to
replace natural coal with reconstituted coal to determine the
UCS of natural coal.
On the basis of the experimental work on coal measure
rocks by Rusnak (1998), an indication of a reduction of K
was noted with the lower strength rocks, even though it was
not significant. This result was in contrast to that observed by
Kahraman (2001). A strong correlation coefficient (r) closer to
one was observed between UCS and Is50 by Kahraman (2001).
The conversion factor observed for reconstituted coal in this
experiment was closer to the steepness of observed results by
Kahraman (2001). A typical stress strain curve obtained for a
reconstituted specimen is shown in Figure 4. Average modulus
of elasticity observed for the specimens is 0.706 GPa. Whereas
the moduli of elasticity of natural coal samples were between
6 and 8 GPa.
ISRM (1981) defines rocks with an UCS between 1 and
5MPa as very weak and 5 and 25 MPa as weak. Accord-
ing to the above, reconstituted coal and natural coal falls
into the very weak and weak categories. Increase in mois-
ture content of a rock is usually associated with a decrease
in strength (Hawkins, 1998). Experiments performed by Bell
(1995) showed that increase in moisture content leads to the
reduction of rock strength and K value. Therefore, the same
rock with higher moisture content may give a lower K value
in the relationship between UCS and Is50 . For reconstituted
samples, effect of moisture content would only come into
play when the water cement ratio of coal-cement mixture is
changed. When the same ratio is used for all samples, the
moisture content effect on the strength should be negligible.
4 CONCLUSION
The heterogeneous nature of coal causes significant diffi-
culty in developing a strong correlation between UCS and
Is50 value for coal. Reconstituted coal samples, which removes
the heterogeneity of natural coal is a solution to this problem.
Reconstituted samples tested in this paper shows a set of values
having a very low standard deviation making the prediction
of compressive strength using PLT value more reliable. With
natural samples a large database has to be used to establish a
125
 Stress Vs Strain
Stress (MPa)
-4000 -2000 -0.5 0
Lateral Strain and Axial Strain (microns)
Figure 4. Stress Vs Strain curve for a reconstituted block coal sample.
strong correlation. But with the use of reconstituted samples
a strong correlation can be achieved.
REFERENCES
Bell, F.G. 1995. Laboratory testing of rocks. In: Bell FG (ed)
Engineering in rock masses. Butterworth-Heinemann, Oxford:
15169.
Bieniawski, Z.T. 1975. Point load test in geotechnical practice. Eng
Geol, 9: 111.
Broch, E. & Franklin, J.A. 1972. Point-load strength test. Int J Rock
Mech Min Sci, 9(6): 66997.
Carter, P.G. & Snedden, M. 1977. Comparison of Schmidt Hammer,
Point Load and Unconfined Compression Tests in Carbonifer-
ous Strata. Proceedings of a conference on Rock Engineering.
University of New Castle, Tyne, England: 197210.
DAndrea, D.V., Fisher, R.L. & Fogelson, D.E. 1964. Prediction of
compression strength from other rock properties. Colo Sch Mines
Q, 59(4B): 62340.
Grasso, P., Xu, S. & Mahtab,A. 1992. Problems and promises of index
testing of rocks. In: Tillerson, Wawersik, editors. Rock Mechanics.
Balkema, Rotterdam, ISBN 9054100451: 87988.
Hawkins, A.B. 1998. Aspects of rock strength. Bull. Eng. Geol. Env.
57: 1730.
2007 Taylor & Francis Group, London, UK
5
4.5
4
3.5
3
2.5 Lateral Strain
2 Axial Strain
1.5
1
0.5
0
2000 4000
Hoek, E. & Brown, E.T. 1980. Underground excavations in rock.
London. Institute Mining and. Metallurgy: 527.
ISRM 1981. Suggested method for determining the uniaxial com-
pressive strength of rock materials, Rock Characterization, Testing
and Monitoring (ISRM Suggested Methods): 113.
ISRM 1985. Suggested Methods. Suggested method for determining
point-load strength. Int J Rock Mech Min Sci, 22: 5360.
Jermy, C.A. & Bell, F.G. 1991. Coal bearing strata and the stability
of coal mines in South Africa. Paper in Proceedings of the 7th Intl.
Cong. on Rock Mech. Intl. Soc. Rock Mech., Aachen, Germany:
112531.
Kahraman, S. 2001. Evaluation of simple methods for assessing the
uniaxial compressive strength of rock. Int J Rock Mech Min Sci,
38: 98194.
Kahraman, S. 2005. The effect of porosity on the relation between
uniaxial compressive strength and point load index. Int J Rock
Mech Min Sci 42: 58489.
Pells, P.J.N. & Hudson, J.A. 1993. Uniaxial strength testing, com-
prehensive rock engineering principles, practice & projects.
Oxford. Pergamon Press, 3: 6786.
Rusnak, J.A. 1998. Application of coal mine roof rating derived form
drill Core, in the roof support design of a coal belt conveyer tunnel.
Proc. of the 17th International Conference on Ground Control in
Mining, Morgantown, WV: 22130.
126
 A constitutive model for elastic visco-plastic behavior of weak sandstones

Meng-Chia Weng
Department of Civil and Environmental Engineering, National University of Kaohsiung, Kaohsiung, Taiwan

Li-Sheng Tsai
Department of Geotechnical Engineering, China Engineering Consultants, Inc. Taipei, Taiwan

Fu-Shu Jeng & Ming-Lang Lin

Department of Civil Engineering, National Taiwan University, Taipei, Taiwan

ABSTRACT: Squeezing means large time-dependent convergence during tunnel excavation. In the past while tunneling through
the weak rock strata in western Taiwan, severe squeezing was encountered and significant remediation costs were required
to repair the damage. This phenomenon is closely related to rock mechanical properties, but the mechanism is still not clear.
Therefore, it is necessary to explore the mechanical properties of these weak rocks and construct an adequate constitutive
model to predict their behaviors. In this paper, we first introduce the deformation characteristics of weak rocks, and then a
constitutive model comprising nonlinear elastic and visco-plastic deformation based on the characteristics is proposed. This
model has such features as: (1) non-linear elastic deformation; (2) apparent shear dilation, (3) large plastic deformation occurs
prior to the failure state, (4) the creep deformation under shear loading. After comparing the actual data with the predictions,
it is shown that the proposed model describes well with the elastic, plastic and creep behaviors of weak rock under hydrostatic
and triaxial loadings.

1 INTRODUCTION 40
Viscoplastic def.
35
In western part of Taiwan, weak sedimentary rocks (includ- 30
vvp <0
ing sandstone, shale and mudstone), which have undergone
Shear stress (MPa)

25 Total def.
through juvenile rock forming process are often encountered
during tunnel constructions, and these materials exhibit rela- 20
Elastic def.
tively low shear strength and stiffness. As a result, the typical 15

strength of these rocks ranges from 5 to 80 MPa. When com- 10

Pure shearing creep test
pared to hard rock, it was found that the deformation behavior 5
p=20MPa

of these rocks is characterized by large amount of nonlin- vvp 0

0
ear deformation, shear dilation, creep and plastic deformation -5000 -4000 -3000 -2000 -1000
-6
0 1000 2000
prior to the failure state. In civil and rock engineering, it is Volumetric strain(10 )

very important to predict the complex behaviors of these weak
porous rocks for the understanding of various geotechnical
problems, such as underground excavation, slope stability and
foundation. However, from the simulations based on several
widely used constitutive equations, the results reflect poor
coincidence between experiments and modeling. Therefore, it
is essential to construct a constitutive model to properly simu-
late the elastic, plastic and creep deformations for weak rocks.
In this paper, we first present the deformation character-
istics of weak rocks, including nonlinear elastic behavior,
apparent plastic and creep deformation. Then according to the
real behaviors, a model composed of nonlinear elasticity and
visco-plasticity is formulated. Finally verification and com-
parison of the predicted model with the experimental data is
presented.
Figure 1. Illustration of typical deformation curves.
squeezing has occurred during tunnel construction (Jeng
et al., 1996) is adopted as the specimen. Triaxial tests along
pure shear stress path were performed (Bernabe et al., 1994;
Jeng et al., 2002). The creep study was performed in triaxial
tests following a step-wise loading procedure. The step-wise
loading procedure permitted the evaluation of creep behav-
ior at reasonable times, in terms of laboratory requirements.
After creep steps, cycles of unloading /reloading were con-
ducted in several tests to obtain the elastic deformation, which
will be used to decompose the total deformation into elastic
and non-elastic components, as illustrated in Figure 1. Exper-
imental results are summarized as follows, and the details are
described in Weng et al. (2003, 2005).

2.1 Volumetric strain induced by hydrostatic stress

2 DEFORMATION CHARACTERISTICS OF WEAK
ROCKS
In order to investigate the deformation characteristics of weak
rocks, one kind of weak rock, Mushan sandstone in which
Under hydrostatic stress condition, it is indicated that increas-
ing confining stress improves the elastic stiffness of the
sandstone and results in a non-linear curve. Besides, it has
been observed that the plastic deformation is suppressed

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2007 Taylor & Francis Group, London, UK

 80
Failure envelope
3 CONSTITUTIVE MODEL OF WEAK ROCK
Plastic flow I
W = 0.16
Viscoplastic flow
70 Irreversible stress work
Hypothesized yield surface Given the deformational behavior of weak rock observed dur-
60 ing the experimental study, an associated constitutive model,
Shear stress (J2 )1/2 (MPa)

I
W = 0.1
based on elastic and visco-plastic concept, can accordingly be
50
developed to describe the aforementioned behavior.
I
W = 0.08
40

3.1 Elastic model

30
I
W = 0.06 In view of the non-linear elastic behavior described above, a
20
hyperelastic model (or Green elastic model) is thus adopted.
10
I
W = 0.04
I
W = 0.05 On the basis of such a model, the strain tensor can be deter-
I
W = 0.035
mined from an energy density function  and the stress tensor
0
0 10 20 30 40 50 60 70 80
ij by the following expression:
Hydrostatic stress (MPa)

Figure 2. Sketch of yield surface, plastic flow and visco-plastic

flow.
where eij is the elastic strain tensor and  the energy density
under higher levels of confining stress, and therefore, elas-
tic deformation plays a more dominant role in the volumetric function. From the experimental results,  is selected to be:
deformation at higher levels of confining stress. Closure of
micro-cracks may account for the disappearance of plastic
strain at higher levels of confining stress and results in a
greater bulk modulus as well. where b1 , b2 and b3 are material constants. Substituting
Eq. (2) for Eq. (1), the elastic strain tensor eij has the following
form:
2.2 Volumetric deformation induced by shear stress
The coupling volumetric deformation induced by shear stress
is significant. It reveals that the sandstone tends to dilate elas-
tically upon shearing. However, the plastic deformation is
comprised of the compression at the earlier stage of shearing According to Eq. (3), the volumetric strain can be obtained as:
and the significant dilation at subsequent stages of shearing,
especially when the shear stress is close to the shear strength
of the sandstone. Consequently, when the applied shear stress
approaches the shear strength of the sandstone, the total defor-
mation shows a significant dilation resulting from both the

elastic and the plastic behavior. The shear strain ( e = 2 J2 ) can also be determined based on
Eq. (3) as:

2.3 Shear strain induced by shear stress

It is indicated that the initial elastic shear modulus increases
upon greater levels of hydrostatic stress applied. The load- Accordingly, the material constants b1 , b2 and b3 can be deter-
deformation curve approximates toward a horizontal asymp- mined by a curve fitting derived from the experimental curves
tote (i.e., failure state) when shear stress approaches the shown in Figures 35 For the tested sandstone, b1 , b2 and b3
strength of sandstone. Thus, the plastic component reveals that are found to be 143.26 (MPa)1/2 , 1462.8 , 30.19(MPa)1 ,
significant plastic shear strain occurs when the shear stress respectively. The strains from model prediction are compared
approaches the shear strength and it eventually dominates the to the experimental results, as shown in Figures 35. In gen-
total deformation. Besides, analysis data show that associated eral, the proposed elastic model is capable of predicting the
flow rule is obeyed for the studied rock, i.e. plastic potential nonlinear elastic behavior, including shear dilation of sand-
surfaces coincide with yield surfaces. stone and its prediction has a reasonably good agreement with
the experimental curves as well.
2.4 Creep behavior 3.2 Visco-plastic model
Under shear loading process, the typical volumetric creep Visco-plastic model suggested for geomaterials by Cristescu
curve is obtained with various constant-loading stresses. The (1989,1994) is modified for this research. It is assumed that
volume first decreases (compressibility); afterwards under the rate of irreversible strain tensor I obeys the flow rule.
higher constant loading stresses, it increases during creep
(dilatancy). The details are described in Tsai et al. (2004).
It is also found that both plastic flow and visco-plastic
flow are orthogonal to yield surface under various hydrostatic
stresses, as shown in Figure 2. Consequently, the associated
flow rules can be applied to describe their plastic deformation Where H() is the yield function. W(t), used as a hardening
and visco-plastic deformation. parameter, is the total irreversible stress work per unit volume

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2007 Taylor & Francis Group, London, UK

 45 where Hh and Hd are the hydrostatic and deviatoric compo-
p = 40 MPa
40 nents of the yield function, and they can be determined by
computing the irreversible stress work described as follows:
Hydrostatic stress p (MPa)

35

30

25

20

15 elastic deformation On a stabilization boundary, Hh ) = Wh (t) and Hd () = Wd (t)

10
plastic deformation in hydrostatic and triaxial tests. From the work calculation
total deformation and curve fitting, Wh (t) and Wd (t) are chosen in the following
5 Simulation
0
regressive form:
0 2000 4000 6000 8000 10000 12000

Volumetric strain (10-6)

Figure 3. Simulation of volumetric strain, including the total

strain, the decomposed elastic and plastic components, induced by
hydrostatic stress.

60
where c(p) = c0 + c1 p4 , d(p) = d0 + d1 p3 , and ho , h1 , c0 , c1 ,
d0 and d1 are material parameters, and they can be determined
50 from the regression curves. At the creep stage, the irreversible
stress work can be obtained as follows:
Shear stress (J2)1/2 (MPa)

40

30

Elastic deformation
20
Plastic deformation
Total deformation
where e(p) = e0 + e1 p4 , f(p) = f0 p, (J2f )0.5 = f + kf i.e. shear
10
Simulation
strength according to Drucker-Prager failure criteria. e0 , e1
and f0 are material parameters. Accordingly, the complete
0 inelastic strain, including plastic and creep strain, as a result
-7000 -5000 -3000 -1000 1000
Volumetric strain (10-6) of one stress step can be written as:

Figure 4. Simulation of volumetric strain, including the total strain,

the decomposed elastic and plastic components, induced by shear
stress.

60

50
Shear stress (J2)1/2 (MPa)

40

30
Based on Eqs. (9) to (11), the proposed visco-plastic model
has eleven material parameters. As for the detailed process
20 Elastic deformation of determining these material parameters, the reference
Plastic deformation can be found in Tsai (2006). These material parameters
10 Total deformation
for the studied sandstones are listed as follows h0 =
1.08 103 , h1 = 5.87 106 , c0 = 1.69 105 , c1 =
Simulation

0
0 3000 6000 9000 12000 15000 2.39 1011 , d0 = 2.1 102 , d1 = 1.74 107 ,
Shear strain 2*(J'2)1/2 (10-6) e0 = 5.73 106 , e1 = 4.03 1012 , f0 = 3.54 104 ,
f = 1.02 and kf = 11.02 MPa.
Figure 5. Simulation of shear strain, including the total strain, the
decomposed elastic and plastic components, induced by shear stress.
4 VERIFICATION AND SIMULATION

The verification of the model involves comparing the predic-

at time t. so that H() = W(t) is the equation of the stabilization
tions of the model with the experimental data. In Figure 3 is
boundary for the transient creep. F is the visco-plastic potential
shown the comparison under hydrostatic stress condition, the
and k is the viscosity coefficient. Due to associated flow rule
proposed model allowed the non-linear behavior and resulted
for the studied rock, H() = F is obeyed. The brackets
used
in a reasonable volumetric deformation when compared to the
above mean the positive part of the function. The procedure
actual one, and both elastic and plastic prediction agree with
to be used in order to determine the yield function H() from
the test results well. Under shearing stage in Figures 45, it
the data is described in detail by Cristescu (1994). The yield
can be noticed that the model describes quite well not only
function can be decomposed into two parts:
on the shear stain but also the volumetric stain. Therefore, the
proposed model is verified and capable of simulating actual
behavior of weak rock.

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2007 Taylor & Francis Group, London, UK

 80 still reasonably close to the actual deformation under other
70 tests with litle discrepancy. Furthermore, the model predic-
60
tions in the creep stages are compared with the experimental
Shear stress (J2)1/2 (MPa)

data in Figure 8. Creep tests were performed under eight shear

50
stress stages, and it reveals that either shear strain or volumet-
40 ric strain is in a reasonably good agreement. All in all, the
30
p=20 MPa
accuracy of the proposed model is satisfying.
p=30 MPa
20 p=40 MPa
p=50 MPa
10 p=60 MPa
Simulation
5 CONCLUSION
0
-7000 -5000 -3000 -1000 1000
Volumetric strain (10-6) In this paper, we first present the deformation characteristics
of weak rocks, including: (1) non-linear elastic deformation;
Figure 6. Simulation of volumetric strains induced by shear stress (2) apparent shear dilation; (3) large plastic deformation which
under different constant hydrostatic stress. occurs prior to the failure state. Furthermore, under shear load-
ing process, the typical volumetric creep curve first decreases
90
(compressibility); afterwards under higher constant loading
80 stresses, it increases during creep (dilatancy). As a result, a
70 constitutive model comprising nonlinear elastic deformation,
Shear stress (J2)1/2 (MPa)

60 adopted from Hyperelastic model, and visco-plastic defor-

50
mation modified from Cristescu (1994), is proposed. After
comparing the actual data with the prediction, it is shown that
40
p=20 MPa
the proposed model describes well in the elastic, plastic and
30 p=30 MPa creep behavior of weak rock under hydrostatic and triaxial
p=40 MPa
20 p=50 MPa loadings.
p=60 MPa
10
Simulation

0
0 5000 10000 15000 20000
Volumetric strain (10-6)
REFERENCES

Figure 7. Simulation of shear strains induced by shear stress under Bernabe, Y., Fryer, D.T. & Shively, R.M. 1994. Experimental obser-
different constant hydrostatic stress. vations of the elastic and inelastic behaviour of porous sandstones.
Geophys. J. Int., 117, 403418.
25000 Cristescu, N.D. 1989. Rock Rheology. Kluwer Academic, Dordrecht.
20000
Volumetric strain Cristescu, N.D. 1994. Viscoplasticity of geomaterials. In Vsico-
Shear strain
Plastic Behaviour of Geomaterials, N.D. Cristescu & G. Gioda
15000 Simulation
(eds), Springer Verlag, Wien-New York, 103207.
Strain (10-6)

10000 Jeng, F.S., Lin, M.L. & Huang, T.H. 1996. Study of the Geolog-
5000
ical Barriers of the Tunnels in Northern Taiwan. Ministry of
Transportation and Communications, Research Report MOTC-
0
STAO-RD1501.
-5000 Jeng, F.S., Weng, M.C., Huang, T.H. & Lin, M.L. 2002. Defor-
-10000
mational characteristics of weak sandstone and impact to tunnel
deformation. Tunn. Undergr. Space Technology, 17, 263274.
-15000
0 20 40 60 80 100 120 Tsai, L.S. 2006. Time-dependent deformation behaviours of weak
Time (hour) sandstone. Doctoral Dissertation, National Taiwan University.
Tsai, L.S., Jeng, F.S., Lin, M.L. & Weng, M.C. 2004. A hyperelas-
Figure 8. Comparison of volumetric strain and shear strain pre- tic model for the elastic behaviour of sandstone. Proc. Of 17th
dicted by the proposed model and experimental data obtained from KKCNN Symposium on Civil Engineering, Gyeongiu, Thailand,
a multi-stages creep test. 525530.
Weng, M.C., Jeng, F.S. & Huang, T.H. 2003. A constitutive model
for western foothill sandstone in Taiwan. Chinese Journal of Civil
In addition, other triaxial tests under different confining and Hydraulic Engineering, 15, 93106.
pressure conditions including 20, 30, 40, 50 and 60 MPa, are Weng, M.C., Jeng, F.S., Huang, T.H. & Lin, M.L. 2005. Character-
concerned, and the simulated and the actual types of defor- izing the deformation behavior of Tertiary sandstones. Int. J. of
mation are shown in Figures 67. The simulated results are Rock Mech. and Min. Sci., 42, 388401.

130

2007 Taylor & Francis Group, London, UK

 A correction coefficient of mechanical parameters of coal or rock test samples and its
application in roadway support design

Liu Changwu
Yellow River Engineering Consulting Co. Ltd., Zhengzhou, P.R. China
College of Water Resource & Hydropower of Sichuan University, Chengdu, P.R. China

Wu Xiuyi & Chen Yijun

College of Water Resource & Hydropower of Sichuan University, Chengdu, P.R. China

ABSTRACT: The in situ measure of the mechanical parameters of coal or rock mass have a series of shortages such as a large
amount of work, expensive test cost and long test time. But it is not reliable that the mechanical parameters measured from
small coal or rock test samples are directly used in roadway support design. In the paper, therefore, a correction coefficient of
mechanical parameters actually measured from coal or rock test samples is introduced. The correction coefficient is suitable
for such roadways: only a few of mechanical parameters practically measured from small coal or rock test samples but without
mechanical parameters situ measured from coal or rock mass. The practice in the gangway of the 7172 working face of Xuzhuang
Coal Mine at Datun Mine District suggests that the method is effective and can save a lot of labor, time, and cost.

1 INTRODUCTION condition of the roadway and the physical mechanical char-

The mechanical parameters of coal or rock mass are much
different form those obtained by measuring small coal or rock
test samples because of scale, fractures, heterogeneity, dis-
continuity, and aeolotropy[1] . In the mining support design,
therefore, simply to replace the physical mechanical param-
eters of coal or rock mass by those measured from coal or
rock test samples will surely lead to unconformity between
theoretical values and actual values[2] . At present, there are
usually three ways to solve this problem:
(1) Directly determine the compressive strength, shear
strength and triaxial strength of rock mass through situ
mechanical tests.
(2) Indirectly determine the mechanical strength of rock
mass by the combination of studying the relationship
between rock strength and rock mass strength, geophysi-
cal prospecting and lab test.
(3) Graphically determine the mechanical strength of rock
mass from the rock (structure object) strength curve
and the weakness plane (structure plane) strength curve
plotted through testing.
It is no doubt that these methods can give more accurate
mechanical strengths of coal or rock mass, but they all have
more or less some shortages large work amount or long
work time or high cost or complicated operation so that the
use of them are largely limited in mining practice[3][4][5][6] .
In the paper, we try to an easy method to solve their dis-
advantages. It is to use the roadway surface displacement to
inverse the correction coefficient of mechanical parameters of
coal or rock mass.
2 PRINCIPLE
In some sense, the roadway circumference displacement u
can comprehensively reflect the surrounding rock stability
acteristics of coal or rock mass. According to the elastic-
plasticity theory and the ground pressure controlling theory[7] ,
if a circular roadway is under a double direction equal
pressure and isnt influenced by mining, its circumference
displacement u can be expressed
where H is situ stress (MPa), Pi is supporting resistance
(MPa), r0 is the roadway radius (m), G is shearing elastic
modulus (GPa), C is adhesion (MPa), and is internal friction
angle.
Obviously, the mechanical parameters of the equation all are
the parameters measured from small coal or rock test samples.
However, the parameters used by the calculation of roadway
circumference displacement in practical engineering should
be the parameters measured from coal or rock mass itself
rather than the parameters measured from small coal or rock
test samples.
Indeed, comparing with small coal or rock test samples,
a coal or rock mass has usually a good many of joints and
fractures. They can largely reduce the entirety of the coal or
rock mass so as to make the macroscopic strength of the coal
or rock mass apparently lower than the strength of small coal
or rock test samples.
In case the mechanical parameters of coal or rock mass
can not be determined, that is, only the measured mechanical
parameters of small coal or rock test samples can be used, we
must correct the measured mechanical parameters so as to cal-
culate more reliably the roadway circumference displacement
u through formula. (1)
There is evidence [6] to show that the internal friction angle
of coal or rock mass is close to that of small coal or rock blocks,
but the cohesion and elastic module of the former are much

131

2007 Taylor & Francis Group, London, UK

different from those of the latter. Therefore, when calculat-
ing the roadway circumference displacement, we can take the
internal friction angle measured from coal o rock test samples
as the internal friction angle. On the other hand, the cohesion
and elastic module from coal o rock test samples must be cor-
rected with a correction coefficient k1 . Thus formula (1) is
turned into
If the roadway circumference displacement is measured in
the roadway, the correction coefficient k1 can inversely be
obtained from formula (2). The average of correction coeffi-
cients k1 of different positions of the roadway can be in turn
used in determining of the roadway circumference displace-
ment. Finally, the displacement thus obtained can be used as
the base of the supporting design of a mine district but not a
roadway or even a mine.
3 APPLICATION
This method is not only simple and effective, but also very
convenience in engineering application. Here, we take the
gangway of the 7172 working face of Xuzhuang Coal Mine at
Datun Mine District as an example to illuminates the steps of
inversely obtaining k1 .
As to the 7172 working face and its gangway, it is known
that the buried depth of both is 327 m, the average thickness
of the coal seam is 5.65 m, the average volume weight of the
overlying rock is 25 kN/m3 , the roadway is a full-coal road-
way with a rectangular cross-section of 10.92 m2 , the volume
weight of coal is 13.7 kN/m3 , and the mechanical parameters
measured from coal test samples are C = 5.13 MPa, = 29.7
and G = 0.793 103 MPa.
By substituting the mechanical parameters above into for-
mula (1), we obtained u = 49.4 mm, a theoretical value of
roadway circumference displacement. But the actually mea-
sure carried out in the roadway after the driving influence
trended to stop got u = 108.8 mm, an actually measured value
of roadway circumference displacement. By substituting the
measured value into the formula (2), we had
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2007 Taylor & Francis Group, London, UK
The calculated k1 is just a correction coefficient of the
mechanical parameters for the gangway of the 7172 working
face. In Xuzhuang Coal Mine, the correction coefficient can
generally be used in the supporting design of other roadway
mechanically similar to the gangway.
The same method was also used in other mines of Datun
Mining District. According to our experience in this mining
district, the following values of k1 can ensure the safety of
roadway supports: k1 = 1/2.5 for normal roadways, k1 = 1/2
for roadways whose surrounding coal mass is loose coal and
has well-developed fractures, k1 = 1/2 for roadways whose
surrounding coal mass is more ductile and intact, k1 = 1/2 for
roadway with no coal pillars, and k1 = 1/3 for roadways with
coal pillars or pass through the coal mass.
4 CONCLUSION
The method of calculating the correction coefficient of the
mechanical parameters proposed in the paper is suitable for
such roadways: only a few of mechanical parameters prac-
tically measured from small coal or rock test samples but
without mechanical parameters situ measured from coal or
rock mass. The practice in the gangway of the 7172 working
face of Xuzhuang Coal Mine at Datun Mine District suggests
that the method is effective and can save a lot of labor, time,
and cost and that it has the possibility of further popularizing.
REFERENCES
Qian Minggao & Liu Tingcheng. Ground pressure controlling,
Beijing: China Coal Industry Publishing House, 1984.
Liu Changwu & Zhai Caiwang. Spatial strata stress field evolu-
tion regularity induced by mining engineering and simulation,
Zhengzhou: Yellow rive water resource press, 2005.
Xu Zhiying. Rock mechanics. Beijing: China water power
press, 1993.
Xu Yongqi. Coal mining. Xuzhou: China university of mining and
technology Press, 2003.
Zhang Sanhui. Wave and optics, Beijing: Tsinghua university
press, 2000.
Li Xianwei. Rock mass mechanics property, Beijing: Chian coal
industry Publishing House, 1990.
Chen Yanguang & Lu Shiliang. Strata control around coal face
in China. Xuzhou: China university of mining and technology
Press, 1994.
 A damage-plasticity model for porous geomaterials and the simulation of strain
localization bands

Chen Xin
School of Mechanics & Civil Engineering, China University of Mining & Technology Beijing, Beijing, P.R.China

Yang Qiang
Department of Hydraulic Engineering, Tsinghua University, Beijing, P.R.China

ABSTRACT: The influence of void evolution on the formation of strain localization bands in geomaterials is studied by an
isotropic damage-plasticity model. This model is developed for porous geomaterials, which is idealized as a Drucker-Pragers
pressure-sensitive matrix containing a periodic array of spherical voids. This model has been implemented into the commercial
FEM software MARC through a user subroutine. The simulation results are given respectively in this paper.

1 INTRODUCTION the work of Jeong (2002), we develop an isotropic damage-

plasticity model based on micromechanics for porous geoma-
The ductile failure of geomaterials is generally associated with terials. Shear band formation in rock specimen under uniaxial
the appearance of strain localization bands. Experimental data compression as well as under uniaxial tension is analyzed
have proved that the coalescence of microscopic voids plays numerically. Strain localization in an arch dam due to porosity
an important role in the formation of ductile fractures and growth is studied, too.
shear bands in a porous material (see Hancock and Cowling,
1980; Brown and Embury, 1973; Goods and Brown, 1979).
2 MACROSCOPIC YIELD CRITERION
Voids nucleate mainly at second phase particles by parti-
cle fracture or by interfacial decohesion, and subsequently
Porous geomaterials can be idealized as a pressure-sensitive
they grow owing to the plastic straining of the surrounding
matrix modeled by the D-P yield criterion containing a peri-
material.
odic array of spherical voids. The representative element is
Most plastic flow localization analyses accounting for the
a spherical thick-walled shell: the inner and outer radius is
porosity arising from the cracking or decohesion of second
denoted by a and b; the void volume factor f = (a/b)3 is the
phase particles have so far been based on the approximate
macroscopic damage variable.
constitutive relations suggested by Gurson (1977a, b). The
The Cauchy stress tensor of the matrix and that acting on the
apparent dilatancy and pressure sensitivity of the macroscopic
outer boundary of the porous geomaterials, ij and
= ij , are
plastic deformations result in a material prone to plastic flow
denoted as microscopic stress and macroscopic stress. Their
localization at realistic strain levels (see Yamamoto, 1978;
hydrostatically deviatoric and equivalent stresses are denoted
Tvergaard, 1981; Tvergaard, 1982). Yamamoto (1978) found
by
that it is necessary to introduce some initial imperfection to
obtain reasonable localization strains, and showed that the
macroscopic constitutive relations deduced from Gursons
model for porous materials has the same form with the phe-
nomenological one proposed by Rudnicki and Rice (1975) for
pressure-sensitive dilatant materials to describe the elastic-
plastic behavior of rock and soil masses under compressive where ij is the Kroneker delta.
principal stresses. Tvergaard (1982) analyzed the gradual Yielding of the matrix can be described by the Drucker-
shear band growth numerically for a porous solid with local Prager yield criterion:
material inhomogeneities on its surface.
In Gursons model, the matrix is pressure-insensitive and
the macroscopic pressure-sensitivity is solely a result from
voids in the solids. But for geomaterials, dense metals and where and s are the pressure sensitivity factor and the
polymers, the matrix pressure-sensitivity has been observed. tensile yield stress of the matrix, respectively.
These materials can be idealized as the aggregate of voids and For the pressure-insensitive Mises matrix with = 0, using
the pressure-sensitive matrix obeys the D-P yield criterion. an upper bound approach, Gurson (1977a, b) developed a
Lazzeri and Bucknall (1993), Jeong and Pan (1995) and Jeong macroscopic yield function:
(2002) have proposed yield functions for these materials by
modifying Gursons yield function.
In this paper, we focused on the influence of void evolu-
tion on plastic flow localization in geomaterials. Following

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 But for porous solids with the D-P behavior, it is difficult
to obtain a macrosopic yield function by the same way. Alter-
natively, Jeong and Pan (1995) found out the macroscopic
hydrostatic yield stress:

By modifying Gursons function Jeong (2002) established

a yield function:

For geomaterials, the voids are often filled with fluid, so

we should consider the spherical thick-walled shell being sub-
jected to pore pressure p at the inner surface, to macroscopic
Cauchy stress
at the outer surface, and to seepage volume
force and microscopic Cauchy stress in the matrix. Thus the
equilibrium equation and the stress boundary condition are:

eff
Note: ij eff = ij + pij and ij = ij + pij be the macro-
scopic and microscopic effective stress tensor. By replacing
stresses with their effective parts, all the equations of the spher-
ical shell saturated with fluids have the same form with those
without fluids. Different from Jeong (2002), we assume that
the first item of the macroscopic yield criterion takes the form
ef ef
(e /e )2 , and the microscopic effective hydrostatic stress is
related to the macroscopic one as in the elastic state: Figure 1. Loci of the macroscopic yield criterions from Eqn.(9) and
Eqn.(6) in the median plane.

Then, it is straightforward to establish the following macro- For geomaterials, we consider two nucleation mechanisms:
scopic yield criterion for geomaterials: controlled by the plastic strain (Gurson, 1977b) and by the
maximum tensile stress:

 p p
where for m < 0 and e = (e )max ,
The loci of the two yield functions of Eqns.(6) and
(9), in the median plane for different geomaterials with
= 0.0, 0.2, 0.5, 1.0 are shown in Figure 1.
It is shown that the yield loci include a yield cap at high
pressure which is due to the existence of voids in geomaterials
in view of Eqn.(5). The pressure hydrostatic yield stresses
increase with increasing of the pressure sensitivity factor. The
yield loci contract gradually as material porosity increasing.

3 DAMAGE EVOLUTION
The evolution of the void volume fraction is due to the growth
of existing voids and the nucleation of new voids:
Here, fN , N and N are the volume fraction of void nucleating
particles, the mean nucleation stress and the mean nucle-
ation strain of the normal distribution, respectively, and S is
the corresponding standard deviation of the normal distribu-
tion, ()max denotes the maximum value occurred in the prior
deformation history.

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4 THE CONSTITUTIVE RELATION

The constitutive relation can be formulated on the basis of

the macroscopic yield criterion, the damage evolution and the
associated flow rule which is guaranteed by Bishop and Hill
(1951) who said that the validity of normality locally within
the matrix implies the macroscopic normality. By adopting
the associated flow rule, the macroscopic plastic strain rate is Figure 2. The equivalent strain of the matrix under press.
related to the macroscopic Cauchy stress by:

where  is a scalar factor which can be solved using the

consistency condition.
Thus, we obtain the following constitutive relation for
porous geomaterials:

e and D p
where Dijkl ijkl are elastic and plastic tangent stiffness
tensors:
Figure 3. The void fraction under press.

Figure 4. The equivalent strain of the matrix under tension.

where h is the microscopic hardening/softening modulus of

the matrix.
The above constitutive relation has the same form with the
phenomenological one proposed by Rudnicki and Rice (1975)
for pressure-sensitive dialatant materials (Yamamoto, 1978) to
describe the elastic-plastic behavior of rock and soil masses
under compressive principal stresses.

5 STRAIN LOCALIZATION ANALYSES Figure 5. The void fraction under tension.

The damage coupled elasto-plastic constitutive relations was

implemented into the commercial FEM software MARC
through a subroutine. The strain localization of a plate under
uniaxial press and tension and the strain localization of an arch
dam under overloading were investigated by using the model.
The hardening curve of the matrix consists of two straight
p
lines, which are given by three points, s = s0 at e = 0.0
p p
and e = 0.02, s = 0.5s0 at e = 1.0. The void nucleation
parameters are fN = 0.04, N = 0.3 and S = 0.1.
5.1 A plate under uniaxial press and tension
For a plate under press and tension, Figures 25 show the
equivalent strain of the matrix and the void volume frac-
tion. The material parameters used are E = 21 GPa, v = 0.3,
= 1.08, and s0 = 276 MPa. Scissors shaped shear bands
and horizontal strain localization plane formed in a plate under
press and tension, respectively, in which the coalescence of
microscopic voids plays a central role in their formation.

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2007 Taylor & Francis Group, London, UK

Figure 6. Finite Element mesh of the arch dam.
Figure 7. The equivalent strain of the upstream.
Figure 8. The equivalent strain of the downstream.
5.2 An arch dam
Strain localization in an arch dam under the overload water
pressure was investigated by the finite element method. There
are 21 types of materials to be used.The Finite Element mesh is
shown in Figure 6. Figures 7 and 8 show the equivalent strains
of the matrix on the upstream and downstream, while Figures 9
and 10 show the void volume fractions on the upstream and
downstream.
A stain localization band formed along the lower part of the
upstream interface of the arch dam with higher porosity, which
was due to the concentration of tensile stress, while a large
area of plastic zone appeared at whole arch dam downstream,
which was due to shear strain concentration.
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2007 Taylor & Francis Group, London, UK
Figure 9. The void fraction of the upstream.
Figure 10. The void fraction of the downstream.
6 CONCLUSIONS
In this micromechanical analyses-based study on the influence
of void evolution on the formation of strain localization bands
in geomaterials, an isotropic damage coupled plastic constitu-
tive relation is developed by a small modification to the yield
criterion proposed by Jeong (2002).The yield loci include a
yield cap at high pressure, which is due to the existence of
voids. The development of scissors shaped shear bands and
the formation of horizontal strain localization bands in the
plate under uniaxial compression and tension as well as the
formation of the stain localization zone in an arch dam are
successfully simulated by this model.
ACKNOWLEDGEMENTS
The work presented here was supported by the NSFC with
grant No. 50490270 and subsidized by the special funds
for major state basic research projects with grant No.
2002cb412708 of China.
REFERENCES
Bishop, J.F.W. & Hill, R., 1951. A theory of the plastic distortion
of polycrystalline aggregate under combined stresses. Phil. Mag.,
42:414427.
Brown, L.M. & Embury. J.D., 1973. The initiation and growth of
voids at second phase particles. Proc. 3rd. int. conf. on strength of
metals and alloys, London, Inst. of metals, pp.164169.
Goods, S.H. & Brown, L.M., 1979. The nucleation of cavities by
plastic deformation. Acta Metallurgica, 27:115.
Gurson, A.L., 1977a. Continuum theory of ductile rupture by void
nucleation and growth: Part I-yield criteria and flow rules for
porous ductile media. J. Eng. Mat. &Tech., 99:215.
Gurson, A.L., 1977b. Porous rigid-plastic materials containing rigid
inclusions-yield function, plastic potential and void nucleation.
Proceedings of the international conference on fracture (ed.
D.M.R. Taplin) 2A, Pergamon Press, pp.357364.
Hancock, J.W. & Cowling, M.J., 1980. Role of state of stress in crack-
tip failure processes. Metal Science, 14(89):293304.
Jeong, H.Y. & Pan, J., 1995. A macroscopic constitutive law for
porous solids with pressure-sensitive matrices and its implications
to plastic flow localization. Int. J. Solids Struct., 32:36693691.
137
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Jeong, H.Y., 2002. A new yield function and a hydrostatic stress-
controlled void nucleation model for porous solids with pressure-
senstitive matrices. Int. J. Solids Struct., 39:13851403.
Lazzeri, A. & Bucknall, C.B., 1993. Dilatational bands in rubber-
toughened polymers. J.Mat. Sci., 28:67996808.
Rudnicki, J.W. & Rice, J.R., 1975. Conditions for the localization
of deformation in pressure-sensitive dilatant materials. J. Mech.
Phys. Solids, 23:371394.
Tvergaard, V., 1981. Influence of voids on shear band instabilities
under plane strain conditions. Int. J. Fract., 17:389407.
Tvergaard,V., 1982. Influence of void nucleation on ductile shear
fracture at a free surface. J. Mech. Phys. Solids, 30(6):399425.
Yamamoto, H., 1978. Conditions for shear localization in the ductile
fracture of void-containing materials. Int. J. Fract., 11:347365.
 A discussion on the decrease of unconfined compressive strength between
saturated and dry rock samples

M. Romana
Polytechnic University of Valencia, Spain

B. Vsrhelyi
Technical University of Budapest, Hungary

ABSTRACT: The unconfined compressive strength (UCS) of a rock is a basic parameter for many characterization systems,
strength criteria and calculation methods. It is well-known fact that it depends on the water content of the samples, and decrease
when the water content increases. The paper discusses the possible causes of this reduction. From published data by Vsrhelyi
and co-workers and others authors some empirical tentative guidelines for this reduction are proposed, which can be used in
rock engineering problems where changes in water content occur regularly (dam and bridges foundations, harbors. . .).

1 INTRODUCTION

The unconfined compressive strength (UCS) is probably the

most used of the rock index properties for their characteriza-
tion. So all the standards have detailed regulations on the test
and many authors have published on the effect of the sample
size on the results of the test. The standards detail also the
form and dimensions of the sample, the conditions of paral-
lelism of the faces, even the speed of load application. But
almost none of the standards say anything about the humidity
of the samples. This is a surprising lack because the samples
can be absolutely dry, air dry, semi saturated or saturated. And
the water content, or the saturation state, has a clear influence
on the results of the test. As a rule the strength diminishes
when the water content increase, with a minimum in saturated
samples.
So some experienced engineers advise to test the rock in the
same humidity conditions in which the rock mass is going to
stay. This is especially important in dam foundations (which
are going to be saturated) or in rockfills. Some rules of thumb
have been proposed to cope with this problem (Romana, 2003)
when working with geomechanics classifications.
There are a scarcity of published data on the unconfined
compressive strength (UCS) of saturated samples with the
exception of the work by Vsrely and co-workers. For instant
Vsrhely and Ledniczky (1999) say that it is known that
saturated materials have lower strengthsthan air-dry ones.
The aim of this paper is to point at the problem, to recol-
lect the scarce published data, and to offer a first tentative
quantitative approximation of the reduction in unconfined
compressive strength of saturated rocks.
2 DECREASE IN UNCONFINED COMPRESSIVE
STRENGTH OF SATURATED ROCKS
Figure 1 (Pells, 1993) shows a Deere-Miller diagram (failure
strength vs. deformation modulus at 50% of failure strength)
containing data from compression tests in dry and saturated
Hawkesbury sandstone. Saturation implies a reduction almost
Figure 1. Strength data on Hawkesbury Sandstone (Pells, 1993).
proportional in both parameters, but the relationship between
them would remain approximately constant. Unfortunately no
numerical result can be deduced due to the lack of numerical
definition of the data.
Hsu and Nelson (1993), in a preliminary research for the not
built Super Collider, correlated the unconfined compressive
strength of many types of shale (from Canada and USA) with
the water content.Their results (Fig 2), show a marked negative
correlation between water content and compressive strength.
Ballivy and Colin (1999) have analyzed the increase in tri-
axial strength related to changes in the dielectric constant of
the fluid saturating the rock. In a propane storage cavern in
shale the tension strength of the rock increased 150200% due
to the change in the dielectric constant, with a reversal to the
prior strength when the propane evaporated. In their opinion
changes in the saturation fluid cause changes in the effective
stresses, a result already stated by Vutukuri (1974). In the same
paper they show increases in the compressive strength of 20%
when testing gneiss saturated with salt water (with a small
decrease in the dielectric constant) over the same test satu-
rated with distilled water, and increases in the compressive
strength of 2550% of dry samples over the same test satu-
rated with distilled water. These results show a clear trend but
cannot be generalized due to the small number of tests done.

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2007 Taylor & Francis Group, London, UK


Figure 2. Unconfined compressive strength vs. water content for
clay shales (Hsu and Nelson, 1993).
Figure 3. Unconfined compressive strength vs. water content for
two shales (Lashkaripour and Passaris, 1993). (a) Linton Lane coal
mine, (b) Rye Hill coal mine.
The respective dielectric constant are: 80, distilled water; 74,
salt water; 0 dry state.
Lashkaripour and Passaris (1993) compiled a data base
with selected values of shale rock properties. Figure 3 shows
data from two coal mines. There is also a marked negative
correlation between water content and compressive strength.
3 CAUSES OF THIS DECREASE
In strong indurated rocks of low porosity the compressive fail-
ure is preceded by the growth of cracks from the border of
existing micro pores. The cracks coalesce into growing cracks
finally extending to the sample dimension and failure happens.
According to Vsrhely and Bobet (2000) there are three
fundamental theories on crack initiation criteria: maximum
tangential stress (Erdogan and Sih, 1963), maximum energy
release rate (Hussain et al, 1974) and minimum energy den-
sity (Sih, 1974). Any of them can reasonably predict tensile
crack initiation, both in tension and/or compression, but not
in shear. In the simpler case the crack initiation occurs as a
progressive lengthening of the crack across the infinite plate
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2007 Taylor & Francis Group, London, UK
(Rummel, 1974).The mathematical formulation involves a
consideration of the energy change during the crack growth.
Following Rummel there are three energy terms to be consid-
ered: change in potential energy of the applied forces, change
of strain energy due to the existence of the crack and change in
surface energy. So the Griffith criteria for tensile fracture can
be stated (in the simpler formulation) as t = (2 E /c)1/2
where: t is the tensile strength of the material
E is the deformation modulus
is the specific surface energy
c is the crack initial half length
As has been shown by Ballivy and Colin (1999) the nature
of liquid has a direct influence in the crack openings, a fact
due to the decrease in surface energy of the crack borders
when the pore is full of water. A similar explanation is offered
by Vsrhely and Ledniczky (1999): moisture diminishes
the spread of free surface energy, i. e. it facilitates micro-
cracks propagation by decreasing the elastic limit and the peak
strength also.
On the other hand the crack growth can be originated by
increasing water pressures within the pores when the rock is
saturated. Both effects can happen simultaneously.
In poorly cemented rocks the presence of water can affect
to the cementation between the grains by different ways: solu-
tion, dispersionFinally in soft argillaceous rocks the water
diminishes the strength of the grains and/or the cementation.
So there are different causes which produce, together or
unconnectedly, the reduction in strength.
4 SOME PUBLISHED DATA
Steiger and Leundt (1990) gave some data extracted from an
EXXON comprehensive research program on shale typical
properties, shown in table 1.
Shale G is composed by a 50% of smectite, which can
explain the big drop in strength and the simultaneous increase
in surface area.
Hawkins A. B. & Mc Connell B. J. (1992) published a paper
analyzing the sensitivity to water saturation of several mechan-
ical properties of 35 British sandstones. Their results have
been revised by Vasarhely and Van (2006) which have found
a clear correlation between saturated and air dry unconfined
strengths.
Lau et al (1993) carried out a study on the effects of temper-
ature and water saturation on the mechanical properties o the
Lac du Bonnet granite. The water saturated specimens were
observed to display lower stress values associated with crack
initiationwhen compared with dry specimens. The reduc-
tion was in the order of 13% and was explained as due to the
very low permeability, and the undrained test conditions, the
increase of pore water pressure during loading.
Ajalloian and Karimzadeh (2003) described the engineering
properties of Givi dam foundation on andesitic rocks. Uncon-
fined compressive test were performed both in saturated and
dry condition in samples of the right bank. The reduction in
strength was in the order of 18%.
Sachpazis (2004) collected representative samples of
Bernician Great limestone (England) from four different meta-
morphic degrees, toward marble: A, none; B, low; C, high; D,
completely metamorphised. Several geomechanics tests were
performed, both in dry and saturated conditions. The mean
Table 1. Data on UCS of typical shales (Steiger and Leundt, 1990).

Dry UCS Sat UCS Surface

Shale (MPa) (MPa) Decrease area (m2 /g)

E 96,5 44,8 32 % 2,2

F 82,7 27,6 67 % 3
G 34,5 3,5 90 % 10

Table 2. Data on UCS of different limestones (Sachpazis, 2004).

Figure 6. Saturated UCS vs. dry UCS in British sandstone samples
Dry UCS Sat UCS (Vsrhely, 2006).
Rock grade (MPa) (MPa) Decrease
Table 3. Decrease in UCS of saturated rocks (Vsrhely and co
A 211,2 189,7 10% workers).
B 106,1 94,6 11%
C 81,3 62,9 22% Decrease
D 87,8 74,8 15% Rock type (%) sat /dry Reference Year

Sivac marble 7 0,93 Vsrhely & 1999

Ledniczky
Volcanic tuffs 27 0,729 Vsrhely 2002
Miocene 40 0,659 Vsrhely 2005
limestone
British 30 0,759 Vsrhely & Van 2006
sandstones on Hawkins &
Mc Connell

cemented medium strength rocks:

Figure 4. Saturated and semi saturated UCS vs. dry UCS in tuff UCSsat /UCSdry = 0,600,70
samples (Kleb and Vsrhely, 2003). soft argillaceous rocks:
UCSsat /UCSdry = 0,30

REFERENCES

Ajalloian R. & Karimzadeh 2 L. 2003. Geotechnical rock mass

Figure 5. Saturated UCS vs. dry UCS in Miocene limestone
samples (Vsrhely, 2005).
results for unconfined compression tests are shown in the
table 2. All the samples were very strong.
Vsrhely and coworkers have studied systematically the
reduction in unconfined compressive strength (and also in
deformation modulus) when saturating different rocks. Their
results are shown in the figures 4, 5 and 6, and resumed in the
table 3.
5 CONCLUSIONS
Clearly more work is needed to quantify the reduction of
unconfined compressive strength in saturated rocks. From the
data collected for this paper a tentative rule of thumb could
be proposed for the preliminary estimations needed when
working with geomechanics classifications:
well indurated strong rocks:
UCSsat /UCSdry = 0,800,90
evaluation of Givi dam site (case study, Ardabil-Iran). 10th Int.
Cong. On Rock Mech. (Technology road-map for Rock Mech.).
Johannesburg. SAIMM Vol 1, pp 710
Ballivy G. & Colin J. C. 1999 Stockage souterrain: Influence de la
nature du fluide sur les proprits mcaniques de la roche en paroi.
9th Int. Cong. On Rock Mech. Paris. Vol 2, pp 563567
Erdogan F. & Sih G. C. 1963. On the crack extension path in
plates under plane loading and transverse shear. ASME Jour. Basic
Eng.85, pp 519527
Griffith A. A. 1920. The phenomena of rupture and flow in solids.
Phil. Trans. Royal Soc. 221 A, pp 163198
Hawkins A. B. & Mc Connell B. J. 1992. Sensitivity of sandstone
strength and deformability to changes in moisture content. Quat.
Journ. Eng. Geol. 25, pp 115130
Hsu S. C. & Nelson P. 1993. Characterization of cretaceous clay-
shales in North America. Geot. Eng. of Hard Soils-Soft Rocks.
Anagnostopoulos et al (eds. Balkema. pp 139146
Hussain M. A., Pu E. L. & Underwood J. H. 1974. Strain energy
release rate for a crack under combined mode I and mode II. ASTM
STP 560, pp 228
Kleb B. & Vsrhely B. 2003. Test results and empirical formulas of
rock mechanical parameters of rhyolitic tuff samples from Egers
cellars. Acta Geologica Hungarica. 46/3, pp 301312
Lashkaripour G. R. & Passaris E. K: S. 1993. Correlations between
index parameters and mechanical properties of shales. 8th Int.
Cong. On Rock Mech. Tokyo. Vol 1, pp 257261
Lau J.S.O., Gorski B. & Jackson R. 1993. The effects of temperature
and water saturation on mechanical properties of Lac du Bonnet
granite. 8th Int. Cong. on Rock Mech. Tokyo. Vol 3, pp 11671170

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Pells P. J. 1993. Uniaxial strength testing. In Comprehensive rock
engineering. Hudson J. (ed) Pergamon. Vol 3, pp 7597
Romana M. 2003. DMR (Dam Mass Rating) An adaptation of RMR
geomechanics classification for use in dam foundations. 10th Int.
Cong. On Rock Mech. (Technology road-map for Rock Mech.).
Johannesburg. SAIMM
Rummel F. 1974. A review of fracture criteria of brittle rock. In
Rock Mechanics (Course 165, Udine University) Mller L. (ed).
Springer-Verlag. pp 7082
Sachpazis C. I. 2004. Monitoring degree of metamorphism in a
four-stage alteration process passing from pure limestone to pure
marble. EJGE paper 0416, 25 pp
Sih G. C. 1974. Strain-energy-density factor applied to mixed mode
crack problems. Int Journ. Fracture 10, pp 305321
Steiger R. P. & Leung P. K. 1990. Lecture: Predictions of wellbore
stability in shale formations at great depth. Eurock (Rock at great
depth) Maur et Fourmaintraux (eds) Balkema. pp 12091218
Trk A., Vasarhely B. & Marothy E. 2006. Dependence of phys-
ical properties on the water content and textural properties of
Hungarian travertine. Geophys. Research Abs. Vol 8,
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Vsrhely B. 2002. Influence of the water saturation on the strength
of volcanic tuffs. Eurock. Int Symp. on volcanic rocks, Madeira,
pp 8996
Vsrhely B. 2003. Some observations regarding the strength and
deformability of sandstones in dry and saturated conditions. Bull.
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Vsrhely B. 2005. Statistical analysis of the influence of water con-
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142
 A laboratory testing technique and a model for the swelling behavior of anhydritic rock

E. Pimentel
ETH Zurich, Switzerland

ABSTRACT: The adsorption of water is a characteristic of some sedimentary rocks. Laboratory swelling tests are used to
determine swelling potential, i.e. the maximum swelling stress and the swelling stress-strain relation. The current methods
for performing such tests contain a number of deficiencies, which may lead to inaccurate estimates of swelling potential.
Another problem is that up until now we have not had a generally accepted constitutive relationship for the swelling process of
anhydritic rock. Due to this uncertainty, it is often impossible to develop safe and economic designs for underground structures.
A laboratory testing technique is presented, which makes it possible to determine the maximum axial swelling stress and the
swelling stress as a function of the strain. Results of swelling tests performed using both the current methods and the new
technique are presented and commented on. Furthermore, long-term laboratory tests on anhydritic rock provide an indication
that there is a threshold pressure at which the growth of gypsum crystals commences, accompanied by large swelling strains.

1 INTRODUCTION Chemical swelling refers to the hydration of anhydrite

The so-called swelling phenomenon follows different mech-
anisms, depending on the mineralogical composition of the
rock. We distinguish between a physical swelling of argilla-
ceous rock and a chemical swelling of anhydritic rock, i.e.
without or with induced changes in the crystalline structure.
The swelling of rock does not cause only an increase in vol-
ume, or in the case of volume constrictions an increase in
pressure, but also a significant reduction in shear strength and
stiffness (Pimentel, 1996).
In order to produce efficient i.e. safe and economical
designs for the construction of underground openings in
swelling rocks, it is important to have realistic estimates of
swelling potential.
2 SWELLING MECHANISMS
For engineering purposes, the relevant mechanisms can be
subdivided into (Pimentel, 2003):
physical processes such as mechanical (inverse consolida-
tion) or osmotic swelling.
chemical processes such as oxidation or anhydrite
hydration.
The present article will refer only to the osmotic swelling
and to the swelling caused by anhydrite hydration.
Osmotic swelling depends strongly on the microstructure
of clay particles. The typical structure consists of packages
of sheets of tetraeder and octaeder crystals with nearly paral-
lel arrangements. Due to temperature and weathering, some
of the central cations will be exchanged with others of lower
electrical charge, so that the particle will have a positive charge
deficit. Additionally, due also to the typical sheet structure of
clay particles, their structure will show a concentration of neg-
ative electrical charge. In order to balance the charge deficit,
the clay particles will therefore tend to adsorb cations and ori-
ented water dipoles. The negative clay particle surface and the
positive ionic swarm constitute the diffuse double layer. Since
this phenomenon depends strongly on ionic concentration, it
is termed osmotic swelling.
(CaSO4 ) to gypsum (CaSO4 2H2 O). Due to the different
crystalline habits of anhydrite (orthorhombic) and gypsum
(monoclinic), the hydration must occur through solution and
precipitation. The hydration process is much more compli-
cated than osmotic swelling. The presence of some cations,
especially K+ and Na+ ions, will activate and accelerate the
process. The salinity of ground water associated with evapo-
rate deposits is largely dependent upon beds of more soluble
K, Mg and Na salts (Conley & Bundy, 1958). After activation,
these salts can form complex double salts, which may remain
stable for some concentrations and boundary conditions (pres-
sure and temperature) and then suffer decomposition with
subsequent precipitation of gypsum. In a similar way, part
of the dissolved anhydrite will form calcium sulphate hemi-
hydrate (CaSO4 0.5H2 O) which will dilute and precipitate
to gypsum too (Hand, 1997). Sievert et al. (2005) have pro-
posed, on the basis of tests with anhydrite powder, a hydration
mechanism. In an initial rapid phase, a partial dissolution of
anhydrite and absorption of the hydrated Ca+
2 and SO4 ions
on the surface of anhydrite particles takes place, followed by
a slower increase in the thickness of the absorbed layer until
a critical specific surface is reached. After the formation of
cracks in this layer, water molecules penetrate the layer and
Ca+
2 and SO4 ions migrate outside it. Gypsum nuclei will
form on the surface of the anhydrite core. In a final, more
rapid, phase, gypsum crystals will begin to grow.
Diffusion controls the kinetic of osmotic swelling. For rock
containing anhydrite, the description of the kinetic is very
complicated. Kinetic models have been proposed only for the
hydration of hemihydrate CaSO4 0.5H2 O and vary concern-
ing the assumption of crystal nucleation rate and crystal shape.
No model has gained universal support (Hand, 1994).
Since the anhydrite does not have any electrical field, it
is not able to attract water dipoles or cations from far away.
The clay particles are the water distributors of the system, i.e.
they will transport the water (by diffusion) to the anhydrite as
long as the boundary conditions are adequate. In the practi-
cal temperature-range (T < 40 C) anhydrite is metastable and,
therefore, it will react to gypsum. Until now, no theoretical
kinetic model has been available for describing the hydration
rate of anhydritic rock.

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 Due to the pronounced alignment of the clay particles
caused by diagenesis, and due to their sheet-like structure
a transversal isotropic swelling behavior must be expected.
Depending on the conditions in the past (overburden, temper-
ature, water circulation, salinity etc.), the maximum swelling
pressure can vary between some kPa and some MPa. The max-
imum swelling pressure of anhydritic rock corresponds to the
pressure needed to avoid the crystallization of gypsum. After
Correns (Winkler, 1973) this pressure depends on the tem-
perature and on the degree of supersaturation, i.e. the ratio
C/Cs :

where is the pressure required to inhibit crystal growth; R

is the gas constant; T is the temperature; Vs is the molecular
volume of the solid salt; C is the actual concentration of the
solute and Cs is the concentration at saturation. For anhydritic
rock the supersaturation ratio C/Cs should not exceed a value
of 2 (Wichter 1989), so that at least locally pressures up to Figure 1. Apparatus for swelling tests (after Pimentel, 1996).
30 MPa can occur.

3 LABORATORY TESTING TECHNIQUE

For the design of structures in or above swelling rock, realistic

assumptions are needed concerning the pressures and defor-
mations developing during the transient process towards the
new equilibrium.
As indicated above, the amount of water that can be
adsorbed by rock depends on its mineralogical composition,
the applied pressure, and the availability and composition
of the water. Microscopic considerations help us to under-
stand the macroscopicaly observed phenomena. Due to the
complexity of the swelling process, however, only laboratory
swelling tests are capable of quantifying swelling potential.
In the literature a number of swelling tests have been pro-
posed, such as those of Huder & Amberg (1970), Kaiser &
Henke in DGEG (1986) or Madsen in ISRM (1999). Most
of these tests use the classical consolidation apparatus, which
has the great disadvantage of only being stress-controlled.This
means that the rock specimen must be considerably pre-loaded
prior to the actual swelling test. With the Huder & Amberg
test the specimen is subjected to an additional unloading and
reloading cycle. The load value in those tests is arbitrary and
often a function of the overburden pressure in-situ. There-
fore, it may damage the microstructure, thereby falsifying the
swelling potential. Another limitation is that the maximum
applied load is limited up to 10 kN. Figure 2. New test procedure sketch of the stress and strain path.
An alternative apparatus for swelling tests was developed at
the University of Karlsruhe (Fig. 1). The testing device con- swelling pressure over the time is recorded until the maxi-
sists of a 4-column frame. Load and deformation is applied or mum swelling pressure max is reached (Fig. 2), i.e. a new
induced manually over a spindle, so that tests can be performed equilibrium has been achieved.
with stress-control as well as strain-control. The maximal Subsequently, the sample is unloaded stepwise. The load
applied load is P 50 kN, i.e. for a sample with a diameter values for each step can be chosen as fractions of the deter-
D = 80 mm, max 10 MPa. mined max (e.g., /max = 50%, 25%, 10% and 5%). The
The testing technique proposed in the current paper con- unloading should be continued until a minimal stress is
sists of a multistage swelling test. A cylindrical rock sample reached. For each test step, the load is kept constant until
is cut on a lathe, fitted into a stiff metal ring, mounted in the a new equilibrium has been reached (Fig. 2). It must be
testing frame and prestressed with a minimal load of about noted, that with this technique the maximum swelling pres-
preload 0.02 MPa. In order to avoid structural damage in sure is determined directly without any extrapolation and as
the specimen no external loads should be applied, i.e. the load much information as possible is obtained on the swelling
will be generated through volume constriction (vol = 0%) by stress-strain relation.
the specimen itself. The swelling process is activated by water- In connection with investigations for a project to build a new
ing the sample with demineralized water. The increase of the railway line between Nrnberg and Ingolstadt in southeast

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2007 Taylor & Francis Group, London, UK

Figure 3. Comparison of the results of swelling tests on the same
material, using different testing techniques (v. Wolffersdorff &
Fritsche, 2003).
Germany, swelling tests were performed on the Feuerletten
formation using the Huder & Amberg method, the ISRM and
the technique presented above. The results (Fig. 3) show that, Figure 4. Measured (solid lines) and extrapolated (dashed lines)
as postulated above, each external loading affects the structure values from a swelling test on anhydritic rock (specimen Abl. 2
of the sample, leading in this case to an overestimation of the 166/83.6).
maximum swelling pressure and strain.

4 STRESS-DEPENDENCY OF THE HYDRATION OF

ANHYDRITE

Grob (1972) proposed a semilogarithmic stress-strain relation

for swelling. This relation seems to describe osmotic swelling
processes well. For the hydration of anhydritic rock, there is
no reliable relation. The most important reasons for this lack
are that far fewer tests have been performed on this material
than on argillaceous rock and in these tests, no final states,
i.e. equilibrium states, were reached. It should be noted that a
single load step of a swelling test on anhydritic rock can take
months or even years to complete.
In conjunction with investigations for the construction of a
railway tunnel in the southwest of Germany, several swelling Figure 5. Stress-and strain-values at final state based on extrapola-
tests were performed on rock specimens from the Gypsumkeu- tion (specimen Abl. 2 166/83.6).
per formation. It is an anhydritic rock containing a very finely
distributed anhydrite within a clay matrix as well as anhy-
drite veins of different thickness or tubers surrounded by the as the extrapolated curves (dashed lines). Fig. 4b shows
clayey material. Several unloading steps and in some cases the respective results for the strain. By plotting the final
reloading steps were performed according to the instructions stress-values and strain-values (obtained by extrapolation) in
of the Client. The total duration of some of these tests exceeded a semilogarithmic scale, three stress-ranges can be roughly
20 years. In spite of this very long period, no final state was recognized (Fig. 5):
reached in the majority of the load steps. So, in order to gain as
In the range of high pressures, the strains are very small.
much information as possible from the test results, a non-linear
Here, certain solution of anhydrite occurs and the high pres-
extrapolation has been applied in order to estimate of the equi-
sure is related primarily in terms of the pressure required
librium values (Pimentel, 1996). The extrapolation method
for inhibiting the crystallization of gypsum.
used was the Indirect Less Square Method. The mathematical
At pressures around a threshold value of about 4 MPa, a
functions considered were:
relatively small reduction in the stress causes a dramatic
increase in the strain. The stress is low enough to allow
gypsum crystal growth, so that the structure of the rock
specimen breaks between layers and leads to the formation
of new macropores. Since the state of the material changes,
this phase represents a critical state.
Further reductions of stress lead to only moderate addi-
tional strain. Due to the macropores, the material will have
suffered a substantial reduction of stiffness. Further crystal-
Fig. 4a shows the typical time-development for pressure mea- growth in this phase would compact the macropores. It
sured during the load steps of one test (solid lines), as well is, nevertheless, also possible that gypsum-dissolution and

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2007 Taylor & Francis Group, London, UK

 4 5.5 MPa. Below that pressure considerable strains develop.
The possible underlying mechanisms are discussed by means
of a conceptual model.
Figure 6. Stress-and strain-values at final state based on extrapola-
tion (ten specimens).
leaching will take place in this phase, leading to a loss
of mass.
Figure 6 shows the extrapolated final states from nine other
tests. All of the specimens present basically similar behaviour,
characterized by a threshold pressure between 4 and 5.5 MPa.
The amount of swelling strain at stresses below the critical
value depends essentially on the volume fraction and distribu-
tion of anhydrite in the sample and shows considerable scatter,
due to the heterogeneity of the specimens.
5 CONCLUSIONS
Adequate laboratory tests are essential for determining the
swelling potential of rock External loading of samples by
swelling tests, as in the case of tests using the Huder & Amberg
or ISRM techniques, may damage the structure and falsify the
swelling potential. With the technique presented here (i.e., a
combined test for determining the maximum swelling stress
and the swelling strain as function of the applied stress) all of
the relevant parameters for describing the swelling potential
of a sample can be determined with only one test.
The extrapolation of values measured in swelling tests with
anhydritic rock provides indications concerning the long-
term dependency of swelling strain on applied pressure. The
swelling behavior of anhydritic rock specimens seems to be
characterized by the existence of a threshold pressure value of
146
2007 Taylor & Francis Group, London, UK
REFERENCES
Conley, R.F. & Bundy, W.M. 1958. Mechanism of gypsification.
Geochimica et Cosmochimica Acta Vol. 15: pp. 5272. London:
Pergamon Press Ltd.
DGEG. 1986. Empfehlung Nr. 11 des Arbeitskreises 19 Versich-
stechnik in Fels der DGEG. Quellversuche an Gesteinsproben.
Bautechnik 3: pp. 100104.
Grob. S. 1978. Schwelldruck im Belchentunnel. Proc. Int. Symp. fr
Untertagbau Luzern: pp. 99119.
Hand, R.J. 1994. The kinetics of hydration of calcium sulphate hemi-
hydrate: a critical comparison of the models in the literature.
Cement and concrete research Vol. 24, No. 5: pp. 885895. USA:
Elsevier Science Ltd.
Hand, R.J. 1997. Calcium sulphate hydrates: a review. British ceramic
transactions Vol. 96, No. 3: pp. 116120.
Huder, J. & Amberg, G. 1970. Quellung in Mergel, Opalinuston
und Anhydrit. Schweizerische Bauzeitung, Jg. 83, Heft 43: pp.
975980.
ISRM. 1989. Suggested methods fr laboratory testing of argilla-
ceous swelling rocks. Int. J. Rock Mech. Sci. & Geomech. Vol. 26,
No. 5, pp. 415426.
Pimentel, E. 1996. Quellverhalten von diagenetisch verfetsigtem
Tonstein.Verffentlichungen des Institutes fr Bodenmechanik und
Felsmechanik der Universitt Fridericiana in Karlsruhe, Heft 139.
Karlsruhe.
Pimentel, E. 2003. Swelling behavior of sedimentary rocks under
consideration of micromechanical aspects and its consequences
on structure design. Geotechnical Measurements and Modelling.
Proc. intern. symp. Karlsruhe, Germany, 2326 Sept. 2003:
pp. 367374. Lisse: Balkema.
Sievert, T., Wolter, A. & Singh, N.B. 2005. Hydration of anhydrite of
gypsum (CaSO4 .II) in a ball mill. Cement and concrete research
Vol. 35: pp. 623630. USA: Elsevier Ltd.
v. Wolffersdorff, P.A. & Fritsche, S. 2003. Laboratory swell tests
on overconsolidated clay and diagenetic solidified clay rocks.
Geotechnical Measurements and Modelling. Proc. intern. symp.
Karlsruhe, Germany, 2326 Sept. 2003: pp. 407412. Lisse:
Balkema.
Wichter, L. 1989. Quellen anhydrithaltiger Tonsteine. Bautechnik 66,
Heft 1.
Winkler, E.M. 1973. Stone in architecture: Properties, durability. 3rd
ed. Berlin: Springer Verlag.
 A new procedure to assess in-situ rock stress by empirical and probabilistic
methodologies

L.I. Gonzlez de Vallejo & T. Hijazo

Departamento de Geodinmica, Universidad Complutense de Madrid, Spain

ABSTRACT: A new procedure to assess in-situ rock stress useful for early stages of rock engineering projects is presented.
Relationships between K (H /v ) values obtained from instrumental measurements and TSI index (Tectonic Stress Index) have
allowed to define empirical relationships from which K can be estimated. To account regional and local influencing factors in
the far and near stress fields decision tree analysis are applied. The combined application of TSI and decision tree procedures
can provide a reasonable estimation of the expected magnitude of horizontal stress. This methodology has been applied to a
large number of cases, mainly from Europe.

1 INTRODUCTION

CONTINENTAL

Possible tectonic
REGIONAL TO

stress magnitude
GEODYNAMIC

Geomechanical
Tectonic
structures

behaviour
SCALE

Geodynamic
A new procedure to assess magnitudes of horizontal stress

geophysical
Tectonic
situation

conditions
in terms of K values (H /v ) is presented. The procedure is

and
based on application of decision tree analysis (DTA) and the
empirical relationship between the TSI index (Tectonic Stress
Index) and K. Both methods, DTA and TSI-K, are complemen-
Distensive
tary and allow integration of the different factors affecting the Cratons..
state of stress. In DTA geodynamic and geophysical factors are Low heat Brittle
considered to account stress magnitudes at regional and local flow and Thrusts Low
/
low/medium Ductile
scale. The result allows an estimation of the horizontal stresses Med
crust thickness High
magnitudes in terms of very high, high, intermediate or low, Compressive
Intraplate

as well as possible effects of local amplification. The index

TSI considers geological history of the rock, elastic modulus No craton
Distensive
of rocks and maximum lithostatic load supported. Correla- regions.
tions from a large database between TSI and K values have Medium heat Thrusts
been obtained. K-TSI empirical relationships have provided flow and Low
medium crust Brittle Med
estimations of expected magnitudes of horizontal stress.
thickness Compressive High
Maximum
horizontal Ductile
2 DECISION TREE ANALYSIS APPLIED TO TECTONIC stress Divergent
HORIZONTAL STRESS ASSESMENT plate Distensive
border. High
heat flow and
Logic and decision tree methods are currently used in prob- Brittle
low crust Thrusts
Plate borders

abilistic analysis. The decision tree is comprised of branches thickness Ductile

Low
and nodes. Each node matchs up with influential factors in Med
the state of stress. Main regional and local factors influenc- Convergent High
Distensive
ing stress have been selected from Gonzlez de Vallejo, et al., plate border..
2006. High/medium
heat flow and Thrusts
Two decision tree analysis (DTA) have been developed. The Low
high/medium Brittle Med
first one (DTA 1, Fig. 1) considers regional scale influencing crust thickness Compressive
factors and determines whether foreseeable horizontal stresses High
are low, intermediate, high or very high. We defined stresses Ductile
as low if their magnitude was less than 10 MPa, intermediate
if they were 10 to 25 MPa, high if they were 25 to 40 MPa Figure 1. Decision tree 1. Horizontal tectonic stress at regional
scale.
and very high if they were more than 40 MPa; in each case
for depths less than 2000 m. The second decision tree (DTA 2, 3 K ASSESSMENT USING TSI EMPIRICAL INDEX
Fig. 2) represents local scale influencing factors and estab-
lishes whether stress amplification due to local effects could TSI index has been defined by the following expression
occur. The minimum degree of confidence adopted for this (Gonzlez de Vallejo et. al., 1988):
analysis was 60%. Table 1 shows the factors included in deci-
sion tree analysis 1 and 2 that allow estimation of the relative
magnitudes of the horizontal stresses that might be expected.

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2007 Taylor & Francis Group, London, UK

 4,5
LOCAL Topogra- Tectonized Stress
Preexis-
phyc zones present amplifi-
SCALE tent loads 4,0
effects in the area cation

Faults or Yes 3,5

tectonized zones
Yes No
3,0

K instrumental
Non fractures zones
Yes
Faults or Yes 2,5
Horizontal tectonized zones
No No
stress 2,0
amplification Non fractures zones
Faults or 1,5
Yes tectonized zones
Yes 1,0
Non fractures zones
No
No
Faults or 0,5
tectonized zones
No
Yes 0,0
Non fractures zones
1,0 1,5 2,0 2,5 3,0 3,5 4,0 4,5
No
TSI
Figure 2. Decision tree 2. Stress amplification due to local effects.
Figure 3. K-TSI relationships using 2006 world data base (TSI06).
Hercynian and Precambrian rocks; Alpine rocks; Rela-
Table 1. Factors influencing the state of stress considered in the tionship for Hercynian rocks and Relationship for Alpine
decision tree. rocks.
Expected horizontal stress magnitude

Factors High Medium Low

The orogenic periods considered here were those occur-
Geodynamic Intraplate ring in the Hercynian (250300 M. a.) and Alpine periods
situation (non (1012 M. a.). If a rock mass underwent both folding events,
cratonized Intraplate it was assigned the oldest age.
regions) (cratons) The parameter H indicates the maximum lithostatic load
Borders of Borders of to which the rock has been subjected over its geological his-
convergent convergent tory. For sedimentary rocks, H can be determined from the
plate plate and Borders of thickness of the rock column above the height at which the
transcurrent divergent site under study is found plus the thickness of eroded mate-
fault plate rials. For igneous and metamorphic rocks, the depth at which
Thermal flow High Medium Low the rocks were emplaced or acquired their elastic properties
Crust thickness High Medium Low are considered. In addition, the tectonic structure in which the
Geomechanical Brittle, high Brittle,
zone examined is emplaced should be taken into account, since
behaviour strength, medium Ductitle, low in regions with overthrusts or inverted folds, part of the strati-
elastic strength, strength, low graphic sequence may be repeated, increasing the value of H.
elastic elasticity Equation (1) includes two coefficients: NC and SC. NC is
Tectoni Compressive Compressive Distensive the coefficient of seismotectonic activity and is fixed at 0.25
structures for zones close to seismogenetic faults or close to plate bound-
Topographic High and Moderate No
aries; its value is 1 in the absence of these conditions. The SC,
effect abrupt relief relief topographical or coefficient of topographic influence is 0.3 in zones with pro-
effect nounced slopes or those close to deep valleys, and 1 when these
Pre-existent Highly Moderate No
conditions are not met. Whichever the case, NC SC 0.25.
loads eroded eroded appreciable The values of 0.25 and 0.3 mentioned above were obtained
effect from an initial database (Gonzlez de Vallejo, 1988). However,
Tectonized Highly Fractured No fractured
in subsequent updates of the TSI (Hijazo, 2004) including a
zones fractured larger number of data, these coefficients were inappropriate
such that they should not be generalized but adjusted for each
region.
Predominant state.
The first relationship between the TSI and K was derived
from instrumental measures from a base of 38 data, cor-
where T = age of the first orogenic period or significant responding to 38 different zones in which several stress
tectonic deformation that affected the rock mass (years), measurements were taken to give a mean value for each zone.
E = elastic modulus of the rock matrix (GPa), H = maximum To this data base (TSI88) more data have been incorporated
lithostatic load supported throughout its geological his- (TSI04 and TSI06 data bases), 172 cases were selected as
tory (metres), NC = coefficient of seismotectonic activity, representative for the purpose of this study (Fig. 3), from a
SC = coefficient of topographic influence. total of 624 cases.

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2007 Taylor & Francis Group, London, UK

 4,0 5,0

3,5 4,5

3,0
4,0

2,5
3,5
K instrumental

2,0
3,0

K instrumental
1,5
2,5

1,0
2,0

0,5
1,5
0,0
1,0 1,5 2,0 2,5 3,0 3,5 4,0 4,5
1,0
TSI

Figure 4. K-TSI relationships for Spain. Hercynian rocks; 0,5

Alpine rocks; Global data (TSI06) relationship for Hercy-
nian rocks; Spanish data relationship for Hercynian rocks;
Global data (TSI06) relationship for Alpine rocks and Spanish 0,0
data relationship for Alpine rocks. 1,0 1,5 2,0 2,5 3,0 3,5 4,0 4,5
TSI
4,50
Figure 6. K-TSI relationships for Scandinavia. Hercynian and
4,00 Precambrian rocks; Global data (TSI06) relationship for Her-
cynian rocks and Scandinavian data relationship for Hercynian
3,50 rocks.

3,00
4 RESULTS
K instrumental

2,50
DTA and TSI procedures have been applied to several regions
2,00 of Europe including Spain, Scandinavia and Western Europe,
where representative in-situ stress measurements and geolog-
1,50 ical and geomechanical data were available. Fig. 4, 5 and 6
show K-TSI relationship for different regions.
1,00 DTA procedures were applied in 11 engineering sites
of Spain where the geological and geophysical information
0,50
needed to fullfill DTA was available. The results obtained
show that of the 11 cases examined, the stress state was cor-
0,00
rectly established in 10, and in 9 of these cases the results of
0,00 0,50 1,00 1,50 2,00 2,50 3,00 3,50 4,00 4,50
the DTA were equivalent to the K values established by the
TSI
TSI index.
Figure 5. K-TSI relationships for Western European regions. Her- Further information and discussion on TSI and DTA
cynian and Precambrian rocks; Alpine rocks; Global data regional results is included in Gonzlez de Vallejo, et al., 2006.
(TSI06) relationship for Hercynian rocks; Western Europe data
relationship for Hercynian rocks; Global data (TSI06) relation-
ship forAlpine rocks and Western Europe relationship forAlpine 5 CONCLUSIONS
rocks.
The decision tree method allows an adequate estimation of
The empirical relationships obtained for hercynian rocks whether the magnitudes of horizontal stresses due to regional
were as follows: stress fields are very high, high, intermediate or low, and if it
is foreseeable that local effects will cause the amplification of
horizontal stresses. The result is accompanied by a probability
percentage or degree of confidence given to the response.
And for alpine rocks: Empirical relationships between K values obtained by
in-situ measurements and those estimated by TSI index for
world data base have shown that 66% percent of the values of

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2007 Taylor & Francis Group, London, UK

K, using world data, fell within the confidence interval corre-
sponding to a deviation of K 0.5. For a deviation K 0.7,
the grouping was 77%. However, if regional data are used,
for which uncertainties are reduced and geological condi-
tions show greater similarity, deviations were much lower. For
Spain, for a mean deviation of K 0.5, the percentage of data
accounted for was 84% and for a deviation of K 0.7 this
percentage was 88%.
Gonzlez de Vallejo, L.I., Hijazo, T., Insua, J.M. & Ferrer, M. 2006.
An assessment of in-situ Rock Stress based on the empirical TSI
index and the logic tree method. Int. Symp. In-situ rock stress,
Norway. Taylor & Francis editors.
Hijazo, T. 2004. Empirical methods to estimate natural stress of tec-
tonic origen. Analysis of TSI empirical index (in Spanish), MSc.
Thesis. Universidad Complutense de Madrid. Unpublished.

REFERENCES

Gonzlez de Vallejo L.I., Serrano A, Capote R. & De Vicente G.

1988. The state of stress in Spain and its assessment by empirical
methods. Procc. Int. ISRM Symposium on Rock Mechanics and
Power Plants. Madrid, pp. 165172.

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2007 Taylor & Francis Group, London, UK

 A new type of loading platen minimizing frictional restraint at the specimen boundary

Myung Sagong, Jong Gyu Kim, Sechul Kim & Jun S. Lee
Department of Track and Civil Engineering, Korea Railroad Research Institute, Uiwang, Korea

Kwang-Ho You
Department of Civil Engineering, University of Suwon, Korea

ABSTRACT: Side restraint generated along the specimen/loading platen interface is a one of key issue determining the accuracy
of the multiaxial test results. In this study a steel piston type loading platen supported by rollers has been developed and the occur-
rence of side restraint for a new type of loading platen and typical unlubricated steel platen is investigated. The rollers installed
at the end of each steel piston are purposed to rotate allowing the free translation of steel piston with the deformation of the
specimens. The measured translation of several pistons clearly shows the no side restraint generated from the new type of loading
platen. However, the unlubricated steel platen shows variable coefficients of friction with confinement and sliding distance.

1 INTRODUCTION
In rock tunnel subjected to high confining stress, one of the
primary stability issues is the occurrence of damage around
the tunnel. Many studies have been performed to investigate
the characteristics of damage around rock tunnel (Meglis et al.
1995, Martin et al. 1997, Fakhimi et al. 2002, and Meglis et al.
2005, Cai & Kaiser 2005). For some of studies biaxial com-
pression test has been employed to simulate the rock tunnel
behavior under the different confining stress conditions and
dimension of the specimens. When one performs biaxial or
triaxial compression tests, a special care has to be given to
prevent the occurrence of a frictional restraint and stress rota-
tion along the specimen/loading platen interface. Application
of compressive stress along the biaxial or triaxial directions
can cause the deformation of a specimen. Since the rigid con-
tact between the rock specimen and loading platen inhibits the
free deformation of the specimen at the interface, a large mag-
nitude of shear stress can occur, if no slippage at the interface
is allowed. In consequence, the applied vertical or horizon-
tal stresses will rotate from the specimen/platen interface
and the frictional restraint will generate along the interface.
These phenomena will lead the rotation of the principal stress
direction; as a result the intended magnitude of vertical or hor-
izontal stresses will not be applied in the specimen from the
interface of the loading platen and specimen. The stress rota-
tion and mobilization of shear stress along the interface will
increase the observed ultimate strength of material. In final
inappropriate boundary condition can distort the test results.
Various types of loading platen have been employed to test
the influences of boundary condition on the strength of the
material during biaxial tests: nonlubricated steel platen, lubri-
cated steel platen, fluid cushion, steel brush and steel piston
with flexible pads (Gerstle et al. 1976, Bobet 2001, Vonk
1992). As has been mentioned by Gerstle et al. (1976), differ-
ent types of loading platen produce different distributions of
normal (vertical) and lateral (horizontal) stresses and displace-
ments. For example, rigid steel platen causes uniform normal
displacement but variable normal stress along the boundary.
The fluid cushion, however, allows variable normal displace-
ment but uniform normal stress. The proper loading platen
for biaxial compression test represents the platen with almost
zero frictional restraint and sufficient rigidity to compress the
specimen.
From that point of view, steel brush type loading platen
has been successfully used up to recently (Vonk 1992, Bobet
2001). The typical steel brush type loading platen is formed
by bolting together of multiple slender brushes mounting on
the thick steel support. The length and the size of individ-
ual brushes vary with the ultimate strength of the specimens.
The cross-sectional shape of the brushes can be either square
or rectangular. During the loading, the individual steel brush
responds independently to prevent the side restraint. Espe-
cially, the brushes must have sufficient buckling capacity,
depending upon the length, cross-section and stiffness of the
brush, to sustain the buckling failure of themselves.
In this study we planned the biaxial compress test with rel-
ative large size (400 3 400 3 100 mm) of specimen compared
to the previous tests. The mounting of steel brush for this size
of specimen showed some limitations with existing uniaxial
loading frame. To accommodate the given condition of the
machine, a steel piston type loading platen is designed and
fabricated. This paper will introduce a new type of loading
platen and show the mobilization and degree of side restraint
for the new loading platen and unlubricated steel platen.
2 STEEL PISTON TYPE LOADING PLATEN
The bending action of the slender steel brush prevents the
occurrence of side restraint during multiaxial tests. Therefore,
the brush must be flexible enough to follow the deformation of
the specimen and rigid enough to transfer the external stress
into the specimen. Since the scale of deformation near the
edge and center of the specimen boundary differs, the brushes
near the edge of the boundary are subjected to higher bending
moment compared to the brush at the center of the specimen.
With the given size of specimen, about 4 mm of deformation
is expected, if the peak strain is about 1%. If the slender steel
brushes are employed for the specimen with the given size in
this study, the allowable length of individual brush should be
shorter than 160 mm, if the cross section of the brush is 100

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2007 Taylor & Francis Group, London, UK

3 5 mm; the number of brushes is 76; elastic modulus of the 2.2 Comparison of side restraint
brush is 231011 N/m2 ; and the expected failure strength of the
The fundamental purpose of loading platen is a successful
specimen is about 30 MPa. The mechanical calculation can
transfer of loads from the actuator to the specimens. There-
be referred from Bobet (2001). Including the brush support
fore sufficient rigidity of loading platen is an essential. Since
with the thickness of 5 cm, the whole vertical length taken by
the new type loading platen employs relatively short and wide
the supports and brushes is over 300 mm (two sets of 50 mm
steel piston compared to the steel brush type loading platen, a
thick supports and 100 mm long brushes). Eventually 700 mm
buckling failure is not a concern. The main issue of new load-
of internal space, including the 400 mm long specimen, along
ing platen is the capability of the reduction of side restraint
the vertical direction is required. The required space can not be
compared to the previous types of platen. Among the various
assured in the given uniaxial loading frame. This limits the use
types of loading platen, Vonk (1992) shows the occurrence of
of traditional steel brush type loading platen. In consequence a
friction and coefficient of friction with sliding of specimen
new type of loading platen was developed to reduce the space
(concrete cube) for the lubricated steel platen. As for a lubri-
taken by the loading platen set-up in the loading frame and
cant, a thin sheet of teflon and a thin grease layer between the
to produce a zero frictional restraint along the interface and
dry steel platen and teflon is used. According to Vonk (1992),
sufficient rigidity of the brushes themselves.
the static coefficient of friction for the teflon lubricated steel
platen is about 0.03. At the initial stage of sliding stick-slip
2.1 Structure of steel piston roller ended loading platen behavior is observed. The coefficient of friction is reduced
with sliding distance.
The new type loading platen consists of steel piston, roller
In this study we have conducted the friction test on the
and support. The dimension of the steel piston is 45 mm in
lateral sides with the new loading platen and the traditional
length and 19.8 mm in width (Fig. 1). All of the pistons are
unlubricated steel platen. Typically the lateral side is the sur-
heat treated. At the rear side of piston one side-opened 6.5 3
face of confinement applied for biaxial tests. The detailed test
5 mm size of rectangular shape is machined to host the 6 mm
setup is shown in Figure 3.
diameter of roller. The roller is cylindrical shape and the length
For the friction test, existing uniaxial loading frame with
of roller is the 150 mm. At the edge of both sides, 16 mm wide
capacity of 2.94 MN was used. The loading machine is servo
pistons are applied to prevent the contact between the vertical
controlled allowing strain and stress controlled load test. For
and horizontal loading platens. The gap between the pistons
the friction test 0.5 and 0.1 mm/min loading rates are applied.
is 4.2 mm. The gaps between the pistons are supported by a
The confinement is applied by the horizontal loading frame.
pair of 0.5 mm thick plate type springs to sustain the initial
The loading capacity of horizontal frame is about 0.98 MN.
position of piston as close as possible. On a one side 17 pistons
The horizontal frame is hanging to the uniaxial loading frame
are installed; as a result, a total of 68 pistons are required
by cables to allow free axial movement during the tests.
along 4 sides of a specimen. From the given scale and number
Additionally advantage on the use of hanging system for the
of pistons, 396.2 mm out of 400 mm length of specimen is
horizontal frame is the application of confinement at the same
covered by the loading platen.
position of the specimen during the loading. The load is sup-
In addition, the 30 mm thick steel supports buttressing
plied by upward movement of base platform. Thus, the actual
the steel pistons and transferring the stress from the actua-
loading sequence is a supplication of load from the bottom
tor to the piston are employed. In consequence, the vertical
of the specimen. Since the length of the suspending cables of
length of the new loading platen is 76 mm, including 1 mm
horizontal frame is fixed, upward movement of base platform
gap between the steel piston and support. The overall view of
also moves upward of horizontal axis. Therefore, the constant
biaxial loading set-up can be found from Figure 2.
loading point of lateral confinement can be assured (see the
insert of Fig. 3).
For the friction test 400 3 400 mm specimen is prepared.
D=6
The specimen is formed from the mixture of highly early-
strength cement and water. The mixing ratio is 50 : 50 in
weight. Several materials have been tested such as gypsum and
45 ordinary Portland cement. However, the highly early-strength
cement has advantage on the low shrinkage and hydration
temperature.

4.2 19.8 4.2

Figure 1. Dimension and structure of individual steel piston (mm).

Figure 2. Steel piston roller ended loading platen set-up. Figure 3. Biaxial test equipment and lateral side friction test setup.

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 Before the friction test the specimen is initially confined
by lateral confinement: 1, 3, and 5 MPa. The specimen is sus-
pended and the open space is secured at the bottom of the
specimen, as can be seen in the inset of Figure 3. The mea-
sured sliding distance is the upward movement of the base
platform. For new type of loading platen the translation of
individual piston is measured at three different locations: 21,
189, 357 mm from the top of the specimen by using LVDTs.
The sliding distances are measured from the three different
locations to the fixed crosshead at the top of the specimen.
The general view of translation measurement can be seen in
Figures 4 and 5.
Figure 5 shows the measured vertical load and sliding dis-
tance of specimen, and steel pistons. As the vertical load is
applied, which represents upward movement of base platform,
the rollers at the end of pistons rotate with sliding of specimen.
The stepwise movement of load and sliding distance are due to
low resolution of the machine at the small magnitude of load-
ing stage. The initial position of the specimen keeps constant
during loading (Fig. 6). With increase of vertical load, linear
increase of sliding distance can be found. However, the sliding
of steel piston at three locations is invariable up to 2 mm of
sliding distance. This indicates perfect functioning of rollers
which allow keeping constant positions of pistons up to 2 mm
sliding of the specimen. Since sliding occurs, no frictional
restraint can be found at the boundary during the loading. At
2 mm of sliding distance we can find the abrupt halt of vertical
load increment and jump of piston movement from Figure 5.
This behavior represents the contact between the guide plate at
the bottom of the new type of loading platen and the last steel
piston. Since the gap between the guide plate and the steel pis-
ton is about 4 mm including the thicknesses of a pair of plate
type springs, the real space guaranteeing the free movement of
Top
400
Middle
Bottom
Figure 4. The locations of steel piston translation measurement.
4 20
Load
Sliding Distance [mm]
2 Sliding
Distance
(specimen)
0
0 0.5 1 1.5 Middle
-2
Time [Sec*10E3]
Figure 5. Measurement of sliding distance and applied load for steel
piston roller ended loading platen (0.1 mm/min).
2007 Taylor & Francis Group, London, UK
the roller would be around 2 mm. As the roller at the last pis-
ton cannot freely rotate, the friction between the specimen and
loading platen is mobilized. The mobilization of friction prop-
agates upward and ends up with the decrease of the distance
between the pistons and crosshead. The measured sliding dis-
tance of pistons represents the slippage between the pistons
and the specimen, which often occurs under the condition of
unlubricated steel platen.
The same type of lateral side friction test for the unlu-
bricated steel platen is conducted for comparison. The test
scheme is shown in Figure 7. In this test 2 LVDTs are installed
to measure displacements of specimen and steel platen, if any
exist. The test results are shown in Figure 8; applied vertical
load and sliding distance for 3 different confinement 1, 3, and
5 MPa conditions.
As expected no relative displacement of steel platen is
observed from the test, thus, only the sliding distance of spec-
imen and applied vertical load are plotted in Figure 8. Figure 8
shows the sliding distance and applied loads for unlubricated
steel platen under the confinement of 1, 3, 5 MPa.
As the confinement is lower, sliding of specimen occurs
earlier. In addition, an increase of confinement increases the
slip stress of the specimen. In this test 0.5 mm/min loading rate
is applied to remove the stepwise load increment observed in
Figure 5. The steps observed in the load curves of confine-
ment 3 and 5 MPa are caused by the limitation of the loading
machine. One interesting observation at each condition of con-
finement is an increase of load after the occurrence of initial
slip up to peak sliding load. Since the static coefficient of
friction must be greater than the dynamic coefficient of fric-
tion, the load should be reduced after initial slip of specimen.
Since the occurrence of the peak loads are found almost the
same sliding distance, we are expecting some tolerance exists.
C C
L C
L
L
Figure 6. Relative position of pistons and specimen before and after
the test.
Load [kN]
Sliding Distance
400
(piston)
Bottom 10
Top
0
Figure 7. Sliding distance measurement for unlubricated steel
platen.
153

Figure 8. Measurement of sliding distance and applied load for
unlubricated steel platen (0.5 mm/min).
0.25
Confining_1 MPa
Coefficient of Friction
Confining_3 MPa
Confining_5 MPa
0.2
0.15
0 1 2 3
Distance of Sliding [mm]
Figure 9. Mobilized coefficient of friction with confinement and
sliding distance.
Further test and investigation are undergoing to find out the
reason for such behavior.
The results of Figure 8 are redrawn in Figure 9. Figure 9
shows the mobilized coefficient of friction with different con-
fining stress. As can be seen, the peak coefficient of friction
values decrease with confinement. The peak coefficient of
friction values are about 0.24, 0.2 and 0.19 when the lateral
confining stress is about 1, 3, 5 MPa. These values are close to
the measurement made by Vonk (1992). The maximum coeffi-
cient of friction measured from concrete cube is 0.18. In final,
we can conclude that the static coefficient of friction decrease
with confining stress and sliding distance. In addition, in a
given confining condition, application of a single coefficient
of friction for numerical analysis may lead inaccurate results.
3 CONCLUSION
Boundary condition is a one of key factors affecting the test
results of multiaxial tests. In this study we introduce a new
type of loading platen producing almost zero side restraint.
The main reason of developing a new type of loading platen
is to minimize the space taken by the loading platen to host a
large size of specimen.
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2007 Taylor & Francis Group, London, UK
A new type of loading platen is the steel piston type load-
ing platen supported by rollers at the end of each piston. The
dimension of the steel piston is 19.8 3 45 mm and the diameter
of the roller is 6 mm. To cover the 400 3 400 mm size speci-
men, a total 68 steel piston are employed, 17 for each side. At
the rear of the piston 6.5 3 5 mm size of rectangular shape is
machined to locate the roller. This roller is purposed to allow
free movement of the piston.
Lateral side friction tests have been conducted for a new
type of loading platen and typical unlubricated steel platen.
During the test, lateral confining stress, vertically applied load
and sliding distance of specimen are measured in common.
In addition, relative translations of pistons located near the
top, middle and bottom of the specimen are also measured.
The measurement displays that the new type of loading platen
produces no side restraint with sliding of the specimen. Fur-
thermore, the friction test of unlubricated test shows that the
coefficient of friction varies with sliding distance and confine-
ment. The observed peak values of coefficients of friction are
about 0.24, 0.2 and 0.19 for the confinement of 1, 3, 5 MPa.
This result indicates that calibrated characteristics of speci-
men/platen interface must be applied during the numerical
analysis for the purpose of back analysis.
REFERENCES
Bobet, A. 2001. Influence of the loading apparatus on the stresses
within biaxial specimens. Geotechnical Testing Journal, Vol. 24,
No. 3, pp. 256272.
Cai, M. & Kaiser, P.K. 2005. Assessment of excavation damaged
zone using a micromechanics model. Tunnelling and Underground
Space Technology, Vol. 20, pp. 301310.
Fakhimi, A. Carvalho, F. Ishida, T. & Labuz, J. F. 2002. Simulation
of failure around a circular opening in rock. International Journal
of Rock Mechanics & Mining Sciences Vol. 39, pp. 507514.
Gerstle, H. G. Linse, D. L. Bertacchi, P. Kotosovos, M. D. Ko H-Y.
Newman, J. B. Rossi, P. Schickert, G. Taylor, M. A. Traina, L. A.
Zimmerman, R. M. & Bellotti, R. 1976. Strength of concrete
under multiaxial stress states. Proceedings of Douglas McHenry
International Symposium of Concrete and Concrete Structures,
pp. 103131.
Martin, C. D. Read, R. S. & Martino, J. B. 1997. Observation of
brittle failure around a circular test tunnel. International Journal
of Rock Mechanics and Mining Sciences & Geomechnics Abstracts
Vol. 34, No. 7, pp. 10651073.
Meglis, I. L. Chow,T. M. &Young, R. P. 1995. Progressive microcrack
development in tests on Lac du Bonnet Granite I. Acoustic emis-
sion source location and velocity measurements. International
Journal of Rock Mechanics and Mining Sciences & Geomechnics
Abstracts Vol. 32, No. 8, pp. 741750.
Meglis, I. L. Chow, T. Martin, C. D. & Young, R. P. 2005. Assessing
in situ microcrack damage using ultrasonic velocity tomogra-
phy. International Journal of Rock Mechanics & Mining Sciences
Vol. 42, pp. 2534.
Vonk, E. 1992. Softening of concrete loaded in compression. Ph. D.
thesis, Eindhoven University of Technology, The Netherlands.
 A review of the Cerchar and LCPC rock abrasivity measurement methods

R.J. Fowell
School of Process, Environmental & Materials Engineering, University of Leeds, Leeds, UK

M.Z. Abu Bakar

Department of Geological Engineering, University of Engineering & Technology, Lahore, Pakistan

ABSTRACT: With the increased use of mechanized rock excavation, there have been developed internationally a number of
methods to assess the abrasivity of rock materials. These methods range from determination of hard mineral content using
petrographic thin section analysis or x-ray diffraction (XRD) analysis to weight loss or rate of wear flat development on
specified test pieces. 35 rock samples covering igneous, sedimentary and metamorphic rocks were used for evaluation of the
abrasivity test developed by the Centre dEtudes et de Recherches des Charbonnages de France, (CERCHAR test) and the the
abrasivity test developed by the Laboratoire des Ponts et Chausses, France, (LCPC test). XRD and thin section analyses were
also conducted for quantitative mineral content analysis. Factors influencing the results obtained from these test methods were
investigated. The influence of test surface roughness and styli hardness used in the CERCHAR abrasivity test were explored.
The LCPC test was analyzed to develop a possible correlation between the abrasivity coefficient (ABR) (g/t) and the CERCHAR
abrasivity index (CAI)(0.1 mm) values.

1 INTRODUCTION
The abrasiveness of rock is one of the issues of concern to engi-
neers considering the excavation of tunnels by either full-face
or partial-face tunnelling machines. Even if the rock is not too
strong for mechanized excavation, wear of cutting tools if the
rock is abrasive may lead to costly tool replacement rates. Not
only is tool wear a problem, but other machine components
coming in contact with the rock during excavation also experi-
ence wear and cause expensive component replacements and
downtime. Many methods have been proposed over the years
by a number of researchers for assessment of rock abrasiv-
ity but only a few have gained common acceptance in the
industry and none of these methods have been standardized
internationally. The methods developed so far are summarized
in Table 1.
The CERCHAR abrasivity index test has been widely
accepted for the assessment of rock abrasiveness. This
test has been considered to provide a reliable indication
of rock abrasiveness and has been used by a number of
researchers (Atkinson et al., 1986; Suana and Peters, 1982;
Michalakopoulos et al, 2006). Work by West (1986) and
West (1989) indicated that CERCHAR abrasivity index values
showed good correlation with the hardness of minerals deter-
mined from Mohs scale of hardness. Bilgin et al. (1988) used
this test for prediction of roadheader pick consumption rate,
while Wijk (1992) used this test to develop a mathematical
model for prediction of tunnel boring machine performance.
Attempts were also made to check the effects of using soft and
hard steel styli (Al-Ameen and Waller, 1994) and Plinninger
et al. (2003) analyzed the effects of diamond sawn and freshly
broken rock surfaces on the CERCHAR test results.
The LCPC test method is still not very widely used, though
in recent years, it has been used in individual cases for pre-
liminary investigations for tunnelling projects to determine
the abrasivity of rocks. Attempts have been made to correlate
the results of the CERCHAR test with the LCPC abrasivity
index ABR (g/t) which is calculated in grams lost by the metal
test propeller per tonne of the sample material (Bchi et al.,
1995). Though reasonable correlations have been found for
some rock types with similar mineral compositions, testing
was undertaken to investigate the rock characteristics that were
influencing the results obtained.
Micro cracks, grain shape and grain size of the minerals as
well as their spatial arrangement influence the results of both
the CERCHAR and the LCPC test methods.
Thin section analysis has been used in the past for the
determination of Schimazeks F-value and hence for determi-
nation of rock abrasivity. West (1981) describes that quartz
content, determined either from thin sections or by X-ray
diffraction analysis, which is sometimes used as a measure
of rock abrasiveness.
The current study analyzed various factors influencing the
results of the CERCHAR test and the LCPC test. Efforts were
made to develop correlations between different test results
by changing certain test parameters. The differences between
using diamond sawn and freshly broken rock surfaces and the
use of hard and soft steel styli on the values for the CERCHAR
abrasivity index were analyzed. The LCPC abrasivity test was
conducted to explore a possible correlation with CERCHAR
abrasivity index test results. The effect of using water on the
values of ABR (g/t) was also analysed.
2 RESEARCH METHODOLOGY
Thirty five abrasive sedimentary, metamorphic and igneous
rock types were selected for testing. Thin sections of some of
the selected rock samples were prepared and x-ray diffraction
analysis was carried out for quantitative mineral content anal-
ysis. CERCHAR and LCPC testing was carried out on all the
rocks.
2.1 The CERCHAR test
The test apparatus used for the CERCHAR test was developed
in accordance with the method presented in the CERCHAR

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Table 1. Summary of rock abrasivity measurement methods developed to 2007.

Petrological Methods
Source Method Principle

Rosiwal, 1896 Rosiwal grinding hardness Grinding test by rotating test sample of 400 mm2 on metal or glass disc
using corundum powder for 8 minutes.
Schimazek and Knatz, 1970 Schimazeks F-value F = (Qtz. eq ** BTS)/100 (N/mm)
Where
Qtz.eq = Quartz equivalent, %
= Grain diameter, mm
BTS = Brazilian tensile strength, MPa
West, 1981 Scratch hardness Using Mohs scale of hardness to calculate hardness of individual minerals
and hence hardness of rock.
Verhoef, 1997 Vickers and Knoop hardness Static indentation tests used to give a measure of hardness of minerals.
Mechanical Methods
Belugou et al., 1964 The CERCHAR abrasivity test A sharp steel conical point of cone angle 90 is passed across the surface
of a rock specimen for a distance of 10 mm under a normal load of 7 kgf.
The abrasiveness testing pins are made of steel with a well defined steel
quality of 200 kg/mm2 tensile strength with a Rockwell hardness of
HRC 5456. The abrasiveness of the rock is obtained by measuring the
diameter of the resulting wear flat on the steel cone. The unit of
abrasiveness is defined as wear flat of diameter 0.1 mm.
Schimazek and Knatz, 1970 Schimazeks pin-on-disc test Mass loss of a 10 mm steel pin of 700 MPa tensile strength with 90
cone angle held vertically, radially moving outward on a rotating rock
disc under a load of 4.5 kg.
Tarkoy and Hendron, 1975 Modified Taber abrasion test A 6 mm thick disc of rock cut from a 50 mm diameter core sample is
subjected to 800 revolutions (400 on each side) under the action of an
abraser wheel loaded with a 250 g weight. The rock abrasiveness is
obtained by measuring the weight loss of the abraser wheel and is
defined as the reciprocal of this weight loss in grams.
Paschen, 1980 Pin-on-disc test Same as Schimazeks pin-on-disc test but pin horizontally pressing the
rotating rock disc.
West, 1981 The Steel Cube test A bright mild steel cube is tumbled for three hours in a tumble-polishing
machine together with a 900 g sample of rock aggregate saturated with
water. The loss in weight per hour of the steel cube, expressed as a
percentage of its original weight, is a measure of the abrasiveness
of the rock.
West, 1981 Silica content Chemical analysis of finely powdered rock.
Janach and Merminod, 1982 Rock abrasivity test with Wear of the indentation tool is measured as the weight loss for a given
modified Schmidt hammer total impact energy in mg/kJ.
AFTES, 1982 The LCPC test 500 g of rock broken to a grading corresponding to the 4/6.3 mm fraction
is used. The test sample is placed in a vertical cylindrical mould 100 mm
in diameter. A steel insert (50 25 5 mm) of grade XC 12, placed in a
horizontal plane at the end of a vertical metallic shaft, is immersed
in the material and rotated at 4500 rpm for 5 minutes. Mass loss of the
insert is a measure of rock abrasivity.
Roxborough, 1987 Core abrasion test Core placed in a lathe rotating at 50 rpm and feeding the tungsten
carbide insert at an angle of 45 axially along the outer surface of the
core. The abrasive wear expressed in weight loss of carbide divided by
cutting length (mg/m).
Deketh et al., 1998 Dekeths scraping test A lathe is used to rotate rock discs, 140 mm in diameter, which are
penetrated by the chisels with a constant feed. Mass loss of chisels is a
measure of rock abrasivity. The chisels are obtained from cutter
suction dredger teeth.
Nilsen et al., 2006 The NTNU method The Brittleness test, the Sievers J-value and the Abrasion tests are
conducted to calculate DRI (drilling rate index) and BWI (bit wear index).

(1986) recommendations and consists of a stylus clamped
in a holder which is subjected to a 7 kg dead weight with
an arrangement to slide the stylus for a distance of 10 mm.
The geometrical features of the testing stylus are defined in
the testing recommendations CERCHAR (1986) and suggest
the use of hardened steel with a Rockwell Hardness HRC of
5456 and a tensile strength of about 2000 MPa . As reported
by Plinninger and Thuro (2003) steel qualities have in the
past been varied within a wide range for different reasons,
as there are problems in material procurement (West, 1989)
or softer styli give better testing results when testing low
abrasive rock types (Al-Ameen and Waller, 1994). For com-
parison purposes softer steel styli (220 VPN hardness) were
also prepared for this investigation.

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 CERCHAR (1986) recommends that the tests should be
carried out on even freshly broken rock surfaces. According
to Plinninger and Thuro (2004) experience has shown that
in many inhomogeneous rock types (such as conglomerates,
coarse grained granite or schistose rock types), no suitable
rock surfaces may be gained by breaking the rock sample with
a hammer or any other splitting device.
After scratching the test stylus on the rock sample for a dis-
tance of 10 mm, the test stylus was carefully examined under
the microscope and the wear flat was measured in 1/10th of a
mm to obtain the CERCHAR abrasivity index, CAI (0.1 mm).
The original recommendations by CERCHAR (1986) suggest
the measurement of wear flat using a microscope. Plinninger
and Thuro (2004) have recommended two measurements to
be carried out at 90 degrees to each other and a mean value
should be used for further interpretation.

2.2 The LCPC test

The dimensions and material of the steel inserts used for LCPC
test are specified by Association Franaise des Travaux en
Souterrain, AFTES (1982). Table 1 gives the details of the Figure 1. Correlation between CERCHAR abrasivity index values
test. for freshly broken and saw cut rock surfaces for all rocks.

both steel types used. A moderate linear correlation was estab-

3 EVALUATION OF EXPERIMENTAL DATA
3.1 The CERCHAR test results
3.1.1 Correlation between CAI (0.1 mm) and CAIs (0.1 mm)
Plinninger et al. (2003) have developed a correlation between
CERCHAR abrasivity index values for diamond sawn and
freshly broken rock surfaces and have proposed that the CAI
values on rock samples with rough surfaces have a CAI
of about 0.5 higher than the samples with smooth surfaces.
According to the authors this trend shows good to moderate fit
and even data distribution which does not depend on the rock
samples lithological characteristics. The CERCHAR abrasiv-
ity test data from this research programme was also plotted
to check the existence of any such correlation. A good cor-
relation with R2 value of 0.89 was obtained when data for
all igneous, metamorphic and sedimentary rocks was plotted
(Figure 1) generating the following correlation equation:
where CAI = CERCHAR abrasivity index for fresh broken
rough surfaces; and CAI s = CERCHAR abrasivity index for
saw cut smooth rock surfaces.
All predicted values of the CAI (0.1 mm) were found to
be lying within the 95% CI (confidence interval) proving the
validity of the equation. The correlation equation developed
validates the research conducted by Plinninger et al. (2003) by
showing that there is an increase in the values of CAI (0.1 mm)
when tested on broken rough rock surfaces. The only dif-
ference is that the increase in CAI (0.1 mm) values on rough
surfaces seems to be of the order of 0.2 for the rock types
tested.
3.1.2 Correlation between CAIs (0.1 mm) using soft and
hardened steel styli
CERCHAR test using both soft steel of 220 VPN hardness
and hardened steel styli of 660 VPN hardness were also con-
ducted on diamond sawn rock surfaces to develop a correlation
between CERCHAR abrasivity index values obtained from
lished (Figure 2). The correlation developed the following
equation:
where CAI soft = CERCHAR abrasivity index values using
220 VPN styli and CAI hard = CERCHAR abrasivity index
values using 660 VPN styli.
Al-Ameen & Waller (1994) also developed a correlation
between soft EN3 and hard EN24 styli. They obtained a mod-
erate correlation between the two steels tested and found a
quadratic relationship between the two steel types. The dif-
ference was that they used polished rock surfaces, whereas in
this research work saw cut rock surfaces were used. Also they
tested only coal measure rocks with soft EN3 styli, whereas
in this research all rock types were tested using both soft
220 VPN and hard 660 VPN styli.
3.1.3 Correlation between CERCHAR Index, grain size,
quartz equivalent and Brazilian tensile strength
To establish a correlation between the CERCHAR abrasivity
index test results, grain size, quartz equivalent content and
Brazilian tensile strength (BTS), stepwise multiple regres-
sion analysis using SPSS software was used. This software
relates the dependent variable to the independent variables
in a stepwise fashion calculating the significance of the p-
value. The p-value of a statistical significance test represents
the probability of obtaining values of the test statistic that are
equal or greater in magnitude than the observed test statistic.
A p-value of 0.05 is a typical threshold used in industry. BTS
was removed from the analysis based on its p-value signifi-
cance in the second run using the backward selection method,
generating Equation 3 with an R2 value of 0.82.
where CAIs = CERCHAR abrasivity index values using
660 VPN styli on saw cut surfaces (0.1 mm); Qtz.Eq = Quartz
equivalent (%); and GrSize = Grain size (mm).

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Figure 2. Correlation between CERCHAR index values on dia-
mond sawn rock surfaces using 220 VPN and 660 VPN test styli.
Although all predicted values were lying within the 95% CI,
quite high values of the standard error of the estimate made
this prediction model less reliable. Higher values of standard
error of estimate were expected because of only 10 data sets
were available for the prediction model.
3.2 Thin Section and X-ray diffraction analyses
3.2.1 Correlation between quartz content determined by
thin section and X-ray diffraction analyses
Thin section analysis is conventionally used to find the
percentages of the minerals present in the rocks under con-
sideration. This technique although valid, but is quite time
consuming in terms of thin section preparation, can easily
be interpreted differently because interpretation is subjective
requires special skills to identify individual minerals present
in the section. On the other hand x-ray diffraction analysis
requires less sample preparation time and results are accurate.
A correlation between the available results of thin section and
x-ray diffraction analyses was established. A very good corre-
lation (Figure 6) with R2 value of 0.98 was established between
the quartz content from the two tests, suggesting the following
as a correlation equation:
where Qtz Thin.Sec = Quartz percentage from thin section anal-
ysis; and Qtz XRD = Quartz percentage from x-ray diffraction
analysis.
3.3 The LCPC test
3.3.1 Correlation between ABR (g/t) and CAI (0.1 mm)
Very little work has been done to correlate the results of LCPC
and CERCHAR tests. Bchi et al. (1995) analyzed both the
CERCHAR and the LCPC tests and found that the correlation
between the two methods was not good for all groups of rocks.
Rocks with similar mineral compositions can lead to almost
identical values in the case of the one test, in the other they
result in a considerable difference in their abrasivity class. In
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2007 Taylor & Francis Group, London, UK
1600
1400 Sedim entary Rocks
Igneous & Metam orphic rocks
1200 Fe-Ni Ore
LCPC ABR (g/t)
1000
800
600
400
200
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
CAIs (0.1 mm)
Figure 3. Scatter plot of ABR (g/t) against CAI (0.1 mm).
this study when correlating the results of the LCPC test and
the CERCHAR test, it was found that a poor correlation exists
between the two indices for all the rocks tested (Figure 3).
Although igneous and metamorphic rocks showed some form
of linear correlation between the two indices, sedimentary
rocks showed a very poor correlation. The sedimentary rocks
especially abrasive sandstones which were found to be very
abrasive and extremely abrasive in the CERCHAR tests
showed very little abrasiveness in the LCPC test (Table 2). The
factor which seemed to be playing a dominant role in the mass
lost by the steel test pieces in the LCPC test was the strength of
the rock. The tested rocks especially the types listed in Table
2 had their CAI (0.1 mm) values ranging between 2 and 4.5
(very abrasive to extremely abrasive according to CERCHAR
(1986) abrasiveness criteria), but these showed values of ABR
(g/t) ranging from 140 to 1420 (very low to average abrasive-
ness according to AFTES (1982) abrasiveness criteria). The
strength values of the tested rocks clearly indicate that theABR
(g/t) values for the rocks like sandstones are very dependent
on the strength of the rock apart from other factors such as
mineralogy and angularity of grains, whereas rocks with rel-
atively higher values of compressive strength like greywacke
and flint are showing some abrasiveness in the LCPC test.
3.3.2 Effect of using water on the values of ABR (g/t) in the
LCPC test
The use of water or bentonite slurry with crushed rock
aggregate in the LCPC test in connection with the slurry
shield tunnelling and EPB (earth pressure balanced) tun-
nelling projects has been mentioned in the literature (Bchi
et al., 1995). A limited number of tests were conducted in this
research work to check the effect of using water in the LCPC
test. Seven highly abrasive rock types were selected to check
the influence of using water on the values of ABR (g/t). 200
ml of fresh water with 500 g of crushed rock aggregate was
used in the test. This quantity of water was sufficient to sub-
merge the rock sample in the 100 mm diameter steel mould.
The tests were conducted at the maximum specified speed of
4500 rpm for 5 minutes. An appreciable increase in the wear
and hence the ABR (g/t) values was observed.
Table 3 provides the values of ABR (g/t) for tested rocks
with and without using water.
The increase in the ABR (g/t) values was attributed to the
formation of a thick abrasive slurry as a result of crushing
of rock sample and mixing with water during the test. This
phenomenon was opposite to the dry tests in which at the end
of most of the tests a thick deposition of rock flour was found
on the sides and the bottom of the mould. During removal of
the rock flour from the sides and bottom of the mould some
 Table 2. Comparison of CERCHAR test, LCPC test and UCS test results of selected rock types.

CERCHAR Test LCPC Test

Rock Tested UCS (MPa) CAI (0.1mm) Abrasiveness ABR (g/t) Abrasiveness

Sandstone 71 2.02 Very abrasive 340 Very low

Penrith Sandstone 81 4.2 Extremely abrasive 140 Very low
Woodkirk Sandstone 88 3.42 Very abrasive 540 low
Greywacke 278 2.5 Very abrasive 920 low
Flint >300 4.5 Extremely abrasive 1420 Average

Table 3. Comparison of ABR (g/t) values obtained using water and
without water.
ABR(g/t) ABR (g/t)
Rock Type with Water without Water
Pennant Sandstone 1800 740
Flint 1560 1420
Grey Granite 1300 1100
Dark Pink Granite 1780 1300
Minnesota Grey Granite 1620 1460
Granite 1580 1480
Felsic Gneiss 1900 1300
intact rock fragments were found under the rock flour. This
observation confirms that in the dry tests most of the time
the steel insert rotates in a material of very low strength and
the mass loss of the insert is either due to initial impact with
intact rock pieces and later on due to contact with an abrasive
powder, whereas in the case of tests with water, the steel insert
not only rotates against intact rock pieces at the start of the test
but also against a thick abrasive slurry as the test progresses.
4 CONCLUSIONS
The CERCHAR abrasivity test is an industry standard but
for comparison purposes requires standardization in terms
of styli material properties and scratched surface prepara-
tion. The CERCHAR test has the advantage of being easily
conducted but has the disadvantage of only testing a minute
amount of rock with one test and requires an increased num-
ber of tests where the rock is inhomogeneous. The results of
the research presented in this paper show that the CERCHAR
tests conducted on rough freshly broken rock surfaces have
CAI (0.1 mm) values 0.2 higher than the CAI (0.1 mm) values
obtained from diamond sawn rock surfaces. This conversion
factor can be used to convert CAI (0.1 mm) values obtained
from diamond sawn rock surfaces to freshly broken rock sur-
faces. Soft steel styli of 220 VPN hardness can be used in place
of hardened steel styli of 660 VPN by the use of the correlation
equation, (Equation 2).
X-ray diffraction analysis can be used with confidence
for quantitative mineral content analysis, avoiding lengthy
process of thin section preparation and analysis.
The LCPC test once setup is easy to perform and tests a
larger amount of rock sample than the CERCHAR scratch
test. Preparing the required size range is time consuming. The
LCPC test results obtained showed that the sandstones tested
produced low ABR (g/t) values when compared to the CER-
CHAR values, this could result in an underestimation in wear
and tool replacement rates in these rocks, if ABR (g/t) values
were used in isolation. For igneous and metamorphic rocks
tested a linear relationship was identified between ABR (g/t)
and CAI (0.1 mm).
The testing undertaken in this investigation has highlighted
some of the factors influencing measured results and estab-
lished interrelationships between wear/abrasion tests, where
they exist. This work is worthy of further investigation with the
relationships between tool consumption rates and measures of
abrasivity established.
REFERENCES
A.F.T.E.S.1982. (Association Franaise des Tunnels et de lEspace
Souterrain). Proposals Concerning the Measurement and Testing
to be Performed in Connection with Mechanical Cutting: Char-
acterization of Rock Samples. Working Group N.4, Mechanized
Excavation.
Al-Ameen S.I. and Waller M.D. 1994. The Influence of Rock Strength
and Abrasive Mineral Content on the Cerchar Abrasive Index. Eng.
Geol., Vol. 36, pp. 293301.
Atkinson T., Cassapi V.B. and Singh R.N. 1986. Assessment of Abra-
sive Wear Resistance Potential in Rock Excavation Machinery.
Int.J of Mining and Geological Engineering. Vol. 3, pp. 151163.
Belugou P., Valantin A. and Guillon P. 1964. Etude des pics des
machines dabattage. Revue de lIndustrie Minrale.
Bilgin N., Seyrek T. and Shahriar K. 1988. Golden Horn Clean-
up Contributes Valuable Data. Tunnels and Tunnelling, No.6, pp.
4144.
Bchi E., Mathier J.F. and Wyss Ch. 1995. Rock Abrasivity-a signifi-
cant cost factor for mechanical tunnelling in loose and hard rock.
Tunnel, No. 5, pp. 3844.
CERCHAR. 1986. The Cerchar Abrasiveness Index. Cerchar-Centre
d Etudes et Recherches de Charbonnages de France.12 S.,
Verneuil.
Deketh H.J.R., Grima M.A., Hergarden I.M., Giezen M. and
Verhoef P.N.W. 1998. Towards the Prediction of Rock Excavation
Machine Performance. Bull. of Eng Geol and the Environment,
Springer Verlag, Vol. 57, No.1, pp. 315.
Janach W. and Merminod A. 1982. Rock Abrasivity Test with a Mod-
ified Schmidt Hammer. International Journal of Rock Mechanics
and Mining Sciences, Vol. 19, pp. 4345.
Michalakopoulos, T.N., Anagnostou, V.G.,Bassanou, M.E. and Pana-
giotou. 2006. The influence of steel styli hardness on the Cerchar
abrasiveness index value.International Journal of Rock Mechanics
and Mining Sciences, Vol. 43, pp. 321327.
Nilsen B., Dahl F., Holzhuser J. and Raleigh P. 2006. Abrasivity
Testing for Rock and Soils. Tunnels and Tunnelling International,
April 2006, pp. 4749.
Paschen D. 1980. Petrographic and Geomechanical Characteriza-
tion of Ruhr Area Carboniferous Rocks for the Determination of
their Wear Behaviour. PhD Dissertation, Technische Universitt
Claustahl. pp. 202.
Plinninger R.J, Ksling G., Thuro K. and Spaun G. 2003. Testing
Conditions and Geomechanical Properties Influencing the CER-
CHAR Abrasiveness Index (CAI) Value. Int. J of Rock Mech and
Min Sci, V40, pp. 259263.

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Rosiwal A. 1896. New Research Findings on the Hardness of Min-
erals and Rocks. Verhandlungen der knigl. Geol. Reichsanstalt,
Wien: 17 & 18, 475491.
Rosiwal A. 1916. New Findings on the Hardness Determination of
Minerals and Rocks An Absolute Measure for the Hardness of
Brittle Materials. Verhandlungen der knigl. Geol. Reichsanstalt,
Wien: 5 & 6, 117147.
Roxborough F.F. 1987. The Role of Some Basic Rock Properties
in Assessing Cuttability. Proceedings of the Seminar on Tunnels-
Wholly Engineered Structures, (IEAust: Canberra), pp. 121.
Schimazek J. and Knatz H. 1970. The Influence of Rock Composi-
tion on Cutting Velocity and Chisel Wear of Tunnelling Machines.
Glckauf, No. 106, pp.274278.
Suana M. and Peters Tj. 1982. The Cerchar Abrasivity Index and
Its Relation to Rock Mineralogy and Petrography. Rock Mech,
Springer Verlag, V. 15, pp. 17.
Tarkoy P.J. and Hendron A.J. 1975. Rock Hardness Index Proper-
ties and Geotechnical Parameters for Predicting Tunnel Boring
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Machine Performance. Report for the National Science Founda-
tion, Research Grant GI-36468. Urbana, University of Illinois.
Verhoef P.N.W. 1997. Wear of Rock Cutting Tools: Implications for
the Site Investigation of Rock Dredging Projects. A.A. Balkema,
Rotterdam. pp. 327.
West G. 1981. A Review of Rock Abrasiveness Testing for Tun-
nelling. Proceedings of the International Symposium on Weak
Rock, Tokyo, 2124 September 1981, pp. 585594.
West G. 1986. A Relation between Abrasiveness and Quartz Con-
tent for some Coal Measures Sediments. Int. J of Mining and
Geological Engineering, Vol. 4, pp. 7378.
West G. 1989. Rock Abrasiveness Testing for Tunnelling: Technical
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Wijk G. 1992. A Model of Tunnel Boring Machine Performance.
Geotechnical and Geological Engineering, Chapman & Hall, Vol.
10, pp. 1940.
 A unified procedure for Hoek-Brown prediction of strength and post yield behaviour for
rockmasses at the extreme ends of the rock competency scale

T.G. Carter
Golder Associates Ltd., Mississauga, Ontario, Canada

M.S. Diederichs
GeoEngineering Centre, Queens University, Kingston, Ontario, Canada

J.L. Carvalho
Golder Associates Ltd., Mississauga, Ontario, Canada

ABSTRACT: The Hoek-Brown Strength criterion, and associated parameter relationship expressions with GSI, has proven
remarkably successful for accurately defining rock mass behaviour for most practical engineering situations, where block
size and discontinuity controlled shear failure dominates ground behaviour. However, difficulties have been encountered with
application of the strength criterion at the extreme ends of the rock competence scale. In the midrange of this scale, block
size and incipient strength is such that rockmass behaviour tends to be controlled by inter-block shear strength rather than by
material strength. At the low end of the scale (for very weak rocks with UCSi 10 MPa) rock mass strength conforms with
matrix strength and structure has minimal impact. At the high end (GSI  65 and mi  15) in situ rock mass strength for a
given rock type reaches a maximum controlled by spontaneous crack propagation (spalling) after crack initiation for rocks with
high mi and by crack accumulation, interaction and coalescence of cracks (resulting in matrix shearing) for rocks with low or
moderate mi values. Transition relationships are introduced on the basis of material behaviour as a basis for better defining the
full range of GSI related Hoek-Brown parameters m, s and a.

1 INTRODUCTION 2 EXTENDED APPLICABILITY SUGGESTIONS

Rock mass classification systems, including the GSI system, This paper builds on two recent publications (Carvalho et al.,
for rockmass strength estimation (Marinos & Hoek, 2000), are 2007 and Diederichs et al., 2007) that address the two ends of
based on the principle that structure within a rockmass acts to the rock mass competence scale where current classification-
reduce both the cohesion and frictional properties, represented based strength criteria face limitations in characterizing a
by a degradation in s and in m respectively, in the Hoek- rockmass in a way that is consistent with its behaviour. At the
Brown non-linear criterion (Hoek et al, 2002).
The Hoek-Brown criterion admirably handles normal rock-
mass behaviour for rock excavations, both for underground
and surface applications. At the two ends of the rock com-
petence scale however, (for very low strength rocks and
for spall-prone, high GSI rockmasses) difficulties have been
experienced in using the criterion, largely because outside
this range rockmass behaviour becomes less controlled by
discontinuities. (Figures 1 and 2).

Figure 1. Comparison between (left) shear failure behaviour under
squeezing conditions in a low GSI rockmass (courtesy of E. Hoek);
and (right) brittle spalling and strain bursting failure behaviour in a
10 MPa) and (2) spall-prone
high GSI rockmass.
Figure 2. Transition from standard GSI and Hoek-Brown m, s and
a parameter applicability to proposed transition relationships (1) for
very low strength rocks (UCS i = ci
rocks (mi > 15 and GSI > 65).

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2007 Taylor & Francis Group, London, UK

Figure 3. Soil to Rock transition with rockmass strength
UCS rm = crm plotted as function of intact strength, ci , and GSI.
(Upper GSI limit as calculated from RMR for weak rocks is shown).
Figure 4. UDEC modelling results for Low Strength Rockmass
showing stressstrain curve and deformation.
low end of the competency scale, rockmass behaviour tends to
be governed by matrix characteristics rather than by the shear
strength of the discontinuities that transect the rock mass. The
same holds true at the other end of the competency scale,
where rockmass behaviour again approaches that of the intact
material, rather than that of a jointed rockmass.
In a manner analogous to the fundamental behavioural dif-
ference recognized in fluid mechanics between flow under
laminar and turbulent conditions (Reynolds 1883, Moody
1944), a distinct difference can also be defined between
matrix-dominated behaviour, at the low end of the rockmass
competence scale, below a UCSi = ci of about 10 MPa, where
rockmasses are soil-like and tend to comply with the essen-
15 MPa) where the rock mass
tially linear Mohr-Coulomb failure criterion, and material
higher on the GSI scale where more normal discontinuity-
controlled blocky rockmass behaviour dominates, (Figure 3).
Here the rock/soil matrix is, in effect, weaker than the joints
in terms of failure mechanics.
This rockmass transition from matrix-dominated soil-like
behaviour, to blocky rockmass behaviour where shear failure
and rock block interlock interaction dominate (well replicated
by the Hoek-Brown failure criteria), can be quantified from
available data and numerical modelling (ref Figure 4, from
Carvalho et al., 2007).
At high GSI, the upper bound threshold is the point of
critical crack interaction (defined for lab samples as crack
coalescence). For lab samples and for low to moderate mi
rocks in the field (mi < 15) this upper bound is reached when a
critical density of accumulating cracks is reached, so that crack
interaction and coalescence occurs (often resulting in a ductile
or brittle shear band). For spall-prone rocks (mi > 15 as per
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2007 Taylor & Francis Group, London, UK
Figure 5. Damage initiation and propagation limits for spalling in
high GSI rockmasses (from Diederichs, 2003) showing the reduction
in strength from the long term lab strength (crack coalescence) to the
damage initiation threshold for spall-prone rocks in situ.
Lee et al., 2004) at high GSI (and low disturbance or blast dam-
age), however, the field behaviour differs dramatically from
the lab behaviour (Diederichs 2003, Martin 1997). Near tun-
nel or pillar walls, low confinement and geometrically distinct
conditions exist that lead to spontaneous extension crack prop-
agation or spalling under high wall-parallel stress (as detailed
in Diederichs 2003, 2007). In the extreme, only individual
cracks are required for spall formation and strength loss. As
such the yield strength drops, as shown in Figure 5, from the
lab crack coalescence or long term strength threshold to
the strength defined by crack initiation independent of joint
density for high GSI and high mi rocks.
3 TRANSITION RELATIONSHIPS
Typically, rockmass behaviour through the normally encoun-
tered mid-range of rock block size conditions, where
interblock shear failure dominates, is well modelled by the
Hoek-Brown failure criterion and the GSI system as per Hoek
et al. (2002). Difficulties generally arise only when trying
to characterize rockmasses at the two ends of the rock com-
petency scale, when UCSi
behaviour is matrix controlled and at the high end of the
scale (high GSI and mi > 15) where rockmass failure demands
creation of new fractures.
3.1 Low GSI range transition
At the low strength end of the rockmass competency
scale, a transition function has been developed to appropri-
ately modify the Hoek-Brown criterion to replicate strength
behaviour of rock-soil materials (Carvalho et al., 2007). Here,
UCSi = ci = 0.5 MPa (for a standard sample size) is assumed
to be a practical upper soil strength limit. Below this point,
it is difficult for physically meaningful structural disconti-
nuities to exist. Above this limit, remnant structure results in
transitional behaviour up to approximately 10 to 15 MPa, after
which structural features are discrete and dominant. Further
(Fig 3), it was found that more soil-like material exhibits more
linear strength behaviour (a 1) compared to the non-linear
strength envelope for rock. Parameter mb in the linearized
form of the envelope has to be adjusted from conventional
specifications which are based on a 0.5 so the modified mb
becomes a function of a as well. Test results in regolith and
saprolite suggest that when full linearization is used to fit the
data, the value of m obtained is of the order of 1/3 mi , obtained
by classical Hoek-Brown fitting with a = 0.5. The expression
proposed has the following transition function parameters:

where . . .

Figure 6. Application ranges for Spalling approach (SP) and con-

3.2 High GSI range transition
At the upper end of the rockmass competency scale, a
transition in behaviour occurs between an inter-block shear-
dominated rockmass (discontinuity control) and rockmass
behaviour dominated by rock material strength. For lower mi
rocks this upper strength threshold corresponds to crack coa-
lescence (normally defined as the yield point or long term
strength). For high mi rocks, the damage threshold or ini-
tiation strength in Figure 5 dominates within a confinement-
based spalling limit where spontaneous crack propagation
and spalling is possible. Moderate jointing (GSI > 65 for high
mi rocks; GSI > 75 for medium mi rocks) does not impact this
failure mode provided that the insitu stresses are high enough
to provide full crack closure and that there is minimal rock-
mass disturbance (D = 0). At higher 3 (right of the spalling
limit in Fig 5) or in lab conditions, spontaneous crack propaga-
tion is suppressed and the crack accumulation and coalescence
envelope again governs at high GSI.
In the case of spall-prone rocks, a modified approach is
required for determining the Hoek-Brown parameters for
insitu strength. The following procedure (Diederichs 2007)
can be used to model the spalling initiation or damage
threshold in Figure 5:
1. Determine UCS , the onset of Systematic Cracking in
uniaxial testing, from acoustic emission or radial strain data
(Diederichs et al., 2004), and set aSP to 0.25.
2. Obtain a reliable estimate of tensile strength,T .
3. Calculate the appropriate s and m from:
ventional GSI approach (top) and transition function behaviour (Eq.
7 & 8 for D = 0).
Application limits are specified discretely in Figure 6 (top)
or via the proposed transitional function (Figure 6 bottom) in
Equation 7 and 8.
where
and where the Xs represent the values of a, s and m, accord-
ing to their subscripts, for conventional GSI assessment (as
per Hoek et al., 2002) and SP corresponds to their values
for spalling assessment, both for (program defined) peak
and residual conditions. Note that for conventional mod-
els, the initiation threshold defines the peak strength while
the spalling limit defines the residual strength envelope as
seen in Figure 7b. In numerical models, yield indicators will
represent damage (even in the non-spalling high confinement
zone), while excessive plastic shear strain should be used as
an indicator for actual failure. The standard lab UCSi value is
used as input c for Hoek-Brown normalization in all cases.
The influence on Hoek-Brown parameters through the entire
range of UCSi, UCSi/T (or mi ) and GSI can be seen in Figure 8.

4 CONCLUSIONS

The GSI system, and the associated formulations for rockmass

strength based on the Hoek-Brown equation and associated
parameters, is a proven, effective and reliable toolset for
As discussed in Diederichs (2007), a residual envelope
strength prediction in rockmasses with:
is also needed to represent the spalling limit in Fig. 5. The
recommended range of spalling limits is based on 1/3 ratios measurable intact strength UCSi > 10 to 15 MPa and
of 7 to 10 (using sSPres = 0 and mSPres = 6 to 8) at the point matrix yield behaviour dominated by shear mechanisms
of intersection with the initiation threshold (based on Hoek (mi < 15) at all GSI ranges and
1968). This is achieved with an aSPres value of 0.75. with rockmasses (mi > 15 ) and GSI < 65.

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2007 Taylor & Francis Group, London, UK


Figure 7. Examples of transitional states between conventional
GSI strength prediction and (a) weak rock strength envelope
(UCSi
15 MPa); and (b) spalling strength envelopes (GSI > 65,
mi > 15). Selected examples shown. Plots vary according to selected
GSI and mi .
Figure 8. Normalized UCSrm/UCSi for the rockmass for weak rock
and spalling rock. The spalling transition and threshold are obtained
using UCS = 0.45UCSi as a representative average for many rock
types, although this should be measured if possible (as in Diederichs
et al., 2004).
Outside these limits, some discrepancies can arise between
predicted and observed yield behaviour. Two transitional
relationships are therefore proposed:
For weak rocks (UCSi
15 MPa) a transition is proposed or sinuous and of the law of resistance in parallel channels. Philos.
(function of UCSi) between GSI-based Hoek-Brown strength
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2007 Taylor & Francis Group, London, UK
predictions for a rockmass and Mohr-Coulomb equivalent
strength predictions for a soil.
For spall-prone rockmasses (mi  15 and GSI  65) a tran-
sition is proposed (direct function of GSI and mi ) between
GSI-based strength parameters (based on shearing mecha-
nisms) and a spalling criterion based on extension fracture
and crack propagation.
The combined approach as illustrated in Figures 7 and 8
provides completion of the GSI and Hoek-Brown system for
rockmasses previously outside the limits of applicability for
this well known approach. The proposed models can easily be
incorporated into existing commercial model formulations of
the Generalized Hoek-Brown Criterion.
REFERENCES
Carvalho, JL., Carter, TG., Diederichs, MS, 2007. An approach for
prediction of strength and post yield behaviour for rock masses of
low intact strength. To be presented at the 1st Can-US Rock Symp.
June, Vancouver. 8pgs.
Diederichs, MS, Carvalho, JL. & Carter, TG. 2007. A modified
approach for prediction of strength and post yield behaviour for
high GSI rockmasses in strong, brittle ground. To be presented at
the 1st Can-US Rock Symposium. June, Vancouver. 8pgs.
Diederichs, MS. 2003. Rock fracture and collapse under low con-
finement conditions. Rock Mechanics and Rock Engineering. 36
(5) pg 339381.
Diederichs, MS. 2007. Mechanistic Validation and Practical Appli-
cation of Damage and Spalling Prediction Criteria for Deep
Tunnelling. The 2003 Canadian Geotechnical Colloquium. In
Press: Canadian Geotechnical Journal.
Diederichs, MS., Kaiser, PK. & Eberhardt, E. 2004. Damage initi-
ation and propagation in hard rock tunnelling and the influence
of near-face stress rotation. Int. J. Rock Mech. & Min. Sci., 41:
785812.
Hoek, E. 1968. Brittle failure of rock. In Rock Mechanics in Engineer-
ing Practice. (Edited by Stagg and Zienkiewicz). London: Wiley
and Sons. pp. 99124.
Hoek, E., Carranza-Torres, C., Corkum, B. 2002. Hoek-Brown fail-
ure criterion-2002 edition. NARMS 2002. Toronto: UofT Press.
p267274.
Lee, SM., Park, BS. & Lee, SW. 2004. Analysis of rockbursts that
have occurred in a waterway tunnel in Korea. Int. J. Rock Mech.
& Min. Sci., 41(3). 6pgs.
Marinos, P. & Hoek, E. 2000. GSI A geologically friendly tool for
rock mass strength estimation. Proc. GeoEng2000 Conference,
Melbourne. 14221442.
Martin, CD. 1997. The effect of cohesion loss and stress path on
brittle rock strength. Can.Geot J.,34(5), 698725.
Moody, LF. 1944. Friction factors for pipe flow. Transactions of the
ASME. Vol 66.
Reynolds. O., 1883. An experimental investigation of the circum-
stances which determine whether motion of water shall be direct
Trans. of the Royal Soc.
 An application of planar elastic displacement solution for double hole problem in
back-analysis of two testing adits of Three Gorges Project, China

Zhang Lu-qing & Yang Zhi-fa

Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, China

Xu Ping
Department of Mechanics, Huazhong University of Science and Technology, Wuhan, China

ABSTRACT: Using Schwarzs alternating method and Muskhelishvilis complex variable function techniques, the authors have
developed an efficient solution of displacements in an infinite elastic medium containing two openings of arbitrary shapes and
arrangement. The main purpose of this paper is to apply the displacement solution in back-analysis so as to identify horizontal
ground stress component perpendicular to tunnelsaxis lines and elastic (or deformational) modulus of rock masses. To illustrate
effectiveness of the present back-analysis method, a case example in two testing adits of the Three Gorges Project is provided.

1 INTRODUCTION

It is an ordinary case in underground projects that two tun-

nels or adits are excavated in the form of parallel axes and
close separating distance. The scholars in the world have made
some investigations on double hole problems, mostly placing
emphases on an infinite medium with two circular or elliptic
holes (Ling, 1948; Zhang et al, 2003). The authors have found
that the Schwarzs alternating method and Muskhelishvilis
techniques can be used as effective tools to solve doubly con-
nected region problems (Muskhelishvili, 1953). Moreover, the
authors had obtained some developments (Zhang et al, 2001;
Lu and Zhang, 1997) for stress solution in an infinite elas-
tic medium containing double holes with different shapes and
positions. Using two complex functions for stress solution
of double hole problems, the authors deduce associated dis-
placement solution and develop a new method of displacement Figure 1. Calculating model for any double hole problem in plane
back-analysis for two parallel tunnels or adits. To show an effi- elasticity (Zhang et al, 2001).
ciency of the present method, the authors provide a case exam-
ple in two testing adits of the Three Gorges Project, China.
d2 (1 ), d2 (1 )correspond to the excavation of the second
tunnel.
To obtain u1 and v1 , one can use the following formula
2 BASIC PROCEDURES AND FORMULAS FOR
SOLUTION OF ANY DOUBLE HOLE PROBLEM
IN PLANE ELASTICITY

For two holes in a any double hole problem (see Figure 1), two where G is the shear modulus, is a constant related with
mapping functions can be respectively written as z1 = 1 (1 ) Poissons ratio (e.g., = 3 4 for a plane stain problem).
and z2 = 2 (2 ), in which 1 and 2 are respective complex In addition,
coordinates in mapped planes of z1 and z2 . The successive
approximations scheme for solving a double hole problem can
be referred to relevant researches conducted by Zhang, et al
(2001 and 2003). Using the Schwarzs alternating method,
Muskhelishvilis techniques and stress boundary conditions
(see Figure 1), stress solution for a double hole problem can in which B = (x + y )/4, B = (y x )/2, C  = xy ,

be acquired in terms of two complex stress functions s (1 )
and s (1 ).
Let u1 and v1 define two displacement components due
to the excavation of the first tunnel, and corresponding two
complex functions be d1 (1 ) and d1 (1 ); while u2 , v2 and
1 (1 ) is a mapping function used in this paper to map the
exterior of tunnel one onto the exterior of an unit circle. In
equation (2) s1 (1 ) and s1 (1 ) are two complex stress func-
tions when only the first tunnel is present, with in-situ ground
stresses at infinity and zero loads at its free edge.

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 The equation for solving u2 and v2 has the form of Sub-tunnel No.3 Sub-tunnel No.4 N15
E
(the investigation tunnel) (the deformation tunnel)
Bor 4.0
ehol
e No
.1
3.0 Unit: m

Borehole
in which No.2 C

C .3
ole No 15.62
Boreh
19.6
16.6
3.00 3.00
14.6 13.7
11.6
3.02 4.03
Using equations (1), (2), (3) and (4), one can analyze the dis- 10.0
placement field induced by the excavation of two adjacent C-C

tunnels or one of the two tunnels.

Main tunnel No.3008
3 BACK-ANALYSIS METHOD 15.5
249.5m distant from tunnel mouth
of the main tunnel No.3008

Supposed that the first tunnel (called investigation tunnel) has Figure 2. Deformation measurement arrangement in two testing
been excavated, and the second tunnel (called deformation adits in Three Gorges Project.
tunnel) has been designed for back-analysis or other spe-
cial purposes. Some boreholes can be drilled in rock masses
separating the two tunnels, and measuring points installed Displacement(e-6m)
Displacement at measuring point No.3
in the boreholes for measuring the displacements induced
by the excavation of the deformation tunnel. The drilling of 1100
boreholes, installment of measuring points and displacement 1000
measurements are conducted in the investigation tunnel. Thus,
900
the measured displacements are actually induced only by the
excavation of the deformation tunnel. Those parameters that 800

can be readily and reliably tested in the laboratory or in situ 700 Borehole No.1

should be determined by field geological conditions and effec- BoreholeNo.2

BoreholeNo.3
Displacement at measuring point No.2
600
tive test methods. Horizontal ground stress component y ,
500
perpendicular to tunnels axis lines, and elastic modulus of Displacement at measuring point No.1
rock masses E, are two more important parameters of practical 400
interests, so they are taken as unknown ones to be determined 300
by the back-analysis.
200
Many optimization methods can be used for back-analysis
of displacements, in which the damped least square method 100
is characterized by quick convergence speed and high accu- 0
racy. Using the damped least square method, one can find a -100
5 10 15 20 25 30
group of optimum parameters, i.e. y and E, minimizing the 11.6 13.7 16.7
-200 Advance of tunnelling face (m)
differences between the measured displacements and those
computed from displacement solution for any double hole Figure 3. Displacement curves for the three measuring points.
problem.

4 A CASE EXAMPLE OF BACK ANALYSIS FOR TWO
TESTING ADITS IN THE THREE GORGES PROJECT
During the excavation of two parallel testing adits (i.e. sub-
tunnels No.3 and No.4), located in the rock masses of the
flight lock region of the Three Gorges Project, three boreholes
were drilled in the separating rock masses between the two
adits, and three measuring points arranged at the ends of the
boreholes (see Figure 3). Using the measured displacements
and the present back-analysis method, one can identify the
parameters y and E. In view of present elastic displacement
solution for double hole problem in plane strain, the elastic
modulus mentioned here should be close to deformational
modulus of rock masses.
4.1 Engineering geological conditions and measurements
As seen from Figure 2, the deformation tunnel (i.e. the sub-
tunnel No.4), having an approximately parallel axis line to
the flight lock, was designed for in situ tests and deforma-
tion observations. Moreover, the tunnel has overlaying rock
masses of about 80 m thickness, with an average mass density
of 2.7 g/cm3 . The investigation tunnel (i.e. the sub-tunnel No.3
in Figure 2) is parallel to the sub-tunnel No.4, with a 15.5 m
distance between their axis lines. The rock masses revealed
by the main tunnel No.3008, sub-tunnel No.4 and sub-tunnel
No.3 are fresh to slightly weathered plagioclase granite of Pre-
Sinian System. Indicated by relevant tests, the rock masses
around the two sub-tunnels should be attributed to hard and
more intact ones, which provides advantageous conditions for
elastic assumption in the displacement solution of double hole
problem. Three measuring points are respectively located at
the ends of the three boreholes, in which, measuring points
No.1 and No.2 are located near the left arch socket of the sub-
tunnel No.4, and measuring point No.3 near the middle of the
left sidewall. When the sub-tunnel No.4 was excavated, the
induced deformations at the measuring points can be measured
by observers in the sub-tunnel No.3. The displacement curves

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of the three measuring points, as the advance of tunneling face
of the sub-tunnel No.4, are presented in Figure 3.
4.2 Back-analyzed results of y and E and relevant
discussion
It is very difficult for us to determine the proportion of elastic
displacements in plane strain to total ones in practical condi-
tions. However, we can obtain upper and lower limits of the
elastic displacements in plane strain, in which the upper one is
the total displacement shown in Figure 3 and the lower one is
the approximate elastic displacements induced by earlier sev-
eral advances of the tunneling face. In this example, the lower
limits of elastic displacements are taken as those after the
excavation of 1.8 m thickness rock mass behind the measuring
section. Then, the mean of the upper and lower limits of elas-
tic displacements in plane strain are considered as averaged
displacement measurements, and utilized in back-analysis of
displacements. The parameters that are taken as known ones
during the back-analysis, are x = 2.16 MPa, xy = 0.0 MPa
and = 0.23, respectively.
The back-analyzed elastic modulus has an averaged mag-
nitude of 19.96 GPa, which is appreciably smaller than lower
limit of comprehensive test values of deformational modu-
lus of slightly weathered to fresh rock masses, ranging from
20 GPa to 60 GPa (Dong and Wu, 2004). This difference
between the back-analyzed value and test results may be
explained as follows. Firstly, during in-situ tests for defor-
mation modulus, the tests were in general designed at the
locations with fewer geological discontinuities. Because the
back-analysis is accomplished by using tunnel deformations
induced by the excavation of a relatively larger volume of
rock mass, the parameter E represents macroscopic mechan-
ical behavior of the rock mass. Secondly, different loading
conditions exist between in-situ tests and the back-analysis.
For example, deformation modulus is obtained by pressing
the rock mass during plate-bearing tests, leading to a larger
value. The back-analysis utilizes displacements in condition
of excavation-induced unloading, consequently, yielding a
relatively smaller back-analyzed value of E.
The in-situ tests of ground stresses were conducted in the
sub-tunnel No.3 by using over-coring stress-relief method
in two horizontal shallow boreholes, with the results of
y = 4.28 MPa, x = 2.49 MPa and xy = 0.02 MPa (Liu,
2000). Compared with in-situ ground stress tests, the back-
analyzed result of y , having an averaged value of 2.54 MPa,
is smaller that in-situ test value of 4.28 MPa. It is the authors
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2007 Taylor & Francis Group, London, UK
views that the difference may be mainly resulted from treat-
ment method of elastic modulus in the back-analysis and
ground stress tests. For in-situ tests of ground stresses by uti-
lizing over-coring stress relief, the elastic modulus of rock
masses is taken as known one before the tests, and the bigger
value of the elastic modulus will lead to bigger magnitudes of
ground stresses.
5 CONCLUSIONS
The displacement solution, obtained by the Schwarzs alter-
nating method and Muskhelishvilis techniques, can be used
in back-analysis of displacements for two parallel and close
tunnels or adit. A case example in the Three Gorges Project
indicates that the present back-analysis method is efficient
and feasible in suitable geological conditions, and the back-
analyzed results can provide valuable references to designs
and construction of similar underground projects.
ACKNOWLEDGEMENT
This paper was financially supported by the Project 973 of Chi-
nese National Program of Basic Research (2002CB412701)
and Key Laboratory of Engineering Geomechanics of CAS.
REFERENCES
Dong, X. C. & Wu, A. Q. 2004. Basic mechanical properties of rock
masses, in S. J. Wang (eds), Century Achievements of Chinese Rock
Mechanics and Engineering: 70100. Hehai University Press,
China
Ling, C. B. 1948. On the stresses in a plate containing two circular
holes. Journal of Applied Physics 19: 7782
Liu,Y. F. 2000. Geotress and engineering construction. Hubei science
and technology press, China
Lu, A. Z. & Zhang, L. Q. 1997. Alternating Method Study on
Stress Analysis of Surrounding Rock for Two Random Geometry
Tunnels. Journal of Coal Science & Engineering 3 (2): 2429
Muskhelishvili, N. I. 1953. Some Basic Problems of Mathematical
Theory of Elasticity. P. Noordhoff, Groningen, Holland
Zhang, L. Q., Lu, A. Z. & Yang, Z. F. 2001. An analytic algorithm of
stresses for any double hole problem in plane elastostatics, ASME
Journal of Applied Mechanics, 68 (2): 350353
Zhang, L. Q., Yue, Z. Q., Lee, F. C. et al., 2003. Stress solution of
multiple elliptic hole problem in plane elasticity, ASCE Journal of
Engineering Mechanics 129 (12): 13941407
 An introduction to version 1.0 of software on large deformation analysis for soft rock
engineering at great depth

He Manchao & Chen Xin

School of Mechanics & Civil Engineering, China University of Mining & Technology Beijing, Beijing, P.R. China

Liang GuoPing, Qian HuaShan, Zhou YongFa & Zhuang XiaoYan

Beijing FEGEN software Co. Ltd, Beijing, P.R. China

ABSTRACT: Finite element software on large deformation analysis for soft rock engineering at great depth, briefly called
Large Deformation Engineering Analyses Software (LDEAS), is developed. The software has five features as follows:(1) It
includes a nonlinear theory of mechanics based on S-R decomposition theorem proposed by Chen as well as the classical large
deformation theory for comparison, (2) The three design method for non-linear mechanical problem proposed by He (1993) is
fulfilled, (3) the codes is programmed using FEPG (Finite Element Program Generator) provided by FEGEN company which
only partial equations need be written, (4) it include generally used constitutive models and element types for geomaterials and
supports, and therefore is fit for slope, foundation and underground engineering, and (5) Coupled thermal-mechanical-seepage
analyses will be available. At present, the interface and programs for two-dimensional problem have finished. Four numerical
examples confirmed the accuracy of the software.

1 INTRODUCTION engineering definition of stain as linear form, and (2) there is

Phenomena of large deformation occur frequently in geotech-
nical engineering. For example, with the excavation of a
softrock tunnel at great depth, large deformation of rock
mass around tunnel such as roof caving, floor bulging and
side bulging will occur. For softrock engineering at great
depth, non-linear problems in physical, geometrical and con-
tact boundary are complicated. Since the analytic solutions to
non-linear differential equations of soil-rock mechanics are
extremely difficulty to obtain, it is rather important to inves-
tigate numerical methods and software such as FEM, FDM
and DEM.
It is well recognized that the effectiveness of computational
methods for solving rock and soil mechanics depends largely
on the exactness of theoretical foundation on which the com-
putational programs are based. Besides a reliable constitutive
model for geomaterials, an accurate mechanical theory for
large deformation is necessary to make a reasonable analysis
for soil and rock engineering.
The linear small deformation theory of mechanics is only
fit for small displacement field where the principle of super-
position holds. For large displacement field, there are two
theories of mechanics, i.e., classical large deformation the-
ory (see Truesdell and Noll, 1965; Biot, 1965; Guo, 1980), in
which Green strain tensor is used as strain definition while
rotation tensor is defined by Finger-Truesdells polar decom-
position theorem separately, and large deformation theory
proposed by Chen, which is based on S-R decomposition
theorem (see Chen, 1979; Chen, 2000) using a co-moving
coordinate system method.
Although Green strain is applicable for large displace-
ment and therefore is generally used, deficiencies of Green
strain tensor are: (1) it defined through the quadratic form
of ratio of the length of line elements after deformation to
that before deformation, which is not congruent with common
no definition of finite mean rotation angle in compatible with
finite strain.
In order to overcome above deficiencies, Chen proposed the
S-R decomposition theorem, which deformation gradient is
decomposed to one unique addition of a positive definite strain
tenor and an orthogonal rotation tensor. By using a co-moving
coordinate system method, a nonlinear theory of mechanics for
large deformation is developed. The theory has been used to
solving engineering problems (see He, 1991; Wang and Chen,
1992; Qin and Chen,1988; Li, 1991; He, 1993) such as large
deformation of solids like rock, concrete and metal, material
fracture and damage, the stability of high slope, support of
soft rock tunnel and so on.
At present, all existing commercial FEM software includes
classical large deformation theories only. In order to change
this situation, Prof. He Manchao as a chief scientist of the
Very Important NSF of China, planed to develop software on
coupled thermal-mechanical-seepage and large deformation
analysis for soft rock engineering at great depth, briefly called
LDEAS. Two work group, Research Institute of Geotechnical
Engineering of School of Mechanics & Civil Engineering of
China of University of Mining & Technology (Beijing) and
FEGEN Software Co. Ltd (FEGEN for short), worked together
using FEPG (Finite Element Program Generator) developed
by Fegen Software Company. The software will be a useful in
numerical tool in analyses and design of rock mechanics in
exploitation of deep resources.
2 CHENS NON-LINEAR THEORY OF MECHANICS
2.1 S-R decomposition theorem
In describing the general motion of a deforming body, the co-
moving coordinate system method is used which is identical to

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2007 Taylor & Francis Group, London, UK

material coordinate. A metric theory for the reference system 2.3 Objective derivative of Euler stress tensor and
is established, so that the rotation and strain of a local system equilibrium equation
at every point of a deforming body can be described exactly.
In an updated co-moving coordinates, material derivative of
Suppose a body B0 is identified by a set of co-moving
Euler stress tensor is
coordinates {x1 , x2 , x3 }, andtransforms to B at time t, and
0 0 0
the basic vectors g1 , g2 , g3 at a point change to {g1 , g2 , g3 }
at time t, the linear differential transformation is denoted by
deformation gradient F
which is not objective derivative respect to time and is related
to rigid rotation. The objective derivative of Euler stress is
defined by

where, uj |i is the covariant derivative of the displacement

component uj with respect to co-moving coordinate xi .
Then S-R decomposition theorem stated that Any invert- Equilibrium equation is established in real time deformed
ible linear differential transformation F has unique additive state:
decomposition:

where, fj is volume force.

where S is a symmetrical and positive definite sub-
transformation representing strain tensor,
2.4 Rate form constitutive relation
Constitutive relation of rate form is

R is an orthogonal sub-transformation, representing local

mean rotation tensor,
where, E.i .j .k l. is incremental stiffness tensor of the material.

Here,  is mean rotation angle,

2.5 Variational principle for large deformation
Variational principle of rate of potential energy stated that for
equilibrium to be ensured the rate of total potential energy
must be stationary for variations of admissible speeds.

and L.ij. is unit vector of rotation axis direction,

where Ti is surface force.

2.2 S-R decomposition theorem in rate form 3 FINITE ELEMENT CODES USING FEPG

Since the final result of nonlinear finite deformation and finite
rotation depends on the stress and strain path, so in the most
cases, incremental updated method will be used, in which
stress and strain are defined in real time deformed state.
In the updated co-moving coordinate, the strain rate and
mean solid rotation speed are given by
where,V j i is the covariant derivative of the speed component
V j with respect to the updated co-moving coordinate xi .
Finite Element Program Generator (FEPG) is developed in
1990 by Prof. Liang Guoping, one of the major founders of
FEGEN and an expert in computational mathematics, which
won a State Award for achievements in science & tech-
nology in 1995. FEPG is a general-purpose finite element
program generator. For any kind of finite element modeling,
FEPG can automatically generate complete source code based
on PDE (Partial Different Equation) and FEM (Finite Ele-
ment Method) algorithm expressions, which can save 90%
of programming time and guarantee the accuracy and con-
sistence of programs. With these merits, FEPG have been
applied in many fields and are convenient in solving coupled
thermal-mechanical-seepage problems.

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2007 Taylor & Francis Group, London, UK

 x2

2'

3
3 x1

2
x2

1' 3'
1 2
g1
g2 0
g2

2
0
g1 x1
0 3
2

Figure 2. Example 1: rotation and expansion of a plate.

Figure 1. The main interface of the software.
Table 1. Analytical solution to the strains and stresses (MPa) of the
plate in example 1.
4 FUNCTION OF THE SOFTWARE
n S.11 S.22 S.21 .11 .22 .21
The software aims at developing a numerical tool to ana-
lyze the coupled thermal-mechanical-seepage problem for soft 2 0.11666 0.11666 0 1.619048E9 1.619048E9 0
rock engineering at great depth. In this software, FEPG is used 4 0.27555 0.27555 0 3.551792E9 3.551792E9 0
for generating finite element codes. 6 0.44124 0.44124 0 5.256592E9 5.256592E9 0
8 0.59816 0.59816 0 6.617906E9 6.617906E9 0
At this stage, the version of the software is 1.0, which can 10 0.74175 0.74175 0 7.679448E9 7.679448E9 0
analyze the deformation and stress fields of two dimension
problems for solid. LDEAS1.0 has four subsystems: fore treat-
ment, parameter specification, calculation and result display
system. Figure 1 shows the main interface of the software.
The updated Lagrange procedure is used for incremental
analyses of the classical large deformation theory (Washizu,
1975), while updated co-moving coordinate procedure is used
for incremental analyses of large deformation theory based
on S-R decomposition theorem (Li,1991). The three design
methods for non-linear mechanical problem proposed by He
(1993), i.e., countermeasure design, procedure design and
parameter design is fulfilled here for non-linear mechanical Figure 3. Final strains of the plate in example 1.
design. Generally used elastic total strain constitutive relations
and elastic or elasto-plastic incremental strain constitutive
relations for geomaterials are provided. It contains a large
number of element library, including plane stress and plane
strain structures, beam, bolt, truss, joint, and therefore is fit for
large deformation mechanical analyses for slope, foundation
and underground engineering.

5 EXAMPLES
Figure 4. Final stresses of the plate in example 1.
Four numerical examples large deformation of rotation and
expansion of a plate, simple shear of a plate, bending of a x2 x2
cantilever plate with a point load at free end and bending of
A(-1,1) A' B(1,1) B'
a cantilever beam with a moment load at free end are inves-
tigated and confirmed the accuracy of the programs. Elastic 0
g2
g2

parameters of materials in four examples are taken as:Youngs x1
modulus E = 1.0e10 and Poisson ratio v = 0.3. 0
g 1,g1

5.1 The first example: rotation and expansion of a plate D' D(-1,-1) C' C (1,-1)

Figure 2 shows rotation and expansion of a plate. The square

0123 with a sizeof 2 2, deformed to square 0 1 2 3 with a
size of 3 2 3 2 by homogenous expansion and rotation.
Total step number is 10, the finite element mesh is 20 20.
Table 1 shows the analytical solution to the strains and
stresses of the plate based on Chens nonlinear theory of
mechanics. Figures 3 and 4 show the numerical results of the
final strains and stresses of the plate, which are agree with
those of analytical solution entirely.
Figure 5. Example 2: Simple shear of a plate.
5.2 The second example: simple shear of a plate
Figure 5 shows simple shear of a plate. The square ABCD with
a size of 2 2, deformed to a parallelogram A B C D with an
shear angle of 45 . Total step number is 10, the finite element
mesh is 20 20.

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Table 2. Analytical solution to the strains and stresses (MPa) of the
plate in example 2.

n S.11 S.22 S.21 .11 .22 .21

2 0 0 0.10 1.92308E7 1.92308E7 7.69231E8

4 0 0 0.20 1.15433E8 1.15433E8 1.54231E9
6 0 0 0.30 2.89183E8 2.89183E8 2.32694E9
8 0 0 0.40 5.41830E8 5.41830E8 3.13090E9
10 0 0 0.50 8.75506E8 8.75506E8 3.96214E9

Figure 8. Final strains of the plate in example 3.

Figure 6. Final strains of the plate in example 2.

Figure 7. Final stresses of the plate in example 2. Figure 9. Final stresses of the plate in example 3.

Table 2 shows the analytical solution to the strains and

stresses of the plate based on Chens nonlinear theory of
mechanics. Figures 6 and 7 show the numerical results of the
final strains and stresses of the plate, which are agree with
those of analytical solution entirely.

5.3 A cantilever plate with a point load at free end

Roof caving in a mining field can be idealized to a cantilever
plate with a point load at free end. The size of the cantilever
is L = 25 m long and H = 2 m high. Total step number is 90, Figure 10. Deformation of the beam at every step in example 4.
the finite element mesh is 10 1, the increment of the load is
P = 0.8 106 N. 5.4 A cantilever beam with a moment load at free end
Figures 8 and 9 show the numerical results of the final
strains and stresses of the cantilever by Chens nonlinear the- A cantilever beam with a moment load at the free end is studied
ory of mechanics. It can be seen that the stresses and strains with an updated Lagrange procedure. The size of the cantilever
are localized at the fixed end. is L = 25 m long and H = 2 m high.Total step number is 13, the

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2007 Taylor & Francis Group, London, UK

finite element mesh is 200 1, the increment of the moment
is M = 1.0 107 N.m.
Figure 10 shows that the cantilever deformed to a circle
gradually.
6 CONCLUSION
In this paper, finite element software on large deformation
analysis for soft rock engineering at great depth is developed.
The final goal of this software is to solve coupled thermal-
mechanical-seepage problems in soft rock engineering. At
present, LDEAS 1.0 is applicable in analyses of solid with
non-linear finite strain. The nonlinear theory of mechanics for
finite strain, function of the software and programming tool
are introduced. Numerical examples demonstrate the accuracy
of the software in the analyses of large deformation of a solid
body.
ACKNOWLEDGEMENT
The work presented here was supported by the NSFC with
grant No. 50490270 and subsidized by the special funds
for major state basic research projects with grant No.
2002cb412708 of China.
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2007 Taylor & Francis Group, London, UK
REFERENCES
Biot, M.A.,1965. Mechanics of incremental deformations, Johnwiley.
Chen, Z.D., 1979. Geometric theory of finite deformation mechanics
for continuum. Acta mechanica sinica, 2: 107117.
Chen, Z.D., 2000. Rational mechanics. Chongqing, Chongqing
Publication.
Guo, Z.H., 1980. Nonlinear elasticity. China Science Press.
He, M.C., 1991. High slope engineering of open pit mine. Coal
Mining Publisher.
He, M.C., 1993. General theory of soft rock tunnel engineering.
China University of Mining Press.
Li, P., 1991. The updated co-moving coordinate formulation for the
nonlinear large deformation finite element analysis and applica-
tion. Ph.D. Dissertation, China University of Mining.
Truesdell, C. & Noll, W., 1965. Nonlinear field theories of mechanics.
Handbuchder Physic. ?/3, Springer.
Qin, Z. & Chen, Z.D., 1988. Large deformation analysis of shells with
finite element method based on the S-R decomposition theorem.
Computer & Structures, 30(4):957961.
Wang, C. & Chen, Z.D., 1992. Micro rotation analysis to material
cracking and toughness. Int. J. Fracture, 54:359369.
Washizu, K., 1975. Variational methods in elasticity and plasticity.
Second edition, Pergamon Press.
 An investigation on the dynamic testing, properties and responses of
support systems

L. St-Pierre, F.P. Hassani, J. Ouellet & P.H. Radziszewski

McGill University, Montreal, Quebec, Canada

ABSTRACT: In order to study the dynamic behavior of rock support elements, a drop weight test apparatus located at CANMET-
MMSL research laboratory was used. The test structure, used in the present study, allows for a maximal drop height of 1.5 m
and a drop weight of 1.5 ton. It is instrumented with high speed cameras and load cells to precisely monitor the response of the
rock bolt. A first series of tests on grouted cone bolts revealed two energy absorption mechanisms; the steel plastic deformation
and the sliding of the bolt in the resin. These mechanisms are always present, but their proportions vary significantly from one
test to the other. Then, tests with various combinations of drop weights and heights showed the influence of those parameters
on the preferred energy absorption mechanism and on the maximum amount of energy the bolt can absorb. Also, from the
experimental data collected, the energy balance of the system was calculated to assess the validity of the testing apparatus.

1 INTRODUCTION 2.3 Drop weight and height

An increasing problem faced in underground mines results
from seismic events called rockbursts. Considering the
dynamic nature of these phenomena it is essential to under-
stand the dynamic behavior of reinforcement systems in order
to properly design the ground support and ensure safety. The
work presented in this paper is part of a research collabora-
tion between McGill University and CANMET Mining and
Mineral Sciences Laboratories (MMSL) in Ottawa.
This paper starts by briefly presenting the test structure and
its instrumentation along with the advantages and disadvan-
tages of the testing apparatus. Then, the effect of different
parameters on the energy absorption capacities of cone bolts
will be analyzed based on experimental results. Finally, an
experimental energy balance will be performed to assess the
validity of the test and of the experimental measurements.
2 TESTING APPARATUS
2.1 Test structure
Figure 1 shows the drop weight installation used for all the
tests along with some details about its instrumentation. Each
rock bolt to be tested is grouted in a sample tube that can be
easily connected to the test structure by a pin. The drop weight
is lifted and dropped by a remote controlled magnet. During its
fall, the mass is guided by two rails installed on each column
to avoid introducing significant bending on the rock bolt.
2.2 Bolts tested
In this study, only modified cone bolts were tested. The bolts
have a diameter of 17 mm and a length of 2.2 m. One end is
threaded over 140 mm and the other end is the cone. The cone
profile has a maximum diameter of 26.5 mm and a length of
55 mm. A domed plate is installed at the threaded end, held
by a spherical seat and a nut. Grease can also be added on the
bolt to debond it, before grouting it in the sample tube using
Dupont Fasloc Resin (so-called Coneloc).
The drop mass is composed of different weight plates bolted
together. For the testing reported here, drop weights of 500 kg
to 1461 kg were used. The maximum drop height used is about
1.5 m which corresponds to an impact velocity of 5.4 m/s.
Repeated drops are performed on each sample but always with
the same weight and from the same height.
2.4 Measurements
The test structure is equipped to record the displacement and
loading of the bolt during impact. The measure of each sensor
is collected at a frequency of 10 kHz during 6.5 s and then
stored in a text file at the end of the test.
The test machine is equipped with one wire potentiometer
to record the position of the drop weight and two line scan
cameras (Dalsa SP-14-02K40) to monitor the displacements
at both ends of the bolt.
The force applied on the plate is measured by a strain
gage load cell, while at the top, four piezoelectric cells
(PCB 205C/FCS-5 ICP) measure the force transmitted to the
test structure (see Fig. 1).
Three strain gages were installed on both columns sepa-
rated by 90 to measure tensile stress and detect bending. The
maximum strain values measured by those sensors were about
0.0116% meaning that the structure behaves stiffly and does
not absorb a significant amount of energy during the impact
test.
2.5 Comparison with other testing apparatus
The drop test apparatus described in the previous section was
initially developed by Noranda (see Gaudreau 2004) but its
instrumentation and design have been greatly improved since
its acquisition by CANMET-MMSL.
Recently, Player et al. (2004) constructed a highly instru-
mented testing apparatus, based on the momentum transfer
principle instead of a drop weight. The principle eliminates
the ambiguity of how the mass hits the bolt but it has cer-
tain disadvantages. The impact time appears longer (about
120 ms) therefore reducing the dynamic aspect of the test.

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Figure 1. Illustration of the test structure.
Also, because the whole assembly is dropped then rapidly
slowed by dampers, the potential energy involved in the tests
is significantly different from what the reinforcement system
will have to absorb.
Ansell (2005) also performed dynamic tests on a new type
of rock bolt developed in Sweden. For the test, the rock bolt
is inserted in a concrete cylinder and dropped from a certain
height. The anchor zone of the bolt is stopped by two beams on
the ground while the momentum of the concrete mass loads
the bolt dynamically. The principle of the test is similar to
the momentum transfer principle of Player but the tests were
carried with a higher impact velocity (up to 10 m/s) and a
lighter mass (219 kg).
3 RESULTS
In this section, displacement and loading curves for a typical
drop test will be presented and the influence of the grease,
drop weight and impact velocity on the cone bolt behavior
will be analyzed.
3.1 Displacement and loading curves
Figure 2 shows typical displacement and loading curves. The
potentiometer signal is filtered using a low pass filter with a
cut off frequency of 50 Hz for noise reduction.
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Figure 2. Typical displacement and loading curves.
Figure 3. Cone displacement for tests with a drop mass of 1461 kg
from 1 m.
One important observation to make is that permanent dis-
placements are produced only during the first impact. Then
there are a number of elastic impacts between the mass and
the plate and finally some damped oscillations until the system
reaches equilibrium.
It is also clear that the bolt has two energy absorption mech-
anisms. One consists of the bolt getting pulled in the resin and
the second one is the permanent elongation of the steel. Usu-
ally, both mechanisms are present during a drop test but their
proportions vary.
3.2 Influence of the impact velocity
Most of the tests done used a drop weight of 1016 kg from
1.5 m corresponding to a potential energy of 14.95 kJ and an
impact velocity of 5.4249 m/s. Other tests were done with a
mass of 1461 kg from 1.0 m. This configuration gives a sim-
ilar potential energy (14.33 kJ) but a smaller impact velocity
(4.4294 m/s).
To analyze the influence of these two configurations on
the energy absorption mechanisms, the cone displacement for
each test has been plotted on Figures 3, 4. In the legend, G
means that the bolt has been greased, while NG signifies the
opposite.
It is obvious from Figures 3, 4 that the cone displacement
is less important for the tests using the mass of 1461 kg from
 Table 1. Absorbed energy by different bolts before
failing.

Mass Height Failure

Bolt kg m Drops kJ

1 (G) 1461 1 4 46.5 to 60.8

2 (G) 1461 1.5 2 23.7 to 45.2
3 (NG) 1016 1.5 4+ 64.5
4 (NG) 1461 1 4 47.1 to 61.5
5 (G) 1461 1 4 46.8 to 61.1
6 (NG) 1016 1.5 4+ 64.8

Testing of these samples was stopped before failure.

Table 2. Dynamic force displacement model for the

steel.
Figure 4. Cone displacement for tests with a drop mass of 1016 kg Elongation Force Stiffness
from 1.5 m. Mm kN kN/mm
1 m. From those results, even if the energy involved is sim- 0 to 11.6 0 to 147.15 12.7
ilar, it looks like the most influent parameter on the cone 11.6 to 150 147.15 to 206.01 0.4252
displacement is the impact velocity. >150 206.01 0

3.3 Influence of grease

Figures 3, 4 also show that the cone displacement is not the
same between different tests. Nevertheless, it seems that for
greased bolts, sliding is important on the first drops and then
less and less significant. This is probably because the resin
gets more compact and the grease is not so well distributed
anymore.
For non greased bolts, the first drops do not produce sig-
nificant sliding, but more steel stretching. Assuming a strain
hardening behavior for the steel, as its elongation increases,
the internal force in the bolt gets larger and will eventually
break the bonding between the bolt and the resin. Then, sliding
becomes the most important energy absorption mechanism.
Those explanations of the resin behavior and the effect of
grease appear realistic and agree with the experimental results
of Bolts 1, 3 and 4. However the considerable difference of
Bolt 6 with this theory proves that the resin application and
setting could vary. This will in turn affect the behavior and per-
formance of the support system. More tests will be conducted
to investigate this anomaly.
3.4 Failure
Numerous tests were performed until the sample failed.
Table 1 summarizes all the results in term of total energy
absorption. Drops in this table refers to the number of drops
the bolt has resisted. The lower bound of the failure range
is calculated by adding the potential energy of each test that
the bolt has resisted. For the potential energy, the zero level
is considered to be where the plate ends after the drop. The
upper limit of the failure range is simply the lower bound plus
Mass g Height.
The results in Table 1 indicates that every test using a drop
weight of 1461 kg from 1 m failed at the fourth drop giving a
failure range between 45 kJ and 60 kJ. However, the two tests
using a mass of 1016 kg from 1.5 m did not fail and showed that
the same bolt could absorb more than 60 kJ. Even if the two
configurations involve the same impact energy, it is evident
that using a heavier mass causes more damage to the bolt.
This might be explained with the notion of momentum. The
configuration with a mass of 1461 kg has a momentum of
6471 kgm/s compared to 5511 kgm/s for the one using a mass
of 1016 kg. The correlation between damage and momentum
tends to be confirmed by the test using a mass of 1461 kg from
1.5 m which has a momentum of 7926 kgm/s and fails at the
second drop only.
4 ENERGY BALANCE
In this section the energy of the system will be calculated based
on experimental data. The objective is to show that the energy
conservation principle is respected during this dynamic test.
The first state considered is the potential energy of the mass
before being dropped. Recall that the zero level for the poten-
tial energy is the final position of the plate after the drop. The
second state considered is when the mass hits the plate with
its maximum kinetic energy. The velocity is obtained by dif-
ferentiating the filtered signal of the potentiometer attached
to the drop weight. Note that there is also a small amount of
potential energy for this state.
Another interesting quantity is the work done by the plate
load. This is calculated by integrating the plate load over the
plate displacement. The piezoelectric cell signal has been used
for this calculation.
The three previous states have to be compared with the
energy absorbed by the bolt. The energy absorbed by steel
elongation is obtained by integrating the force displacement
curve of the rock bolt. A force displacement model for the
cone bolt tested has been defined (Table 2) based on analytic
formulae (Malvar & Crawford 1998) and experimental results.
Otherwise, the energy dissipated by the cone sliding in the
resin is calculated simply by integrating the piezoelectric cell
signal over the cone displacement. The energy calculated for
these states during different tests is summarized in Figure 5.
Comparing the potential energy and kinetic energy of Fig-
ure 5 shows that the energy dissipated by friction of the mass on
the guiding rails is negligible. However, a difference of about
1 kJ can be observed between the kinetic energy and the plate

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Figure 5. Comparison of different energy states for three samples.
work. This means that the kinetic energy is not entirely trans-
ferred to the support system during impact. Comparing the
total energy absorbed by the bolt with the plate work is quite
satisfying. The average difference is 730 J which is considered
to be an acceptable margin of error.
5 CONCLUSION
A first series of tests on grouted cone bolts conducted on the
testing apparatus available at CANMET-MMSL showed that
the impact velocity is an important parameter governing the
cone displacement. It was also shown that greased bolts will
slide more on the first drops while the opposite is observed for
not greased bolts. In addition, the momentum associated with
a test was seen to be the best indicator of the amount of damage
that the bolt will receive. Finally, the energy of the system at
different instants was compared to assess the validity of the
test structure and measurements.
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2007 Taylor & Francis Group, London, UK
Further experimental tests will be carried out to clarify cer-
tain conclusions and to investigate other parameters which
might affect the results. This could include performing tests
with a drop weight of 3000 kg. Nevertheless, the results
presented here were sufficient for the authors to develop a
simulation model for the cone bolt.
ACKNOWLEDGEMENT
The authors are very grateful to the financial support of
FQRNT and the technical help of CANMET-MMSL.
REFERENCES
Ansell, A. 2005. Laboratory testing of a new type of energy absorb-
ing rock bolt. Tunnelling and Underground Space Technology 20:
291300.
Gaudreau, D., Aubertin, M. & Simon, R. 2004. Performance assess-
ment of tendon support systems submitted to dynamic loading. In
E. Villaescusa & Y. Potvin (eds). Ground Support in Mining and
Underground Construction: 299312. London: Taylor & Francis.
Malvar, L.J. & Crawford, J.E. 1998. Dynamic increase factors
for steel reinforcing bars. Twenty-Eighth Department of Defense
Explosives Safety Board Seminar; Proc, Orlando, 1820 August
1998. Defense Technical Information Center.
Player, J.R., Villaescusa, E. & Thompson, A.G. 2004. Dynamic test-
ing of rock reinforcement using the momentum transfer. In E.
Villaescusa & Y. Potvin (eds). Ground Support in Mining and
Underground Construction: 327339. London: Taylor & Francis.
 Analysis on time-dependent process of crack growth and strength
degradation of rock

J.H. Synn, C. Park & Y.B. Jung

Korea Institute of Geoscience and Mineral Resources, Daejeon, Korea

ABSTRACT: Time-dependent process of crack growth and failure of brittle rock are simulated with the numerical modeling
approach using PFC (Particle Flow Code) which can visualize progressive and dynamic behaviors of deformation and failure in
time domain. A model of Brazilian fracture toughness test is used and the influence parameters on the generation and extension
of crack are analyzed such as shape of loading plane, loading angle and loading rate. For the loading rate less than 0.01 mm/s,
tensile crack is initiated at the center of Brazilian disc model and the stable crack growth can be controlled. Mode-I fracture
toughness evaluated is almost constant for this loading rate. Strength of rock is dependent on the loading rate and the stress
level of creep loading. It can be said that the failure criterion under the extremely low loading rate gradually approaches the
long-term strength of rock.

1 INTRODUCTION center of Brazilian disc can be expressed, combining Griffith

theory(Griffith, 1925), as Equation 1.
The unstable behaviors of rock structures in static and quasi-
static conditions commonly happen due to fatigue failure by
the long-term creep deformation or due to crack generation
by the change of the environment. The example of the envi-
ronmental change is stress change induced by the thermal
source like LNG or radioactive waste. These unstable mobi-
lizations of rock cracks cause the progressive degradation of
rock strength and finally result in the collapse of tunnel roof,
sliding failure of rock slope, leakage of storage materials, etc.
The estimation and prediction of time-dependent process of
instability and failure in long-term, from tens to hundreds- where G is the maximum tensile stress, P is total load, R is
of-thousands of years, is very important especially for safe disc radius, t is disc thickness and is loading angle.
management of old rock structures. The distribution of the maximum tensile stress according
In this study, the time-dependent process of destabilization to the loading angle and the distance from the disc center is
and failure of rock structures is simulated with the numerical shown in Figure 2. The location of the maximum tensile stress
modeling approach. The numerical simulation is carried out varies with the loading angle. It approaches to the disc center
using PFC (Particle Flow Code) which can visualize progres- under the condition that the loading angle, , is larger than 10
sive and dynamic behaviors. The time-dependent deformation degrees.
and failure behaviors in creep are analyzed and the macro
crack extension and safety criterion are discussed. Model of
Brazilian fracture toughness test is used and the influence
parameters are analyzed such as shape of loading plane, sizes
of Brazilian disc and unit particle of model, loading angle and
loading rate.

2 BRAZILIAN DISC MODEL AND STRESS

ANALYSIS

The time-dependent process of crack initiation and growth

of rock is simulated with the numerical modeling approach
using PFC. Model of Brazilian disc is used for the numer-
ical simulation. Experimental and numerical researches for
the crack growth and fracture toughness using Brazilian disc
specimen have been carried out by Guo et al. (1993), Wang
et al. (1999), etc.
For the Brazilian disc shown in Figure 1, the maxi-
mum tensile stress at the edge of an elliptical crack at the Figure 1. Brazilian disc models and loading conditions.

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Figure 2. Maximum tensile stress at crack edge along diametral
center line of Brazilian disc model.

Table 1. Parameters for simulation of Brazilian fracture toughness

test.
Parameter Value (Description index)

Particle radius, r (mm) 1.0 (B) 0.6 (L)

Loading angle, (degree) 6.0 (N) 10.0 (M) 20.0 (W)
Loading rate, (mm/s) 0.1 (F) 0.01 (S)

Table 2. Mechanical properties of Brazilian disc model for numer-

ical analysis.

Normal Shear Tensile Shear

Density stiffness stiffness Friction strength strength
(kg/m3 ) (N/m) (N/m) coefficient (MPa) (MPa)

2,680 1.02e10 1.02e10 0.5 8.0 19.36

3 PATTERN OF CRACK INITIATION AND GROWTH

WITH LOADING CONDITION

Brazilian fracture toughness test is simulated using PFC code.

Input parameters of test conditions and material properties
are listed in Table 1 and Table 2. Crack initiation patterns
according to the different loading conditions such as loading
rate and loading angle are shown in Figure 3. Diagonal straight
lines represent the constant loading rate and the black points
represent the bond breakage of balls, namely, crack initiation.
Under the range of loading rate less than 0.01 mm/s, the
progressive crack extension can be controlled stably. For three
cases of different loading angles, tensile cracks are initiated
at the center of Brazilian disc models in cases that is either
10 or 20 degrees.
Failure patterns can be also estimated by the bond breakage
type at the contacts between balls in PFC analysis. Figure 4
shows the pattern of bond breakage for three cases of the
loading angle.
Figure 3. Crack initiation pattern according to loading angle of
flattened Brazilian disc model.
It is shown that tensile cracking is dominant in case of
2 = 20 degrees. Also, counts of bond breakage in PFC anal-
ysis can be related with AE (Acoustic Emission) events in
progressive failure of rock (Hashida & Takahashi, 1993).
4 STRENGTH AND FRACTURE TOUGHNESS
Results of PFC simulation for 12 cases according to the com-
bination of parameters such as particle radius in Brazilian
disc model, loading rate and loading angle are summarized in

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 Table 3. Results of numerical simulation of Brazilian fracture
toughness test.

Critical load
Case Pc (kN) Crack initiation pattern

BNF 398.9 Initial shear crack near loading edge

BNS 396.7 Initial shear crack near loading edge
BMF 540.7 Initial tensile crack at center
BMS 509.2 Initial tensile crack at center
BWF 1,182.0 Initial tensile crack at center
BWS 1,166.0 Initial tensile crack at center
LNF 420.5 Initial shear crack near loading edge
LNS 417.4 Initial shear crack near loading edge
LMF 535.8 Initial tensile crack at center
LMS 529.7 Initial tensile crack at center
LWF 1,104.0 Initial tensile crack at center
LWS 1,031.0 Initial tensile crack at center

Figure 5. Determination of the critical load for stable crack

propagation.

Equation for fracture toughness evaluation by Brazilian test

can be expressed as Equation 2.

where KIC is fracture toughness, PC is critical load, R is disc

Figure 4. Counts of bond breakage according to the progressive
failure of flattened Brazilian disc model.
Table 3. Conditions for the crack initiation at the disc center
and the stable crack growth are that particle radius in Brazil-
ian test modeling is less than 1 mm, loading rate is less than
0.01 mm/s and loading angle (2) is larger than 20 degrees.
Critical load in Table 3 is the value measured at critical load
point in Figure 5. This means the load level that the stable crack
growth starts after failure by crack initiation. This critical load
is used for the estimation of fracture toughness of rock.
radius, t is disc thickness, and max is the maximum value of
dimensionless stress intensity factor shown in Figure 6.
For the case of 2 = 20 degrees, the maximum dimension-
less stress intensity factor occurs when the ratio of crack length
to disc radius is 0.8 and the maximum dimensionless stress
intensity factor is 0.78. The fracture toughness for 4 cases,
by combination of two cases of loading rate and two cases of
particle radius, with same loading angle of 2 = 20 degrees
is calculated as shown in Table 4. It seems that particle radius
and loading rate give not so significant influence on fracture
toughness value when the loading angle (2) is 20 degrees.
It is reported by Mellor et al.(1971) that loading rate of
0.1 mm/s is acceptable in Brazilian test. However, it can be
said that loading rate below 0.01 mm/s is recommended for the
control of stable crack growth and the evaluation of fracture
toughness.

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 Under the range of loading rate less than 0.01 mm/s and
loading angle (2) larger than 20 degrees, tensile crack is ini-
tiated at the center of Brazilian disc model and the progressive
crack growth can be controlled stably.
In condition that the loading angle(2) is 20 degrees, the
maximum dimensionless stress intensity factor at crack tip of
Brazilian disc model occurs when the ratio of crack length to
disc radius is 0.78. The mode-I fracture toughness is evaluated
almost constant in the range of particle radius less than 1 mm
and loading rate less than 0.1 mm/s. This can be appropriate
condition for the tensile crack initiation at disc center and the
evaluation of fracture toughness by Brazilian test. However, it
can be said that loading rate below 0.01 mm/s is recommended
for the control of stable crack growth.

REFERENCES

Griffith, A.A. 1925. The theory of rupture. Proc. 1st International

Congress for Applied Mechanics, Delft: 5563.
Guo, H., Aziz, N.I. & Schmidt, L.C. 1993. Rock fracture tough-
Figure 6. Dimensionless stress intensity factor for loading angle of ness determination by the Brazilian test. Engineering Geology,
2 = 20 . 33: 177188.
Hashida, T. & Takahashi, H. 1993. Significance of AE crack monitor-
Table 4. Value of fracture toughness evaluated for ing in fracture toughness evaluation and non-linear rock fracture
the case of 2 = 20 . mechanics. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr, 30(1):
4760.
Case KIC , (MPa m) ISRM Commission on Testing Methods. 1988. Suggested methods
for determining the fracture toughness of rock. Int. J. Rock Mech.
BMF 2.567 Min. Sci. & Geomech. Abstr, 25(2): 7196.
BMS 2.417 ISRM Commission on Testing Methods. 1995. Suggested methods
LMF 2.543 for determining mode I fracture toughness using cracked chevron
LMS 2.514 notched Brazilian disc(CCNBD) specimens. Int. J. Rock Mech.
Min. Sci. & Geomech. Abstr, 32(1): 5764.
Mellor, M. & Hawkes, I. 1971. Measurement of tensile strength by
diametral compression of discs and annuli. Engineering Geology,
5 CONCLUSION
5: 173225.
Singh, R.N. & Pathan, A.G. 1988. Fracture toughness of some
The time-dependent process of crack growth and failure of British rocks by diametral loading of discs. Mining Science and
brittle rock is simulated with numerical modeling and the Technology, 6: 179190.
influence parameters on the generation and extension of crack Wang, Q.Z. & Xing, L. 1999. Determination of fracture toughness by
are analyzed such as shape of loading plane, loading angle and using the flattened Brazilian disk specimen for rocks. Engineering
loading rate. Fracture Mechanics, 64: 193201.

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 Block formation around excavations using deterministic and probabilistic methods

A.G. Thompson & C.R. Windsor

CRCMining/WA School of Mines, Kalgoorlie, Western Australia

ABSTRACT: Analysis methods involving various aspects of block theory are used to assess the stability of both surface
and underground excavations formed in jointed rock masses and to assist with the design of ground support. One of the
major challenges in the design of ground support for jointed rock is to define an appropriate block size based on the use of
generally limited geological data. A case study is used to compare the tetrahedral block size distributions predicted using both
deterministic and probabilistic analysis methods. Despite some marked differences in the capabilities of the software used for
the analyses, important inferences can be made regarding the formation of blocks at excavation surfaces. The probabilistic
analyses in which discontinuity persistence was bounded show that very large blocks rarely form relative to the large numbers
of very small blocks. The deterministic analyses using continuous persistence show that very large, discrete blocks only form
when large spacing values are used. It is concluded that both probabilistic and deterministic methods should be used for the
design of appropriate reinforcement and support schemes.

1 INTRODUCTION strength characteristics, then it is relatively easy to conduct an

The design of reinforcement and support for rock excavations
requires consideration of many interrelated issues. If the pro-
cess is simplified and thought of purely in mechanical terms
then it could be considered to comprise six basic steps:
1. Formulation of a rock mass model.
2. Assessment of rock mass demand.
3. Dimensioning of trial reinforcement and/or support
schemes.
4. Analysis of candidate reinforcement and/or support
schemes.
5. Selection and specification of an appropriate reinforcement
and/or support scheme.
6. Performance assessment of the selected reinforcement
and/or support scheme.
The design of reinforcement and/or support for an exca-
vation in structured rock is particularly difficult due to a
number of problems associated with completing steps 1 and 2.
The mutual intersection of discontinuities in structured rock
divides the rock into fully and partially formed blocks of rock.
If an excavation cuts through this assembly of blocks, new sets
of blocks are formed at the excavation surface. Some of these
exposed or surface blocks will have a shape that will allow
them to fall, slide or rotate into the excavation should the block
driving forces exceed the block stabilising forces. In order to
understand how such a rock mass may best be reinforced or
supported, the assembly of blocks must be investigated. The
ideal outcome from this investigation would be to predict the
exact shape, size, stability and spatial position of each block
that could form around the excavation. These block character-
istics would then define the rock mass demand and provide
the information needed to dimension trial reinforcement and
or support schemes.
The ability to properly define the block characteristics
depends on the quality and quantity of data that describes
the rock mass surrounding the proposed excavation and the
predictive capabilities of the block analysis techniques. If the
exact position of each discontinuity is known in advance,
together with the parameters that describe its geometry and
assessment and make a reasonable prediction using a deter-
ministic analysis method. Unfortunately, these data are not
available until after the excavation has been formed. Also,
with the quality and quantity of structural data normally avail-
able, the current block analysis techniques are unable to make
an accurate prediction of the shape, size and stability of the
blocks.
However, it is suggested that an assessment of the block
assembly can be made which results in a prediction of:
1. The block shapes that might possibly form.
2. The range of size of each possible block shape.
3. The stability of each size of each block shape that might
possibly form.
4. The relative probability of each block size of each possible
block shape forming.
5. The relative probability of each block size of each possible
block shape forming and being unstable.
It is proposed to study and compare tetrahedral block real-
isations using both deterministic and probabilistic analysis
methods. Both methods involve identifying the tetrahedra that
might form and the possible range of sizes for each of these
block shapes. Only the formation of tetrahedral shaped blocks
adjacent to an excavation surface will be considered. There-
fore the term relative probability will be used that is, the
number of tetrahedra of a particular size relative to the total
number of all tetrahedra that might form. Relative probability
is not a measure of the absolute probability that a tetrahedron
of a particular size will form. The assessment of the stability
of blocks and ground support design for unstable blocks have
been presented previously (e.g. Windsor, 1999 and Thompson,
2002) and are beyond the scope of this investigation.
2 BLOCK FORMATION AND ANALYSIS
2.1 Background
Procedures based on key block or keystone theory have
been used for over 20 years for the stability assessment of

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individual blocks near surface and underground excavations
(e.g. Warburton, 1981 and Goodman & Shi, 1985). The most
popular assessment procedures are based on the identification
and stability assessment of single blocks with simple shapes.
For example, in surface excavations a single one or two plane
wedge formed at the crest of a slope or tetrahedral blocks
formed adjacent to single excavation faces in underground
excavations (e.g. Rocscience, 2005). These methods are often
used in design to identify the potentially largest problematic
blocks by assuming that the discontinuities are ubiquitous and
form a block shape at some critical size, bounded in surface
excavations by the bench width or batter face height and, for
underground excavations, by the roof or wall spans.
2.2 Simulations
The software packages developed by the writers will be used
to analyse similar sets of geological structures. The determin-
istic and probabilistic methods involve some differences in the
input data.
2.3 Deterministic block analysis
A procedure developed by Warburton (1993) involves defin-
ing, deterministically, the block assembly within a defined
volume of rock surrounding an excavation. Warburtons algo-
rithms have been implemented in a computer software package
and reported by Thompson (2002). With this software, it is
possible to vary the orientation and persistence of discrete
discontinuities together with the spacings within an arbitrary
number of joint sets. In the case study, sets of three dis-
continuities will be analysed using fixed orientations. The
discontinuities generated for each set will be assumed to be
continuous in extent. Two models for spacing within each set
will be used; namely, equal spacings distributed uniformly and
exponentially. The use of the negative exponential variation of
spacing in the deterministic analysis software was prompted
by Mathis (1992).
The outcome from the analysis pertinent to this study is
the ability to identify surface blocks and assess their potential
instability.
2.4 Probabilistic block analysis
The concept of ubiquitous joint sets assumes that combina-
tions of discontinuities may occur everywhere and anywhere
in relation to each other and an excavation surface. Windsor
(1999) developed and reported the use of probability distribu-
tion functions for orientations and persistence to form a range
of tetrahedral block shapes and sizes. The influence of dif-
ferent spacings within each set may be accounted for using
the method of Mauldon (1994). This work also incorporated
the important concepts of a number of limiting block sizes
defined previously by Windsor (1992).
In the probabilistic method, the pertinent outcome from the
analyses involving large numbers of simulations is a frequency
distribution of sizes for each tetrahedral block shape formed
from three discontinuities and an excavation face.
2.5 Output from analysis
The outputs from both programs may be summarised as fre-
quency distributions of block sizes for each block shape. The
outputs from the deterministic and probabilistic analyses are
scaled identically to facilitate direct comparison and interpre-
tation. The block frequency distributions of tetrahedra are used
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Table 1. Summary of geological structural data for input.
Set Dip Fisher Mean trace
number Dip direction constant length (m)
1 47 135 100 5
2 39 010 100 5
3 43 087 100 5
4 61 170 100 5
5 28 225 100 5
as well as cumulative block volumes when higher order blocks
are included in the deterministic analyses.
3 CASE STUDY OF BLOCK FORMATION
3.1 Study definition and input data
The case study will examine the tetrahedral block shapes
formed from five discontinuity sets and a horizontal exca-
vation face. The set data used for the probabilistic analysis is
detailed in Table 1. The deterministic analysis uses the mean
orientations given in this table together with three different
mean set spacing values (1 m, 2 m and 3 m) that are distributed
either uniformly or exponentially. The block shapes formed
from any three individual discontinuities from the five discon-
tinuity sets and their potential failure modes are summarised in
Table 2. The block code indicates whether the block is (A)bove
or (B)elow the discontinuity surface. The potential translation
mode is one of free-falling, single plane sliding or sliding on
the intersection of two planes. The block shapes are shown
looking down towards the north-east and with the apex 1m
from the horizontal excavation face in all cases.
It can be seen from Table 2 that there is a wide variation
in the ratio of excavation face area to apex distance and this
will influence the range of possible blocks sizes. Table 3 shows
the blocks volumes limited by maximum trace length values of
5 m, 10 m and 15 m and the spacing values of 1 m, 2 m and 3 m.
The trace limited block volumes represent the theoretically
largest blocks that can fully form and the spacing limited block
volumes represent the largest individual blocks that can form.
Note that the trace limited block may comprise a number of
smaller tetrahedra and other block shapes as shown in Figure 1.
Table 3 also gives a rating of importance for the particular
block shapes based on the scale-stability diagram (Windsor,
1999).
3.2 Analysis description
3.2.1 Deterministic analyses
The deterministic analyses assumed that the horizontal exca-
vation surface was square and the members of the joint sets
were generated from its centre. Analyses were completed for
each of the ten blocks with discontinuity combinations given
in Table 2. The three different spacing values and two distribu-
tions used for each block shape resulted in 60 separate model
realisations.
3.3 Probabilistic analyses
Probabilistic analyses were completed for each of the ten
blocks with discontinuity combinations given in Table 2. A full
description of the methodology is given by Windsor (1999).
Briefly, each analysis involved 250 000 simulations in which
Table 2. Summary of basic tetrahedral block shapes and failure Table 3. Summary of block volumes limited by trace length and
modes. spacing values.
Translation Trace length (m) Spacing (m)
Block Block Block
no. Sets code Mode Set(s) Shape shape 5 10 15 1 2 3 Rating
1 123 BBA 2 3 1 1.9 15.1 51.0 0.5 3.9 13.2 3
2 0.6 5.1 17.1 0.1 1.0 3.4 1
2 124 ABB 3 1&4 3 1.4 11.1 37.5 0.1 0.4 1.4 10
4 0.1 1.1 3.8 2.3 18.5 62.4 2
3 125 BBB 1 N/A 5 1.8 14.8 49.8 0.1 1.1 3.8 6
6 3.6 28.6 96.4 0.4 3.1 10.4 5
7 0.8 6.8 22.9 0.1 0.4 1.2 4
8 1.0 7.7 26.0 0.1 0.7 2.2 9
9 0.5 4.0 13.4 0.2 1.2 4.0 8
4 134 ABB 3 1&4
10 2.6 21.2 71.7 0.1 0.5 1.6 7
5 135 ABB 2 1

100
2
90 4

Cumulative % by Number
6 145 BAB 2 4 80 1
6 5 10
70 7
8
60 3 9

7 234 BAB 2 3 50
40
8 235 BBB 1 N/A 30
20
10
9 245 BBB 1 N/A 0
0.1 1 10 100
10 345 BAB 2 4 Volume (m^3)

Figure 2. Summary of tetrahedral block sizes predicted

probabilistically.

Blocks were only formed if the persistence of the three dis-

* Mode 1 free-falling, Mode 2 sliding on a single plane, Mode
3 sliding on the intersection of two planes.
continuities was sufficiently large to allow for all block faces
to be fully formed. It is pertinent at this stage to note that the
trace limited block sizes given in Table 3 are very unlikely to
form given the number of simultaneous conditions that need
to occur.

3.4 Results of analyses

The results of the probabilistic analyses for all ten tetrahedral
block shapes are summarised in Figure 2. The scale of the plot
has limits more or les consistent with the range of sizes given
in Table 3. The results given in Figure 2 were used to identify
(b) the results from the 60 deterministic analyses to be presented.
Using set spacing values with frequencies distributed expo-
nentially about a 5 m mean spacing for all joint sets resulted
in the block size distributions given in Figure 3. Using smaller
(a)
mean spacings resulted in much smaller blocks sizes and using
(c) fixed spacings resulted in a smaller range of sizes.

Figure 1. Smaller blocks of various shapes contained within the

trace limited tetrahedral shaped blocks. 4 INTERPRETATION OF RESULTS

The following observations may be made with regard to the

firstly a potential block apex was located at some random dis-
probabilistic size predictions of tetrahedral blocks adjacent to
tance above the horizontal excavation surface and within the
an excavation surface formed in a jointed, hard rock mass:
block existence zone. Then persistence circles were generated
probabilistically for each discontinuity and located randomly A large number of small blocks are formed.
at some position relative to the apex of the potential block. Relatively few, large block sizes are formed.

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2007 Taylor & Francis Group, London, UK

 100 2
90
9 10 1
Cumulative % by Number
7 8 5
80 2
6 4
70 3
60
50
40
30
20
10
0
0.1 1 10
Volume (m^3)
Figure 3. Summary of tetrahedral block sizes predicted determin-
istically using 5 m mean spacings distributed exponentially.
The largest block sizes are related to shape.
The largest block sizes are limited by trace length and the
joint set spacings are not considered.
With respect to the deterministic predictions of block sizes:
A large number of small blocks are formed.
Relatively few, large block sizes are formed.
The largest block sizes are related to shape.
The large block sizes are limited by joint set spacing and
trace lengths are not considered.
If the results from the probabilistic and deterministic
predictions are compared, then:
The range of sizes predicted probabilistically is larger than
that predicted deterministically.
The probabilistic analysis method predicts greater numbers
of both smaller and larger block sizes.
The relative positions of the block size curves shown in
Figure 2 and Figure 3 are different.
These differences are important and were expected; they
are related directly to Figure 1. The probabilistic analyses
assumed ubiquity for the joint set planes and assumed ubiety
for the block apex within the block existence zone defined
by the trace limited block formed by considering the extrema
of the joint set orientations. Each block apex was simulated
as a random point within the block existence zone without
consideration of spacing. However, the distributions can be
modified using the work of Mauldon (1994).
On the other hand, the deterministic analyses assumed spe-
cific locations of the joint set planes within a simulated volume
adjacent to the excavation face. Only tetrahedra adjacent to the
excavation face were included in the block size distributions.
However, the analysis method can be modified to aggregate
a number of smaller tetrahedra, pentahedra and hexahedra to
form larger tetrahedral shaped volumes that would be more
consistent with the probabilistic predictions.
5 CONCLUDING REMARKS
Block analyses are often used to predict reinforcement and
support requirements. Other investigations have shown that
2007 Taylor & Francis Group, London, UK
the maximum block size limited by the excavation spans can
rarely if ever occur if trace lengths are considered. Therefore
it is inappropriate to base reinforcement design on the exca-
vation size. Also, the trace limited block will rarely occur as
a single block and will more usually be a compound block
comprised of smaller component blocks of various shapes.The
design of appropriate surface support requires consideration
of these smaller component blocks.
Therefore, it is suggested that both probabilistic and deter-
ministic methods are required for the prediction of block sizes
to be used in jointed rock stability assessments and the design
of appropriate ground support.
100
ACKNOWLEDGEMENTS
The work described in this paper would not have been possible
without the pioneering work of our former colleague Dr Peter
Warburton and study of block theory under the guidance of
Professor Richard Goodman, Dr Gen-hua Shi and Professor
Stephen Priest. We are grateful for the financial assistance
and support provided over many years by various organisa-
tions associated with the Australian mining industry and, in
particular, AMIRA International and CRCMining. We also
wish to acknowledge the invaluable assistance and support
of our colleagues and friends Ernesto Villaescusa and Glynn
Cadby.
REFERENCES
Goodman, R.E. & G-h Shi 1985. Block Theory and Its Application
to Rock Engineering. Prentice-Hall:London, 365p.
Mathis, J.I. 1992. A rock fragmentation prediction model for mining
excavations. URSA Engineering (www.ursaeng.com).
Mauldon, M. 1994. Intersection probabilities of impersistent joints.
Int. J. Rock. Mech. Min. Sc. & Geomech. Abstr., V31, 2, 107115.
Rocscience 2005. Swedge/Unwedge User Guides.
Thompson, A.G. 2002. Stability assessment and reinforcement of
block assemblies near underground excavations, NARMS-TAC
2002, eds. Hammah, Bawden, Curran and Telesnicki, V2, 1439
1446, University of Toronto Press:Toronto.
Warburton, P.M. 1981. Vector stability analysis of an arbitrary poly-
hedral rock block with any number of free faces. Int. J. Rock. Mech.
Min. Sc, 185: 415427, Pergamon:Oxford.
Warburton, P.M. 1993. Some modern developments in block the-
ory for rock engineering. Comprehensive Rock Engineering, ed.
J. A. Hudson, V2, 293315, Pergamon:Oxford.
Windsor, C.R. 1992. Block stability in jointed rock masses. Frac-
tured and Jointed Rock Masses, eds. L.R. Myer et al., 5966.
Rotterdam:Balkema.
Windsor, C.R. 1999. Systematic design of reinforcement and support
systems for excavations in jointed rock, Keynote Lecture, Rock
Support and Reinforcement Practice in Mining, eds. Villaescusa,
Windsor and Thompson, 3558, Balkema:Rotterdam.
186
 Characterization of variable weathered profiles by using DPR

Antnio Viana da Fonseca

Faculdade de Engenharia da Universidade do Porto, Porto, Portugal

S. Coelho
Tecnasol FGE, Fundaes e Geotecnia S.A, Porto, Portugal

ABSTRACT: The highly variable nature of the deeply weathered Porto granite has been posing significant challenges in the
geotechnical design due to the nature of the rock mass when its several class qualities are hard to differentiate. The identification
of geotechnical patterns in weathered rock profiles from conventional borehole investigations is common and ideal but rather
time consuming. Drilling Parameter Recordings (DPR) has been pointed out as a complementary alternative to site investigation.
A series of boreholes, where classical exploration techniques were confronted with drilling parametric monitoring, have been
used to develop protocols between indices coming out from this practical and increasingly reliable technique.
This paper presents some results from the study developed in this geotechnical ambient, by comparing compound parameters
derived from the DPR recorded variable with conventional site investigation results and indices. It is the purpose of this research,
developed in collaboration of the industry, to enable this technique to be more confiable in its common use in these formations.

1 INTRODUCTION large depths. Normally this formation is overlayed by recent

The weathering profiles of granite, gneiss and schist rocks in
the north region of Portugal are well known by their variability
and complexity. They are mostly, but not always, character-
ized by its gradation from upper weathered levels to lower
sound rock, improving its mechanical behavior with depth
(Viana da Fonseca, 2003; Marques et al. 2004). Meanwhile,
the weathered granite zones present a wide irregularity, being
common to occur blocks of sound or partly weathered gran-
ite, with various dimensions involved in high to extremely
high weathered masses. A good definition of those profiles
requires conventional borehole investigations, which is com-
mon but time consuming. An ongoing investigation tries to
establish protocols which will allow mapping the weathering
profiles using Drilling Parameters Recordings (DPR).
This work will refer solely the use of compound parameters,
namely the Somerton Index, as a useful tool for mapping the
various weathering levels. The data for each borehole executed
with destructive perforation with DPR is analyzed by thorough
comparison with indices derived from classical borehole. The
sample recovering available in the vicinity allowed the devel-
opment of a protocol that allows DPR to be used in identifying
the various weathering degrees in presence.
2 SITE GEOLOGY
This paper deals with DPR from two different locations in
the North of Portugal, both mainly constituted by granite. The
major part of the data (16 boreholes with DPR and corre-
spondent 16 classical boreholes with sample recovering) is
originated in typical ambient of Porto granite, well know
for its variability and its gradation. In general terms, this for-
mation presents a gradation from highly weathered rock (W5)
in the upper layers to rather sound rock (W2) in the bottom
layers. However it is common for unweathered rock to occur
in the upper layers mixed with the more weathered material.
It is also common that highly weathered rock mass appears at
landfills.
The three remaining pairs of boreholes are located in the
area of Vila Real, North of Portugal. Here the rock mass con-
sists mainly of granite ranging from fine grained to coarse
grained, this later one being the most representative. In the
area, schistes and micaschistes were also identified along with
alluviums originating in lines and consisting of sandy clay
layers with gravel. This area also presents vegetable soil and
recent landfills.
3 DRILLING PARAMETERS
Drilling Parameters Recording (DPR) has been used for a
long time in the oil industry (Gui et al. 2002) and its use for
geotechnical purposes began in the early 1970s (Pfister 1985).
The recorded data can be used to complement conventional
boreholes, to correlate with lithological and geomechanical
properties of rock masses (Peck et al. 1987), as an element
for design, guidance and control of soil treatment (Pfister,
1985), in cavity detection (Garassino et al. 1998) and fracture
identification (Benot et al. 2004).
While drilling occurs, a set of sensors mounted in various
parts of the drilling equipment monitors a number of parame-
ters related to the process of drilling, without interfering with
the process itself. All the sensors are connected to the recorder,
where the values are visualized and stored, allowing for pos-
terior download to a PC for ulterior treatment. In this case, the
recorder used allowed to record the advance rate, thrust pres-
sure, rod torque, rotation rate, water pressure and vibration
(this later parameter was not monitored in this case). Figure 1
shows an example of the data obtained from a DPR borehole.
4 COMPOUND PARAMETERS
Several compound parameters have been proposed along the
years, the oldest being reported by Somerton (1959). All

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2007 Taylor & Francis Group, London, UK

Figure 1. Registered values using DPR for one of the boreholes.
Figure 2. Examples of the individual profiles obtained for each
borehole using the Somerton Index.
parameters combine different recorded values and some use
data such us bit diameter, bit and rods weight and maximum
thrust pressure and drilling rate provided by the equipment.
By manipulating and combining all these entities, there is the
purpose of emphasizing certain characteristics of the rock or
soil mass being studied.

4.1 Somerton Index

Somerton Index was presented in 1959 by Wilbur H. Somerton
following a study on rock breakage by rotary drilling. From
its tests, he realized that the ultimate compressive strength
was not a reliable rock strength parameter for general rotary
drilling correlations (Somerton, 1959). Therefore, this index
was proposed as a strength parameter who could provide a
good correlation between advance rate, rotation rate and the
effective weight on the bit. The Somerton Index is usually
presented has shown in Equation (1).
where Wnet = effective weight on the bit (thrust pressure + rods
and bit weight), wd = rotation rate and Vd = advance rate.
5 THE APPLICATION OF SOMERTON INDEX ON
WEATHERED GRANITE
5.1 Data preparation
For each available borehole, the Somerton Index was cal-
culated according to Equation 1. Examples of the profiles
obtained for each borehole are shown in Figure 2.
The analysis of Figure 2 shows that along each profile, sev-
eral zones with distinctive behavior can be observed, namely,
the values of Somerton Index seem to be more or less stable
along certain depths, in each specific horizon.
The logical immediate step from the mentioned observation
was to define these areas of apparent stability and calculate the
average value of the Somerton Index. In order to avoid the def-
inition of too limited zones with very similar average values,
it was established that two consecutive zones would only be
individualized it the difference between their average values
was greater than 50 (the Somerton Index is a nondimensional
entity). The results of this zoning, for the same boreholes, are
presented in Figure 3.
Figure 3. Zoning of the boreholes using the Somerton Index.
5.2 Data analysis
After the zoning process, each boreholes derived profile
and respective classification of horizons was compared with
the corresponding conventional borehole in order to identify
zones of similar weathering degree that could be related. To
each one of these zones, a weathering degree had a correspon-
dence to a specific trend value of the index giving rise to a
pattern of weathering evolution.
5.3 Results validation
In one of the sites under study, the boreholes were used
to perform cross-holes (CH) tests. Seismic shear (S) waves
velocities were determined through depth in cross-hole tests
and proved to be particularly relevant in the cross-correlation,
since these proved to be very much in agreement with the
zones defined by the compound parameters, specially with the
good fittings with the Somerton Index average values. These
results can be seen in Figure 4 for one cross-hole (CH) test.
5.4 Global analysis of all available results
Several difficulties appeared when all the boreholes were ana-
lyzed in whole: the values seemed in some cases to be very
much affected by any change in the drilling process (a sudden
increase in rotation speed, for example) However, it was also
assumed that, since the advance rate is directly related to the
net pressure and the rotation rate, these values would somehow
compensate each other. Therefore, the Somerton Index would

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2007 Taylor & Francis Group, London, UK


Figure 4. Comparison between zoning according to the Somerton
Index and S-waves.
Figure 5. Average values of the Somerton Index without restrains
in the distance between the DPR log and the classical borehole.
still provide a reliable estimation on the strength parameter
and therefore of the weathering degree. Another difficulty is
related to the fact that the evolution of weathering degrees
with depths did not always agree in the interpretation of DPR
monitoring and the classical borehole classification. This was
assumed to be related to the well known variability of these
geological formation (Viana da Fonseca, 2003, Marques et al.
2004).
The average values assigned for each weathering degree in
each borehole were then plotted to verify their consistency as
a whole. The purpose was to check whether the average values
for each weathering degree presented similarities from bore-
hole to borehole. Three types of plotting were considered: one
without limitations of distance between the DPR borehole and
the closest classical borehole (as far as they were considered
correspondent), a second one considering only boreholes sep-
arated by less than 50 m, and a third one, considering boreholes
separated less than 20 m. These plots are shown in Figures 5 to
7 respectively, with indication of the average value obtained
for each weathering degree.
Figures 5 to 7 show that, although with some variation and
a general overlapping in the weathering degrees, the Somer-
ton Index values clearly increase as the rock becomes less
weathered.
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2007 Taylor & Francis Group, London, UK
Figure 6. Average values of the Somerton Index with a maximum
distance between the DPR log and the classical borehole of 50 m.
Figure 7. Average values of the Somerton Index with a maximum
distance between the DPR log and the classical borehole of 20 m.
It is also clear that the evolution of the Somerton Index with
the weathering class is more notorious and reliable with the
decrease in distance between the DPR logs and the classical
boreholes. This is not surprising for the high variability of the
granitic rock mass that is being studied: these profiles typically
vary very rapidly and there are no guarantees that boreholes
separated by several dozen meters will still encounter the same
weathering profile pattern (neither in its evolution in depth nor
in the weathering degrees present).
From the above results, it seems clear that in each site, the
calibration between DPR logs and classical boreholes should
be conducted based in close distance boreholes. Then the DPR
results may be extended to the rest of the site.
6 CONCLUSIONS
Somerton Index (SI) seems to be a useful tool to differentiate
weathering degrees in classes in weathered granite profiles,
giving a powerful framework for the interpretation of Drilling
Parameters Recording (DPR).
It is important that, for calibration purposes, the distance
between the DPR logs and the classical boreholes (thoroughly
and conventionally classified from a geological evaluation of
recovered integral samples) be as small as possible in order to
provide correct and confiable correlations.
This paper has dealt with a careful and systematic cross-
correlation between a relevant set of borehole results in
weathering granite profiles, taking advantage of the sensitivity
of a specific compound parameters (SI), derived from the DPR
logs, giving a fundament contribution to enable this technique
to be used in geotechnical practice in these formations.
ACKNOWLEDGEMENTS
The authors would like to thank the valuable help obtained
from Tecnasol FGE and FEUP Geotechnical Laboratory, who
performed the site works and lab tests, respectively. To Metro
do Porto, SA and Normetro, ACE, for the authorization to
publish geodata from the Project. This work is integrated in
the research activities of CEC (FEUP), FCT sponsored centre
and POCI/ECM/61934/2004.
REFERENCES
Benot, J., Sadkowski, S.S. and Bothner, W.A. (2004). Rock charac-
terization using drilling parameters. Geotechnical and Geophys-
ical Site Characterization, Proc. of ISC-2, Vol.1, pp.665670. Ed.
by Viana da Fonseca & Mayne. Millpress, Rotterdam.
Garassino, A.L. and Schinelli, M.L. (1998). Detection of cavities
by monitored drilling. Geotechnical Site Characterization, Proc.
ISC98, Ed. by Robertson & Mayne. A.A. Balkema, Rotterdam.
Gui, M.W., Soga, K., Bolton, M.D. and Hamelin, J.P. (2002). Instru-
mented borehole drilling for subsurface investigation. Journal of
190
2007 Taylor & Francis Group, London, UK
Geotechnical and Geoenvironmental Engineering, Vol. 128, N 4,
pp. 283291. ASCE, Reston.
Marques, E., Viana da Fonseca,A., Carvalho, P. and Gaspar,A. (2004)
Example of erratic distribution of weathering patterns of Porto
granite masses and its implication on site investigation and ground
modelling. Geotechnical and Geophysical Site Characterization,
Proc. of ISC-2, Vol.2, pp.12931300. Ed. by Viana da Fonseca &
Mayne. Millpress, Rotterdam.
Peck, J., Scoble, M.J. and Carter, M. (1969). Interpretation of
drilling parameters for ground characterization in exploration and
development of quarries, Transactions of the Institution of Min-
ing and Metallurgy, Proc. Drillex87 Conf.. Section B, Vol.69:
B141B147.
Pfister, P. (1985) Recording drilling parameters in ground engineer-
ing, Ground Engineering, Vol.18, N 3. BGA, London.
Somerton, W.H. (1959) A laboratory study of rock breakage
by rotary drilling Journal of Petroleum Technology, Vol. 216,
pp. 9297
Viana da Fonseca, A. (2003). Characterising and deriving engi-
neering properties of a saprolitic soil from granite, in Porto.
Characterisation and Engineering Properties of Natural Soils.
Swets and Zeitlinger, Lisse, pp. 13411378.
 Classification of anisotropic rocks

H. Saroglou & G. Tsiambaos

Department of Geotechnics, National Technical University of Athens, Greece

ABSTRACT: The scope of the present study is the characterization of the inherent anisotropy of metamorphic rocks, based on
the most widely used laboratory tests for rocks. The proposed classification system is based on data from literature and results
from tests carried out in metamorphic rocks. It takes into account the degree of anisotropy as it is determined from: a. the
uniaxial compressive strength, ci , b. the point load strength, Is50 and c. the longitudinal wave velocity, Vp . A new anisotropy
index for point load strength, determined from diametral tests on oriented core specimens, is also presented.

1 INTRODUCTION The application of uniaxial load relevant to the planes of

anisotropy in the direction of maximum and minimum strength
A number of indices have been proposed for the classifica- is shown in Figure 1.
tion of inherent anisotropy of the intact rock, mainly that of Based on the strength data of anisotropic sedimentary
the uniaxial compressive strength and the point load strength. and metamorphic rocks, Ramamurthy (1993) proposed the
The degree of strength anisotropy is determined as the ratio of classification given in Table 1.
the strength perpendicular to the planes of anisotropy (max-
imum strength) to that in the weakest direction (minimum 2.2 Point load strength anisotropy
strength), as described by ISRM (1981). A classification of
the anisotropy of foliated rocks was proposed by Tsidzi (1997) The point load strength anisotropy index was initially proposed
based on the ultrasonic velocity. Tsidzi (1986, 1987) also pro- by ISRM (1981). The index I (50) is given as:
posed a descriptive petrographic index (foliation index) for
the characterization of the development of anisotropic tex-
ture of intact rock and a modification of the classification of
point load strength anisotropy (Tsidzi, 1990). Other indices
that have been used for the characterization of anisotropy are where, Is(50) and Is(50)// is the point load strength, for samples
that based on the deformation modulus and the Poisson ratio of diameter equal to 50 mm, perpendicular and parallel to the
(Ramamurthy, 1993 and Kwasniewski, 1993), as well as that foliation planes at the axial and diametral test.
of the tensile strength of rock.
The indices that have been used for the characterization
of anisotropy, possess a different classification scale, as they
refer to different mechanical properties of intact rock. These
properties are influenced to a varying extend by the anisotropic
texture of intact rock.
The aim of the present study is the proposal of a concise
classification scheme of anisotropic rocks, which will take
into account the fundamental anisotropy indices of mechani-
cal properties and will characterize the degree of anisotropy
of intact rock, by considering also the uniaxial compressive
strength, ci , perpendicular to the planes of anisotropy. Thus,
the strength and velocity anisotropy indices are correlated to
the uniaxial compressive strength.
Figure 1. Orientations of minimum and maximum compressive
strength of anisotropic intact rock.
2 EXISTING CLASSIFICATION OF ANISOTROPY

2.1 Uniaxial compressive strength anisotropy Table 1. Anisotropy classification according to uniaxial compres-
sive strength (Ramamurthy, 1993).
The strength anisotropy index has been widely used for the
classification of anisotropy. The maximum uniaxial compres- Degree of compressive
sive strength occurs when loading is perpendicular to the strength anisotropy, I c Descriptive term
planes of anisotropy ( = 90 ). The strength anisotropy index
is given as (Ramamurthy, 1993): 1.01.1 Isotropic
1.12.0 Fairly anisotropic
2.04.0 Moderately anisotropic
4.06.0 Highly anisotropic
>6.0 Very highly anisotropic

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Table 2. Anisotropy classification according to point load strength the planes of anisotropy and Vp(90 ) is the minimum velocity,
(ISRM, 1985). occurring when the propagation is perpendicular to them. The
ratio was also used by Birch (1961) for the description of
Degree of Point load seismic waves, but here it is used solely for the classification of
strength anisotropy I (50) Descriptive term
wave velocity anisotropy and its correlation with the strength
1 Isotropic anisotropy.
12 Fairly moderately anisotropic
24 Highly anisotropic
>4 Very highly anisotropic 3 PROPOSED CLASSIFICATION METHODOLOGY

Table 3. Anisotropy classification according to ultrasonic wave
velocity (Tsidzi, 1997).
Degree of velocity
anisotropy VA (%) Descriptive term
<2 Isotropic
26 Fairly anisotropic
620 Moderately anisotropic
2040 Highly anisotropic
>40 Very highly anisotropic
The minimum point load strength of anisotropic rock occurs
when loading is applied parallel to the foliation planes due
to splitting along them, while the minimum uniaxial com-
pressive strength occurs when the angle between the loading
orientation and the anisotropy planes is equal to 30 .
Consequently, the directions of minimum strength in the
two tests differ and thus the minimum uniaxial compressive
strength cannot be indirectly estimated by the minimum point
load srength. The correlation of these two intact rock proper-
ties, as initially proposed by Broch & Franklin (1972) is valid
only when loading is perpendicular to the planes of anisotropy.
Based on the point load strength index, I (50) , a classifica-
tion of anisotropic rocks was proposed by ISRM (1981), as
given in Table 2, while a similar classification was proposed
by Tsidzi (1990).
2.3 Wave velocity anisotropy
The determination of wave velocity anisotropy of intact rock,
has been used in the past, since its measurement is relatively
simple.
Tsidzi (1997) proposed a velocity anisotropy index, VA,
based on tests carried out on metamorphic rocks, which is
described by the following equation.
where, V(max) is the maximum ultrasonic wave velocity, V(min)
is the minimum velocity, and V(mean) is the mean velocity. The
classification of anisotropy based on this index is given in
Table 3.
The velocity anisotropy index which is proposed and scaled
in the present study is given by the ratio:
where, Vp(0 ) is the maximum velocity of longitudinal waves
(P-waves), which occurs when their propagation is parallel to
3.1 General
The classification scheme of anisotropic rocks proposed in the
present study is based on the following anisotropy indices:
1. the strength anisotropy index, Ic (equation 1)
2. the point load anisotropy index in the diametral test, Id
(based on equation 2)
3. the wave velocity anisotropy index IVp (equation 4).
In order to develop this classification, a substantial num-
ber of data for metamorphic rocks (shales, schists, gneisses,
phyllites, marbles) was collected by literature. Attempt was
made to gather sufficient data of mechanical properties of
anisotropic intact rocks (e.g. uniaxial compressive strength,
point load strength, wave velocity), in order to:
1. Compare of the anisotropic indices of each rock,
2. Define the variation of the anisotropic index of each
mechanical property in relation to the property itself (when
not influenced by anisotropy),
3. Define the variation of the anisotropy indices in relation to
the uniaxial compressive strength of intact rock.
Additionally, a large number of tests were performed on
specimens of metamorphic rocks, namely Athens Schist,
gneisses and marble (Saroglou et al., 2004a and Saroglou et al.,
2004b). The schist is characterized as chloritic, muscovitic and
has moderately developed foliation. The gneiss is character-
ized as (a) muscovitic gneiss with medium-grained fabric with
very well developed banding and (b) a mica gneiss with coarse-
grained fabric. The marble is calcitic with a small amount of
dolomite (3%) and has a layered texture due to the existence
of parallel discontinuous layers of dolomite, resulting in a low
degree of anisotropy.
3.2 Strength versus strength anisotropy index
The uniaxial compressive strength of intact rock, ci , perpen-
dicular to the anisotropy planes seems to correlate, in some
way, to its degree of strength anisotropy. It was found that the
rocks with lower compressive strength tend to have a higher
degree of anisotropy.
Based on the classification chart of strength anisotropy,
shown in Figure 2, it is possible to characterize the anisotropy
of different types of metamorphic rocks in relation to the
uniaxial compressive strength category as per ISRM (1981).
More precisely, it can be concluded that:
1. Rocks with high compressive strength (ci > 100 MPa)
generally exhibit low degree of anisotropy.
2. Rocks with moderate compressive strength (50 MPa <
ci < 100 MPa) dont tend to be characterized by a certain
category of anisotropy.
3. Rocks with low compressive strength (25 MPa < ci <
50 MPa), although the data are limited, tend to have
moderate degree of anisotropy.

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Figure 2. Classification of metamorphic rocks based on strength index and uniaxial compressive strength. (L): data from literature.
The data for rocks with very low compressive strength
(ci < 25 MPa) are very limited, thus they do not provide a
basis for evaluation.
The available data dont allow for correspondence of the
strength anisotropy categories with the nature or lithology
of the intact rock. For instance, the same rock type may be
classified in more than one strength anisotropy categories
depending on its mineralogical composition, structure but
also the weathering degree in intact rock state. Nevertheless,
marbles tend to be classified in the first anisotropy category
(isotropic), while schists and phyllites in the third category
(medium degree of anisotropy).
No data were found in literatures, which belong in the cate-
gory of very high strength anisotropy (Ic > 5.0). It should
be stated that the range of the medium and high strength
anisotropy categories, as proposed by Ramamurthy (1993),
were altered as defined in Figure 2. The upper limit of the
high degree of anisotropy was changed to 5.0 instead of 6.0
considering that no data with values of Ic higher than 6.0
occurred in literature. Additionally, the limit of medium high
degree of strength anisotropy was correspondingly changed
from Ic = 4.0 to Ic = 3.0.
3.3 Point load strength versus point load strength index
3.3.1 General
The point load strength anisotropy index has greater scatter
than the compressive strength index and the velocity index,
for the rocks tested and the data available from literature (Fig-
ure 3). Specifically, only the degree of anisotropy of gneiss,
as determined by the point load strength index, Ia50 , and com-
pressive strength index, Ic , coincide, while this is not true
for the schist and the marble tested, especially for the marble
samples.
Based on the results from the present study and data from
literature, it is obvious that there is no relating trend between
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2007 Taylor & Francis Group, London, UK
the anisotropy index, Ia50 , and the point load strength normal
to the planes of weakness, Is50() .
Most importantly, the distribution of the point load index of
the rocks tested shows that it is concentrated in one category of
anisotropy (moderately to highly anisotropic), while the same
rocks can be classified to more than one categories and more
evenly if they are characterized by the strength index, Ic , and
velocity index, IVp .
Consequently, the classification of anisotropy of intact
rocks based on the point load strength index can sometimes be
inefficient. Additionally, the point load strength parallel to the
planes of anisotropy, Is50(//) , is not a representative mechani-
cal property. This is pronounced, when comparing a schist of
low strength with a gneiss, where the point load strength of
the two rocks parallel to the foliation planes, Is50(//) , may have
little difference, in contrast to their point load strength degree
of anisotropy, Ia50 , which may differ significantly due to the
difference of the point load strength perpendicular to them,
Is50() .
Thus, the index Ia50 should be used with caution for the
classification of anisotropic intact rock. Concerning the effect
of weathering on the point load strength anisotropy index, it
seems that it does not decrease with increasing weathering
grade, as it was found from the tests of the schist (weathering
grades II to III).
3.3.2 Proposed point load strength anisotropy index from
the diametral test
In the diametral test the minimum strength is recorded when
the load is applied parallel to the weakness plane and the spec-
imen fails along it (Broch, 1983). Aagaard (1976) has also
demonstrated this in gneisses and mica schists.
In the present study, the same loading pattern was used
in the diametral test in order to determine the minimum and
maximum strength of the metamorphic rocks tested. Based
on this testing methodology, a new anisotropy index, Id , was
Figure 3. Classification of metamorphic rocks based on point load strength index, Ia50 . (L): data from literature.

Table 4. Anisotropy Index Ia50 and proposed index Id from diame-

tral point load tests.

Diam. Diam.
Rock Is(50) Is(50)// Descriptive term for
type Ia50 (MPa) (MPa) Id Id (based on Table 2)

Schist 2.9 1.3 0.8 1.6 Fairly moderately

anisotropic
Gneiss 3.4 4.7 1.7 2.8 Highly anisotropic
Marble 2.5 4.1 2.4 1.7 Fairly moderately
anisotropic

and that is due to the higher strength of gneiss normal to the

Figure 4. Diametral point load strength as a function of the angle,
a, for schist and gneiss samples tested in the present study.
proposed which is defined as the ratio of the point load strength
perpendicular to that parallel to the planes of weakness, in the
diametral test (Saroglou & Tsiambaos, 2006). The comparison
of this index (Id ) with that proposed by ISRM, 1985 (Ia(50) )
led to significant results.
The variation of the point load strength with the angle is
shown in Figure 4. The decrease of strength with angle is
more profound for the gneiss samples rather than the schist
planes of weakness.
The point load strength recorded parallel and perpendicular
to the planes of weakness in the diametral test for the rocks
tested, is summarized in Table 4.
Based on the results from the diametral tests, it is obvi-
ous that there is a significant difference between the two
anisotropy indices, Id and Ia(50) . Generally, the minimum
strength, which is encountered parallel to the planes of weak-
ness, is closer to the maximum strength for rocks with low
intact rock strength. This is true for the schist samples that
were tested.
The proposed anisotropy index, Id , gives a better correlation
with the strength anisotropy index, Ici , for the metamorphic
rocks tested. Thus, it can be used for the determination of
the degree of anisotropy of intact rocks exhibiting inherent
anisotropy (using the same ranges proposed for Ia50 , as in
Table 2).
3.4 Wave velocity versus wave velocity index
The classification of velocity anisotropy is obtained with
the proposed index of the longitudinal wave velocity, IVp
(equation 4).

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2007 Taylor & Francis Group, London, UK

Figure 5. Classification of metamorphic rocks based on longitudinal velocity anisotropy. (L): data from literature.

The proposed velocity anisotropy index, for both the data

of the present study as well as those from literature, corre-
lates very well with the velocity of the longitudinal waves
perpendicular to the planes of anisotropy (Vp90). This velocity
is a characteristic property of the intact rock.
The velocity anisotropy index, IVp , is higher for rocks that
possess lower velocities of the longitudinal waves perpendicu-
lar to the planes of anisotropy,Vp90 (Figure 5).The correlation
of these parameters for all the samples is exponential and is
given by the equation, Vp = 5240 I1.28
Vp (r2 = 0.88), while for
the rocks examined in the present study it is Vp = 4615 I1.13
Vp
(r2 = 0.95).
The velocity index IVp doesnt exceed the value of 2.0, with
only exception the data of weathered intact gneiss which give
a value of 3.0 (Dobereiner et al., 1993).
According to the velocity anisotropy index, IVp , the marble
examined is characterized as isotropic to fairly anisotropic.
The schist tested as well as the schists from literature are clas-
sified as fairly to moderately anisotropic, while the gneisses as
moderately to highly anisotropic (shown by the hatched areas
in Figure 5).

3.5 Scaling of index IVp according to index I c

In order to define the limits of the anisotropy categories using
the velocity anisotropy index, IVp , in the proposed classifica-
tion scheme, this index is scaled according to the compressive
strength index, Ic , from uniaxial compression and ultra-
sonic tests carried out on the same samples in the present
study. The data from literature were not taken into account
since they usually refer to the same rock but not to the same
samples.
Figure 6. Scaling of the proposed anisotropy index IVp based on
anisotropy index Ic according to the results of the present study.
The scaling of the velocity anisotropy index is shown in
Figure 6. The proposed classification scheme of anisotropy
based on compressive strength index, Ic , longitudinal veloc-
ity index, IVp , and the proposed point load strength index, Id ,
is presented in Table 5.

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2007 Taylor & Francis Group, London, UK

Table 5. Suggested classes for the classification of anisotropic ACKNOWLEDGEMENTS
rocks.
The present work is part of the research for the Opera-
Anisotropy Strength index Proposed Proposed
category Ic index IVp index Id tional Programme for Educational and Vocational Training,
Pythagoras II. The project is co-funded by the European
Isotropic Ic 1.1 Id = 1.0 Social Fund (75%) and National Resources (25%).
Fair 1.1 < Ic 2.0 IVp 1.5 1.0 < Id 2.0
Moderate 2.0 < Ic 3.0 1.5 < IVp 2.0
High 3.0 < Ic 5.0 IVp > 2.0 2.0 < Id 4.0 REFERENCES
Very high Ic > 5.0 Id > 4.0
Aagard, B. 1976. Strength anisotropy of rocks (in Norwegian). M.Sc.

The ranges of the categories of strength anisotropy given in Table 1
(Ramamurthy, 1993) have been modified.
Furthermore, the classification charts of compressive
strength (Figure 2), point load strength (Figure 3) and longi-
tudinal wave velocity (Figure 5), allow also for the character-
ization of the anisotropic rocks concerning these mechanical
properties in junction with the corresponding indices.
4 CONCLUSIONS
The longitudinal wave velocity index of anisotropic intact
rocks, IVp , can be used for the classification of anisotropy. The
index is defined as the ratio of the wave velocity perpendicular
and parallel to the planes of anisotropy.
In the present study, the classification of anisotropy through
the velocity index was scaled based on the uniaxial com-
pressive strength index, Ic , and anisotropy categories were
proposed.
Additionally, the analysis of the anisotropy indices of com-
pressive strength and wave velocity, shows that the degree of
anisotropy tends to increase for rocks with lower uniaxial com-
pressive strength, ci , or with lower longitudinal velocities, Vp
(perpendicular to the planes of anisotropy).
The anisotropy of intact rock can also be classified with the
point load strength index, Ia(50) . The use of index Ia(50) can
lead to a misleading estimation of anisotropy degree for some
rocks, as it occurred with the marble in the present study. The
metamorphic rocks, in the present study, were characterized as
highly anisotropic based on the point load strength index, Ia50 ,
which did not agree with their compressive strength anisotropy
index, Ici .
Consequently, a new anisotropy index, Id , was proposed
which is defined as the ratio of point load strength normal to
planes of anisotropy to that parallel to them in the diametral
test.
The characterization of the rocks tested according to the pro-
posed index, correlates quite well with the strength anisotropy
index, Ici in uniaxial compression.
dissertation, 104pp. NTH, Trondheim.
Birch, F. 1961. The velocity of compressional waves in rocks to 10
kbars: Part 2. J.Geophysics. Res. vol. 66, pp. 21992224.
Broch, E. & Franklin, J. A. 1972. The point load strength test. Int. J.
Rock Mech. Min. Sci., vol. 9, pp. 669697.
Broch, E. 1983. Estimation of Strength Anisotropy Using the Point-
Load Test. Int. Journal Rock Mech. Min. Sci. & Geomech. Abstr.,
vol. 20, No.4, pp.181187.
Dobereiner, L., Durville, J., Restituito, J. 1993. Weathering of the
Massiac gneiss (Massif Central, France). Bull. Int. Assoc. Eng.
Geol., Vol. 47, pp. 7996.
ISRM 1981. Rock characterization, testing and monitoring, ISRM
suggested methods. Pergamon Press, Oxford, U.K.
ISRM 1985. Commission on Testing Methods. Suggested method for
determining Point Load Strength (revised version). Int. Journal
Rock Mech. Min. Sci. & Geomech. Abstr., Vol. 22, pp. 5160.
Kwasniewski, A.M. 1993. Mechanical Behavior of anisotropic rocks.
Comprehensive rock engineering, Vol. 1, pp. 285312. Pergamon
Press, Oxford.
Ramamurthy, T. 1993. Strength and Modulus Responses of
anisotropic rocks. Comprehensive rock engineering, Vol. 1,
pp. 313329. Pergamon Press, Oxford.
Saroglou, H., Marinos, P., Tsiambaos, G. 2004a. Geological controls
on intact rock strength.The effect of anisotropy. Proc. of 10th Inter-
national Congress. Bulletin of the Geological Society of Greece,
XXXVI, pp. 18261837.
Saroglou, H., Marinos, P., Tsiambaos, G. 2004b. The anisotropic
nature of selected metamorphic rocks from Greece. Journal of
the South African Institute of Mining and Metallurgy, Vol. 104,
No. 4, pp. 217222.
Saroglou, H. & Tsiambaos, G. 2006. Point load strength of
anisotropic rocks. Proc. of Eurock 06, European Regional ISRM
Conference, Liege, Belgium, pp. 603607.
Tsidzi, K. 1986. A quantitative petrofabric characterization of
metamorphic rocks. Bull. Int. Assoc. Eng. Geol., Vol. 33, pp. 312.
Tsidzi, K. 1987. Foliation index determination for fine grained
metamorphic rocks. Bull. Int. Assoc. Eng. Geol., Vol. 37,
pp. 8188.
Tsidzi, K. 1990. The influence of foliation on point load strength
anisotropy of foliated rocks. Bull. Int.Association of Eng. Geology,
Vol. 29, pp. 4958.
Tsidzi, K. 1997. Propagation characteristics of ultrasonic waves in
foliated rocks. Bull. Int. Association of Eng. Geology, Vol. 56,
pp. 103113.

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2007 Taylor & Francis Group, London, UK

 Comparing the RQD and the C values

. Vr & B. Vsrhelyi
Dept. Engng. Mat. & Engng. Geol., Budapest University of Technology and Economics, Budapest, Hungary

L. Kovcs
Ktfej Ltd., Pcs, Hungary

ABSTRACT: The bore holes are usually analyzed by RQD method in the rock engineering practice. The limitation of this
method mentioned by several authors: for example, RQD = 0% (where the joint intercept (distance between the joint in the
drill cores) is 10 cm or less), or RQD = 100%, the RQD gives no information of the core pieces. It does not matter whether the
discarded pieces are earth-like materials or fresh rock pieces up to 10 cm length. At the beginning of 2003, more than 3,000
meter long boreholes were analyzed parallel by two different methods: the traditional RQD and the C-method, introduced by
Hansgi. According to the results, in case of very good or very poor core drill, the C method shows the jointing patterns better
than the RQD method. The goal of this paper is to present the C-method and their advandages/disadvandages. Linear regression
was found between the values between 10% < RQD < 90%, but the C value is much more sensitive, than the RQD.

1 INTRODUCTION RQD-method, the C-method is also applied. In this chapter

these two methods are presented.
In geotechnical engineering it is very important to know the
surrounding soil and rock masses. In rocks the most useful 2.1 RQD-method calculation and limitations
are the rock mechanic properties. To get these drills should be
made and the core should be gained from it intact. By getting RQD is the most often used method for measuring the degree
a piece of the rock as it was in the original stat we can examine of jointing of rock masses. This value is used to calculate the
the jointing, the in fills, the weathering and a lot more. For the RMR and Q rock mass classifications. In 1964 Deere devel-
strength of the rock and deciding about the level of support oped RQD calculating by the core with a diameter bigger than
the knowledge of the jointing is the most relevant. The RQD 54.7 mm (2.15 ), but later it was converted to be able to calcu-
and the C methods are to make this property numerical. late on the rock surfaces as well. The appropriate definition of
After presenting the two methods, the comparison is based it is the percentage of intact core pieces longer than 100 mm
on the drill data of preliminary exploration of the site of the in the total length of core.
Radioactive Repository at Btaapti. The data was given by
Mecsekrc Ltd. RQD and C was always calculated at every
drill. The calculations were made by the same person therefore
the subjective mistake can be regarded as constant.
After several investigations the Central Hungarian Mrgy An example is shown on Figure 1. (Deere, 1989). The
basin was chosen for low and medium radioactive waste final lengths between two joints should be measured along the axis
disposal facility. The average high of the hilly land, which is
covered by mostly forest, is around 260280 above sea level
while the deepest points of the valleys are approximately 160
170 m above sea level.
The strata of the area can be easily described although
highly jointed by tectonic influenced. The main stratum is
the Palaeozoic granite from the carbon time. The upper part
of this stratum (more than 10 meters) is differently weathered.
Above this about 5060 m thick Pleistocene loess can be found
(Glos et al. 2002).
The allocated area (approximately 300 600 m) firstly was
investigated with geophysical methods before the bores were
carried out till different depth (300500 m).
In this comparison more than 3,000 meters of core from 20
drills are used to make the statistics to show the relation of
them clearly.

2 THEORETICAL BACKGROUND

The RQD method is one of the mostly used methods

for borehole investigations. In Hungary, parallel with the Figure 1. Calculating RQD (Deere, 1989).

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2007 Taylor & Francis Group, London, UK

Table 1. Rock mechanic categorization of RQD based on
EUROCODE 7-1.
RQD Rock classification based Rock engineering
% on EUROCODE 7-1 description

>25 Very poor should be regarded as soil

2550 Poor highly fractured
5075 Good fractured
7590 Very good slightly fractured Figure 3. Example to show that RQD is directional dependency
90100 Excellent intact (Palmstrm, 2005).

joint systems. The joint spacing of two sets is 11 and 15 cen-

timeters, but the third is spaced by only 9 cm. If boreholes are
drilled at a right angle to the first two joint sets RQD will be
100%. In the third direction the intact pieces will be shorter
than 10 cm therefore RQD result will be 0%.

2.2 C (Kiruna) method

Hansgi developed the C method in 1965 in order to eliminate
Figure 2. Examples of minimum and maximum values of RQD for
various joints densities along drill cores (Palmstrm, 2005). the restriction of the diameter in calculating RQD. C factor can
be used at any diameters.
C factor is the average of two other factors, the Cp sample
of the core. By dividing with the whole examined length we
factor and the Cm core length factor.
get an average value therefore it is not imprecise to give a
single number as a result.
Based on the RQD result Eurocode 7-1 categorizes rocks
and gives a rock engineering description. The categories are
listed in Table 1.
Cp factor is similar to RQD. It gives the number of samples
On the recommendation of Eurocode 7-1 the fractures
that can be saw out of the intact pieces of the core that is, how
caused during the drilling or the extraction of the core should
many times does the full diameter of the core fit to the length of
not be counted as a fracture as they are not present in the rock
the piece. We get the sample factor by multiplying the number
mass in their natural stage. In case of slate rock types the mea-
of samples that can be gained with the actual diameter and
surements must be carried out immediately after the drilling
dividing it with the length of the examined section.
in order to get a true idea of the degree of jointing in the rock
mass. By not letting the core to relax further on we can prevent
the development of more cracks in the core.
One limitation of this method is that we do not get any infor-
mation about the pieces shorter than 10 cm. Those parts could
be soil like, full of fractures therefore appropriately resulted as Cm is calculated from the average lengths of the intact
RQD = 0%, just as the first core sample in Figure 2. However pieces from the examined core. While determining the core
those parts can be almost 10 cm long sound pieces sec- length factor one should be careful to measure all the pieces.
ond core in Figure 2, with almost the same strength as other By simply dividing the whole length with the number of frac-
parts of the rock mass that are about RQD = 2030% or even tures we do not get any information of the aperture or the
100%. The middle two core samples are seemingly the same. highly fractured zones.
The upper one contains only 9 cm long bits, while the lower
consists of exactly 10 cm or little longer pieces. The differ-
ence between them, is the one with the slightly shorter bits is
RQD = 0%, while the other one is RQD = 100%. The fourth where:
core sample shows the limitation of RQD on the other extreme.
Comparing it to the one with 10 long pieces it must have
much favorable rock mechanic and water conductive proper-
ties. However RQD does not make difference between them,
both are considered as intact.
The value of RQD depends on the direction of the bore- As Cm is the ratio of the average length and the full length
hole in the rock mass as every one-dimensional measurement. it is a much smaller value than the Cp . By this it indicates the
Therefore it does not give a realistic picture of the jointing of joints of the rock mass. For example Cp can be falsely high if
the whole volume, not just the core itself. One cause of this is the core consists of about diameter long sound parts. In this
that Deere does not count the fractures parallel to the axis of case the Cm will be much smaller to correct the final value of
the core as a joint.As Figure 1. shows with the 20 cm long piece Kiruna.
in the middle of the examined section it is to be considered as Kiruna can be calculated with one equation that is the
an intact piece. combination of the (3) and (4).
The directional property of the method can cause very dif-
ferent results even for one block. Figure 3 is an extreme exam-
ple for this. In the example the rock has three perpendicular

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 1 100
90
RQD = 222 C
80
0.8

(%)
70
60

RQD tnyez
RQD = 65,28Ln(C) + 98
0.6 50
40
Cp

30
0.4
20
10

0.2 0
0 0,1 0,2 0,3 0,4 0,5 0,6 0,7 0,8 0,9 1
C-tnyez (-)

0
0 20 40 60 80 100 Figure 5. Enveloping curves of RQD C diagram.
RQD

100
Figure 4. Relation between Cp and RQD factors.
90

While calculating C it is important to divide the core into 80 RQD =175,75C - 2

R2 =0,9079
sections with similar rock mechanic properties in order to get 70

(%)
a clear view of every significant portion of the rock it self. We 60

RQD-tnyez
can get values for the state of the blocks and the fault zones 50
as well. 40
The value of Kiruna can vary between 1 and 0. C = 0 is the 30
outcome when the intact parts are shorter than the diameter 20
of the core. C = 1 is rare; it is possible only when the rock is 10
sound and has no discontinuities in it. The difference between
0
the block and the rock mass is not obvious in this case; the 0,000 0,100 0,200 0,300 0,400 0,500 0,600 0,700 0,800 0,900 1,000
core comes out in one long piece. C-tnyez (-)

Figure 6. Relation between RQD and C values, in case of RQD

3 COMPARING THE RQD AND THE C METHODS between 10 and 90 %.

The comparison of the two methods is based on the data from

Btaapti Repository. All the calculations were made by one
person to eliminate differences in subjective mistakes.Another
problem is the fractures caused by the methodology of the
drilling or the lack of experience of the people. It was assessed
that the maximum number of this kind of fractures are only
11% of all the joints in a core. This way all mistake possibilities
are made constant to make no great differences in the values.
3.1 Comparison of Cp and RQD
Figure 4 shows the similarity of the two factors. Both measures
the sound pieces that are longer than a certain length. Clearly
a linear relation can be determined between them.
From the curving lines we can see that the two methods
greatly defer at the extreme values. At RQD = 100% Kiruna
varies between 1 and 0.62, while at RQD = 0% it varies
between 0 and 0.22. This kind of variation of Kiruna is general
in the most jointed parts and the parts that are assumed closely
intact by the RQD. These cases are when RQD is between 0
and 10% or 90 and 100%. Because of the great dispersion a
relation can not be given with these in it. To get a more pre-
cise relation we examined only the values between RQD 10%
and 90%. This way we got a linear relation between the two
methods (Figure 6):

Even in the examined area the C shows the presence of

3.2 Comparing C and RQD
To examine the relation of two sets of data it is important to
know the enveloping curves. This way we can see the extreme
cases and the standard deviation from the exact relation given
between them (see Figure 5).
The best approximation of the upper curve is linear:
While the lower enveloping curve can be converged with a
logarithmic equation:
the joint more precisely than the RQD. It is because of tak-
ing the average lengths of the intact pieces of the core into
consideration which is Cm .
4 CONCLUSIONS
RQD and C methods are both simple to use and have a great
importance in rock mechanic calculation in designing any kind
of underground facilities.
While RQD is used much more often only Sweden and
Hungary use Kiruna it has more limitations than C method.
The first advantage of Hansgis C factor is the elimination of
the diameter restriction.
The most important innovation of the C method is the sen-
sitivity in the extremes. With the average core length factor

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2007 Taylor & Francis Group, London, UK

we get knowledge about the core pieces shorter than 10 cen-
timeters, if it is soil like or intact pieces. This is how the fault
zones can be found easier with it. The other extreme is between
RQD 90% and 100%. With the same m factor Kiruna has more
information about the state and length of the sound core. It is
not subsidiary to know if the logged section consist of more
smaller but still minimum 10 centimeters long intact parts
or only of a few and much longer pieces.
Still leaving the extreme end data out a linear relation can
be mentioned between the two methods. However both of
them still have their limitation as the problem of directional
property.
The safest way to get to determine the rock support is to use
both methods and consider other thing as well to eliminate all
limitations of each method or factor.
ACKNOWLEDGMENT
B. Vsrhelyi is acknowledge the financial support for the
Bolyai Scolarship and the Hungarian National Research
Foundation OTKA D48645 and K60768.
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2007 Taylor & Francis Group, London, UK
REFERENCES
Deere D.U. 1964. Technical description of rock cores for engineering
purposes. Rock Mech. & Engng. Geol.. 1: 1722.
Deere D.U. 1989. Rock quality designation (RQD) after 20 years. US
Army Corps. Engrs Rep. GL-89-1.
EUROCODE 7-1: Geotechnical design general rules.
Glos M., Kleb B. & Vsrhelyi B. 2002. Determining the joint-
ing systemabd the rock mass properties for the radioactive waste
deposite in Hungary. In: Proc. 9th IAEG Congress, Durban (eds.:
J.L. van Rooy; C.A. Jermy), 105109.
Hansgi I. 1965. Numerical determination of mechanical proper-
ties of rock and of rock masses. Int. J. Rock Mech. Min. Sci., 2:
219223.
Palmstrm A. 2005: Measurements of and correlations between
block size and rock quality designation (RQD) Tunneling &
Underground Space Techn. 20: 362377.
 Comparison of hand-mapping with remote data capture systems for effective rock mass
characterisation

J.S. Coggan, A. Wetherelt, X.P. Gwynn & Z.N. Flynn

Camborne School of Mines, University of Exeter, Penryn, Cornwall, UK

ABSTRACT: The use of remote techniques to capture the geometrical characteristics of rock masses has seen increased
use and development in recent years. Apart from the obvious improved Health and Safety aspects, remote techniques allow
rapid collection of digital data that can be subsequently analysed to provide input parameters for a variety of geomechanical
models.
Recent research at the Camborne School of Mines, University of Exeter has focussed on comparison of different remote data
capture techniques in order to quantify their benefits and limitations whilst comparing them with conventional hand-mapping.
The paper describes the results of a detailed comparison between hand-mapping, terrestrial photogrammetry and high definition
surveying (laser scanning) methods of data collection.
Comments are made regarding the need to tailor data collection to end-use requirements. There is also a need to estab-
lish a representative scale of measurement, so that key features of the rock mass are captured and incorporated during the
characterisation process.

1 INTRODUCTION 2 REMOTE DATA ACQUISITION TECHNIQUES

Priest (1993) highlighted the need for effective rock mass
characterisation prior to any excavation involving rock. This
normally involves some form of field mapping that is con-
ventionally undertaken by hand-mapping of representative
scanlines or windows for the rock mass under investigation.
Recent years have seen increased application and development
of remote data acquisition techniques in order to reduce expo-
sure of personnel to potential hazards, where access may be a
potential safety issue, to increase the speed of data collection
or for automation of data capture and subsequent processing.
The adopted techniques make use of either photogrammetry
(Donnadieu et al., 2003, Oka, 1998 and Poropat, 2001) or high
definition surveying (Kemeny & Donovan, 2005).
After post processing these techniques can produce spa-
tially accurate, densely detailed 3D representations of the rock
mass. Measurements of discontinuities from these models
allow for collection of large quantities of data in a rea-
sonably short space of time. In addition, where proposed
mapping areas are inaccessible or restricted, remote sensing
can record whole sections of a particular slope or exposed
rock surface. For example, in open pits and quarries the
techniques allow data to be collected rapidly (minutes) from
bench faces that may be too dangerous for manual data
collection. The increased data capture and subsequent anal-
ysis can also remove some of the subjectivity involved in
interpretation.
As part of ongoing evaluation of the available remote data
acquisition techniques several sites have been identified that
provide a range of rock types, different set-up problems, dif-
ferent target ranges and different scales of mapping in both
natural and man-made environments. The paper describes the
results of a detailed comparison of hand-mapping, terrestrial
photogrammetry and high definition surveying of a blocky
rock mass at one of the project locations.
2.1 Photogrammetry
Photogrammetry is described as the science of obtaining reli-
able information from physical objects through processes of
recording, measuring, and interpreting photographic images
(Slama, 1980). A single orientated photograph can only relay
the direction from which an object has originated. Combining
two images, a stereopair, containing the same object enables
the calculation of the distance and position of that object using
triangulation techniques (Crone, 1963).
The photogrammetric system used during the current
project was the computer program suite Sirovision (CSIRO,
2005). Photographs were taken using a Nikon D100 digital
SLR camera and a 50 mm 1:1.4D Nikon lens. Data process-
ing within the software was then undertaken to create a 3D
image from two photographs centred on a common control
point.
2.2 High definition surveying
High definition surveying (HDS) or laser scanning uses
infrared lasers to collect spatial data of a scanned area. Two
types of HDS equipment were used as part of the project:
the HDS3000 time-of-flight (TOF), and the HDS4500 phase
shift, both manufactured by Leica Geosystems (Leica, 2005).
The basic principle behind TOF is that a points position in
3D space can be calculated by measuring its distance and
orientation from a known point using reflected laser pulses.
A laser scanner emits an infrared laser pulse and as the beam
hits surfaces of objects in the surrounding environment, some
of the beams light is reflected back to the scanner. A detector
within the scanner is able to make a distance measurement
based on the return signal. These distance measurements are
combined with internal angle measurements of the scanners

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rotating mirrors. A scanner can then establish a relative X, Y,
Z position in space for each point on a surface. This process
is repeated thousands of times, collecting many points that
can be represented as a 3D point cloud (Leica, 2005). Phase
shift laser scanners use a continuous laser beam rather than
pulses, providing quicker scans, but can only be used at closer
distances from the subject.

3 CASE EXAMPLE: TREMOUGH ROAD CUTTING

The road cutting at the entrance to the Tremough Campus,

Penryn, Cornwall, UK, shown schematically in Figure 1, was
selected as a suitable location for comparison of the techniques
over a short target range because of proximity to the Univer-
sity and its relatively blocky structure, shown in Figure 2.
The mapped section of the coarse-grained granite rock face is Figure 1. Schematic plan of the Tremough Campus Entrance,
approximately 40 m long and ranges from 5 to 8m in height. showing camera, laser scanner and control locations.
Few access problems were encountered for either of the two
remote sensing techniques, but hand-mapping was restricted
to areas of the face that could be safely reached. Hand-
mapping was carried out irrespective of weather, whereas the
photogrammetry and laser scanning were performed during
dry periods.
Photogrammetry was the first technique used to map the
road cutting, followed by detailed hand-mapping and finally
laser scanning. Individual features were specifically identi-
fied so as to perform a feature-by-feature comparison for the
different techniques used. The time taken to perform each
mapping technique and subsequent analysis was recorded to
allow comparison between the methods.

3.1 Photogrammetry
Five photogrammetrical models were created of the road
cutting, moving from West to East. Each model slightly over-
lapped the former and was approximately 8 m wide. The height Figure 2. Image showing blocky nature of the granite rock mass at
the Tremough Campus road cutting.
encompassed all of the exposed features of the rock face
(5 m6 m). The camera stations were set up approximately
15 m from the rock face. Using the Sirovision software, and the
standard input for the camera and lens type, each model was
calculated to contain an average spatial resolution of 2 mm.
The cameras were positioned using a Leica TPS1200 Total
Station to a relative or local Eastings, Northings and Elevation
coordinate system. The first camera location was assigned an
arbitrary position of 1000 m, 1000 m, 100 m. The photogram-
metric control point was then surveyed at the centre of the two
cameras view of the face. Subsequently, for each new model
setup, the respective camera locations and control points were
coordinated relative to the origin.
The digital photographs were then uploaded into Sirovi-
sions 3D image creation module, Siro3D (CSIRO, 2005). The
images were corrected for lens distortion and orientated using
the surveyed positional data. Point matching was run to cre-
ate the final 3D models. An example 3D model, shown in
Figure 3, consists of an interlocking mesh of triangles, giv- Figure 3. Example 3D mesh of blocky rock face of the Tremough
ing the model its 3D nature. The orthophoto of the rock face, road cutting, created using Sirovision.
which is an image corrected for distortion, can also be draped
over the mesh to aide feature or discontinuity recognition.
The 3D models were then imported into Sirovisions In order to assist identification of common features between
geotechnical analysis module, SiroJoint (CSIRO, 2005), for the hand-mapped data and the remotely captured data hand-
further analysis and interpretation. Individual features or dis- mapping of the rock face was undertaken with the aid of digital
continuities were delineated from the 3D model of the rock photographs. The face was mapped using a standard compass
face and selected using the software. clinometer.

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Figure 4. Example 3D point cloud of blocky rock face of the
Tremough road cutting, created using laser scanning and subse-
quently used in Split FX.
3.2 High definition surveying
The same section of the rock face was then scanned using the
Leica HDS4500. The scanner was set up 15m from the face,
approximately in the middle of the mapping region, using a
manually set point density of 5 mm. Only one setup location
was used to assess the effects of potential blinding. The phase
shift scanner was used in preference to the time-of-flight scan-
ner to take advantage of its increased speed, and so avoid
ghosting created by any passing traffic.
The captured data points, example shown in Figure 4, were
then exported by the Leica software into a point cloud geotech-
nical analysis program called Split FX (Split Engineering,
2005) for subsequent analysis. Further details concerning
point cloud registration and triangulated mesh generation are
described by Kemeny & Donovan (2005). The 3D mesh is gen-
erated from the point cloud data which is then used to delineate
specific discontinuities and an orientation determined from
the grouped triangles within the mesh. The software allows
automated identification, but hand-picking was undertaken
for this project. Identified planes were used for the discontinu-
ity orientation analysis as previous investigation demonstrated
that fracture traces were less suitable for orientation analysis.
4 COMPARISON OF RESULTS
A summary of the number of discontinuities identified by the
various techniques is given in Table 1 and pole orientation
shown in Figure 5. Overall there is reasonable correlation
between the measured and extracted orientations. It is not
unsurprising that hand mapping identified the least number
of features in view of the restricted area of the face that could
be safely reached. A clear advantage of the remote systems is
their ability to capture data for the whole rock face. Not all
the features identified by photogrammetry were identified by
laser scanning.
The dip and dip direction measured by the three different
techniques were compared for individual features that could
be commonly identified.
4.1 Individual feature comparison
For the purpose of this exercise the dip and dip direc-
tion recorded by hand mapping was used as the reference
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Table 1. Number of planes identified using each mapping
technique.
Photogrammetry Hand mapping Laser scanning
280 149 235
Figure 5. Lower hemisphere representations of poles to identified
features from laser scanning, photogrammetry and hand mapping.
orientation of each identified plane, so that any differences
derived by the remote data capture techniques were measured
as errors or variations in orientation. Comparison between the
dip and dip direction was undertaken by polar representation
on a stereonet; the vector of each of the poles was resolved,
converting their orientations to a single number. This was per-
formed using a dip/dip direction to pole vector conversion
formula embedded within an Excel spreadsheet.
Example visual comparison of selected features is shown
in Figure 6. Comparisons were undertaken on 143 features
that could be identified from each of the mapping techniques.
The data analysis was then split to assess both photogramme-
try derived data versus hand-mapped data and laser-scanned
derived data versus hand-mapped data.
The pole vector difference of each plane was then plotted
against the area of the identified feature, which is automati-
cally calculated by the remote data capture technique when a
feature is delineated. Comparison of these values provided an
indication of the relative accuracy of each technique at a range
of plane sizes. Figure 7 shows that the smaller planes identified
by the remote data capture techniques produced a higher varia-
tion or difference in orientation when compared with the hand-
mapped result. This is likely to be due to the low point density
or spatial resolution of the 3D triangular mesh. Orientation
variability of larger surfaces may be the result of real variation
over the fracture surface or variations in the mesh topology.
4.2 Set statistics comparison
The orientation data from each mapping technique was also
analysed separately using the stereographic projection pro-
gram, DIPS (Rocscience, 2006), to identify potential sets for
Figure 6. Comparison of derived orientation data for specific planes
using hand-mapping, laser scanning and photogrammetry.

Figure 8. Lower hemisphere representations of poles to identified

features from laser scanning, photogrammetry and hand mapping
with set delineations.

Table 2. Summary of orientation data for each identified set to

allow comparison between hand-mapped data and that from both
laser scanning and photogrammetry.

Hand mapping Laser scanning

Pole
Dip Dip Vector
Dip direct. Dip direct. Error
Figure 7. Pole vector difference for remotely captured data com- Set degrees degrees degrees degrees degrees
pared with hand-mapped orientation as a function of area of the
identified fracture plane. 1 88 320 75 311 15.7
2 88 191 73 184 16.5
the respective data. Using both polar and contoured plots four 3 67 229 61 228 6.1
comparable sets were identified for each data group. The 4 46 023 48 016 5.5
pole vector differences between the corresponding sets for
Hand mapping Photogrammetry
each remote technique and the data from hand mapping were
Pole
calculated and are displayed in Figure 8 and summarized in Dip Dip Vector
Table 2. Dip direct. Dip direct. Error
The results show that the photogrammetry-derived set data Set degrees degrees degrees degrees degrees
produced results that more closely match the hand-mapped set
1 88 320 84 318 4.5
data for the near-vertical features. The laser-scanned derived 2 88 191 85 184 7.6
set data has relatively poor agreement with the hand-mapped 3 67 229 69 221 7.7
set data for near-vertical features. This is also depicted in 4 46 023 52 020 6.4
Figure 5 by the lack of poles adjacent to the periphery of
the stereonet for the laser scanned data.
This variability may be the result of differing point density, each technique was restricted to 100. Figure 9 shows time
mesh characteristics or blinding as a result of only one set-up comparisons for both field mapping and post processing to
location for the laser scanner. As part of further evaluation satisfy the output parameters for one possible end use: that is to
the laser scanning and subsequent mesh evaluation is to be produce data in a suitable format for subsequent analysis with
repeated with multiple set-up locations. the discrete fracture network software FracMan (Dershowitz
et al., 1998).
4.3 Field work and post-processing time comparison The biggest time saving of remote mapping techniques
when compared to hand-mapping is during the field work
One of the most obvious advantages that remote sensing has stages. Surveying and data capture is relatively quick and only
over hand-mapping is the increased speed and amount of data takes approximately 2 hours to complete. This will, however,
that can be collected. To confirm this, each mapping technique depend on the method of locating the camera or scanner station
was split into individual processes, and the approximate time and the number of subsequent set-up positions. Hand mapping
taken to complete them recorded. In order to normalise the over the restricted height took the most time, approximately
comparison, the number of features that were evaluated by 10 hours.

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Figure 9. Time comparison chart for data collection and post
processing for laser scanning, photogrammetry and hand mapping.
Figure 10. Frequency percentages of mapped trace lengths com-
paring photogrammetry and hand mapping derived data at a range of
identified trace lengths.
Post processing requirements for each technique depend
on the specific end-use of the output data, but this normally
takes a similar amount of time for each adopted method. Data
processing for the remote techniques is slightly quicker due to
the digital nature of the recorded data. By delineating the data
using the respective supplied computer programs, parameters
such as spacing and tracelength can be determined.
As part of further post processing, and in an attempt to
assess the use of photogrammetry-derived data for determina-
tion of input data for FracMan, fracture traces were identified
from both the 3D photogrammetric model and the digital
photographs used during hand mapping. Figure 10 shows
a comparison of trace length estimates from both the hand
mapping and photogrammetry. Both data sets show a log nor-
mal distribution, but the photogrammetric-derived data tends
to underestimate the trace length. This is a particular prob-
lem with longer fractures, which are often split into segments
within post processing, and must be taken into account when
using automated analysis.
5 DISCUSSION
Comparison of remotely mapped data with hand-mapped data
raises questions regarding what is the necessary accuracy and
appropriate scale of mapping required for effective and rep-
resentative rock mass characterisation. From the orientation
data presented for the Tremough road cutting it would appear
that both remote mapping techniques provide a reasonably
good representation of the orientation of the fracture network
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2007 Taylor & Francis Group, London, UK
present within the rock mass, although from this exercise the
photogrammetry-derived data produced the best comparison
with hand-mapped orientation data. The laser-scanned derived
data may be improved with an increased point density and
multiple set-up locations.
The investigation suggests that, irrespective of the adopted
mapping technique, planar analysis is more reliable for deter-
mining orientation data, whereas trace analysis is required
for evaluation of other parameters such as trace length and
spacing. This has implications for the post processing, and
suggests that data collection and subsequent analysis needs to
be tailored to end-use requirements, taking into consideration
specific input requirements that depend on the complexity of
the intended analysis. For example, end-use may include kine-
matic analysis of potential slope failure mechanisms that pri-
marily requires orientation data; two-and three-dimensional
discrete analysis of a blocky rock slope that requires simplis-
tic representation of the rock mass fracture network; or more
complex stochastic representation of the three-dimensional
fracture network using FracMan that requires evaluation of
fracture radius and intensity as well as orientation distribu-
tion. This means both planar and trace analysis should be part
of post processing.
The results of the investigation also suggest that there is a
minimum level of detail or area of surface that remote mapping
can realistically capture. This will obviously depend on the
size of the overall window mapped and should be considered
when undertaking the site investigation. This is not unlike
hand-mapping where decisions are often made in terms of a
minimum fracture length or size of fracture to include in rock
mass characterisation. This in turn is often related to the scale
of the structure and whether or not fractures have an influence
on the engineering behaviour of the rock mass.
The key advantages of the remote techniques are their speed,
greater area coverage and ability to map inaccessible areas. It
also provides uniformity in the type of data and the method
by which it is collected, eliminating many of the biases in data
selection and mapping technique adopted by an individual
user. This has particular advantages where it may be necessary
to map at different scales to provide improved characterisa-
tion of the rock mass by using different set-up positions or
different lenses. Large scale mapping can be undertaken to
provide orientation and trace length data for major structures
which can be complemented by more detailed mapping on
a smaller scale. Further work is being undertaken to quantify
these effects. Clearly there is a need to identify a representative
scale of measurement for a particular rock mass.
Automated analysis is not yet recommended and there is
still a need for educated users to provide manual intervention,
spot checks and associated interpretation. Rigorous mapping
methodologies should be developed to incorporate the key
advantages of the systems but there is also a need to develop
robust guidelines for efficient set-up and operation of the
various techniques, including hardware and any associated
software. It is important to minimise inaccuracies due to poor
set-up and reduce potential effects of blinding. There is also a
need to ensure consistency in data format between the various
systems.
6 CONCLUSIONS
Remote mapping techniques have the capability to revolu-
tionise rock mass mapping, but there is still a need to establish
rigorous mapping methodologies and robust guidelines for
efficient set-up and operation of the various techniques.
The results of the investigation show it is also necessary to
establish guidelines for effective rock mass characterisation,
to ensure that the necessary detail and scale effects are taken
into consideration. This will be informed by the increased
use of improved methods for geomechanical modelling of the
scale effects, fracture persistence and fracture extension under
loading, as is now possible with such combinations as Frac-
Man and ELFEN (Dershowitz et al., 1998; Pine et al., 2006;
Rockfield Software Ltd, 2007). The time is fast approaching
that a new ISRM Suggested Method for Remote Rock Mass
Data Capture should be developed.
ACKNOWLEDGEMENTS
The authors would like to acknowledge educational license
agreements with CSIRO, Split Engineering and Golder Asso-
ciates. Xander Gwynns postgraduate studies are supported by
the European Social Fund.
REFERENCES
Crone, D.R. 1963. Elementary Photogrammetry. London: Edward
Arnold.
CSIRO. 2005. User manual for Sirovision structural mapping and
analysis system, Version 3.0, CSIRO Exploration and Mining,
Queensland. Australia.
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2007 Taylor & Francis Group, London, UK
Dershowitz, W., Lee, G., Geier, J. & LaPointe, P.R. 1998.
FracMan: Interactive Discrete Feature Data Analysis, Geomet-
ric Modelling and Exploration Simulation. User Documenta-
tion. Golder Associates Inc., Seattle, Washington. See also
www.fracman.golder.com.
Donnadieu, F., Kelfoun, K., van Wyk de Vries, B., Cecchi, E. &
Merle, O. 2003. Digital photogrammetry as a tool in analogue mod-
elling: applications to volcano instability. Journal of Volcanology
and Geothermal Research 123: 161180.
Kemeny, J. & Donovan, J. 2005. Rock mass characterisation using
LIDAR and automated point cloud processing. Ground Engineer-
ing, November: 2629.
Leica. 2005. Leica Geosystems AG, Germany.
Oka, N., 1998. Application of photogrammetry to the field observa-
tions of failed slopes. Engineering Geology 50: 85100.
Pine, R.J., Coggan, J.S., Flynn, Z. & Elmo, D. 2006. The devel-
opment of a comprehensive numerical modelling approach for
pre-fractured rock masses. Rock Mechanics and Rock Engineering,
39, 5, p 395419.
Poropat, G. V. 2001. New Methods for Mapping the Structure of Rock
Masses. CSIRO Exploration and Mining, Queensland Centre for
Advanced Technologies.
Priest, S. D. 1993. Discontinuity Analysis for Rock Engineering.
London: Chapman and Hall.
Rockfield Software Ltd. 2007. ELFEN User manual, see also
www.rockfield.co.uk.
Rocscience. 2006. DIPS User manual, www.rocscience.com
Slama, I. 1980. Manual of Photogrammetry (4th Edition). American
Society of Photogrammetry, Virginia, USA.
Split Engineering. 2005. SplitFX User manual, Beta Version 1.0,
Split Engineering LLC, Arizona, US.
 Contribution for the knowledge of the fracturing and hydraulic characterization of
the granitic pluton of Castro Daire region Viseu (Portugal)

L.M. Ferreira Gomes, L. Andrade Pais & E. Mendes

Univ. da Beira Interior, Dep. de Eng.a Civil e Arquitectura, Covilh, Portugal

ABSTRACT: Following several lithological, structural and geoenvironmental studies on surface, which were made in the
central area of the Castro Daire Pluton, a drilling of 600 m depth was planned, with an initial length of 132 m drilled in roto-
percussion and the remaining 468 m drilled in rotation drill core, in order to study the rocks fracture at great depth and the
hydraulic and geothermic potential of the massif. The pluton of granitic rocks in plant exhibits a circular shape with 16km
diameter, it is involved in older schist rocks and it is also cut by a large and depth geological fault of NE-SW space position,
which is supposed to condition the local rock fracture. The several aspects of the drilling made are presented, as the length
of each sampling, the time wasted in each sampling, drilling speed, recovery rate, RQD, discontinuity spacing and alteration
degree and also the development in depth of the hydraulic productivity and geothermic gradient. Besides, the main results
of pumping test are also presented, allowing us to conclude that we are in presence of an aquifer of mineral water with the
possibility of exploring about 6.3 l/s by artesian and also 15 l/s in pumping, with 60 C of temperature.

1 INTRODUCTION
CDA
The main reason leading to make the drilling at 600 m length
OQA
was the need of collecting ground mineral water of the warm
sulphureous type to supply the Carvalhal SPA (Castro Daire-
Viseu, Portugal). After making several geomorphological,
geological, structural and geotechnical studies, which synthe- CASTRO DAIRE PLUTON
sis was presented in Ferreira Gomes et al. (2002), a conceptual
OQA
standard for the hydraulic circuit of the mineral water was
CBP Well
made having in attention the fracture of the massif. Those AC-G1
studies lead to the implantation of the drilling and respective
boring-plan, considering at once the specific way to change
the drilling into definitive collecting at the end of the works,
if the results in terms of mineral water production and its
mechanical and geometrical features could make it possi- CBR
ble. That aim was achieved. This work was therefore made
to present especially the features of the massif fracture and
its hydraulic production. This could be an important example
contributing for better geotechnical knowledge of the granitic
massifs at large depth and it could eventually be useful for
special subterraneous engineering works, which know-how is
scarcely within our reach due to the high costs that those kind Escala 1/400 000
of situations normally bring about.
The drilling place is shown with regard to the Pluton of the IIgranite of fine grain II Granite, medium to
2a 2b coarse grain, with
granitic massif of Castro Daire, in Figure 1. megacrystals
OQA: ordovicic rocks
CBP, CBR, CDa: ante-ordovicic schistose rocks

2 RESULTS
Among all works and in the sense of better understanding the
results, some aspects must be emphasized from now. On aver-
age, the drilling presented an angle of about 4 with the vertical
in a direction according to a NW line in order to intercept the
main fracture plans with an angle of 90 approximately, in
plant.
For operational reasons and in order to obtain the foreseen
depth, the drilling was started with a large diameter to con-
sequently bring forward to deepening, with successive reduc-
tions. The initial length was made through roto-percussion
Figure 1. Place of the studied drilling with 600 m length on the
granitic pluton (280 m. a.) of Castro Daire Viseu, Portugal (from
SGP, 1992).
system, being afterwards extended to 5 m with a bit of the
rotary type of 41.9 cm diameter. Then we went forward to
132 m through the roto-percussion system, having afterwards
advanced through rotation system with drill core to 600 m.
The geometry of the hole, the normal steel and the inox steel
tubes as well as the cement areas around the metallic coatings
are shown on Figure 2; it must be emphasized that the 132 m

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 Hole geometry T (minutes) L (meter) V (mm/s)
0 200 400 600 0 1 2 3 4 0 1 2 3 4 5
0 0 0

Depth (m)
Rotation
25 Rotation 25 25
Roto-percussion
50 Roto-percussion 50 50

75 75 75

100 100 100

Rotation
125 125 125
Roto-percussion

150 150 150

175 175 175

200 200 200

225 225 225

250 250 250

275 275 275

300 300 300

325 325 325

350 350 350

375 375 375

400 400 400

425 425 425

450 450 450

475 475 475

500 500 500

525 525 525

550 550 550

575 575 575

600 600 600

Figure 2. AC-G1 hole geometry, as well as the perforation time (T) by manipulation, the length (L) of each manipulation, and also the
progress speed (V), to the perforation of 600 meters, made in the central area of pluton in Castro Daire region (Viseu).

hole downwards remained in open hole. The coating was
only made after 400 m have been achieved with good results,
in order to avoid taking high economical risks. This should
be mentioned to better realize the results and especially the
development of the flows in depth (Figure 3).
As far as the drilling went forward, the values recorded
till that depth were always increasing; from there downwards
the flows decreased roughly because whenever the column
had to be cemented till the 132 m, apart from having used
a provisional tube till the 400 m, lead to the flow reduction
which was being achieved by artesian way.
The results obtained in terms of perforation time by manip-
ulation, advance lengths by manipulation or by sample when
this had the same length as the drilling advance and also the
progress speed are shown on Figure 2. It should be empha-
sized that the advances of the initial length corresponding to
the roto-percussion phase were of 3 m always as they were cor-
responding to the length of the drilling pole. From the 132 m
downwards, the sampling presented about 3 m length maxi-
mum, and there were advances below 1 m length too many
times, what made the drilling advance to proceed very slowly.
As an example of the greatest time obtained, a drill core took
about 500 minutes in the phase of the achieve the 400 meters
depth. Also in this phase we must refer to the fact that the
relatively fast advances with the drilling in terms of roto-
percussion, which were higher than 2 mm/s from the surface
to 50 m depth, had afterwards decreased and tended to speeds
of about 0.5 mm/s at 130 m. Apparently the speed would have
developed to very low values: as far as it is known this kind
of perforation system remains extremely restricted whenever
there is too much water in the hole in so far as to get energy
through compressed air has not a good performance due to the
restricted capacity of the compressors. An important detail is
that, in general, the speed in the long way length made through
rotation with drill core is around 0.3 mm/minute on average,
with no significant deviation.
The Figure 3 shows the results of the massif fracture, the
alteration degree and also the flows obtained after perforation
by artesian means, and the respective temperatures. The result
of the temperature measurement in depth after the hole is fin-
ished is also shown. Among those results it must be enhanced
that there are no fracture elements or any visible sign of rock
material weathering on the first 132 meters, since the drilling
on that length only allowed to obtain quartz detritus in sand
shape, having always directed to a very solid formation with
excellent mechanical features. The elements shown for the
length of rotation with drill core in general, according to the
guide lines presented in ISRM (1978, 1981), are as follows:

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 RR (%) RQD (%) W (-) F (-) Q(I/s) T (C)
0 20 40 60 80 100 0 20 40 60 80 100 0 1 2 3 4 5 0 1 2 3 4 5 0 2 4 6 8 10 30 50 70
0 0 0 0 0 0
Initial water To
Depth (m)

level Tf
25 25 25 Artesian flow 25
25 25

50 50 50 50 50 50

75 75 75 75 75 75

100 100 100 100 100 100

125 125 125 125 125 125

150 150 150 150 150 150

175 175 175 175 175 175

200 200 200 200 200 200

225 225 225 225 225 225

250 250 250 250 250 250

275 275 275 275 275 275

\

300 \\\
300 \ 300 300 300 300

325 325 325 325 325 325

350 350 350 350 350 350

375 375 375 375 375 375

400 400 400 400 400 400

425 425 425 425 425 425

450 450 450 450 450 450

475 475 475 475 475 475

500 500 500 500 500 500

525 525 525 525 525 525

550 550 550 550 550 550

575 575 575 575 575 575

600 600 600 600 600 600

Figure 3. Fracture parameters (RR- recovery rate, RQD rock quality designation, W- weathering, F discontinuity spacing), artesian flow
(Q) during the hole construction, temperature of the groundwater during the hole construction (T0 ) and after the hole to be finished (Tf ), to
the perforation of 600 meters (AC G1), made in the central area of pluton in Castro Daire region (Viseu).

RR, recovery rate, corresponding to the rate value ( 0 F, Joint spacing, which being s from spacing, the following
100%), estimated as the ratio between the length of the designations are obtained:
sample collected from manipulation and the length drilled;
RQD, Rock Quality Designation ( 0100%), corresponding Spacing Classification
to the ratio between the sum of the length of core sticks s>2m F1 Extremely wide
more than 100 mm long and the total length of drill run; 0.6 < s < 2 m F2 Very wide
the quality classification obtained from the RQD values is 0.2 < s < 0.6 m F3 Wide
according to the following: 0.06 < s < 0.2 m F4 Moderately wide
0.002 < s < 0.06 m F5 Moderately narrow
RQD (%) Quality classification s < 0.002 m F6 Narrow
025 1 Very poor
2550 2 Poor Among the results obtained, it must be enhanced in the present
5075 3 Fair article that those results at first sight show a massif of good
7590 4 Good quality because it shows in general W1-W2 alteration degree,
90100 5 Excellent always RR at 100%, the RQD not always has values of good
quality since the fracture spacing sometimes has the F5 degree.
W, weathering corresponding to the various alteration The situation is not so bad however, the granite being same
degrees based on the macroscopic observation, hit with the very fractured, is also much resistant, recovering so 100% of
geologists hammer and comparable experience, remaining the material.
the W1 rock with no alteration sign and W5, on the other Regarding the hydraulic production it must be emphasized
extremity, as a rock with high alteration degree. that a pumping test made in 2004 for about 6 consecutive

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2007 Taylor & Francis Group, London, UK

 5 iv) as far as the groundwater is concerned, it should be
enhanced that the massif along the drilling till 36 m depth
0 allowable flow = 15 l/s
was completely dry (the perforation was made with intense
-5 dust). The moisture was gradually increasing, and so a
slight artesian tendency appeared at the 75 m to keep
-10 increasing gradually again, being the final value of 6.5 m
high of water, which is above the topographic surface, fact
Level (m)

-15
to be emphasized; the maximum flow in artesian means at
-20 the final part of the works was 6.3 l/s; the maximum allow-
able flow with pumping was 15 l/s as of the pump test in
-25
December 2004; in the meantime it should be enhanced that
-30 the hole charged 10 l/s by artesian means in recent works
(2006). Its production capacity is therefore increasing;
-35 v) the geo-hydraulic elements obtained show that we are in
-40 presence of a confined or semi-confined fissure aquifer of
0 2 4 6 8 10 12 14 16 18 20 22 24 mineral water;
Water flow (l/s) vi) the quality of the water obtained from the hole is the same as
the quality of the water which was already being explored
Figure 4. Pump test result in AC-G1 hole: characteristic curve with in Carvalhal SPA, i.e., according to chemical characteri-
optimization of allowable flow, in Carvalhal SPA (Viseu).
zation, the thermal mineral water has a large presence of
bicarbonate, sodium, carbonate, fluoride and sulphate, with
days, made it possible to propose a allowable flow of about
the detail that its temperature was about 40 C before, and
15 l/s in pumping with 15 meters only of lowering of the water
60 C at present, which grants geothermic uses, in addition
level (Figure 4); by artesian means at that time the maximum
to the traditional medicinal uses.
flow was about 6.3 l/s to stabilize along the time with about
4.2 l/s (without pumping); according to recent measurements,
the hole has been slightly developing towards the maximum ACKNOWLEDGEMENTS
flow of about 10 l/s.
The quality of the water flow allows us to say that it is exactly The authors are grateful to Centro de Estudos de Engenharia
the same as the existing mineral water until now explored in Civil (CECUBI) for the facilities conceded, and to C.M. from
Carvalhal SPA, with the difference of its temperature, which Castro Daire for sponsoring the present project.
is about 60 C in continuous exploration system, and 69.5 C
obtained at 600 m of depth.
REFERENCES
3 CONCLUSIONS Ferreira Gomes L.M., Gouveia Pereira J.J., Reis Ferreira S.M. &
Bezerra A. 2002. Contribuio para o conhecimento do modelo
A new drilling of semi-vertical search with 600 m depth was geohidrulico da gua mineral das Termas do Carvalhal. Cas-
made in the middle of a typical granitic pluton, especially aim- tro Daire. 6 Congresso da gua. Tema 4, guas Subterrneas.
ing to obtain warm mineral water to supply the Carvalhal SPA. Resumo: p.81, paper in CD, 11p. Porto. APRH.
The drilling took place in the first 126 m in roto-percussion ISRM, 1978. Suggested methods for the quantitative description of
system and between 126 m and 600 m in core rotation system. discontinuities in rock masses. Int. Jour.. Rock Mech. Min. Sci. &
The works carried out led the following conclusions: Geomech. Vol. 15, pp.319368.
ISRM, 1981. Basic geotechnical description of rock masses Int.Jour..
i) in terms of lithology, granite was always intercepted, often Rock Mec. Min. Sci. & Geo.Vol.18, pp.85110.
from fine to medium grain; SGP, 1992. Servios Geolgicos de Portugal. Carta geolgica de
ii) the quality of the massif as to the alteration level, of W1- Portugal. Escala 1/500 000. Lisboa.
W2 type often, led always to a good performance in the
perforation; therefore, collapse of the hole partitions has
never occurred. It must be emphasized that there was never
the need of making any cementing to stabilize the hole;
iii) the relative quality of the massif between the 126 m and
the 600 m depth allowed us to recover all the samples
(RR = 100%); despite the RQD values often being from 60
to 80% and lower punctually, they point towards a classifi-
cation from Fair to Good in terms of quality; this situation
is a result of the frequent occurrence of F4/F5 discontinuity
spacing; the F4 discontinuity spacing occurred frequently
with spacing (s) lower than 0.10 m;

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2007 Taylor & Francis Group, London, UK

 Determination of orthotropic anisotropy of layered
rock Back analysis from loading tests in arbitrary directions

K. Shin
Central Research Institute of Electric Power Industry

K. Ogawa & T. Yokoyama

OYO Corporation

ABSTRACT: For the purpose of determining orthotropic anisotropy in deformability of rocks, a procedure of loading test and
analysis has been established. Axial loading tests in 6 directions of X, Y, Z, YZ, ZX and XY are good enough to determine
orthotropic anisotropy even if we do not know the directions of anisotropic axes. In each loading test 4 rosette gauges are
attached on the side of the specimen and stress-strain gradients are used for the analysis. The analysis of determining anisotropy
is based on the non linear least square method.
The procedure has been applied to the Opalinus Clay from Mont Terri underground laboratory. The fact that analytically
derived directions of anisotropy and observed laminar plane coincided well verifies the established procedure of determining
orthotropic anisotropy without the knowledge of directions of anisotropic axes.
Sedimentary rocks with bedding plane are often regarded as transverse isotropy, but the result of Opalinus Clay shows that
innegligible orthotropy can exist in such rocks.

1 INTRODUCTION The determined directions of anisotropic axes and observed

Rock is more or less anisotropic because of disposition of
mineral crystals or microcracks and the anisotropy is observed
among other things in deformability. For the purpose of engi-
neering design of rock cavern or determination of rock stress
by overcoring method, we need to assess the anisotropy of
deformability.
In the most general anisotropy case, triclinic system, there
are 21 elastic constants to be determined. In the orthotropic
anisotropy case, which may be good enough for practical
engineering purposes, there are 9 elastic constants and 3
additional parameters about directions of anisotropic axes.
In the very simplified case of transverse isotropy, there are
5 elastic constants and 2 additional parameters about the
direction. The target anisotropy of the present paper is the
orthotropic anisotropy without the knowledge of the direc-
tions of anisotropic axes. In this case we need to determine 12
unknown parameters.
There are two kinds of test to determine the elastic con-
stants, one is loading test and the other is velocity test of
elastic waves1) . But for the engineering design or overcoring
stress measurement purposes, loading test would be suitable
because of the consistency of strain level in tests and engineer-
ing. Therefore this paper adopts loading test. But the authors
had no knowledge how we can determine the 12 parameters
from loading tests. In how many directions do we need to
prepare specimens, and in which directions do we need to
measure strain? Therefore the authors have set a practically
executable procedure of the loading test, applied the proce-
dure to an anisotropic rock of Opalinus clay from Mont Terri
research tunnel, and analyzed the data to deduce the elastic
constants and directions of anisotropic axes. In the analyses,
elastic constants as not only orthotropic anisotropy but also as
transverse anisotropy have been determined to be compared.
sedimentary laminar were also compared.
The objectives of this paper are, (1) to demonstrate that
the devised test procedure and analysis method can determine
the 12 unknown parameters of an orthotropic body without the
knowledge of the directions of the anisotropic axes, and (2) to
demonstrate an example that laminated rocks such as Opalinus
clay, which are often treated as transversely isotropic, exhibit
orthotropic anisotropy to an innegligible degree.
2 PROCEDURE
In this section, procedure of analytical procedure for deter-
mining anisotropy and procedure of test are described.
2.1 Analytical procedure
As we adopt loading test, information we need is a set of
stressstrain gradients with different directions of loading and
also measuring strains. The gradient Gr is a function of the
stiffness matrix C 0 , directions of anisotropic axes , direction
of loading L and direction of measuring strain M .
Here C 0 is expressed on the anisotropic axes and , L and
M are on the global coordinate. L and M are vectors of three
elements. As  we used three angles of rotation. C 0 and  are
the unknown parameters and L, M and Gr are parameters we
know or measure. Therefore if we obtain measured data sets
about equation (1) in sufficiently many numbers, the unknown
parameters may be able to be determined by the least square
method.

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2007 Taylor & Francis Group, London, UK

 The function Gr is described a little in detail as follows.
When we adopt orthotropic anisotropy, C 0 is as follows.
The stiffness matrix C on the global coordinate is obtained
from C 0 and .
When we load the rock with unit stress in direction L = (l1 ,
l2 , l3 ), the stress is expressed as follows.
And the strain is given by the following.
Normal strain e in the direction M = (m1 , m2 , m3 ) is given as
follows.
According to the definition,
If we presuppose and set initial values for C 0 and , we
can calculate the strain gradient Gr in M direction when we
load a rock in L direction using equation (1). There are 12
unknown parameters in C 0 and  and here those are denoted
as u1 , u2 , , u12 . The initial values for those are denoted as u1 ,
u2 , , u12 .
Equation (9) is approximated using first order derivatives
as follows.
fn/uj are calculated using equation (1) around the initial
value of u. Measured gradient is set as Gr . Since equation
(10) is linear, we can determine the correction value of each
unknown parameter uj to obtain a better one. By repeat-
ing this process of correction, unknown parameters uj will be
obtained.
2.2 Test procedure
It would be convenient to set the loading directions and make
test specimens according to an orthodox coordinate. The 6
directions adopted in this procedure are X, Y, Z, YZ, ZX and
XY. The coordinate may be taken as the global coordinate or
as an arbitrary one.
2007 Taylor & Francis Group, London, UK
Figure 1. Six directions of specimens.
In one columnar specimen, 4 rosette gauges are attached on
the side 90 degrees apart. 4 element gauges are in the load-
ing direction, 2 gauges are in a direction perpendicular to the
loading axis, other 2 gauges are in another direction perpen-
dicular to the former 2 gauges and the loading axis. Remaining
4 gauges are in inclined and different directions. Therefore 7
directions are independent among the 12 gauges. In this way,
we can have 6 7 independent data about equation (1).
The loading is done axially with constant confining pres-
sure. The stressstrain curves are observes and the gradient is
determined at a predefined stress level.
3 APPLICATION TO OPALINUS CLAY
3.1 Specimen preparation
The Opalinus Clay is a kind of shale or mudstone of
Jurassic period. Its general properties are, pore ratio of 12
to 18%, Vp of 2.1 to 3.7 km/s and permeability of
1 1013 5 1013 m/s. It has distinct sedimentary lam-
inar and exhibit strong anisotropy. Clay mineral is contained
40 to 80% and it has strong swelling capacity. Therefore water
is not used for drilling boreholes.
At the research tunnel of Mont Terri Project, core of dia.
20 cm was taken out from a distance suitable to avoid the stress
concentration around the tunnel. The coordinate was set on the
borehole. The borehole mouth direction is the x axis, right side
when looking into the borehole end is the y axis, and z axis is
automatically determined as the right hand system.
After observing and taking a record including photo, the
core was vacuum packed with aluminum seal vinyl and sent to
Japan. The preparation of specimens from coreing to grinding
was also done without using water. The 6 directions of the
specimens are shown by black rectangles in Figure 1. The z
axis in the figure was set after taking out the D20 cm core.
The z axis is a rotation of z with 45 degree. The traces of
the laminar planes are schematically shown in Figure 2. The
angles and are observed to be 2030 degrees and 79
degrees respectively. 4 specimens were made for each of the 6
loading directions and some of them were used for preliminary
test to determine loading rate and other test parameters.
3.2 Result of tests
Before loading each specimen, Vp was measured. Then at the
strain rate of 0.1%/min, uniaxial load was increased until the
failure. No confining pressure was applied. Figure 3 shows
an example of the specimen after the failure. They are photos
of one specimen seen from 4 directions 90 degrees apart. In
212

Figure 2. The schematic traces of laminar plane.
Figure 3. Example of photo after failure (4 sides of a specimen).
this case, shear failure plane is parallel to the bedding plane.
Figure 4 shows an example of stress vs strain curves of a
specimen. The gradient was read at the stress level around
2 MPa as the tangent line.
The uniaxial strength, Youngs modulus and Vp are shown
in Figure 5 as a function of loading angle. Loading angle is
taken as 0 when the loading axis and the normal of the laminar
coincide. Since specimens are in 6 directions, data are plotted
at one of the 6 loading angles. Dotted lines are drawn to show
the tendencies. The tendency of the strength is that it is the
maximum when loading angle is 0 and the minimum when the
loading angle is about 60 degrees. Youngs modulus increases
substantially as the loading angle increases. This infers that
a kind of loosening between laminar has occurred. Vp also
increases as the loading angle increases.
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2007 Taylor & Francis Group, London, UK
Figure 4. Examples of stress vs. strain curves of a specimen.
Figure 5. Uniaxial strength, Youngs modulus and Vp as a function
of loading angle.
4 DETERMINATION OF ANISOTROPY
Observing all the stress vs strain curves, irregular and abnor-
mal strain data were omitted.As a result, 16 specimens and 189
strain data were used for the anisotropy determination. Two
kinds of anisotropy were adopted for the analysis. One is the
orthotropic anisotropy without the knowledge of the directions
of the anisotropic axes. In this case, 9 + 3 unknown parameters
need to be determined. Another one is the transverse isotropy
without the knowledge of the direction of the normal of the
bedding plane. In this case 5 + 2 unknown parameters need to
Table 1. Result of anisotropy determinations.

0R9ax3:0rthotropic aniso. Unknown axes (MPa)

8.07E+03 9.39E+02 7.67E+02 0 0 0

9.39E+02 6.39E+03 3.89E+02 0 0 0
7.67E+02 3.89E+02 1.19E+03 0 0 0
0 0 0 6.60E+02 0 0
0 0 0 0 9.65E+02 0
0 0 0 0 0 6.15E+03

ta, th, tn = 27.52002 19.2389 19.1369

, = 26.1 8.7
residualerr 1.11E06
TR5ax2 :Transverse iso. Unknown axes. (MPa)

9.56E+03 5.42E+02 6.04E+02 0 0 0

5.42E+02 9.56E+03 6.04E+02 0 0 0
6.04E+02 6.04E+02 1.17E+03 0 0 0
0 0 0 7.45E+02 0 0
0 0 0 0 7.45E+02 0
0 0 0 0 0 4.51E+03

ta, tb = 27.02364 19.1475

, = 25.7 8.7
residualerr 1.19E06

Vp is larger than that calculated from the result of loading test

may be the creep effect because loading rate in the uniaxial
test is much lower than that of Vp test.

5 CONCLUSION

For the purpose of determining orthotropic anisotropy in

Figure 6. Comparison of measured Vp and calculated Vp from
stiffness matrix obtained from loading test.
be determined. The parameters were determined according to
the analytical procedure described in the subsection 2.1.
In Table 1, the determined stiffness matrices are shown with
the angle parameters and . The normal stiffness C11 and
C22 are substantially larger than C33 . C33 is the stiffness for
the normal direction to the laminar. This infers that a kind of
loosening has occurred as stated in the subsection 3.2. Com-
paring C11 and C22 , difference of about 1.26 times exists.
Sedimentary rocks with bedding planes are often treated as
transversely isotropic, but the result shows that innegligible
level of anisotropy can exists within the bedding plane.
The analytically determined direction parameters and
are about 26 and 9 degrees and they are agreeing well with the
observed value of 2030 degrees and 79 degrees respec-
tively. This agreement is a verification of the procedures of
test and analysis.
Since stiffness matrix and directions of anisotropic axes are
determined, Vp in the 6 loading directions can be calculated.
This calculated Vp and measured ones are compared in Fig-
ure 6. Measured value is larger than the calculated value, but
the tendency is agreeing well. One of the reason that measured
deformability of rocks, a procedure of loading test and anal-
ysis has been established. Axial loading tests in 6 directions
of X, Y, Z, YZ, ZX and XY are good enough to determine
orthotropic anisotropy even if we do not know the directions
of anisotropic axes. In each loading test 4 rosette gauges are
attached on the side of the specimen and stress-strain gradi-
ents are used for the analysis. The analysis of determining
anisotropy is based on the non linear least square method.
The procedure has been applied to the Opalinus Clay from
Mont Terri underground laboratory. The fact that analytically
derived directions of anisotropy and observed laminar plane
coincided well verifies the established procedure of determin-
ing orthotropic anisotropy without the knowledge of directions
of anisotropic axes.
Sedimentary rocks with bedding plane are often regarded
as transverse isotropy, but the result of Opalinus Clay shows
that innegligible orthotropy can exist in such rocks.
It should be commented in the last that the observed signif-
icant anisotropy of C11 /C33 = 67 is the result under the con-
dition of uniaxial test of low stress level about 2 MPa. Under
a confined stress conditions, the anisotropy may decrease to
some extent but it is out of this papers scope.
REFERENCE
1) K. Shin: Simplified method for the assessment of the stiffness
anisotropy of rocks at small strains, Rock Mechanics and Rock
Engineering, Vol.38, No.1, p.4158, 2005

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 Determining fracture size probability distribution functions from trace
length probability distribution functions

F. Tonon
University of Texas, Austin, USA

ABSTRACT: Santal closed-form integral solution is used to derive a closed-form expression of the fracture size distribution
for each of the most common trace length distributions, i.e. uniform, exponential, gamma, and power-law. Numerical integration
is used for the lognormal distribution. Expressions are given for the mean fracture diameter as a function of the mean trace
length and the minimum fracture diameter. It is shown that, when the trace lengths are uniform, exponential, gamma, lognormal
or power-law, none of fracture diameter distributions is lognormal, exponential or gamma, as assumed in the literature. Power
law trace length distribution yields a power law fracture size. The minimum fracture diameter cannot be equal to zero and plays
an important role in determining the fracture diameter distribution. When the trace length distribution is defined on an interval,
the diameter lower bound must be contained in the trace length interval, and the upper bound must be equal to the trace length
upper bound.

1 INTRODUCTION where: h(y) is the probability density function (pdf) of the of

Fracture size plays an important role in rock engineering
because it provides for several fundamental parameters neces-
sary in the evaluation of mechanical and hydraulic properties
of rock masses [1], the estimation of fracture intensity [2],
blasting operations in mining and quarrying [3], and rock
mass characterization [4]. Although fracture size is commonly
used in engineering applications, quantifying the fracture size
remains a difficult task because directly measuring the size of
each fracture would require to completely dismantling a given
rock mass [5].
Research on estimating the fracture size probability distri-
bution has turned to stereology in order to use available frac-
ture trace length probability distributions to obtain the sought
fracture size distribution. Indeed, stereology is concerned with
the determination of three-dimensional structures from two-
dimensional or one-dimensional data [68]. This seems to be a
promising way to estimating the three-dimensional properties
of fractures (including persistence) from exposed rock faces,
such as natural outcrops, excavation faces, and boreholes.
In rock mechanics, Warburton [9] provided the starting
point for estimating the fracture size distribution using stereol-
ogy. In Warburtons simple model of fracture size, the fractures
are assumed to be flat circular discs of negligible thickness,
parallel to each other and centered at random points, whose
volume density has a Poisson distribution. Because the frac-
tures are assumed to be circular, the fracture size is represented
by the fracture diameter. Under these assumptions, Warburton
derived the following relationship between the distribution of
trace length, y, and the distribution of fracture diameter, x:
trace length, y ; g(x) is the pdf of the fracture diameter, x, and
the subscripts L and A denote line sampling and area sam-
pling of trace length measurement, respectively. Furthermore,
in Eqs (1) and (2), m1 and m2 are the mean and the second
moment of x, respectively.
The statistical characterization of trace length and fracture
size has been investigated by many researchers. Uniform [10,
11], exponential [1117], normal [10, 11], lognormal [11, 15,
1719], Gamma [15, 17] and power law (Pareto) distributions
[3551] have been put forward to describe the distribution of
trace length. Since many researchers think that the trace dis-
tribution is sensibly insensitive to the choice of the fracture
size distribution, i.e. the inversion of Eq. (1) is ill posed [20],
many published methods [2, 19] hinge on Croftons theorem
[21] and then focus on deriving moments of the fracture size
distribution after assuming a specific kind of fracture size dis-
tribution. Up to now, four specific fracture size distributions
have been hypothesized, namely exponential [2, 19], lognor-
mal [9, 15, 19, 22, 23], Gamma [2], and power law (Pareto)
[49, 52, 53].
To the writers best knowledge, the problem of determining
a relationship between the pdf of circular discs and the pdf
of the disks traces on a cutting plane was first solved by
Santal [24]. As noted by Santal, Eq. (1) is identical to the
relationship first derived by Wicksell [25, 26] between the pdf
of sphere diameters and the pdf of the circles cut out by a plane
intersecting those spheres.
Since one knows either hA (y) or hL (y), the inverses to Eq.s
(1) and (2) would be the most useful. Several decades ago
Santal [24] provided a closed-form inverse relationship for
Eq. (1) by first transforming Eq. (1) into an Abel integral
equation:

and

From an historic point of view, a direct solution to Eq. (1) was

used by Wicksell in 1925 [25, 26]. Gorenflo and Vessella [7]

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2007 Taylor & Francis Group, London, UK

show that Eq. (3) does not necessarily yield probability distri- The mean, m, is obtained by imposing that the integral of
bution functions (i.e. non-negative functions whose integral g(x) is equal to 1:
over the real line is equal to 1).
Interestingly enough, up to now no author seems to have
used Santal closed-form integral solution, which gives the
fracture size distribution as a function of the trace length dis-
tribution. In this paper, closed-form solutions are given for the
fracture size distribution corresponding to each of the most where ArcCsch() is the inverse hyperbolic cosecant.
common trace length distributions, i.e. uniform, exponential, Now, g(x) can be given solely in terms of B1 and B2 ,
and gamma. A numerical procedure is given when the trace
length distribution is lognormal. The detailed derivations and
proofs that our results are correct can be found in ref. [27].

2 USING SANTAL INVERSION FORMULA TO

DETERMINE THE FRACTURE SIZE DISTRIBUTION 2.2 The trace length is exponentially distributed
If h(y) is exponentially distributed, h(y) has the form
As mentioned in Section 1, Eq. (3) is the Santals inversion
formula for Eq. (1). Since Eq. (1) has been obtained for area
sampling of the trace length, strictly speaking the pdf of the
trace, h(y), in Eq. (3) must be the distribution of the trace where A > 0 and 1/A is the mean of y.
length obtained with area sampling. Let us compute the integral in Eq. (3) by integrating by parts
Although numerical solutions to Eq. (3) are available and are
well tested [6, 2831], closed-form solutions can be derived
for some common trace length distributions (uniform, expo-
nential, Gamma): this will be shown in this section. Moreover,
based on Eq. (3), numerical solutions of the fracture diameter
distribution can be derived for other trace length distributions
(e.g., lognormal).

2.1 The distribution of fracture diameter when the trace After computation, one can find
length is uniformly distributed
If the distribution of trace length, h(y), is uniformly distributed,
h(y) is given as
where BesselK is the modified Bessel function of the second
kind [32, 33].
From a mathematical point of view, the closed-form integra-
tion in Eq. (11) is valid only for x > 0, BesselK[1, Ax] diverges
where B1 , B2 are the minimum and maximum trace lengths, for x 0, and the integral of BesselK[1, Ax] over the real line
respectively. Let us introduce Eq. (4) into Eq. (3); one obtains diverges to infinity. Since g(x) is positive for x  = 0, and since
the integral of g(x) must be equal to one, the fracture diame-
ter must be bounded by a lower cutoff length, c > 0. From a
physical point of view, a zero fracture size means intact rock.
Since g(x) is a pdf, its integral over the real line must be
Since the trace length is bounded between B1 and B2 , the equal to 1, thus:
fracture diameter too is bounded between B1 and B2 . Indeed,
suppose that there exists a diameter, y , outside this bound.
Then, there would be a non-zero probability that the trace be
in the range [y -dy, y ], which is not included in the range
[B1 , B2 ]; as a consequence, one should have that h(y )  = 0. From Eqs. (11) and (12), the mean fracture diameter is
This contradicts the assumption that the trace is uniformly
distributed between B1 and B2 because this assumption entails
that h(y ) = 0.
On the other hand, the minimum fracture diameter can be With this expression in hand, the pdf of the fracture diameter
any value, c such that B1 < c < B2 . Finally, the maximum in Eq. (11) becomes
fracture diameter cannot be smaller than the maximum trace
diameter, and thus the maximum fracture diameter must be
equal to the maximum trace diameter, B2 .
Let us introduce Eq. (5) into Eq. (1); one obtains
Eq. (14) reveals that the diameter distribution, g(x), depends
on c, the minimum length of the fracture diameter. Let A be
equal to 1, Figure 1 shows the pdf of the fracture diameter for
different values of c. The curves from the left to the right are
the graphs of g(x) when c equals 0.01,0.1 and 0.5, respectively.

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 Table 1. Mean values of fracture diameter for dif-
ferent c values: the trace length is Gamma (1,2)
distributed.
c P m

0.01 0.636454 1.571205

0.05 0.633745 1.577922
0.1 0.627315 1.594095
0.5 0.527262 1.89659

Figure 1. The distribution of fracture diameter when the trace length

is exponentially distributed for three values of the minimum diameter
length, c.

2.3 The trace length is Gamma distributed

If h(y) is Gamma distributed, h(y) has the form

 Figure 2. The distribution of the fracture diameter when the trace

where (k) = t k1 et dt is the Gamma function, 1/A is the length is Gamma (1,2) distributed (c = 0.01).
0
mean trace length, k is a parameter, and A, k > 0.
where c is the minimum fracture diameter.
Let us integrate by parts the integral in Eq. (3), then
substitute Eq. (15) and simplify

One can perform numerical integration to get P, and then

m. Table 1 shows some results for m for different values of c,
when A = 1. One can find that the mean fracture diameter
depends mildly on the value of the minimum fracture diame-
ter, c, because a two-order-of-magnitude change in c yield a
1% difference in the mean fracture diameter.
Let us denote As an example, let the distribution of trace length be
Gamma (1,2) and the minimum fracture diameter is 0.01, then
from Table 1, m equals 1.571205. According to Eq. (17), the
expression for the pdf of the fracture size distribution is

and its graph is given in Figure 2.

2.4 The trace length is lognormally distributed

If h(y) is lognormally distributed , h(y) has the form

After computation, one can find the general expression for the
distribution of fracture diameter is
where

In order to calculate the mean, m, one needs to integrate g(x);

however, it is difficult to integrate the second addendum in By inserting Eq. (21) into Eq. (3), one obtains the integral
the second member of Eq. (17), which must be integrated
numerically. Define

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 2.5 The trace length is power distributed
Two common forms of power law distribution exist, depending
on whether the range over which the distribution is defined is
finite or not. The first form, defined over a semi-infinite range
bounded by a lower cutoff length, B1 , is given as

where f > 0 is the trace length exponent.

The second form of the power law distribution is defined
Figure 3. Histogram of the trace length assumed to be lognormally over a finite range bounded by the lower cutoff and an upper
distributed (h(y)), and the calculated distributions g(x) and g(x). cutoff, B2 . In this case, the pdf is given by

Since it is difficult to get a closed-form solution to the integra-

tion in Eq. (22), one needs to resort to numerical integration.
This is best illustrated using a case history:
a) Consider the available trace lengths (from ref. [34] in this
case history), which are assumed to be lognormally dis- Let us consider the semi-infinite range first. By inserting Eq.
tributed. Compute the mean value of y, E(y) = 0.417 m and (61) into Eq. (5), one obtains:
the variance of y,var(y) = 0.3038 m2 . Substituting E(y)and
var(y) into Eq. (23b), one obtains = 1.00533. The his-
togram of these data and the graph of h(y) based on
calculated values of and are plotted in Figure 3. The
pdv in vertical axis means probability density value.
b) Plot the graph of g(x)/m to find the minimum value of x
(xmin ). Because g(x) must be positive, g(x)/m should be The condition that the integral of g(x) must be equal to one
larger than zero. One can find that g(x)/m has a zero for yields the mean fracture diameter, m:
xmin = 0.0216 m.
c) Integrate g(x)/m to get m. Because

where c is the minimum fracture diameter.

The final expression for the fracture distribution is obtained
Using = 1.38013, = 1.00533, xmin = 0.0216 m and by inserting the expression for the mean (Eq. (28)) into Eq.
g(x) (Eq. (22)), double numerical integration (with respect (27)
to y and then respect to x), yields m = 0.2256 m.
d) Finally, g(x) has the form of Eq. (22) with m = 0.2256,
= 1.38013 and = 1.00533. In order to compare h(y)
and g(x), the graph of g(x) is also plotted in Figure 3.
Now, let us show that g(x) is not lognormal. A lognormal
As for the finite range power distribution, the fracture diameter
distribution with var = 0.0686, and m = 0.2256 is shown in
distribution is
Figure 3, where it is called g(x). Since g(x) differs from g(x),
g(x) is not lognormal.
Figures 4(a)4(e) graph g(x) for different values for the
coefficient of variation (V ) of trace length together with the
corresponding g(x), where g(x) is the lognormal distribution
with parameters var(x) and m obtained from g(x). Recall that
where (, , ) is the incomplete Beta function, which is
defined as

Figure 4, shows that only in some cases (i.e. V = 1.5 and per- The mean fracture size is obtained by imposing that the pdf
haps V = 2) is g(x) close to g(x). However, in many other has unit measure
cases of practical interest g(x) is far from being lognormal.
Maybe this is the main reason why many researchers deem
g(x) to be lognormally distributed when h(y) is lognormally
distributed (e.g., [15, 19, 22, 23]).

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 (a) (b)

(c) (d)

(e)

Figure 4. Lognormally distributed trace length (h(y)) and the calculated g(x) and g (x) for different coefficient of variations (V) of the trace
length.

where S is the following series in which a = 1/2 and ()n is the Pochhammer symbol or rising
factorial

The series is rapidly converging, and 100 terms typically

give a relative error less than 107 , which is enough for rock
engineering applications.

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Table 2. Discontinuity diameter distribution and the mean diameter for different trace length distributions.
Distribution of
trace length Mean diameter
uniform
exponential
Gamma(A,2)
Lognormal Numerical Algorithm
Power-Law
(semi-infinite
range)
Power-Law
(finite range)
The final expression for the fracture size distribution is
given by Eq. (30) with the mean fracture size given by Eq. (32)
Eqs. (29) and (35) reveal that the fracture diameter follows a
power law, regardless of whether the trace length distribution is
defined over a semi-infinite range or a finite range. This result
is in line with the result obtained by Pigott [52]. Pigott assumed
that the fracture diameter follows a power law distribution, and
calculated the fracture size distribution
3 HOW TO APPLY THESE RESULTS IN PRACTICE
As explained in the Introduction, once fracture trace length
area sampling has been carried out and corrected for bias [2, 5],
the trace length distribution can be determined using statistical
techniques. The transition to fracture size distribution is then
effected with the aid of Table 2.
4 CONCLUSIONS
In this paper, we used Santal closed-form integral solution
in order to derive closed-form solutions for the fracture size
distribution for each of the most common trace length dis-
tributions, i.e. uniform, exponential, gamma, and power law.
None of the diameter distributions was found to be exponen-
tial, gamma and lognormal, whereas the trace length power
distribution creates a power law distribution for the fracture
size.
When the trace length is lognormal, a numerical proce-
dure based on the Santal closed-form integral solution was
proposed to get the fracture size distribution. Contrary to a
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Distribution of discontinuity diameter
Numerical Algorithm
common brief, it was shown that the fracture size distribution
is never lognormal.
Furthermore, explicit expressions are given for the mean
fracture diameter as a function of the mean trace length and of
the minimum fracture diameter. The mean fracture diameter
is always found to be an increasing function of the mean trace
length. When the trace length distribution is exponential, the
mean fracture diameter may be smaller than the mean trace
length.
For all trace distributions considered, the fracture diame-
ter was found to be defined over a range bounded by a lower
cutoff length. This lower cutoff length played an important
role in determining the fracture diameter distribution. How-
ever, this lower bound cannot be determined based on the
trace length information. Although upper and lower bounds
on fracture diameters are frequently neglected, recent studies
emphasize the importance of layering on all scales in limit-
ing the scaling characteristics of natural fracture systems [73].
In particular, if the trace length (and then the fracture size) is
power-law distributed, both trace length and fracture size must
be bounded in order for the pdf integral to be finite [18, 40].
The fact that the fracture diameter is always found to have a
lower cutoff length may thus support the common hypothesis
that trace lengths and fracture sizes are power-law distributed,
and that other trace length distributions are actually the result
of truncation bias.
Finally, when the trace length distribution is defined on an
interval, the diameter lower bound must be contained in the
trace length interval, and the upper bound must be equal to
the trace length upper bound.
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 Development of rock joints with time and consequences for engineering

S. Hencher
School of Earth and Environment, University of Leeds, UK
Halcrow China Ltd

R. Knipe
School of Earth and Environment, University of Leeds, UK
Rock Deformation Reseach Ltd., Leeds, UK

ABSTRACT: Evidence is presented that seemingly ancient sets of joints only fully develop as mechanical fractures when subject
to weathering at the Earths surface. It is argued that spatial variability of joints may therefore only properly be understood if
their geological origins and temporal nature are taken into account. With reference to geotechnical logging, the usual approach,
which is to treat all joints as individual geometrical features without reference to origin, is considered simplistic and generally
inadequate. Examples are given of slope failures associated with geologically recently developed joint systems and where joints
that are rare statistically have high engineering significance. Recommendations are made to improve practice in assessing the
jointed nature of rock masses.

1 INTRODUCTION

Fractures in rock are fundamentally important to the ways in

which rock masses behave in terms of settlement, stability and
excavation in engineering projects and for the through-flow
and storage of liquids and gases. However the nature of and,
in particular, the origin of rock joints, faults and other naturally
occurring structural discontinuities or fractures are dealt with
rather superficially in most rock mechanics and engineering
geology textbooks and in standards for rock description. The
nature of joints and their origins remains the province of the
structural geologist.
Consequently when it comes to characterizing rock masses
in rock engineering, joints and other structural discontinuities
tend to be dealt with simplistically. Generally only open frac- Figure 1. Predominantly orthogonal (vertical and horizontal) joint
tures are routinely recorded in core logging. The choice of development in granite, Mount Butler Quarry, Hong Kong.
type of fracture is limited to joint, fault, bedding or cleav-
age (BS5930:1999). In addition only geometrical attributes as discussed later. Einstein & Dershowitz, 1990 review the
such as dip and dip direction, roughness, aperture, persistence formation of joints in tensile and shear stress regimes based on
and termination are recorded routinely (e.g. Priest, 1993). Data modern concepts of fracture mechanics. What remains poorly
are then often analysed statistically using a programme such as recognised however is that many joints do not fully develop as
DIPS (Rocscience). The focus of interpretation is on geome- visible structures and controlling mechanical discontinuities
try and frequency and little attention is paid to origin, strength until the rock is significantly de-stressed and exposed to the
evolution or environmental setting of the fractures. It is not elements. They are locked in as weaknesses but only fully
generally appreciated that joints and other fractures develop develop at later stages. Almeida et al (2006) describe recent
mechanical properties with time due to weathering and this is work on orthogonal built-in planes of weakness in granite
the focus of the paper. rift, grain and hardway that are exploited in the splitting of
seemingly intact granite for the production of dimension stone.
In more weathered terrain orthogonal sets of joints are typical
2 THE NATURE AND ORIGINS OF JOINTS of granite (Figure 1) and it is reasonable to infer that the joints
seen in such partially weathered rocks have developed with
Joints are fractures found in most rocks near to the surface time along weakness directions defined at some very early
of the Earth and their origins have long been the subject of stage during the emplacement and cooling of the granite.
debate (Pollard and Aydin, 1988). Joints are clearly the result
of overstressing of the rock (even in its soil-like state). Some
form in sedimentary environments, others in igneous bodies 3 PROCESSES FOR JOINT DEVELOPMENT
due to cooling or other forces whilst others are the result of
tectonic forces (e.g. Rawnsley et al, 1990; 1992). Some joints The geohistory of a rock mass can be defined as the set of
are the direct result of stress conditions at the Earths surface geological conditions (stress, fluid pressure, temperature and

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2007 Taylor & Francis Group, London, UK


Figure 2. Sheeting joints through conglomerate, the Olgas,
Australia.
fluidrock interactions) experienced from formation to the
present. The history of these parameters and the time spent
under different conditions which define a geohistory path can
contribute to the development and stability of joints in the
system. For example, the exposure to geological loading and
unloading during and after ice-ages or the combination of
weathering by the influx of different fluids may induce time-
dependant changes to the strength of the rock mass. Small
changes in the cohesion between mineral phases across grain
boundaries, the expansion of porosity by slow mineral disso-
lution or chemical reaction to weaker phases, or the removal
of load bearing micro-bridges within incipient joints may
all induce failure via a dynamic evolution of the strength. Two
important end-member processes need to be considered in the
time-dependant behaviour and stability of joint systems.
3.1 Mechanical responses/processes
In the end-member case these do not involve chemical alter-
ation but include the processes that impact on the susceptibility
of opening discontinuities that can promote the initiation
and propagation of fractures or joints. These are fundamen-
tally controlled by the rock fabric and mineralogy where
changes in the distribution, frequency, orientation and cohe-
sion of grain boundaries during the geohistory (especially the
recent and present conditions) impact on the susceptibility
to failure. Slow crack growth and the linking of disconti-
nuities may promote a deterioration of the rock-mass and
may depend on the detailed elastic response of adjacent min-
eral grains to changing geological conditions (loading or
unloading during freeze-thaw, wetting-drying or fluid pres-
sure cycles). Figures 2 and 3 shows mechanically induced
fractures (sheeting joints) through conglomerate in Australia.
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2007 Taylor & Francis Group, London, UK
Figure 3. Close up of shallowly dipping sheeting joint through
conglomerate, the Olgas, Australia.
Figure 4. Rock bridge (grey unweathered) in incipient joint with
weathering around periphery of bridge. Pin for scale. (Hencher,
1981).
3.2 Chemical responses/processes
In the end member case these processes involve chemical reac-
tions that change the strength of interfaces that can promote
or stabilize fracture growth. Processes such as dissolution,
corrosion, transformations, precipitation or wetting may all
induce changes in rock mass behaviour. Conditions that pro-
mote rapid chemical alteration will be particularly significant.
In Material Sciences the chemical processes that promote such
strength changes (generally at higher temperatures) are termed
reaction-enhanced ductility and transformational-enhanced
ductility and similar processes may act in the weathering
development of rock joints. Figure 4 shows the effect of grad-
ual chemical weathering on a relict rock bridge in an incipient
joint in Hong Kong.
Both the mechanical and the chemical processes are well
known, but it is the combination and feedback between these
processes under different conditions that will control the
susceptibility to joint development and propagation at any
particular location.
4 GENERAL IMPLICATIONS
It is argued that joint systems measured at any location will
owe their properties to geohistory both with respect to the ini-
tial development of flaws in geological time and to relatively
recent weathering and loading history. Dip and azimuth of
many sets are pre-defined in their geological past but aperture,
frequency and persistence are largely a function of exposure
and local stresses at the Earths surface. Sheeting joints may

Figure 5. Possible modes of joint formation in sedimentary
sequences and likely appearance of joint sets on stereographic
projections.
exploit previous weakness directions, particularly in igneous
bodies but others develop as new fractures, totally in response
to the stress state at the Earths surface. The argument that
some sheet joints must be ancient because of the evident antiq-
uity of other cross cutting joint sets (see the well-argued review
in Twidale, 1982) no longer holds true once it is accepted
that ancient joints only fully develop as visible, mechanical
fractures on exposure and due to weathering.
The importance of considering the geohistory of joint
systems when characterising rock masses for engineering
purposes cannot be over-emphasised. A consideration of the
processes that have resulted in the joint sets and their attributes
at one measuring location may indicate that some joints that
might be expected may be under-sampled. Models such as
those of Hancock (1991) allow a better analysis of the data.
Figure 5 provides examples of potential ways for joints to form
in thick sediment piles and the likely distribution of poles on
stereonets.
5 IMPLICATIONS FOR SLOPE STABILITY
The dangers of an overly-statistical approach to dealing with
discontinuity data have been highlighted by Hencher (1985)
following a significant rock slope failure where rare but impor-
tant joints had been discounted in the design of the slope
(Hencher, 1983).
Furthermore the development and extension of joints in
engineering time can be very significant in slope development.
Figure 6 shows an example of a sheeting joint along which
there was movement prior to eventual detachment of a large
landslide (Halcrow China Ltd, 2002; Hencher, 2006). The
rock above the sheeting joint along which intermittent move-
ment had taken place over many years had become fractured
with the opening up of pre-existing flaws and development of
new fractures due to tensile stresses induced in the displaced
slab. These fractures had then become infilled with sediments
that contributed to the failure in restricting throughflow and
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2007 Taylor & Francis Group, London, UK
Figure 6. Fractured rock above geologically recent sheeting joint
(Hencher, 2006).
allowing the development of cleft water pressures (see further
discussion in Malone, 2007).
6 IMPLICATIONS FOR UNDERGROUND WORKS
There are reported cases where the presence of pre-existing
flaws have only fully developed as mechanical fractures
on excavation with consequences for instability in tunnels
(Everitt & Latjai, 2004). Martin (1994) provides evidence
from the same site of the varying fracture state at different lev-
els within the same rock mass. Clearly there are implications
for nuclear waste repositories in that fracture systems may
extend and develop during development of sites in response
to stress state changes. Models formed following ground
investigation may represent the mass inaccurately if temporal
development of the fracture system is not accounted for.
Furthermore classification systems such as RMR (Bien-
awski, 1989) and Q (Barton, 2000) use a cursory treatment
of rock fractures to characterise rock masses. Joints are
undifferentiated in terms of origin and spatial variation. A
consideration of geohistory when forming geological and
geotechnical models of tunnel routes would no doubt be ben-
eficial. Rock joint frequency and therefore rock mass quality
which is important both with respect to excavatability and sup-
port will vary with degree of weathering. Care must be taken
when interpreting conditions on the basis of data collected
elsewhere.
7 RECOMMENDATIONS
The authors advocate an approach to measurement of joints
in the characterisation of rock masses that focuses on geo-
logical process and modelling, especially when dealing with
rock exposures rather than boreholes where, of course, all data
should be logged and the analysis comes later. This rather
conflicts with the emphasis in most standards where recom-
mendations are made for scanline surveys and concentration
is more on orientation bias rather than proper geological anal-
ysis. The authors believe that this emphasis rather belies the
importance of such data collection. Because the scanline, sup-
posedly objective, approach looks so routine and foolproof,
the tendency is to assume that it can be done by any techni-
cian and provide the requisite data that can then be fed into a
statistical programme so that the geotechnical engineer, in his
office, can get on with the important and demanding task of
analysis. That is rock engineering by numbers and not to be
recommended.
 The recommended procedure for assessing rock masses at
exposures, for example in quarries is:
1. Carry out a reconnaissance of the exposure. View it from
different directions.
2. Form an initial geological model, split into structural and
weathering zones/elements. Sketch model.
3. Broadly identify those joint sets that are present, where
they occur and what their main characteristics are.
4. Measure data to characterise each set geologically and
geotechnically. This should include data on fractography
(hackle marks etc.) and coatings. Record locations on
plans and on photographs. Record variations in degree of
weathering and with structural regime.
5. Plot data and look at geometrical relationships. Consider
geohistory and how the various sets relate to one another
and to geological structures such as faults, folds and
intrusions.
6. Considering geohistory, decide whether all joints that
might be expected have actually been identified. Search
for missing sets.
7. Analyse and reassess whether additional data are required
to characterise the joints that are particularly important for
the engineering problem.
8. Where data collection is remote from the actual project,
consider how data are likely to vary spatially.
9. Consider sensitivity of the joint systems and the mechanical
behaviour to changes that might be brought about by the
engineering works.
10. Create a scorecard to highlight critical components of the
discontinuities present and their potential impact.
8 CONCLUSIONS
Rock joints develop in time according to the geohistory at
any location. In particular weathering will influence joint fre-
quency, aperture and persistence. Data should be collected and
analysed with due consideration to how the fracture system has
developed and may further develop with time. Data should
only be extrapolated within structural regimes as emphasised
by Piteau (1973) and should similarly only be extrapolated
between different weathering zones with great caution. The
consequences of not following a proper geological thought
process when characterising and describing rock masses can
be serious. Important but rare fractures may be under-sampled
in exposures and/or hidden following statistical analysis. Data
collected objectively but without due consideration of the
geological structure including weathering regimes can be
confusing and generally unhelpful.
ACKNOWLEDGMENTS
Research by the first author is supported in part by a
grant (nema-06-nh-05) from the Natural Hazard Mitigation
Research Group, National Emergency Management Agency,
Korea.
2007 Taylor & Francis Group, London, UK
REFERENCES
Almeida, L.C.R., Vargas Jr, E.do A. & de Figueiredo R.P. (2006)
Mechanical characterization of rock splitting planes in granitic
rocks. International Journal of Rock Mechanics & Mining Sci-
ences 43, pp 11391145.
Barton, N. (2000) TBM Tunnelling in Jointed and Faulted Rock. AA.
Balkema, Rotterdam, 172p.
Bienawski, Z.T. (1989) Engineering rock mass classifications: A
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BS5930 (1999) Code of Practice for Site Investigations. British
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Einstein, H.H. & Dershowitz, W.S. (1990) Tensile and shear frac-
turing in predominantly compressive stress fields a review.
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Everitt, R.A. & Latjai, E.Z. (2004) The influence of rock fabric on
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 Discontinuity distribution in granites and its effects on rock mass classification

Shang Yanjun, Shi Yongyue, Yuan Guangxiang & Sun Yuanchun

Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, China

ABSTRACT: For hard rocks as granite, rock mass class is mostly associated with discontinuities. This paper presents three
case histories of granite engineering projects in China. Focuses are on distributive features of discontinuities by means of
field investigation, stereographic projection, statistic methods of structure and geo-stress. The discontinuity includes faults,
joints, veins, contact zone and fissures with distinctive scales and formation. Most commonly occurred are of joints reflecting
geo-stress orientation. The most widely used rock mass classification indices RMR, Q, BQ and T systems are compared. By
means of interaction matrix, it was found that the interaction coefficient of RMR and BQ is the largest, next is the T values, the
last one is the Q value. The results indicate that discontinuity density, orientations and hard rock are of dominant parameters
in classification index for site selection and design of tunneling projects.

1 INTRODUCTION 100000.0

In China the exposed granite area is about 862 000 km2 , with 10000.0
granite body of 400 nos. (area > 25 km2 ). As harder rocks,
Cohesive force (kPa)

they behave advantages for geo-engineering as large volume 1000.0

of granite body, relatively lower permeability, existence of
faults and joints but closed at depth, and relatively stable in 100.0
geological times. On the other hand, they have some disadvan-
tages as high anisotropic property, complicated distribution of 10.0
discontinuities and inaccuracy of measurements in 3D, espe-
cially the response to excavation disturbance and secondary 1.0
variations during operation for a long time. In practice, there
often occurred four unfavorable engineering geological con- 0.1
20 30 40 50 60 70
ditions in faults (particularly active faults), densely distributed
Frictrion angle (Phi)
joints, weathering bags, and contact zone with alterations.
Cave-in and water burst accidents are mostly associated with Figure 1. Mechanical parameters of granites and correlations from
these unfavorable structures. The site selection, design and 63 sets of samples in China.
construction in granites, to a great extent, are controlled by
discontinuities. The distribution and features of them affect the
Table 1. Number Percent of joints of granites in scale of length at
feasibility of sites, design of cavern axis, and reinforcement Daya Bay.
and drainage parameters.
At present, some important projects are sitting in granites. Length (m) <1 15 510 1020 >20
The three case histories concerned in this paper are for sitting Number percent (%) 6.2 70.7 17.4 4.6 1.1
of crude oils storage caverns at Jinzhou, Northeast China, of
a neutrino oscillation experiment at Daya Bay, Southeastern
China, and of a permanental shiplock of Three Gorges. After
statistic values comparison of the three rock mass classifi- Jinzhou, Three Gorges and Daya Bay, it is known that for the
cation indices, this paper indicates the RMR and BQ system same region, the granite with similar components, the mechan-
are the most feasible for evaluation of rock mass classes for ical results are still discrete. The reason is that there exist some
underground granitic engineering projects. closed fissures in some samples, though they are seemed like
intact rocks.

2 DISCONTINUITIES IN GRANITES
There different types of discontinuities in granites with respect
to properties, formation phase and scales. Some types are large
as regional and macro, some are micro as fissures. Uniaxial
compression strength (UCS) of granitic samples are larger
than 60 MPa, due to granites have smaller porosity with few
difference between natural and saturated UCS. On the other
hand, the mechanical results are discrete from different places
(Figure 1). From engineering practice in the three sites as
2.1 Types
There are mainly 4 types of discontinuities. They are faults,
joints, veins, contact belts.
The scale varies to a large extent, from several km to several
cm. For example, in exposed granites at Daya Bay, the percent
of joints length is different (Table 1).
Generally, the acidic veins are favorable to rock stabil-
ity due to their high cohesive and concordant with granites,
while basic veins are unfavorable to rock stability due to their
sensitive to weathering and groundwater action. For instance,

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Figure 2. Distribution of joints of granites at Daya Bay. a. Joint
strike rose maps; b. Stereographic projection of two sets of joints
(1: 278 67, 2: 20274); c. Orientation versus quantity of granite
joints; d. Dip angle versus quantity of joints.
Figure 3. Quartz veins (including joints filled with silica) orienta-
tion rose map of granites at Daya Bay.
at Jinzhou, many local slopes were formed along the con-
tact zone of diabasic dips. Some contact zones of granite
with sandstones as hosting rocks were alterated as hornstones
behaving high strength at Daya Bay, some with clays from
alteration with lower shearing strength.
2.2 Spatial distribution
Complicated distribution of discontinuities contributes to high
anistropic features of granites. In most case the distribution of
joints with steep dip angles are controlled by geostress, while
gently dipping joints are associated with cooling between two
intrusive phase or unloading in shallow depth. The sets of
joints are from 2 to 5 with variations in plane and vertical
sections. In geomorphology, the joints in large scale affect
gullies distribution in granites. These are obvious at Jinzhou
and Daya Bay. At former, the gullies are mostly in orientation
of NNW and NE, controlled by the two sets of dominant joints.
At Daya Bay (Figure 2), the geostress orientation is
280300 . From measured 2000 joints, it was found that there
are three sets of joints in orientations of SN (35020 ), NE
(3050 ) and NW (280300 ). The gullies are dominated by
the three sets of joints. The dips are in two sets, one is 200 ,
and another is 280 . The dip angle is mostly larger than 50 .
Most of their length are within a range of 15 m. As for 339
veins of quartz, the orientation is on two sets as 110120 ,
1030 (Figure 3).
The planar difference at different phase as center, margin
of granite body can be shown in a plane map. While from 4
boreholes in site, it is known that their distribution is very dif-
ferent in vertical sections, with some densely distributed joints
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2007 Taylor & Francis Group, London, UK
at a depth of 100 m, behaved by fractured rocks and relatively
higher geostress. The former two boreholes are 210 m deep,
while the latter two are about 100 m deep.
2.3 Formation of discontinuities
For different type of discontinuities, they are formed in dif-
ferent mechanisms. For contact zones, joints with steep dip
angle and veins are controlled by structural geology, while
gently dipping joints are with unloading and original intruding
phases of granites. So their formation in geological time and
distribution in space reflect the structural geology controlling
and the secondary destruction of weathering and unloading.
3 GEO-STRESS AND DISCONTINUITIES
Among the sets of joints, usually one set is paralleled with
orientation of geostress, as shown in Figure 2. As for veins
distribution, most of them are concordant with one branch
of joints (Figure 3), but without obvious connections with
geostress.
The steep dip angle reflects the shearing force is dominant
in granites (Figure 2).
4 FUNCTION OF DISCONTINUITIES TO ROCK MASS
CLASSIFICATION INDICES
From field investigation, cores from boreholes and geostress
data, the rock mass can be classified according to some
indices. Here four rock mass indices are computed and com-
pared: rating RMR (Bieniawskiz, 1973), quality Q (Barton,
1974), basic quality (DHR, 1995), and total evaluation T
(DHR, 1999). The former two are widely applied worldwide
(Goel et al., 1996), while the latter two are commonly used in
China.
The bq value is computed in the equation (DHR, 1995)
where Rc: saturated uniaxial compressive strength, MPa; Kv:
intactness index of rock mass.
If Rc > 90 kv + 30, then put Rc = 90 kv + 30 into equa-
tion (1)
If Kv > 0.04Rc + 0.4, then put Kv = 0.04Rc + 0.4 into
equation (1)
For underground engineering application, the BQ value is
modified to be
where K modification coefficient of, respectively, K1 : ground-
water; K2 : major discontinuity orientation; and K3 : initial
stress status.
The index T is a summation of five parameters as intact
rock strength, integrity, discontinuity status, groundwater and
major discontinuity orientation (DHR, 1999).
The four systems have some differences in account for
parameters involved. And the limits are somewhat different
not only on their equations (Table 2).
For the RMR and T, the range of value is 0100, for the Q,
the range is 0.011000, and for the BQ, the range is 90700.
For the three sites of Jinzhou, Three Gorges and Daya Bay
with relatively more data, the four parameters are obtained
Table 2. Classification and limits of the four systems for evaluation 100
of rock mass quality. Daya Bay
Jinzhou
Three gorges
System Classification and limits
80

Q I 40 II 10 III 1.0 IV 0.1 V

RMR I 80 II 60 III 40 IV 20 V
BQ I 55 II 450 III 350 IV 250 V 60
T I 85 II 65 III 45 IV 25 V

RMR

after Li, 1999.

40

Jinzhou R = 0.644
100 100 100
[BQ]~Q
[BQ]~T
I
[BQ]~RMR
20
I I
I

80 80
a II II

0
Q value

T value
0.01 0.10 1.00 10.00 100.00 1000.00
RMR

II 10
II
Q

60
III
60
Figure 5. Correlations of Q and RMR from Jinzhou, Three Gorges
III
and Daya Bay.
III
III
III II

40 1
IV I IV
40
shows that the Q-system is relatively not feasible for hard rock
300 400 500 600
BQ value tunneling in granites.
There are some equations of RMR with Q. From 324 nos
data of the three sites of granites, it was found that an equation
with a correlation coefficient of 0.64 (Figure 5) is

b
It is different from that with an correlation coefficient of
0.77 gave by Bieniawski (1984).

For comparison of the four indices, an approach of inter-

action matrix is applied (Hudson and Harrison, 1992). The
matrix is set up with them listing along the leading diago-
100 1000.0
Dayawan
100 nal. The off-diagonal positions are taken by correlation curves
[BQ]~Q of couples of parameters. For one row of one parameter, the
[BQ]~RMR

I [BQ]~T
I
curves represent its affects (as independent variable) on other
three parameters (as dependent variable). It was vice versa for
I the column (Figure 6). The maximum of correlation coeffi-
I
c 80 100.0 80
cient of BQ with T is 0.92, next is that of T and RMR. The
II
minimum of the value of Q with T is 0.51.
Q value

T value
RMR

II

II
After summarization of the correlation coefficient in rows
II and columns, respectively, a couple of interaction coefficient
60 10.0 60
of one parameter as impacts (cause and effect) in rock mass
III
classification can be obtained as shown in Figure 7. Then it
III
III III is known that the interaction coefficients of RMR and BQ is
IV III II I
the largest, next is the T values, the last one is the Q value.
IV
40 1.0 40 The results implies that discontinuity density, orientations and
300 400 500 600 700
BQ value hard rock strength are of dominant parameters in rock mass
classification index for site selection and design of tunneling
Figure 4. Comparison of four system parameters at three sites projects.
of granites. a. Jinzhou; b. Three Gorges (data source: Chen,1997);
c. Daya Bay.
5 CONCLUSIONS

(Figure 4). It is known that for the three sites granites belong Discontinuities make great contributions to granite mechani-
to class II, with higher strength and better integrity. The key cal properties. Except of Q system, the other three systems as
problem is the differentiation between classes II and III. Here RMR, BQ and T systems, which taking account of disconti-
RMR-system does not consider the stress condition of the rock nuity orientations and rock strength, have closed correlations.
mass, while the Q-system does not consider joint orientation The relation of discontinuity orientation with tunnel axis is
and intact rock strength as independent parameters. The result important for evaluation of rock mass quality as in the three

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2007 Taylor & Francis Group, London, UK

Figure 6. Interaction matrix of the four parameters with correlation curves.

1 No. 40372125), and the Project of National Basic Research

Program of China (2002CB412701).
RMR
0.8 BQ
T
REFERENCES
0.6
Cause

Q Bieniawski Z.T. 1973. Engineering classification of jointed rock

masses. Trans. S. African Inst. Civil Engrs 15,335342.
0.4 Bieniawski Z.T. 1984. Rock Mechanics Design in Mining and
Tunnelling: 272. Balkema, Rotterdam.
Barton N et al. 1974. Analysis of rock mass quality and support prac-
0.2 tice in tunneling and a guide for estimating support requirements.
NGI Internal Rept No.54206.
Goel R.K et al. 1996. Correlation between Bartons Q and Bieniawski
0 RMR-a new approach. Int. J.Rock Mech. Min. Sci. & Geomech.
0 0.2 0.4 0.6 0.8 1 Abstr, 33(2):179181.
Effect Chen Changyan. 1997. Complex of rock mass discontinuity and
application in rock slopes: a case study in permenental shiplock
Figure 7. Coefficients of cause and effect of the four parameters. slopes of Three Gorges. Ph.D.Thesis of Institute of Geolgy,
Chinese Academy of Sciences (in Chinese with English abstract).
DHR (Department of Hydraulic Resources). 1995. Chinese National
indices. By interaction correlation, it is known that the BQ Standards: standard for engineering classification of rock
and RMR is the most feasible, next is the T index. The Q- masses (GB5021894). Beijing: Chinese Plan Publishing House
system is not feasible for rock mass classification of granites (in Chinese).
in underground engineering. DHR (Department of Hydraulic Resources). 1999. Chinese National
Standards: Code for water resources and hydropower engineer-
ing geological investigation (GB5028799). Beijing: Chinese Plan
ACKNOWLEDGEMENTS Publishing House (in Chinese).
Li Shihui. 1999. A new concept of tunnel support design-application
The authors appreciate the financial supports of the and theory of Precedent Type Analysis. Beijing: Science Press (in
Chinese Natural Science Foundation Committee (Project Chinese with English contents).

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 Discrete fracture network modelling and characterisation of rock masses for
block caving design

N.T. Ford, R.J. Pine & Z.N. Flynn

Camborne School of Mines, University of Exeter, Penryn, Cornwall. UK

ABSTRACT: Block caving is becoming an increasingly important mining method for rock masses that were previously
considered to be too strong or at greater than usual depth, or as an extension of open pit mining. The behaviour of the rock
mass is affected by the strength of the intact rock, the orientation, continuity, spacing and strength of the discontinuities and
the in situ stress. The caving rock mass passes through several stages with changes to induced stresses, and at each stage the
fragmentation increases. At several block caving sites we are using all available jointing data (from boreholes, photographs,
face mapping, etc.) to create integrated 3D stochastic models of the rock mass using the discrete fracture modelling suite
FracMan. The results from the discrete models at specific sites will be compared with empirical block cave design methods
(e.g. Laubscher, Stability Graph) and with other 3D methods of rock mass/rock block size characterisation.

1 INTRODUCTION

1.1 Block caving

Block caving is gaining greater importance as a mining
method due to the exhaustion of near surface high tonnage/low
grade ore bodies that are amenable to open pitting. High ton-
nage/low grade ore bodies (e.g. porphyry copper type) often
extend to below the depth of the stripping ratio of even very
large open pits, and block cave mining allows a relatively
cheap and efficient method of extending the mine life. Block
caving is also now being applied to rock masses that have pre-
viously been considered either too hard and/or too deep for
the method to be used effectively. Successful block caving is
the cheapest form of underground bulk mining in terms of
unit costs. Figure 1. Conceptual model of caving (after Duplancic & Brady
Block cave mining exploits the natural break up of rock 1999).
masses due to gravity and the redistribution of in situ stress
within the crown of an undercut in a rock mass after a void
2. Air gap. During continuous caving, the height of the air
has been created under an ore body (Laubscher 2000). Frag-
gap is a function of the supply and extraction rates of the
mentation initially occurs due to a combination of movement
material to and from the caved zone.
on pre-existing fractures and extension of these fractures join-
3. Zone of loosening. This zone no longer provides support
ing together forming whole blocks. As the cave matures new
to the overlying rock mass. Large-scale displacement and
fractures are generated within the solid rock between existing
disintegration of the rock mass occur.
fractures leading to smaller block sizes. The blocks fall into a
4. Seismogenic zone. In this zone an active seismic front
moving draw column and grind together as the ore column
occurs due to slip on joints and brittle failure of
is drawn. This reduces their size (through greater fragmenta-
rock. This behaviour is due to changing stress condi-
tion) but can also have the unwanted side effect of creating
tions caused by the advancing undercut and progress of
more fines.
the cave.
Once continuous caving has been initiated, the rate of pro-
5. Surrounding rock mass. Elastic deformation occurs in the
duction from the block cave will depend on the rate at which
rock mass in this zone ahead of the seismic front and
the cave propagates following draw of the muck pile and the
surrounding the cave.
creation of a small air gap into which caved material can fall
(Laubscher 2000).
Duplancic & Brady (1999) used a seismic monitoring 1.2 Discrete fracture network modelling rationale
system to study the early stages of caving at the Northparkes
It is impossible to see complete discontinuities that are present
Mine Lift 1, New South Wales, Australia. From this study,
within a rock mass; only when the rock is exposed do the
they developed a conceptual model of caving (Figure 1). The
discontinuities become visible and the 2D interaction between
model contains five zones:
the discontinuities and the exposed surface can be observed.
1. Caved zone. This zone consists of rock blocks that have In order to assess accurately the fracture continuity, intensity
fallen from the cave back. Material in the caved zone and potential block size, an understanding of the 3D geometry
provides support to the walls of the cave. of the discontinuities is needed.

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 Discrete Fracture Network (DFN) modelling allows syn- 6. Fracture shape; usually a polygon equivalent to a circle or
thetic, unconditionally simulated fractures to be stochastically possibly elongated in a particular direction
generated in 3D. Statistical data is determined from the 1D and 7. Facture terminations; allows a fracture set to terminate
2D exposures of the fractures and used to build the synthetic against another earlier fracture set.
model. The mapped and modelled fractures can be compared
DFN models include fractures as planar polygons. This
to validate and if necessary refine the model. Several realisa-
assumption is both realistic and useful, as it allows the approx-
tions of the model can be run using the Monte Carlo method to
imate representation of a wide variety of fracture shapes by
gain average values and a measure of the variability present.
a single mathematical form (Dershowitz et al. 2004). Frac-
An important parameter used in the DFN modelling is the
ture mechanics suggest that in homogeneous rock the general
fracture intensity, which is described using the volumetric
shape of an isolated fracture should be elliptical, as is assumed
intensity, P32 (square metres of fracture area within the target
in the Baecher model (Baecher et al. 1977). However, as most
rock mass volume). This measure is both scale and direc-
rock is generally heterogeneous, perfectly elliptical fractures
tionally independent. The areal intensity of fracturing, P21 ,
are unlikely to be formed, and in a practical sense little error
is defined as the ratio of total length of fracture traces on
is introduced by representing the ideal, elliptical fracture by
a surface to the area of that surface. The P21 is scale inde-
a many-sided polygon of equivalent area. Dershowitz (1984)
pendent, but varies with direction. The fracture frequency is
has noted, moreover, that observed fractures are generally
described by the P10 (number of fractures per unit length).
polygonal due to terminations of the fractures at intersections
Fracture intensity is clearly an important factor in determin-
with other fractures.
ing both the initial and subsequent fragmentation of a caving
To obtain the necessary data for the generation and assess-
rock mass, and is one of the key parameters considered in
ment of DFN models, traditional mapping and logging meth-
this study. The stochastic DFN model combined with a Monte
ods can be used that would be employed for any geotechnical
Carlo method allows a range of potential P32 values to be
project. Increasingly these methods are supplemented with
explored and their effect on the block size determined.
remote data capture methods.
Useful remote methods for mapping exposures in mines
1.3 Geomechanical modelling of block caving using are photogrammetry and laser scanning (Coggan et al. 2006).
DFN models Other suitable remote data capture methods include LIDAR
and downhole geophysics. Remote sensing allows for rapid
There are a number of different software packages that have
and accurate acquisition of large quantities of data that can be
been used to model the break up of rock masses and the
post-processed to generate data similar to that gained from
flow of the particulate ore column in block cave mines. These
hand and photographic mapping. The advantages over tra-
include Rockfields Elfen and Itascas Particle Flow Code 3D
ditional methods is the short turn around time from data
(PFC3D), FLAC3D and 3DEC. In principle the fracture dis-
acquisition to interpretation, the ability to map areas which are
tribution determined by the DFN methods described above
normally impossible to reach either due to risk or remoteness
should be applicable to all such codes. Most of our experience
and the ability to view the 3D architecture of the rock mass
has been with Elfen.
on screen in a visualisation program (McCaffrey et al. 2005).
Elfen uses a hybrid finite/discrete element modelling
The fracture orientations, sets and truncation patterns are
method and may be used to simulate the response of frac-
measured and noted using a combination of direct measure-
tured rock masses to changes in the induced stresses (Pine
ment and observation and any remote imaging data. The
et al. 2006a).
intensity of fracturing in 2D is assessed using a combination
This study ultimately aims to combine the powerful tools
of mapping and measurements from scaled photographs.
of stochastic DFN modelling with geomechanical modelling
To estimate the radius distribution of the fractures in the
to investigate the role that the initial fracture pattern plays in
rock mass the circular window mapping method can be used
the subsequent fragmentation during caving, and the ensuing
(Zhang & Einstein 1998; Zhang & Einstein 2000). In this
critical hydraulic radius.
method the number of continuous and truncated fracture traces
are counted within a circle of known radius and used to esti-
mate the true fracture trace length distribution. The method is
2 DFN MODELLING USE IN BLOCK CAVING conducted over a wide area on exposures with different orien-
tations and the resulting fracture trace length distribution (in
2.1 Obtaining rock mass data for DFN modelling in 2D) can be used to estimate the fracture radius distribution (in
block caving 3D). The method removes orientation bias and can again be
The inputs required for the DFN modelling are typically conducted using photographic images.
(Dershowitz et al. 2004):
2.2 DFN modelling methods
1. Fracture sets; defined from field observations and stereonet
analysis of fracture orientation data When an initial synthetic fracture set is generated the volumet-
2. Mean fracture orientation and dispersion from stereonet ric intensity of the fractures, P32 , is not known, and an initial
analysis estimate is used. To refine the required P32 value, the synthetic
3. Generation Model; such as Enhanced Baecher Model fractures must be sampled to determine model values of P10 or
(Baecher et al. 1977); Levy-Lee Fractal Model (Mandelbrot, P21 . These values are then compared with the observed values
1985) or Nearest Neighbour Model using Equation 1 to determine an updated value of P32 .
4. Fracture intensity; a volumetric intensity value, P32
(m2 /m3 ) is derived from mapped areal intensity values, P21
(m/m2 ).
5. Fracture radius distribution; where Obs = Observed; Mod = Modelled.

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 Once the P32 is updated the model can be re-generated using
the new value and sampled once again to check that the model
is consistent with the mapped data.
The synthetic fracture sets can be sampled using their inter-
sections with boreholes (or scanlines) in 1D and traceplanes
(representing exposed surfaces) in 2D. This data can then be
compared to the measured field data to ensure a good match.
Visual comparison of maps and photographs from the field
and the traces of the synthetic fractures on traceplanes can
be used to check if the synthetic sets appear similar to those
mapped in the field. Orientation data can be checked by com-
paring stereoplots generated from the synthetic fractures with
the mapped data. The size and shape of the in situ blocks can be
determined by generating a free surface in the DFN model, and
then using an algorithm to find whole or nearly-whole blocks
created by its intersection with adjacent synthetic fractures.
The DFN models can be generated a number of times using
a Monte Carlo simulation to determine the variability in the
in situ block size.
2.3 Correlation of DFN parameters with critical
hydraulic radius and in situ block size
In the current work it is proposed that the P32 value for a given
rock mass, as a measure of fracture intensity, can be corre-
lated with the critical hydraulic radius (HR) of the undercut
of a block cave at the on set of caving. This will be exam-
ined with a number of block caving case examples. There
will also be a number of other factors to consider such as the
in situ stress regime and the strength of the intact rock. The
proposed P32 /HR graph will be comparable to Laubschers
MRMR stability curve (Laubscher 1990, 1993, 1994; Jakubec
& Laubscher 2000) and Mathews Stability curve (Mathews
et al. 1980; Trueman et al 2000). The advantage of the P32 /HR
graph compared to Mathews and Laubscher is the more robust
method of correlating rock mass caving performance with
fracture intensity rather than by empirical methods.
The ability to determine the representative fracture dis-
tribution and potential block size in 3D using DFN models
should give an advantage over estimating block size from 2D
empirical mapping methods, as a more consistent and accu-
rate estimate can be made. The in situ block size is used in
block caving as a proxy for the primary fragmentation. The in
situ block size will be slightly larger than the primary frag-
mentation size so can be used as the upper limit for blocks to
be considered in the design of the mine infrastructure (with
due allowance for block size reduction in the draw column).
3 NORTHPARKES CASE STUDY EXAMPLE:
ENDEAVOUR 26 LIFT 2
3.1 Northparkes Mines overview
The Northparkes Mines (NPM) is located approximately 27
kilometres NW of Parkes in New South Wales, Australia,
approximately 350 km NW from Sydney. It is a joint venture
between Rio Tinto and Sumitomo Group.
NPM mine Copper and Gold from cross-sectionally small,
low tonnage porphyry Cu-Au deposits.
Mining at NPM commenced in 1995 and has been con-
ducted from three open pits (E22, E26 and E27) and one
underground block cave mine (E26).
E26 exploits two block caves; the uppermost is known as
Lift 1 (down to 485 m) and the lowermost Lift 2 (down to
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2007 Taylor & Francis Group, London, UK
835 m). The two Lifts have markedly different layouts, Lift 1
being more complex than Lift 2.
3.2 Northparkes geology
The E26 deposit consists of a zoned porphyry complex rang-
ing in composition from mafic monzonite to quartz syenite
(Lickfold 2000; Lickfold et al. 2003). Ore occurs in porphyry,
volcanics and equigranular monzodiorite to quartz monzonite
intrusive lithologies (Smith et al. 2002), and is hosted in
quartz-sulphide stockworks with disseminated sulphide and
sulphide fracture coatings. Bornite is the dominant sulphide
ore, grading outward towards chalcopyrite-dominant zones.
3.3 E26 Lift 2
E26 Lift 2 is mined using 59 drawpoints on a 30 m by 18 m
herringbone layout. The undercut consisted of 14 parallel drill
drives running from east to west (Silveira 2002).
The lift contains a central tube of quartz monzonite por-
phyry (QMP) and volcanics with Biotite Quartz Monzonite
(BMQ) and an andesite band intercepted in the upper reaches
of the lift (Duffield 2000).
3.4 Fracture characterisation in E26 Lift 2
The fracture characterisation was conducted using a combi-
nation of existing geotechnical mapping data and new data
generated by photo-mapping. Due to the large amounts of
data available, initially mapping of Drill Drives (DD) 1, 7 and
13 was conducted to assess the variability across the deposit.
Mapping data from the wall and the advancing faces was used
along with the relevant photographs.
Stereoplots were produced using existing mapping data
from all DDs and these indicated three geotechnical zones:
a southern zone consisting of Drill DDs 1, 2, 3 and 4; a central
zone including DDs 5, 6, 7 and 8 and a northern zone consist-
ing of the remaining 6 DDs. The zones were further broken
down on the basis of lithology.
Photo-mapping using the ImageJ software (Collins 2004)
was then conducted on one drill drive from each zone: DD 1
from the southern zone, DD 7 from the central zone and DD
13 from the northern zone.
P21 intensity and circular window trace length mapping was
carried out using photos of the advancing faces taken approx-
imately every 3 to 5 m, and along the southern wall of each
mapped drill drive. Photos of the walls were merged where
possible where possible using the program Autostitch (Brown
& Lowe 2003) to allow the classification of longer fractures.
3.5 DFN model of E26 Lift 2
For an initial determination, it was assumed that the three
mapped drives detailed above were representative of the rele-
vant zone. Three fracture sets were determined for each zone
using the analysis program Dips (Rocscience 2007). A Fisher
orientation distribution (Fisher 1953) and a log normal frac-
ture radius distribution were chosen as the best fitting for all
fracture sets. The derived fracture data is given in Table 1.
All fractures were modelled as six sided polygons with
no elongation and no specific fracture terminations set. The
Enhanced Baecher model was used as the fracture generation
model. An example model is shown in Figure 2.
There was a good correlation between the P21 values, stere-
oplots, fracture spacings and fracture trace lengths of the
Table 1. Fracture set data for E26 Lift 2. Table 2. P32 values for each fracture set in the BQM in each of the
geotechnical zones.
Dip/dip Mean
Geotechnical Fracture direction Fisher radius P21 Fraction
Zone Set degree K m m1 of Overall
Geotechnical Fracture P32 total P32 P32
Southern 1 63/357 9.7 0.8 1.49 zone set m1 % m1
2 85/255 20.5 0.6 0.78
3 21/106 27.9 4.4 0.50 Southern 1 1.56 52 2.99
Central 1 70/358 10.4 0.9 0.97 2 0.81 27
2 86/050 33.8 0.9 1.10 3 0.62 21
3 20/110 31.5 3.6 0.40 Central 1 0.96 34 2.84
Northern 1 57/328 12 1 0.71 2 1.51 53
2 82/031 22.8 1.2 0.83 3 0.37 13
3 23/136 24.8 3.6 0.36 Northern 1 0.91 32 2.83
2 1.58 56
3 0.34 12

mapped and synthetic fracture sets, as shown in Figure 3. The

Figure 2. 3D section through the BQM in the southern geotechnical
zone showing the relationship between the 3D fractures and the 2D
walls and faces.
P32 values are approximately the same in all three zones, as
shown in Table 2, which superficially might suggest simi-
lar caving characteristics for all zones. However, looking at
the proportion of each fracture set that makes up the total
P32 value, it can be seen that the composition of the South-
ern zone is different to the Central and Northern zones.
This will affect the size and shape of initial in situ blocks
created by the intersecting fractures, and this in turn will influ-
ence block morphologies from future fragmentation during
the caving process. A comparison of the synthetic fractures
from the Southern Central and Northern zone is shown in
Figure 4.
This highlights the need to look at the individual fracture
sets within a rock mass as well as the overall fracture intensities
to determine its cavability.

Figure 3. Comparison of a synthetic face (upper) and a mapped face
(lower) in the southern geotechnical zone BQM Lift 2 Northparkes.
Size: 4.2 m 4.5 m part of the mapped face is obscured by muck.
3.6 Comments
The modelling of NPM Lift 2 completed to date only uses
data generated from the undercut level in the ore body. To
gain a better 3D understanding of the whole rock mass, data
from core can be used to compare fracture frequency with
P10 values taken from synthetic boreholes in the model. If
the P10 and the fracture frequency values are similar then it
can be assumed that the model holds reasonably true for all
the rock mass in the ore body above and between mapped
levels.
The 3D fracture characterisation of the ore body must be
considered both in plan and elevation, as variation in the inten-
sity of fracturing will affect the cavability of the rock mass.
The higher the P32 the more easily the rock mass will cave.
There are some limitations with the input data in that it is
impossible to correlate the fracture orientation data to specific
fractures seen on the photographs that were used to determine
P21 and the fracture radius distribution. The walls and faces in
the photographs are not smooth so the fracture trace lengths
as measured may not be totally accurate.
There are also a number of random fractures that are
present in the Lift 2 rock mass. The DFN modelling cur-
rently ignores these random fractures although they could
be included as a separate set if deemed necessary. While this
may cause a small underestimate in the overall fracture inten-
sity it is not considered significant. An adjustment could be
made by increasing P32 within model for the defined sets.

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2007 Taylor & Francis Group, London, UK


Figure 4. Comparison of the fracture geometries in the Southern
(lower) and Northern (upper) zones for the BQM in E26.
4 DISCUSSION
There are many potential advantages of DFN modelling over
traditional methods in determining the cavability of a rock
mass and the in situ block size distribution.
The DFN modelling method is potentially more robust than
empirical methods such as Laubschers MRMR as the cavabil-
ity assessment is correlated against testable stochastic models
that can be run many times using the Monte Carlo method.
These models are based on the optimum use of all avail-
able fracture measurements from exposures, boreholes and
geophysics.
The P32 value for a rock mass can be plotted against the
critical hydraulic radius (HR) of the undercut at the onset of
caving in a similar manner to the MRMR vs HR stability
curve allowing for the minimum undercut dimensions to be
established.
The 3D visualisation and interrogation capabilities of Frac-
Man allow the in situ block size to be assessed in 3D rather
than having to estimate the size from 2D mapping.
Along with the P32 vs HR stability curve assessment, once
DFN models have been completed they may then be used
in large-scale 3D models of the block cave using numerical
modelling packages such as Elfen.
A problem that affects all methods of block cave assessment
is the limited data available from mines, the limited number of
mines that can be accessed for data and sometimes the quality
and consistency of the data collected.
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2007 Taylor & Francis Group, London, UK
Experience is needed to produce good models. To be mean-
ingful they require assessment, judgment and the knowledge
and experience of what is realistic.
DFN modelling does not take into account all the poten-
tial variables for block caving characterisation such as in situ
stress and intact rock properties. However the central impor-
tance of fracture intensity, including proper consideration of
the combined effects of persistence and orientation suggests
that it will have an important role to play in future designs. It
is envisaged that a modified parameter, including for example
P32 and the ratio of in-situ stress to intact strength, could pro-
vide a useful modelling-based indication of caving behaviour.
However, as illustrated, this must also be considered together
with knowledge of the individual fracture set geometries. Sets
of 3D fractures may be easily generated, viewed and interro-
gated in FracMan, providing a useful tool in understanding the
geometrical considerations on the block caving characteristics
of a rock mass.
At present work is being conducted on Northparkes and
Palabora mines. The block cave at Palabora has been simulated
using Elfen, initially in 2D, to assess its applicability to large-
scale block caves (Pine et al. 2006b). The simulation used
a simplified fracture geometry (not a rigorous P32 approach),
and successfully simulated the progressive break up of the
rock mass after undercutting. A more sophisticated model of
Palabora is currently being developed, and work is in progress
to determine P32 values for Palabora to add to the P32 vs HR
caving database.
The rock masses at Northparkes and Palabora have differ-
ent fracture geometries. Further work at newer block cave
mines and the systematic collection of relevant data for DFN
modelling will lead to further refinement of the predictive
model.
5 CONCLUSIONS
The combination of DFN modelling and numerical modelling
is a promising method for the future design and assessment of
block cave mines.
There is however a need for more models to create the cor-
relation database of P32 vs. Critical Hydraulic Radius from a
number of sites with suitable range of fracture intensities.
The extra data needed should not be too difficult to obtain
with a timely approach and the availability of further trained
personnel.
ACKNOWLEDGMENTS
The reported work was undertaken as part of a project funded
by Engineering and Physical Sciences Research Council of
the United Kingdom with an Industry CASE award from Rio
Tinto (Grant reference EP/C537661/1). Help and information
regarding Rio Tintos block caving operations were provided
by Andre van As and Mark Howson of the Rio Tinto Office of
Technical Excellence and by Northparkes Mines and Palabora
Mining Company. Support and materials relating to FracMan
were provided by Golder Associates.
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 Effect of confining pressure, intermediate principal stress and minimum principal
stress on the mechanical behavior of a sandstone

M. Kwasniewski
Faculty of Mining and Geology, The Silesian University of Technology, Gliwice, Poland

M. Takahashi
Research Center for Deep Geological Environments, AIST, Tsukuba, Japan

ABSTRACT: Samples of a fine-grained sandstone were tested under conventional (CTC) and true triaxial compression (TTC)
conditions in an attempt to reveal the effect of confining pressure, intermediate principal stress and minimum principal stress
on the mechanical behavior of rocks. Under CTC conditions, an increase in confining pressure resulted in a strong increase in
pre-dilatant compaction, in the threshold of dilatancy, in pre-peak ductility and in the ultimate strength. Under TTC conditions,
both the intermediate principal stress and the minimum principal stress cause some increase in the ultimate strength and the
threshold of absolute dilatancy. However, the effect of these stresses on the deformational properties is different: an increase in
the intermediate principal stress arrests the process of microcracking and causes the rock to behave in an increasingly brittle
manner, an increase in the minimum principal stress causes an increase in ductility. Mogis empirical failure criterion has been
found the most appropriate to fit all the triaxial strength data.

1 INTRODUCTION enabled him to load rectangular prismatic rock samples inde-

This paper is a follow-up to a paper that was presented last
November at the 4th Asian Rock Mechanics Symposium in
Singapore (Kwasniewski & Takahashi 2006). In that paper the
effect of, independently, confining pressure (p), intermediate
principal stress (2 ) and minimum principal stress (3 ) on the
ultimate strength and post-failure behavior of a fine-grained
sandstone was discussed. In the present paper, results of con-
ventional triaxial compression and true triaxial compression
tests will be presented in more detail with special emphasis on
the effect of p, 2 and 3 on the volumetric deformation mode
of the rock in both the pre-and post-failure range (Fig. 1).
K. Mogi of the University of Tokyo was the first to study the
volumetric deformational behavior of rocks (Mizuho trachyte,
Inada granite and Yamaguchi marble) under true triaxial com-
pression conditions. In the late 1960s Mogi designed and built
an ingenious, novel true triaxial compression apparatus which
pendently in three directions and to measure the corresponding
strains (Mogi 1977, 2000). Koide andTakahashi of the Geolog-
ical Survey of Japan, having built a slightly modified version
of Mogis apparatus, tested samples of three different sand-
stones, a shale and a marble (Takahashi & Koide 1989). In the
1990s Haimson and Chang of the University of Wisconsin in
Madison built another, highly sophisticated version of a Mogi-
type apparatus and studied the behavior of a KTB amphibolite
and a Westerly granite under high 2 and high 3 conditions
(Haimson & Chang 2000, Chang & Haimson 2000). However,
in all these [those] studies it was only the onset of dilatancy
that was investigated in detail. Moreover, no attempts were
made to study the effect of not only 2 but also the effect of
3 on the volumetric deformational mode of the rocks tested.
As is shown in Figure 1, the so-called onset of dilatancy (C)
or the threshold of relative dilatancy (OD) is the stress level at
which the volumetric strain differential stress characteristic
starts to deviate from the straight reference line typical for
linear elastic materials that undergo compaction when under
compression. At the threshold of absolute dilatancy (TD) the
compactant volumetric strain attains a maximum value, which
means that the volume of the loaded rock body becomes min-
imum and the instantaneous Poissons ratio assumes a value
equal to 0.5. With a further increase in the differential stress,
the volumetric strain starts to decrease and the volume of the
rock body becomes greater and greater, i.e. the rock undergoes
absolute dilatancy which, eventually, leads to the macroscopic
failure (see also Kwasniewski et al. 2003). It is this particular
phenomenon of an absolute increase in volume that attracted
our attention as an imminent precursor of brittle failure.

2 EXPERIMENTAL PROGRAM, APPARATUS AND

Figure 1. General features of the volumetric deformation mode PROCEDURE
The brittle field; OD threshold of relative dilatancy, TD threshold
of absolute dilatancy, F strength failure, f faulting, sd immediate Samples of a fine-grained Rozbark sandstone coming from
stress drop, RS residual stress. the Upper Silesian Coal Basin, Poland (a quartz arenite with

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2007 Taylor & Francis Group, London, UK


Figure 2. Rock sample assembly ready for testing. Note the dis-
placement transducers used to measure the axial strain (1) and the
lateral strains(2 and 3).
a uniaxial compressive strength of 147.6 MPa) were tested
under uniaxial compression (1 > 2 = 3 = 0), conventional
triaxial compression (1 > 2 = 3 = p > 0) and true triaxial
compression conditions (1 > 2 > 3 > 0). The conventional
triaxial compression tests were carried out at confining pres-
sures (p) equal to 12.5, 25.0, 37.5, 50.0 and 62.5 MPa. In the
true triaxial compression tests the minimum principal stress
(3 ) was equal to 25.0 MPa and the intermediate principal
stress (2 ) was 1.5, 2 and 2.5 times higher than 3 , or the
intermediate principal stress was equal to 62.5 MPa and the
minimum principal stress was equal to 0.42 , 0.62 and 0.82 .
The triaxial tests were carried out using a servo-controlled
true triaxial compression apparatus developed by H. Koide
and the second author at the Geological Survey of Japan. In
the triaxial cell of the apparatus, three principal stresses can
be generated in rock samples independently. The maximum
and intermediate stresses are each induced by a pair of rigid
pistons, while the minimum principal stress is induced by oil
pressure. In all the tests rectangular parallelepiped samples
of the dimensions 35 mm 35 mm 70 mm were used with
steel end pieces attached to the top, to the bottom and to those
side walls of the sample that were to be loaded in the direction
2, i.e. the direction of the intermediate principal stress (2 ). All
the exposed parts of the sample were covered with a silicone
rubber jacket (Fig. 2).
During the tests, the axial load (i.e. the load acting in
the direction of 1 ) was applied to rock samples with
a constant displacement rate of the vertical piston equal to
1.0 103 mms1 .
Axial strain (1 ) and lateral strains (2 and 3 ) were mea-
sured and recorded, thus providing a basis for the calculation
of the volumetric strain (V ). Strain-gaged displacement
transducers were used for strain measurement (Fig. 2).
For data on the basic petrographic, physical and mechan-
ical properties of Rozbark sandstone see Kwasniewski &
Takahashi (2006).
3 EXPERIMENTAL RESULTS
Under uniaxial compression conditions, samples of fine-
grained Rozbark sandstone displayed markedly dilatant fea-
tures. When loaded to stress levels above the threshold of
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2007 Taylor & Francis Group, London, UK
Figure 3. Effect of confining pressure on the threshold of absolute
dilatancy (TD) and the ultimate strength (F) of Rozbark sandstone.
absolute dilatancy (where TD = 0.75C ), they underwent
a significant, permanent, absolute increase in volume
(F V < 0). Ductility of the rock, understood as the total axial
strain at peak stress, amounted to approximately 0.5%.
The conventional triaxial compression tests revealed a typi-
cal monotonic increase in the ultimate strength (F) of Rozbark
sandstone as the confining pressure was increased from 0 to
62.5 MPa. The influence of confining pressure on the thresh-
old of absolute dilatancy (TD) was similar, with the ratio of
(1 3 )TD to (1 3 )max increasing, at a gradually decreas-
ing rate, from 0.75 for unconfined conditions to 0.84 for
confining pressure equal to 62.5 MPa (Fig. 3).
Under conventional triaxial compression conditions, an
increase in confining pressure resulted in a strong increase in
compaction that preceded dilation, in the threshold of absolute
dilatancy, in pre-peak ductility and in the ultimate strength of
the sandstone tested. After strength failure of the rock mate-
rial, samples continued to deform, at a slightly decreasing
differential stress, without gross-fracturing, while at the same
time undergoing a significant increase in volume. Faulting
occurred in a well-advanced post-peak region. It was accom-
panied by a small immediate stress drop. No audible acoustic
effect could be detected.
The behavior of the rock samples tested under true triaxial
stress conditions was totally different. Contrary to the effect
observed when confining pressure was increased in conven-
tional triaxial compression tests, increasing the intermediate
principal stress to 62.5 MPa led to a decrease in the ductility
of the rock material (Fig. 4A). However, the effect of the min-
imum principal stress was opposite. An increase in 3 from
25 MPa to 62.5 MPa, at 2 = 62.5 MPa, resulted in an increase
of ductility by nearly 48% (Fig. 4B).
Higher ductility also manifested itself in smaller val-
ues of the faulting ratio (Rf = (1 3 )f /(1 3 )max ) and
smaller immediate stress drops during faulting. As is shown
in Figures 5 and 6, when the minimum principal stress was 2.5
times lower than 2 (3 = 25 MPa = 0.42 ), the rock behaved
in a highly brittle manner: faulting occurred just at the peak
differential stress (Rf = 1.0) and immediate stress drops were
equal to about 64% of the stress at faulting. Under axisymmet-
ric stress conditions (3 = 2 = 62.5 MPa), stress drops were
considerably smaller, equal to about 0.47(1 3 )f . Contrary
to this effect, increasing the intermediate principal stress under
Figure 4. Effect of confining pressure (), intermediate princi-
pal stress () at 3 = 25 MPa (A) and minimum principal stress
() at 2 = 62.5 MPa (B) on the ductility of fine-grained Rozbark
sandstone.
true triaxial compression conditions resulted in a significant
increase in the faulting ratio and in stress drops.
As we showed in the previous paper (Kwasniewski &
Takahashi 2006), the process of microfracturing and deteri-
oration of the rock material was arrested to some extent under
high 2 conditions. This is why the effect of dilatancy was
hampered and faulting regularly occurred at a very early post-
peak stage accompanied by the release of a great amount of
the elastic strain energy, a very strong acoustic effect and a
large stress drop.
The effect of intermediate principal stress and minimum
principal stress on the threshold of absolute dilatancy, although
remarkable and significant (both stresses retard the onset of an
absolute increase in the volume of the rock material), is much
less pronounced than the effect of confining pressure (Fig.7).
In this case both 2 and 3 affect the threshold of absolute
dilatancy in very much the same manner as they affect ultimate
strength.
In the conventional triaxial compression tests, the ultimate
strength of the sandstone tested markedly increased with an
increase in confining pressure (p = 2 = 3 ). At a confining
pressure equal to 62.5 MPa, the maximum principal stress
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2007 Taylor & Francis Group, London, UK
Figure 5. Effect of confining pressure (), intermediate principal
stress (+) at 3 = 25 MPa (A) and minimum principal stress (+)
at 2 = 62.5 MPa (B) on the faulting ratio of fine-grained Rozbark
sandstone.
at failure (F 1 ) was, on average, 2.8 times higher than the
uniaxial compressive strength (Fig. 8).
Results of the true triaxial compression tests show that the
effect of intermediate principal stress (2 ) on the ultimate
strength of the sandstone tested, although evident and sig-
nificant, is, however, considerably weaker than the effect of
confining pressure. In the case of samples tested at minimum
principal stress (3 ) equal to 25 MPa, the maximum prin-
cipal stress at failure (F 1 ) corresponding to 2 = 62.5 MPa
was only about 19% greater than that corresponding to
2 = 25 MPa (Fig. 8A). It was observed at the same time that
the rate of strength increase with an increase in the intermedi-
ate principal stress (within a range from 25 MPa to 62.5 MPa)
decreases slightly.
Studies of the effect of minimum principal stress on the
strength properties of Rozbark sandstone have shown that 3
plays a role that is similar to that of 2 . However, the rate of
strength increase with an increase of 3 was somewhat higher
than that observed when 2 was increased under constant 3
conditions (Fig. 8). At an intermediate principal stress equal to
62.5 MPa, the maximum principal stress at failure (F 1 ) cor-
responding to 3 = 62.5 MPa was nearly 28% higher than that
Figure 6. Effect of confining pressure (), intermediate principal Figure 7. Effect of confining pressure (), intermediate principal
stress (+) at 3 = 25 MPa (A) and minimum principal stress (+) at stress (+) at 3 = 25 MPa (A) and minimum principal stress (+) at
2 = 62.5 MPa (B) on the immediate stress drop normalized against 2 = 62.5 MPa (B) on the maximum principal stress at the threshold
stress at faulting. of absolute dilatancy.

where oct is the octahedral shear stress, m,2 is the mean

normal stress:
corresponding to 3 = 25 MPa (for detailed numerical data
from the triaxial tests see Kwasniewski & Takahashi (2006)).
The stronger effect of the minimum principal stress on the
ultimate strength of the rock tested in comparison to the effect
and A and n are certain empirical material constants.
of the intermediate principal stress may be explained in the
This criterion was first proposed by Mogi (1971a, b) as a
following way: When the minimum stress is increased relative
generalization of a yield criterion:
to 2 , the general triaxial state of stresses becomes more and
more uniform (axisymmetric), which enhances the strength-
ening of the material. On the other hand, when the intermediate
principal stress is increased relative to 3 , an increasingly
asymmetric or non-uniform state of stress is produced which which being associated with the Huber-Mises-Hencky
is disadvantageous to strength and at high stress differences theory of limiting distortional or shear strain energy is
(2 /minus 3 ) may even lead to a decrease in strength. applicable only to ductile materials. According to Mogi, the
Results of all experimental studies on the ultimate strength octahedral shear stress at brittle failure is not constant but
of Rozbark sandstone under uniaxial and triaxial compressive increases monotonically with the mean stress which, how-
stress conditions can be described very well by the following ever, does not include the intermediate principal stress and
criterion of brittle failure: is calculated as an arithmetic mean of the maximum and the
minimum principal stresses only.
For the fine-grained Rozbark sandstone tested, the fitting
procedure employing the method of least squares yielded

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2007 Taylor & Francis Group, London, UK


Figure 8. Effect of confining pressure (), intermediate principal
stress () at 3 = 25 MPa (A) and minimum principal stress () at
2 = 62.5 MPa (B) on the maximum principal stress at failure.
values of parameters A and n equal to 2.879 and 0.740,
respectively.
It should be noted, that criterion (1) fits the results of
axisymmetric and asymmetric triaxial tests equally well
(Fig. 9). In the domain of true triaxial tests, it covers results
obtained under conditions where at a given minimum prin-
cipal stress, values of the intermediate principal stress were
different, as well as those obtained under conditions where
the minimum principal stress values were different at a given
intermediate principal stress.
4 SUMMARY AND FINAL CONCLUSIONS
The objective of the present studies was to reveal the effect
of, independently, confining pressure, intermediate principal
stress and minimum principal stress on not only differential
stress axial strain, but also on differential stress volumet-
ric strain characteristics of rocks, including the threshold of
absolute dilatancy, ultimate strength, stress at faulting, stress
drop accompanying faulting, ductility, volumetric strain at the
threshold of dilatancy and volumetric strain at the peak stress.
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2007 Taylor & Francis Group, London, UK
Figure 9. Results of experimental studies on the ultimate strength of
fine-grained Rozbark sandstone under uniaxial, conventional triaxial
and true triaxial compression conditions, plotted as the octahedral
shear stress versus mean normal stress at failure and fitted using
Mogis failure criterion.
Under conventional triaxial compression conditions, an
increase in confining pressure resulted in a strong increase in
pre-dilatant compaction, in the threshold of dilatancy, in pre-
peak ductility and in ultimate strength. After strength failure
of the rock material, samples continued to deform, at a slightly
decreasing differential stress, without gross-fracturing, while
at the same time undergoing a significant increase in volume.
Faulting occurred in a well-advanced post-peak region and
was accompanied by a small immediate stress drop.
Contrary to the effect observed when confining pressure
was increased, increasing the intermediate principal stress
under true triaxial compression conditions led to a decrease
in the ductility of the rock material. The effect of dilatancy
was also strongly hampered. The rock samples behaved in a
highly brittle manner and underwent faulting just at the peak
differential stress or at a very early post-peak stage. Faulting
was violent, accompanied by the release of a great amount of
the elastic strain energy and a large stress drop.
The effect of intermediate principal stress and minimum
principal stress on ultimate strength and the threshold of abso-
lute dilatancy is similar; both 2 and 3 cause some increase
in these two characteristic stress levels. However, the effect of
2 and 3 on the deformational properties is different. While
an increase in 2 causes the rocks to behave in an increasingly
brittle manner, an increase in 3 causes, just as confining
pressure does, an increase in ductility. Higher ductility also
manifested itself in smaller values of the faulting ratio and
smaller immediate stress drops accompanying faulting.
The rate of strength increase with an increase in the mini-
mum principal stress was somewhat higher than that observed
when the intermediate principal stress was increased under
constant 3 conditions. This effect can be explained in the fol-
lowing manner: When 3 is increased at a given 2 value, it
becomes closer and closer to 2 , which means that the triaxial
state of stress approaches the axisymmetric state, which favors
the strengthening of the rock material. On the contrary, when
2 is increased relative to the given 3 value, the triaxial state
of stress becomes more and more asymmetric or non-uniform
which is disadvantageous to an increase in strength.
 Mogis empirical criterion of brittle failure, which is a gen-
eralized Huber-Mises-Hencky yield criterion, has been found
the most appropriate to fit all strength data obtained under
uniaxial compression, conventional triaxial compression and
true triaxial compression conditions.
REFERENCES
Chang, C. & Haimson, B. 2000. True triaxial strength and deforma-
bility of the German Continental Deep Drilling Program (KTB)
deep hole amphibolite. J. Geophys. Res. Solid Earth 105 (B8):
18,99919,013.
Haimson, B.C. & Chang, C. 2000. A new true triaxial cell for test-
ing mechanical properties of rock, and its use to determine rock
strength and deformability of Westerly granite. Int. J. Rock Mech.
Min. Sci.37: 285296.
Kwasniewski, M. & Takahashi, M. 2006. Behavior of a sandstone
under axi- and asymmetric compressive stress conditions. In C.F.
Leung & Y.X. Zhou (eds), Rock Mechanics in Under-ground
Construction; Proc. 4th Asian Rock Mech. Symp., Singapore,
810 November 2006. Singapore: World Scientific Publishing Co.
Pte. Ltd.
242
2007 Taylor & Francis Group, London, UK
Kwasniewski, M., Takahashi, M. & Li, X. 2003. Volume changes
in sandstone under true triaxial compression conditions. In ISRM
2003 Technology Roadmap for Rock Mechanics; Proc. 10th Int.
Congr. Rock Mech., Sandton, 812 September 2003, Vol. 1: 683
688. Johannesburg: The South African Institute of Mining and
Metallurgy.
Mogi, K. 1971a. Effect of the triaxial stress system on the failure of
dolomite and limestone. Tectonophysics 11: 111127.
Mogi, K. 1971b. Fracture and flow of rocks under high triaxial
compression. J. Geophys. Res. 76: 12551269.
Mogi, K. 1977. Dilatancy of rocks under general triaxial stress states
with special reference to earthquake precursors. J. Phys. Earth 25,
Suppl.: S 203S 217.
Mogi, K. 2006. Experimental Rock Mechanics. Leiden: Taylor &
Francis/Balkema.
Takahashi, M. & Koide, H. 1989. Effect of the intermediate prin-
cipal stress on strength and deformational behavior of sedimen-
tary rocks at the depth shallower than 2000 m. In V. Maury &
D. Fourmaintraux (eds), Rock at Great Depth, Vol. 1: 1926.
Rotterdam: Balkema.
 Effect of joint parameters on the stress-strain response of rocks

G. Arunakumari & G. Madhavi Latha

Department of Civil Engineering, IISc-Bangalore, India

ABSTRACT: This paper presents the results of parametric numerical analyses carried out on elements of jointed rocks. The
analyses are carried out using the commercial explicit finite difference code FLAC, with special user defined FISH functions to
simulate the exact behavior of the jointed rock mass. The FISH function uses joint parameters as input to calculate the joint factor
(Jf ) and the joint factor along with properties of intact rock is used to represent the overall behavior of the jointed rock mass
using confining stress dependent hyperbolic constitutive model. Triaxial test cases of different jointed rocks are taken up and
the experimental stress-strain behavior is compared with the results of numerical analyses. The results of analyses are compared
for different strength and failure criteria to choose the best criterion for the analysis of jointed rock mass behavior. Then the
parametric analyses of the rock elements are carried out varying different joint parameters to understand the effect of each of
these parameters on the overall behavior of rock mass. The results clearly demonstrated the efficiency of the numerical model
and also the study has brought out the significance of each joint parameter on the mechanical behavior of jointed rock masses.

1 INTRODUCTION as an equivalent continuum material for which the properties

Due to the increasing need of structures built in and or on
rock masses for various engineering applications like tun-
neling, mining, rock slopes etc. it is of vital importance to
thoroughly understand the stress strain behavior of jointed
rock masses. A systematic understanding and analyses of
jointed rock masses pose complex problems to the geotechni-
cal engineers because of the variations in the joint parameters
like orientation of joints, strength and frequency of joint
etc. The engineering behavior of jointed rock mass is highly
influenced by its inherent discontinuities like joints, bedding
planes, fractures and fissures etc. The strength of jointed rock
is several times less than its intact strength. Fig. 1 clearly
demonstrates this feature. The effect of various joint param-
eters on the overall stress-strain behavior of rock mass is of
greatest interest for solving rock engineering problems. It is
highly difficult to know the strength of jointed rock mass
through field experimentation due to their complex behav-
ior, high cost and practical difficulties involved. Hence the
use of numerical models in which the rock mass is treated
4.0E+04
Intact
3.5E+04
3.0E+04
are assigned in such a way that the overall response is a func-
tion of joint properties and intact rock properties is attaining
popularity in the recent years.
Some of the earlier researchers, Cai (1992), Zienkiewicz
et al. (1977) have developed the equivalent continuum mod-
els to simulate the jointed rock mass. Some researchers have
developed empirical relations to estimate the equivalent mate-
rial properties of the jointed rock mass from the geometrical
and mechanical properties of discontinuities. These equations
can be incorporated in other constitutive models for effec-
tive simulation of jointed rock masses. e.g. Hoek and Brown
(1980), Ramamurthy (1994). Most of these models are devel-
oped based on laboratory triaxial testing of small jointed rock
samples. Hoek and Brown failure criterion is most widely
used for the analyses of rock masses. However, this criterion
requires estimation of many rock mass parameters, which is
not feasible in some cases. The equations based on joint fac-
tor to estimate the equivalent elastic modulus for jointed rock
mass proposed by Ramamurthy et al. (1994) from extensive
laboratory testing of intact and jointed rock specimens are very
simple and practical among all the models stated above. These
equations require the estimation of two simple joint parame-
ters, namely the number of joints in the rock per meter depth
i.e. joint frequency (Jn ) and the inclination of most critical
joint set i.e. ().

2 MODELLING OF ROCK SAMPLES AND FAILURE

Dev. Stress (kPa)

2.5E+04
s3 = 3.4 MPa
CRITERIA USED
2.0E+04

The experimental data of triaxial test results for four differ-

1.5E+04
ent rock samples namely Agra Sandstone, Jamrani Sandstone,
1.0E+04
Gypsum Plaster and Plaster of Paris were collected from the
Jointed
available literature (Fig. 1). The properties of the intact rocks
5.0E+03 are given in Table 1. The modeling and analysis of each of
these elements at various confining pressures and for differ-
0.0E+00
0 0.01 0.02 0.03 0.04 0.05
ent joint frequency (Jn ) and joint inclination () is carried out
Axial Strain
using the commercially available explicit finite difference code
FLAC, Version 4.0 (ITASCA (1995). Special FISH functions
Figure 1. Stress-Strain behaviour of intact and jointed specimens are written to explicitly incorporate Mohr-Coulomb, Hoek and
of Gypsum Plaster. Brown and Ramamurthys failure criteria as subroutines along

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2007 Taylor & Francis Group, London, UK

Table 1. Properties of intact rocks. orientation angles and the joint strength parameter r for vari-
ous uniaxial compressive strengths of intact rock are presented
ci c by Ramamurthy (1994). He has also presented the equations
Type of Rock (MPa) (MPa) (Degrees) to calculate the strength of jointed rock mass and modulus of
Agra Sandstone 110 19 51
jointed rock mass from the properties of intact rock and the
Jamrani Sandstone 55.07 8.52 54 joint factor.
Plaster of Paris 11.32 2.87 37 The FISH functions adjust the values of cohesion and fric-
Gypsum Plaster 20 0 37 tion angle at each step with variation in confining pressure,
using the m and s parameters in case of Hoek and Brown
criterion and B and in case of Ramamurthys criterion.
The material behavior is modeled using the following non-
Table 2. Ramamurthys and Hoek-Brown parameters used in the
linear constitutive equation (Duncan and Chang 1970)
numerical analysis.

Ramamurthys Hoek-Brown
parameters parameters

Rock Type Jf i Bi mi si
where, Ei is the elastic modulus of the intact rock, 1 and 3
Agra Sandstone 61.5 0.75 3.35 15 1 are the major and minor principal stresses respectively. K and
Jamrani Sandstone 150 0.49 6.4 14 1 n are hyperbolic parameters for the intact rock. Rf is failure
Plaster of Paris 130 0.87 1.74 6 1
Gypsum Plaster 633 0.86 2.05 7 1
ratio given as

with the confining stress dependent hyperbolic constitutive

model proposed by Duncan and Chang (1970), in the program.
Table 2 shows the parameters i and Bi for Ramamurthys cri-
terion and mi and si for Hoek and Brown parameters used in
the present analysis.
Mohr-Coulomb failure equation is defined as
where (1 3 )f is deviator stress at failure. c and are the
shear strength parameters and 3 is the confining pressure.
Hoek-Brown failure criterion is defined as
where (1 3 )f is the failure stress and (1 3 )ult is the
ultimate or the asymptotic value of stress.
In the present work, efficiency of each of these failure cri-
terion in predicting the stress strain behaviour is compared
against the experimental values (Arora (1987), Roy (1993),
Yaji (1984) and Brown and Trollope (1970)) and the best cri-
terion is selected for further analysis on parametric study to
understand the effect of each of joint parameter on overall
behaviour of jointed rock mass.
3 RESULTS AND DISCUSSIONS

3.1 Comparison of failure criteria

where c is uniaxial compressive strength of the intact rock,
1 and 3 are the major and minor principal stresses at failure,
m and s are the constants depending on the characteristics of
the rock mass. Equation to calculate the values of m and s are
presented by Hoek-Brown (1980).
Ramamurthys failure criterion (1994) is defined as
where 1 and 3 are effective principal stresses, c is the uniax-
ial compressive strength and B and are constants depending
upon characteristics of rock. B and values for intact rock
could be obtained from a triaxial compression test on sample
of intact rock. B and for the jointed rocks are related to the
B and values of intact rock using the equations developed
by Ramamurthy (1994).
where Jf is called Joint Factor, Jn is joint frequency, r is
strength along critical joint. The values of n are for various
In the present paper the comparison three well known failure
criteria i.e. Mohr-Coulomb, Hoek-Brown and Ramamurthys
criteria are compared against the experimental values for Agra
Sandstone and Gypsum Plaster and the results are shown in
Figs. 2 and 3.
From a close observation of the figures, it is proved that all
the three failure criteria are predicting fairly well the strength
of jointed rock masses for near linear stress-strain behavior.
But for the highly non-linear stress-strain behavior, Rama-
murthys failure criterion proved to be very good for all ranges
of confining pressures. However Mohr-Coulomb failure cri-
terion predicts lower values of strength than Ramamurthys
failure criterion in both the cases.
3.2 Parametric analysis-joint parameters
It is has been observed from the numerical analyses that
the results obtained from the Ramamurthys failure criterion
matches very well with the experimental values than Hoek-
Brown failure criterion. The variation in the results from
Hoek-Brown failure criterion may be due to the reason that
the difficulty associated with the calculation of RMR and m
and s parameters precisely. Hence Ramamurthys criterion was
chosen for the further analysis. Then a systematic parametric

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2007 Taylor & Francis Group, London, UK

 160 3=5 MPa
=90 Jn=39
140 2.5E+01
=80 Jn=39
120 =70 Jn=39
Dev. Stress (MPa)

2.0E+01
100 =60 Jn=39

Dev. Stress (MPa)

80 Experimental 1.5E+01 =50 Jn=39
60 Mohr-Coulomb =40 Jn=39
1.0E+01
40 Ramamurthy =30 Jn=39

20
Hoek-Brown =20 Jn=39
5.0E+00
0 =10 Jn=39

0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 0.0E+00 =0 Jn=39

Axial Strain (%) 0 0.002 0.004 0.006 0.008 0.01 0.012 0.014
Axial Strain

Figure 2. Comparison of failure criteria for Agra Sandstone at

3 = 5 MPa. Figure 5. Parametric analysis on Plaster of Paris (Jn = 39).

5.0E+04 1.2E+04
3=13.8 MPa
4.5E+04
1.0E+04 =15
4.0E+04 Experimental
Ramamurthy =20

Dev. Stress (kPa)

Mohr-Coulomb 8.0E+03
3.5E+04 =30
Dev Stress (kPa)

Hoek-Brown
3.0E+04 6.0E+03 =40
2.5E+04 =50
4.0E+03
3=6.9 MPa =60
2.0E+04
2.0E+03 =70
1.5E+04
=80
1.0E+04 3=1.4 MPa 0.0E+00
5.0E+03 0 0.01 0.02 0.03 0.04 0.05

0.0E+00
Axial Strain
0.00 0.01 0.02 0.03 0.04 0.05
Axial Strain
Figure 6. Parametric analyses on Gypsum Plaster (Jn = 20).
Figure 3. Comparison of failure criteria for Gypsum Plaster (at
different confining pressures).
2.0E+05
3=5MPa
Dev. Stress (kPa)

1.8E+05 1.5E+05

1.6E+05 =70,Jn=39
1.0E+05 Agra-Sandstone
1.4E+05 =60, Jn=39

=50, Jn=39 Jamrani-Sandstone

1.2E+05
Dev. Stress (kPa)

5.0E+04
=40, Jn=39 Plaster of Paris
1.0E+05
=30, Jn=39
0.0E+00
8.0E+04
=20, Jn=39
0 20 40 60 80 100
6.0E+04 =10, Jn=39
(Degrees)
4.0E+04 =0, Jn=39

2.0E+04
0.0E+00
0 0.002 0.004 0.006
Axial Strain
Figure 4. Parametric analysis onAgra sandstone (Jn = 39, varied).
study has been done by varying two joint parameters govern-
ing the joint factor in turn the strength and failure of joint,
namely the inclination angle () and the joint frequency (Jn ).
The results are presented graphically and the importance of
each joint parameter on the strength of jointed rock mass has
been brought out.
3.2.1 Effect of joint inclination parameter ()
In this part the parametric analysis has been carried out for the
rock elements namely, Agra Sandstone, Plaster of Paris and
Gypsum Plaster, keeping the joint frequency (Jn ) constant i.e
39 for Agra Sandstone and Plaster of Paris (3 = 5 MPa) and
20 for Gypsum Plaster (3 = 3.4 MPa). Joint inclination () is
varied with an interval of 10 . The relative importance of in
the overall performance of rock mass has been brought out as
shown in Figure 46. It is very well evident from the Figure 46
=90, Jn=39
Figure 7. Qualitative representation of critical inclination angle.
=80, Jn=39
0.008 0.01 0.012 0.014 0.016
that the inclination parameter is proven to be critical when it
is 30 . The value of deviator stress is minimal when is 30
in all the cases, which is evident from Figure 7, a qualitative
representation.
3.2.2 Effect of joint frequency
In the next phase of parametric analysis, the joint frequency
(Jn ) is varied keeping the joint inclination () constant i.e. 50 .
The number of joints is varied from 1 to7 in case of Jamrani
Sandstone and Plaster of Paris. In the case of Gypsum Plaster,
it is 1 to 4. The effect of joint frequency on deviator stress is
shown in Figure 810. It can be observed from the Figures 8
10 that the deviator stress is decreased as the joint frequency
increases. It is a known fact that as the number of disconti-
nuities increases, the rock mass becomes weak and hence the
strength will be in turn less. However, the quantitative effect
of Jn on strength is evident from Figure 11. It is observed from
the Figure 11 that the deviator stress decreases almost linearly
with increase in Jn .

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2007 Taylor & Francis Group, London, UK

 1.4E+02 =50 Jn=13 were compared with the available experimental data. The devi-
1.2E+02 =50 Jn=26
ator stresses for four rock elements matched very well with
the experimental data available literature. Ramamurthys fail-
Dev. Stress (MPa)

1.0E+02 =50 Jn=39

=50 Jn=53
ure criterion gave better results than Mohr-Coulomb and Hoek
8.0E+01
and Brown criteria for the present study. The reason could be
6.0E+01 =50 Jn=66
the approximations made in estimating the Hoek and Brown
=50 Jn=79
4.0E+01 parameters. Systematic parametric analyses are carried out to
=50 Jn=92
2.0E+01 understand the effect of the joint inclination angle () and
0.0E+00 the joint frequency (Jn ) on the overall behaviour of the jointed
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035 rock mass. It is observed that the strength of rock mass is more
Axial Strain
responsive to the joint orientation than the frequency of joints.
Figure 8. Parametric analyses on Jamrani Sandstone (Jn varied).
REFERENCES
25
=50 Jn=13
20 =50 Jn=26
Arora, V.K. 1987. Strength and Deformation behaviour of Jointed
Dev. Stress (MPa)

Rocks, Ph.D. Thesis, Indian Institute of Technology, Delhi, India.

=50 Jn=39
15 Brown, E.T. and Trollope, D.H. 1970. Strength of Model of Jointed
=50 Jn=53
Rock, Journal Soil Mechanics and Foundation Division, ASCE,
10
=50 Jn=66 Vol. 96: pp. 685704.
5 =50 Jn=79 Cai, M. And Horii, H. 1992. A Constitutive Model of Highly Jointed
=50 Jn=92 Rock Masses, Mechanics of Materials, Vol. 13: pp. 217246.
0 Duncan, J.M. and Chang, C.Y. 1970. Non-linear Analysis of Stress
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 and Strain in Soils, Journal of Soil Mechanics and Foundation
Axial Strain Engineering, ASCE, Vol. 5: pp. 16291652.
Hoek, E. and Brown, E.T. 1980. Empirical strength criterion for
Figure 9. Parametric analyses on Plaster of Paris (Jn varied). rock masses, J. of Geotech. Engg. Divn., ASCE, Vol. 106(GT9):
pp. 10131035.
1.2E+04 Jn=5 ITASCA 1995. FLAC Version 4. Users Manuals (Vol14), Published
3=3.4 MPa
Jn=10 by Itasca Consulting Group, Minnesota, USA.
1.0E+04 Jn=13 Ramamurthy, T. 1994. Strength and modulus responses of anisotropic
Dev. Stress (kP)

Jn=15 rocks, In: Hudson J.A. (ed)., Comprehensive rock engineering,

8.0E+03
Jn=20 Vol. 1. No. 13: pp. 313329.
6.0E+03 Jn=25 Roy, N. 1993. Engineering behaviour of Rock Masses Through Study
Jn=30 of Jointed Models, Ph.D. thesis, Indian Institute of Technology,
4.0E+03 Jn=35 Delhi, India.
Jn=40 Yaji, R.K. 1984. Shear strength and deformation of jointed rocks.
2.0E+03
Jn=45 Ph.D. Thesis, Indian Institute of Technology, Delhi, India.
0.0E+00
Zienkiewicz, O.C., Kelly, D.W. and Bettess, P. 1977. The coupling
0 0.01 0.02 0.03 0.04 0.05 of the finite element method and boundary solution procedures,
Axial Strain International journal for numerical methods in engineering, Vol.
11: pp. 355375.
Figure 10. Parametric analyses on Gypsum Plaster.

3=5MPa Agra-Sandstone
2.0E+05
Jamrani-Sandstone
Dev. Stress (kPa)

1.5E+05 Plaster of Paris

1.0E+05

5.0E+04

0.0E+00
0 20 40 60 80 100
Jn

Figure 11. Quantitative effect of Jn on strength.

4 CONCLUSIONS

In the present study, numerical analysis of four different rock

elements is carried out using Mohr-Coulomb, Ramamurthys
and Hoek and Brown failure criteria. The deviator stresses

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2007 Taylor & Francis Group, London, UK

 Effect of rock bridge continuity and area on shear behavior of joints

A. Ghazvinian
Rock Mechanics Division, University of Tarbiat Modares, Tehran, Iran

M.R. Nikudel
Geology Department, University of Tarbiat Modares, Tehran, Iran

V. Sarfarazi
Rock Mechanics Division, University of Tarbiat Modares, Tehran, Iran

ABSTRACT: The present article discusses the effect of the change in the continuity and area of the rock bridge on the complete
failure behavior of the open rock joints. Forty five models were prepared using plaster with dimensions of 15 cm 15 cm
15 cm. The models consisted of 15 different types of rock bridges that occupied 45 cm2 , 63 cm2 and 90 cm2 out of the
total fixed area, respectively. Different continuity configurations were simulated in these models. Three similar samples were
prepare for every variation in the continuity configurations of the rock bridges and tested for direct shear strength considering
3 different normal stresses. The results indicated that the failure pattern and the failure mechanism were affected by the
continuity configuration of the rock bridge. Furthermore, with the reduction in the continuity of the rock bridge in a fixed area,
the shear resistance showed a small reduction. The investigations suggest that the increase in the area of the rock bridge and
the normal stress would increase the shear resistance dramatically.

1 INTRODUCTION loading condition showed that joint orientation is an impor-

Shear slip is a common phenomenon in rock engineering fields
(Sonmez et al. 1998, Shen et al. 2004, Lin et al. 1998). It is
well known that the decrease in strength of rock masses is
mainly induced by the presence of rock joints. In some rare
cases, it is possible that the failure in the rock mass is limited to
a single discontinuity. Generally, several discontinuities exist
in various sizes, which constitute a combined shear surface.
In this sense, the areas which are located between the neigh-
boring discontinuities are called the Rock Bridges and have
the greatest importance for the shear resistance of the failure
surface. (Eberhardt 2002, Hatzor et al. 2004, Wong et al. 1998,
Li et al. 2005). Therefore, a comprehensive study on the shear
failure behavior of Rock Bridges can provide a good under-
standing of both local and general rock instabilities, leading
to an improved design for rock engineering projects. The fail-
ure behavior of jointed rock under shear loading has drawn
much attention from both researchers and practical engineers
over the last 3 decades and some extensive works on the coa-
lescence pattern and shear resistance have been carried out
through a large number of experimental and theoretical stud-
ies. In one of the pioneering works done by Lajtai (1969),
tensile wing cracks were found to first appear at the tips
of horizontal joints, followed by the secondary shear cracks
propagating towards the opposite joint. Savilahti (1990) did
some further study on the specimens of jointed rock under
direct shear tests where the joint separation varies in both hor-
izontal and vertical directions and joint arrangement changes
from non-overlapping to overlapping using modeling material.
The coalescence patterns for the specimens indicated that the
jointed rock failed in mixed mode for non-overlapping joint
configuration and in tensile mode for overlapping joint form.
Gehle & Kutters (2003) investigation on the breakage and
shear behavior of intermittent rock joints under direct shear
tant influential parameter for shear resistance of jointed rock.
Zhang (2006) studied the shear behavior of the intermittent
rock joints, based on the change in their geometrical param-
eters. The results show the clear effect of the geometrical
parameters of the rock joints on the failure pattern, and the
shear resistance is closely related to the failure pattern and
the failure mechanism of the rock joints. In the studies under-
taken on the rock bridges, it was supposed that the continuity
of rock bridge is constant. Furthermore the estimated size of
the rock bridge was such that limited the analysis to only two
dimensions. In this article, the effect of the continuity and area
of the rock bridge on the failure pattern, failure mechanism
and shear resistance is studied. The sample sizes are chosen
in such a way that provides an insight into the failure behavior
in three dimensions.
2 PREPARING THE SAMPLE
The samples are prepared by mixing water and plaster in
the proportions of plaster/water = 1.5/1. The plaster can be
treated as a substance with characteristics similar to rock and
following benefits:
the possibility of fabricating any number of samples
repeatability of the tests, hence better checking of results
In table 1, the mechanical characteristics of the samples are
listed.
The dimension of samples are 15 cm 15 cm 15 cm, and
rock bridges occupy 45 cm2 , 63 cm2 and 90 cm2 of the total
shear surface (225 cm2 ) respectively. The aperture of joints is
designed to be 1mm. Overall 15 model types incorporating
the variations in the continuity and area of each rock bridge

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Table 1. Mechanical parameters of specimens. Table 4. The rock bridge coefficients in the modeled samples.

Mechanical parameters

Parameters Kg/cm2 degree

Compressive strength 32
Tensile strength 5
Friction angle 26.6
Cohesion 13.7

Table 2. Geometrical specifications of the modeled rock bridges.

presented in table 4. The effective shear surfaces are indicated

on the patterns in the form of dotted lines.

3 THE EXPERIMENTAL RESULTS

3.1 The influence of rock bridge continuity (rock bridge

coefficient) on the failure pattern

Table 3. Loading parameters applied over the specimens.
Loading parameters
Parameters kg/cm2
Normal stress 3.33, 5.55, 7.77
Shear displacement rate
along the shear direction are prepared. table 2, presents the
geometrical specifications of the various rock bridges.
In order to study the complete failure behavior, three similar
blocks were prepared from every sample type, and tested for
direct shear under different normal stresses (n ). The loading
parameters are listed in table 3.
Based on the change in continuity and area of the rock
bridges, it is possible to define the rock bridge coefficient ()
as the ratio of the area of the rock bridge surface to the area
of the effective shear surface. This effective shear surface is
an area of the total shear surface considering the area of the
rock bridge and the immediate area along the shear path over
which the sliding of the rock bridge occurs. The amount of the
effective shear surfaces and the rock bridge coefficient () are
It can be found from Figure 1a, that in fixed area of rock
bridge, when the rock bridge coefficient is  = 1 (the rock
bridge is continuous), the shear failure surface is in a wavy
mode. Under these conditions, the effective shear surface that
mm/min is indicated in the table 4 by dotted line, is the same as the
rock bridge surface, and has no joints present in the shear
direction. Furthermore, the stress interaction does not occur
0.006 at any point. The upper and lower tensile cracks propagate for
a certain distance and become stable as a result of the release
of tensile stress with the development of tensile cracks, so the
intact bridge area gets broken into two parts from the middle
with an uneven shear failure surface.
When  is equal to 0.6, the rock bridge continuity is reduced
and the jointing occurs in the shear direction. Under these
conditions, a combination of the joint and rock bridge surfaces
that is indicates in the table 4 with dotted line, are the effective
shear surfaces. In this condition, stress interaction between the
tip of the joint and the tip of the rock bridge on the opposite
side is not so strong, which infers that the shear failure surface
is in a wavy mode (Fig. 1b). For the model with  = 1, the
failure surface of rock-bridge is very wavy. But for  = 0.6,
the failure surface gets flat. For  = 0.5 and  = 0.43 as seen
in Figure 1c, the upper tensile crack can propagate through
the intact portion area but the lower tensile crack develops
for a short distance, and then becomes stable so as not to

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Figure 1. The failure patterns for various sample types.

coalesce with the tip of opposite side. Under these conditions,

the amount of jointing increases in the shear direction (table 4).
For  0.4, the stress interaction between the tip of the joint
and the tip of the rock bridge on the opposite side is so strong
that no new fracture produces in the midst zone and the fish
eye failure mode appears (Fig. 1d). Under such conditions
that the rock bridge coefficients are 0.5 and 0.43, the distance
between the joint tip and the rock bridge tip of opposite side
is large; therefore the stress interaction between them is not
enough to result in the fish eye failure mode.
It is to be noted that, in fixed area of effective shear surface,
if the area of rock bridge is reduced, the failure pattern will be
controlled by rock bridge coefficient and follows the presented
patterns.
From the above discussion and analysis, it can be concluded
that, the failure pattern of the rock bridge is mainly con-
trolled by the scale of effective shear surface in fixed area of
rock bridges. For a smaller effective shear surface,  is larger
( 0.6) and the midst bridged rock ruptures in a rough shear
mode with a single uneven shear failure surface. For a larger
effective shear surface,  is smaller ( 0.4) and the rock
bridge ruptures in fish eyes pattern.

3.2 The influence of rock bridge continuity (rock bridge

coefficient) on the shear resistance of the failure surface
The changes in the shear resistance (p ) along the failure
surface, based on the reduction in the continuity of a rock
bridge (reduction in the rock bridge coefficient), is shown
in Figure 2. These results are obtained considering three dif-
ferent normal stresses. Sections a, b, and c of Figure 2 are
depicting the results for rock bridges of 45 cm2 , 63 cm2 and
90 cm2 area respectively. It can be observed that reduction in
the continuity of rock bridges with fixed area in the shear
direction, (increase in effective shear surface and reduction
in rock bridge coefficient), the shear resistance show a small
reduction.
In fact, With reduction in the rock bridge coefficient, the
amount of jointing in the shear direction is increased, which
results in the increased stress interaction between the tip of the
joint and the tip of the rock bridge on the opposite side. This
results in starting and propagating of the crack from the tip
Figure 2. Shear resistances along the failure surface based on the
reduction in the continuity of rock bridges. a: rock bridge area 45 cm2 ,
b: rock bridge area 63 cm2 , and c: rock bridge area 90 cm2 .
of the joint. This phenomenon is increasing with the decrease
of the width of the rock bridge. Furthermore, the stress con-
centration that is formed at the tip of the joint insists to start
and propagate the crack from the tip which results in reduced
shear resistance.
It is to be noted that, the tensile and/or shear failure are
controlling the value of the resisting strength. Although the
variations in strengths are not that noticeable, this may be due
to the non homogeneity of the plaster models or due to the
marginal strength differences.

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 then becomes stable so as not to coalesce with the tip of
other side.
c) For values of  0.6: in this case the tensile crack prop-
agates for a certain length then remains stable owing to
the release of tensile stress. When shear load increases,
the shear crack appears and propagates through the
whole intact bridged rock. Therefore, the shear crack
propagates for a much larger distance.
2. The shear resistance shows a small reduction with the
reduction in the continuity of rock bridges with fixed area
in the shear direction (increase in effective shear surface
and reduction in rock bridge coefficient). That means with
reduction in the rock bridge coefficient, the amount of
jointing in the shear direction is increased. That could be
a reason in starting and propagating of the crack from the
tip of the joints. This phenomenon is increasing with the
Figure 3. Peak shear strength verses area of rock bridge.
decrease of the width of the rock bridge.
3. With the increase in the rock bridges area and the normal
stress, shear resistance shows a dramatic increase.
3.3 The effect of the rock bridges area and the normal load
on the peak shear strength
REFERENCES
The linear variation of peak shear strength verses rock bridge
area shown in Figure 3. The results obtained are presented
Eberhardt, E., Kaiser, P. & Stead, D. 2002. Numerical Analysis of
for three applied different normal stresses. The larger the area Progressive Failure in Natural Rock Slopes. In Proceeding of the
the higher will be the peak shear strengths. It is a known fact Eurock Symp., Madeira, 2002. 145153. Rotterdam: Balkema.
that the shear resistance is close to zero for an open joint. Gehle, C. & Kutter, H.K. 2003. Breakage and shear behavior of
This is also evident from the fitted equations, as shown in intermittent rock joints. Int J Rock Mech Min Sci. 40: 687700.
Figure 3. It is inferred from the deduced equations that the Hatzor, Y.H., Arzi, A.A., Zaslavsky, Y. Shapira, A. 2004. Dynamic
shear stresses of an open joint, with no rock bridge, can be stability analysis of jointed rock slopes using the DDA method.
0.29 kg/cm2 , 0.27 kg/cm2 and 0.2 kg/cm2 under three differ- Int J Rock Mech Min Sci. 41: 81332.
ent normal stresses respectively. These values are very close Lajtai, E.Z. 1969. Strength of discontinuous rocks in direct shear.
to zero and are practical. Geotechnique 19: 218332.
Li, Y.P., Chen, L.Z. & Wang, Y.H. 2005. Experimental research on
pre-cracked marble under compression. Int J Solids Structure 42:
250516.
4 CONCLUSIONS Lin, W. & Librescu, L. 1998. Thermo mechanical post buckling of
geometrically imperfect shear-deformable flat and curved panels
on a nonlinear elastic foundation. Int J Eng Sci. 36(2): 189206.
Investigations and experiments on different types of rock Savilahti, T., Nordlund, E. & Stephansson, O. 1990. Shear box testing
bridges show that: and modeling of joint bridge. Proceedings of international sym-
1. The effective shear surface plays a vital role in the rock posium on shear box testing and modeling of joint bridge Rock
Joints, Norway, 1990. 295300. Rotterdam: Balkema.
bridge failure pattern. The rock bridge coefficient is
Shen, H.S. & Li. Q.S. 2004. Postbuckling of shear deformable lami-
reduced with the reduction in the continuity of the rock nated plates resting on a tensionless elastic foundation subjected to
bridge (increase of effective shear surface). All together mechanical of thermal loading. Int J Solids Structure 41: 476985.
three regions are defined; Sonmez, H., Ulusay, R. & Gokceoglu, C. 1998. A practical procedure
a) For values of  0.4: in this region the tensile cracks for the back analysis of slope failuires in closely jointed rock. Int
J Rock Mech Min Sci. 35: 21933.
initiates longitudinally from the rock bridge tips, and Wong, R.H.C. & Chau, K.T. 1998. Crack coalescence in rock-like
then turn roughly parallel to the joint plane, causing the material containing two cracks. Int J Rock Mech Min Sci. 35:
rock bridge to fail in the form of a fish eye. 14764.
b) For values of 0.4 <  < 0.6: in this case the upper tensile Zhang, H.Q., Zhao, Z.Y., Tang, C.A. & Song, L. 2006. Numerical
crack can propagate through the intact portion area but study of shear behavior of intermittent rock joints with different
the lower tensile crack develops for a short distance, and geometrical parameters. Int J Rock Mech Min Sci. 43: 802816.

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2007 Taylor & Francis Group, London, UK

 Ellipsoidal elasticity for anisotropic rocks and rock masses

A. Pouya
Laboratoire Central des Ponts et Chausses, Paris, France

M. Chalhoub
Universit Saint Esprit de Kaslik, Jounieh, Lebanon

ABSTRACT: One of the interesting features with the ellipsoidal models of anisotropy presented in this paper is their acceptance
of analytical solutions for some of the basic elasticity problems. It was shown by Pouya (2000) and Pouya and Zaoui (2006) that
many closed-form solutions for basic problems involving linear isotropic materials could be extended by linear transformation
to cover a variety of ellipsoidal materials. This paper will describe two main varieties of ellipsoidal elastic models and show
how well they fit the in situ data for sedimentary rocks; numerical homogenization results for several varieties of fractured
rock masses will also be provided.

1 INTRODUCTION in the material, respectively by:

In some anisotropic elasticity problems, information is avail-

able on the values of an elastic parameter in the various
directions, to be used in identifying the elastic tensor. A typical
case in Rock Mechanics involves deducing Youngs modu-
lus from simple compression tests in different directions or
measuring the acoustic velocity in different directions on a
sample (Homand et al. 1993; Francois et al. 1998). Based on with C being the fourth-order elasticity tensor and S = C1 .
the notion that material isotropy corresponds geometrically to The main family of ellipsoidal materials considered herein
the image of a sphere, an expression for anisotropy can nat- has

been defined by the condition that the indicator surface

of
urally be sought through an ellipsoidal variation of a number
4
c(n), i.e. the surface given by polar equation r(n) = 4 c(n),
of parameters in different directions. The uncertainty then lies is ellipsoidal. This condition specifies a family of materials
in how to deduce the anisotropic tensor from this assumption. that depends on 12 independent parameters (Pouya, 2007a).
Saint Venant (1863) studied this specific question intensively The intersection of this family and the family of orthotropic
by introducing the approximation of ellipsoidal indicator sur- materials in turn defines another family, denoted here by 4 ,
faces. The indicator surface of an elastic parameter c is the that depends on 6 intrinsic parameters (c11 , c22 , c33 , c12 , c13
polar diagram c(n), where n is a unit vector and c(n) the value and c23 ) in the orthotropic coordinate axes, as described by
of parameter c in the material direction n. In recent years, the following relations between elastic coefficients:
the concept of ellipsoidal anisotropy has been adopted as
a guideline for the phenomenological modelling of geomate-
rials such as soils, rocks and concrete (Peres Rodrigues, 1970;
Daley and Hron, 1979).Yet, the concept of anisotropic elastic-
ity has at times been employed erroneously. For instance, Peres
Rodrigues (1970) attempted using ellipsoids to fit, for several
types of rocks,Youngs modulus values measured along differ-
ent directions. It has been shown (Pouya, 2007a) however that
the Youngs modulus indicator surface, i.e. the polar diagram The second family to be taken into consideration in this study

is
of E(n), can never be an ellipsoid (different from a sphere), the subfamily of 4 , for which the indicator surface of 4 E(n)
hence the parameters fitted by this author do not define any is also ellipsoidal. This family, denoted , is dependent upon
possible elasticity

tensor. The correct approach calls for fitting four independent parameters c11, c22, c33 and ; it is described
4
the diagram of E(n) by an ellipsoid; this was performed by by the following conditions:
Saint Venant in 1863.

2 ELLIPSOIDAL MODELS

Lets define the elastic coefficient and Youngs modulus in with other coefficients obtained by means of index permuta-
the n direction, where n is a unit vector defining direction tion {1,2,3} and, correspondingly, {4,5,6}. This family can be

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equivalently defined by the four parameters E1 , E2 , E3 and ,
as follows, with :

Figure 1. Ellipsoidal anisotropy with transverse symmetry.

Table 1. Dimensionless parameters for several transverse isotropic

sedimentary rocks, as deduced from the Thomsen (1986) data (indi-
Pouya and Reiffsteck (2003) remarked that some of Bohlers rect measurements),

along with the distance d from the ellipsoidal
(1975) data on the Youngs modulus of various soils could be model. The 4 c(n) indicator surface applies to a transverse isotropic
fitted by (4); moreover, they demonstrated that this assump- material with ellipsoidal anisotropy.
tion allows simplifying foundation modelling. The theoretical
features of -type materials have been thoroughly explained Depth
Rock (m) c ;11 c ;44 c ;13 c ;12 d
in Pouya and Zaoui (2006) and Pouya (2007a). For 4 -type
materials, Pouya (2007b) demonstrated that a closed-form Sandstone 4912.0 1.19 0.40 0.28 0.31 0.004
expression for Greens function (displacement solution for a 5481.3 1.18 0.35 0.44 0.34 0.022
point force within an infinite medium) can be derived, which 6542.6 1.16 0.34 0.32 0.36 0.037
enables generating an explicit solution for many classical elas- 1582.0 1.16 0.70 0.34 0.23 0.012
ticity problems, as well as developing numerical Boundary Limestone 5469.5 1.11 0.34 0.32 0.34 0.027
Element methods for -type materials. Mud shale 7939.5 1.16 0.33 0.45 0.43 0.019
Clay shale 5501.0 1.67 0.27 0.99 0.49 0.094
5858.6 1.38 0.30 0.59 0.58 0.003
3511.0 1.34 0.49 0.02 0.06 0.069
3 APPLICATION TO SEDIMENTARY ROCKS 450.0 1.22 0.17 0.74 0.76 0.009
650.0 1.39 0.17 0.81 0.83 0.009
For the study of seismic wave propagation in geological lay-
ers, Daley and Hron (1979) developed the concept of an
elliptically anisotropic medium, as distinct from the ellip-
soidal anisotropy considered in the present paper. This concept Then, by applying c11 = c22 and c13 = c23 , we are able to
has been widely used in geophysical studies and Thomsen define the dimensionless distance d between the transverse
(1986) undertook an examination within the context of weak isotropic model and the ellipsoidal model as follows:
anisotropy for a large variety of sedimentary rocks. Thom-
sen (1986) defined four dimensionless parameters , , and
, in order to characterise transverse isotropic materials, and
provided their values for a wide array of sedimentary rocks.
Based on these parameters, the dimensionless elastic coeffi-
cients c ;ij , defined as c ;ij = cij /c33 , can be deduced. These
coefficients are given in table 1 for some of the samples studied The value of d calculated for the materials listed in Table 1 is
by Thomsen. presented in the last column of the table. The parameter C ;11
Rock type and sample depth are presented in the first and serves to describe the anisotropy. As an example, it may be
second columns of the table, respectively; these two data noticed that for the clay shale sample at a depth of 5,858.6 m,
elements allow identifying the precise corresponding mate- with distinguishable anisotropy, i.e. c ;11 = 1.38, the assump-
rial in the table established by Thomsen. The effort will tion of an ellipsoidal model induces an error of just 0.3%
now be made to compare these materials with the ellipsoidal (d = 0.003). The other rows of the table indicate that despite
anisotropy model (2). Since the context here is one of trans- the pronounced anisotropy, distance to the ellipsoidal model
verse symmetry (Fig. 1), the third condition expressed in (2) remains relatively small. The mean value of d calculated for all
is automatically satisfied and the first two conditions become sandstone, limestone, mud shale, clay shale and shale samples
equivalent. The discrepancy between the anisotropy model of (about 25 in all) presented in the Thomsen table (1986) equals
these materials and the ellipsoidal model (2) can therefore be approximately 0.03. The ellipsoidal model therefore seems to
measured by the difference between the two sides of the first provide a good fit for the anisotropic parameters of a variety
equality in (2). of sedimentary rocks.

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 Table 2. Geometrical and mechanical properties of the rock mass.

Joint filling material (limestone)

l1 : infinite L2 = 45
d1 = 19 d2 = 39
Kn = 2870, Kt = 768
Rock (clay)
E = 20000 = 0.25

l(cm): average fracture length; d(cm): average fracture spacing;

Kn (MPa/m): normal fracture stiffness; Kt (MPa/m): fracture shear
stiffness; E(MPa): Youngs modulus of the rock; : Poissons ratio
of the rock.

Table 3. Calculated elastic compliance parameters.

Figure 2. Studied sedimentary rock mass (Chalhoub, 2006).
E1 E2 E3 G12
Direction (MPa) (MPa) (MPa) (MPa) 31 , 32 13 , 12 23 , 21
4 APPLICATION TO FRACTURED ROCK MASSES
12 456 960 2.103 94 0.25 0.034 0.06
Numerical homogenization represents a current method for
determining fractured rock mass properties (Pouya and
Ghoreychi, 2001; Min and Jing, 2003; Chalhoub, 2006).
According to this method, it proves easier to prescribe simple
loads, such as simple compression or shear, along differ- 35
36 7 2 2 3 1
ent directions and then calculate the corresponding modulus 34 6 4
33 5
value. Fitting numerical results to an ellipsoidal model sim- 5
32 6
plifies both data analysis and interpretation, in addition to 4
reducing the number of parameters to be determined and 31 7
providing effective approximate models for certain varieties 2 3
30 8
of rock masses. Moreover, it yields an estimation of elastic 2
parameter values in those directions not accessible through 29 9
1
numerical simulation methods. -68 1
28 0 10
Chalhoub (2006) offers a study example of a limestone rock
mass slope at the border of a main road in Lebanon (see Fig. 2). 27 11
The rock mass geometry illustrated in this figure reveals the 26 12
presence of two main sets of fractures, whose geometrical
25 13
and mechanical properties are listed in Table 2. The geometry
indicates that the rock mass exhibits orthotropic behaviour in 24 14
directions 1, 2 and 3. 23 15
The parameters obtained for the rock mass by homogenisa- 22 16
21 17
tion are listed in Table 3. 20 18
exact.:E^0.25 exact:E/150
19
Using the calculated 2D elastic parameters in association


with matrix transformation principles, the value of Youngs Figure 3. Indicator diagrams of E and 4 E(n) obtained for a
modulus can be calculated in different directions.
Figure 3 rock mass studied using the numerical homogenization technique
4
shows the indicator
diagram of both E and E and allows (Chalhoub, 2006).
stating that 4 E can be well described by an ellipse. This result
is promising and suggests application of the ellipsoidal model approximation of these parameters, which are inaccessible by
to fit numerical data. means of 2D numerical homogenization methods.
The 3D model  with four parameters was chosen for
this purpose. Parameters E1 , E2 and E3 , which correspond
to the three orthotropic directions, can be deduced directly 5 CONCLUSION
from Table 3 results. The Poissons ratio of the model in (4)
can then be deduced as an approximation, by means of the The concept of ellipsoidal anisotropy seems to offer an
following formulae, taken from the values in Table 3: attractive guideline for the phenomenological modelling of
anisotropic elasticity of geomaterials, soils, rocks and rock
masses; it simplifies data analysis and serves to create mod-
els with a reduced number of parameters and interesting
theoretical properties. As discussed in Pouya (2007a), this
We obtained as a result: = 0.072. 2D numerical calculations concept also corresponds well to models of anisotropic elas-
provide all the elastic compliance parameters, with the excep- tic tensors obtained for micro-cracked materials using the
tion of elastic compliances s44 and s55 (Min and Jing, 2003). micro-macro approach. The advantages offered in terms of
By using the 3D ellipsoidal model in (4), these parameters can handling geotechnical problems have already been discussed
be expressed by a combination of three Youngs moduli and from a theoretical perspective in Pouya and Reiffsteck (2003)
one Poissons ratio . This result may be considered a helpful and in Pouya and Zaoui (2006). This paper has shown that

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2007 Taylor & Francis Group, London, UK

such models could also provide a good fit for the experimen-
tal or numerical homogenization data on certain varieties of
sedimentary rocks. The potential application of these models
to wave propagation in rocks, for use in seismic analysis, is
one of the promising avenues opened by the present work.
REFERENCES
Boehler, J.-P. 1975. Contribution thorique et exprimentale
ltude des milieux plastiques anisotropes. Thse dtat Institut
de Mcanique de Grenoble, France.
Chalhoub, M. 2006. Contributions of numerical homogenization
methods on the rock mass classifications, (Apports des mthodes
dhomognisation numrique sur la classification des Massifs
Rocheux Fracturs), Ph.D thesis, Ecole des Mines des Paris, 216 p.
Chalhoub, M., Pouya, A.: A geometrical approach to estimate the
mechanical Representative Elementary Volume of a fractured rock
mass. First Euro Mediterranean in Advances on Geomaterials and
Structures Hammamet, Tunisia, 35 May 2006.
Daley, P.F. & Hron, F. 1979. Reflection and transmission coefficients
for seismic waves in ellipsoidally anisotropic media. Geophysics,
44: 2738.
Francois M, Geymonat G., Berthaud Y. 1998. Determination of the
symmetries of an experimentally determined stiffness tensor :
Application to acoustic measurements, Int. J. Solids Structures,
Vol. 35, Nos. 3132, pp. 40914106.
Homand, F., Morel, E., Henry, J.-P., Cuxac, P. & Hammade, E. 1993.
Characterization of the Moduli of Elasticity of an Anisotropic
Rock Using Dynamic and Static Methods. Int. J. Rock Mech. Min.
Sci. & Geomech. Abstr., Vol. 30, No. 5: 527535.
Min, K.B. & Jing, L. 2003. Numerical determination of the equiv-
alent elastic compliance tensor for fractured rock masses using
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the distinct element method. Int. J. Rock Mech. Min. Sci., 40 :
795816.
Peres Rodrigues, F. & Aires-Barros, L. 1979. Anisotropy of endo-
genetic rocks- Correlation between micropetrographic index,
ultimate strength an modulus of elasticity ellipsoids. Proc. 2nd
Congress of the ISRM, Belgrade, 123.
Pouya, A. 2000. A transformation of the problem of linear elastic
structure for application to inclusion problem and to Green func-
tions. Comptes-Rendus de lAcadmie des Sciences de Paris, t.
328, Srie II b, pp. 437443.
Pouya, A. Ghoreychi, M. 2001. Determination of rock mass
strength properties by homogenization., Int. J. Numer. Anal. Meth.
Geomech., 25, (2001), 12851303.
Pouya, A. & Reiffsteck, Ph. 2003. Analytical solutions for foun-
dations on anisotropic elastic soils. Proceedings of International
Symposium FONDSUP, Presses des Ponts et Chausses, Paris.
Pouya, A., Zaoui, A., 2006. A transformation of elastic bound-
ary value problems with application to anisotropic behavior, Int.
Journal of Solids and Structures, 43 (2006) 49374956.
Pouya A,. 2007a. Ellipsoidal anisotropies in linear elasticity Exten-
sion of Saint Venants work to phenomenological modelling of
materials., Int. Journal of Damage Mechanics, 2007, Issue 1, Vol.
16, pp. 95126.
Pouya A,. 2007b. Fonction de Green pour les matriaux anisotropie
ellipsodale. Comptes-Rendus Mcanique, Acad. Sciences de
Paris, in press.
Saint Venant, B. (de) 1863. Sur la distribution des lasticits autour de
chaque point dun solide ou dun milieu de contexture quelconque,
particulirement lorsquil est amorphe sans tre isotrope. Journal
de Math. Pures et Appliques, Tome VIII (2me srie) pp. 257430.
Thomsen, L. 1986 Weak elastic anisotropy. Geophysics, Vol. 51 No.
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254
 Estimation of rock mass strength and deformability for a 30m cube in three dimensions
including anisotropy A case study

P.H.S.W. Kulatilake, Jinyong Park & Jeong-Gi Um

Department of Material Sciences and Engineering, University of Arizona, USA

ABSTRACT: The rock fracture geometry data provided by Swedish Nuclear Fuel and Waste Management Company were used
to develop a 3-D stochastic fracture geometry network model for a 30 m cube of sp diorite rock mass located at a depth
of 485 m at sp Hard Rock Laboratory, Sweden. This fracture geometry network model was validated. A New procedure is
developed to estimate rock block strength and deformability in 3-D allowing for the anisotropy and incorporating statistical
variability associated with fracture geometry for the selected cube. The laboratory test results available on intact rock and
fracture geomechanical properties, and field test results available on in situ stress for sp diorite were used in the said
estimations. The mean rock mass strength was found to be 47% of mean intact rock strength of 297 MPa at the depth of 485 m.
The mean rock mass modulus was found to be 51% of the intact rock Youngs modulus of 73 GPa. The rock mass Poissons
ratio was found to be 21% higher than the intact rock Poissons ratio of 0.28. These percentages indicate the level of weakening
of the rock mass due to the presence of fractures. The ratio of mean major principal rock mass strength/mean minor principal
rock mass strength turned out to be 1.28. The ratio of mean major principal rock mass modulus/mean minor principal rock
mass modulus turned out to be 1.21.

1 INTRODUCTION network modeling for discontinuous rock masses and to gen-

Estimation of rock mass strength and deformability is impor-
tant in evaluating rock mass stability of nuclear waste disposal
sites. Swedish Nuclear Fuel and Waste Management Company
(SKB) provided a limited number of fracture geometry data,
in-situ stress data, and intact rock and fracture geomechanical
property data applicable for the 400500 m depth region at the
sp Hard Rock Laboratory (HRL), Sweden to estimate rock
mass strength and deformability for several 30 m cubic blocks,
each having a particular lithology. This paper reports estima-
tion of strength and deformability in three dimensions (3-D)
for sp diorite lithology, which is one of the lithologies that
exist at sp HRL. A new procedure is developed to estimate
rock mass strength and deformability in 3-D allowing for the
anisotropy and incorporating the statistical variability asso-
ciated with fracture geometry. In conducting this research, it
was necessary to use only the information provided by SKB.
For sp diorite, raw fracture data were available only from
one borehole labeled KAS02.
2 STOCHASTIC 3-D FRACTURE GEOMETRY
NETWORK MODEL FOR SP DIORITE ROCK
MASS
2.1 Software used for modeling
Kulatilake (1988) completed a software package named
FRACNTWK based on information given in more than ten
journal papers that he and his co-workers published between
1984 and 1997 on the topic of fracture geometry character-
ization and network modeling (Kulatilake 1985, Kulatilake
et al. 1990a, b, 1993b, 1996, 1997, Kulatilake & Wu 1984a,
b, c, Wathugala et al. 1990). This package can be used to
analyze discontinuity data obtained from boreholes, scanlines
and 2-D exposures such as rock outcrops, tunnel walls, tunnel
roofs, etc. to perform fracture geometry characterization and
erate rock discontinuity geometry systems in 3-D rock masses.
The package provides procedures (a) to identify statistically
homogeneous regions in a rock mass, (b) to identify discon-
tinuity clusters in a statistically homogeneous region, (c) to
apply corrections for sampling biases associated with orien-
tation, spacing and trace length distributions of discontinuity
clusters, (d) to obtain best probability distributions for orien-
tation, spacing, trace length and discontinuity size in 3-D of
discontinuity clusters, (e) to obtain a map of the discontinuity
traces sampled through either scanline or area sampling sur-
veys, (f) to estimate 1-D discontinuity frequency along mean
normal vector directions of discontinuity clusters using dis-
continuity spacing data mapped from some other directions,
(g) to estimate 1-D discontinuity frequency in any direction
in the rock mass, (h) to estimate distributions for block size,
number of blocks per unit volume and number of discontinu-
ities per unit volume for the rock mass, (i) to estimate fracture
tensor parameters for each discontinuity cluster as well as for
the rock mass, ( j) to generate discontinuities in 3-D for the
rock mass and to obtain discontinuity trace predictions on
vertical and horizontal exposures, and (k) to verify the used
discontinuity geometry system models. The package has 26
calculation and 24 graphical computer programs. Some pro-
grams from this package were used to build the stochastic
fracture geometry network model for the 30 m cube. To cut
down the space, only a summarized account of the built frac-
ture geometry network is reported in this paper. Details are
given in Kulatilake & Um (2002).
2.2 Modeling of fracture orientation
The selected 30 m cube of sp diorite was located in the depth
region 470500 m of borehole KAS02. To enlarge the fracture
geometry databank for sp diorite, orientation and spacing
data were obtained from the depth region 457.4536.0 m of
borehole KAS02. These fracture geometry data indicated that
they are coming from a statistically homogeneous region.

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 N Table 2. Goodness-of-fit results of hemispherical normal distri-
2 bution for raw orientation data and data corrected for sampling
2
2
2
bias.
2
2 3
1 2 3

1
1 Upward mean
3
11 3 3
3 3 3
3
3
1 normal vector
3 3 1
1 3 11
3 3 3 1
3 3
1 3
3
3 3
3 3
3 3
3 3
3
3
1 1
11 Fracture Trend Plunge
3 3 3 1
11 1 3 3 3 3 33 3
1
1 set # Npts. (deg.) (deg.) K Sp. var. P
3 3 3 3 3 3
333 3
3 3 3 3
1 1 3 3 3 1 1 1
3 3 33 3 33 33 3 E (a) Raw orientation data
3 3
3 3 3 1 1 1
1 1
3
3
3
33
1 11
1 54 101.6 8.7 9.04 0.11 0.009
3 3 1
1
2
3
3
3
3 3 3
1
11 2 53 187.4 25.5 7.92 0.12 0.047
2 3 3 1
2 2
2 2 2 2
1
1
11
3 103 8.0 60.9 2.48 0.40 <0.005
2
2 1 1
2 2 2
2 2
2
2
2 1 1 (b) Data corrected for sampling bias
2 2
2 2 2
2
2
2
2
2 2 1 54 284.5 0.2 11.86 0.08 <0.005
2
2 2 2 53 182.7 11.0 7.47 0.13 <0.005
2
3 103 6.1 54.5 2.47 0.40 <0.005
Figure 1. Fracture set delineation results on an upper hemispherical Note: Npts. = Number of fractures belonging to the fracture
polar equal area projection. set; K = A parameter in the hemispherical normal distribution;
Sp. Var. = Spherical variance; P = Maximum significance level at
Table 1. Delineated fracture sets and goodness-of-fit results of which the hemispherical normal distribution is suitable to represent
Bingham distribution for orientation data. the statistical distribution of fracture orientation data (a minimum
of 0.05 is required to represent orientation data by a hemispherical
MNV normal distribution).
Chi-square
Fracture Trend Plunge test
Nobs. set # Npts. (deg.) (deg.) P
is not suitable to represent the statistical distribution of orien-
210 1 54 101.51 8.70 0.007 tation for fracture sets 1 and 2 even though it can be used to
2 53 187.11 26.42 0.038 represent the statistical distribution of orientation for fracture
3 103 331.79 77.31 0.228 set 3.
The orientation bias was corrected using the procedure
Note: Nobs. = Number of fractures observed on the bore-
given in Kulatilake (1998) which was obtained by extend-
hole; Npts. = Number of fractures belonging to the fracture ing the general procedure given in Wathugala et al. (1990).
set; MNV = Mean normal vector direction (upward) of fracture The expression for the sampling bias correction has been
set; Trend of MNV = Dip direction of fracture set; Plunge of derived by looking into the probability of intersection between
MNV = 90 -Dip angle of fracture set; P = Maximum significance a borehole and each fracture in the fracture set. The expres-
level at which the tried distribution can be used to represent the sta- sion incorporates the effect of the angle between the borehole
tistical distribution of orientation of fracture set (a minimum of 0.05 direction and each fracture plane belonging to the fracture set,
is required to represent the orientation data by the tried distribution). borehole length, borehole diameter and size of each fracture.
Note that the capabilities of this correction is far superior to the
traditional Terzaghis (1965) correction that incorporates only
The fracture geometry data were analyzed using a com- the angle between the borehole direction and each fracture
puter program of FRACNTWK software package (Kulatilake plane belonging to the fracture set.
1998) according to the clustering algorithm of Shanley & Table 2 shows the goodness of fit test results for hemispheri-
Mahtab (1976) and Mahtab & Yegulalp (1984) to find the cal normal distribution using the raw orientation data as well as
dense points and the resulting fracture sets. Even though this the data corrected for orientation bias. The hemispherical nor-
methodology suggests a procedure for finding the optimum mal distribution is not suitable to represent the statistical dis-
number of fracture sets using three objective functions, for tribution of orientation data for all the three fracture sets. Note
the analyzed data, it was not possible to find a unique num- that the variability of a fracture set increases with increasing
ber for the optimum number of fracture sets only from the spherical variance and decreasing K. Comparison of the mean
results of this procedure. A number of fracture sets between normal vector directions given in Tables 2a and 2b provides
three and four was found to be suitable according to the results the effect of sampling bias correction on orientation data.
obtained from the applied method.Therefore, the quality of the The available theoretical probability distributions (hemi-
separation between the fracture sets was considered in addi- spherical normal and Bingham distributions) were found to
tion to the values obtained for objective functions to make a be insufficient to represent the statistical distribution of ori-
decision on the optimum number of fracture sets. Figure 1 entation for two of the three fracture sets.A number of previous
shows the orientation distribution of poles of fracture sets studies conducted by the authors have shown clearly that
on an upper hemispherical polar equal area projection. All the available theoretical probability distributions (hemispher-
three fracture sets show high variability. This high variabil- ical normal and Bingham distributions) are insufficient to
ity is partly reflected by the low number of data available represent the statistical distribution of orientation data for
for orientation analyses. Table 1 shows the summary of frac- many field sites (Kulatilake et al. 1990a, 1996, 2002a, Wang
ture set delineation results and the goodness of fit test results et al. 2002). For a fracture set that cannot be represented by
for the Bingham distribution on fracture orientation data (see a theoretical orientation probability distribution, the empirical
Kulatilake & Um 2002 for details). The Bingham distribution orientation distribution obtained from the corrected relative

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2007 Taylor & Francis Group, London, UK

Table 3. Mean spacings and linear frequencies along the borehole KAS02 and mean normal vector directions for fracture sets of sp
diorite.
Orientation of Obs. mean Corr. mean 1-D fracture Angle
fracture set Dir. Of borehole spacing spacing frequency between 1-D fracture
along Length of along along borehole frequency
Fracture Dip dir. Dip Trend Plunge borehole Borehole borehole borehole & MNV along MNV
set # (deg.) (deg.) (deg.) (deg.) (m) (m) (m) (# per m) (deg.) (# per m)

1 102 81 318 85 1.59 78.60 1.59 0.63 *70 (76.9) 1.84

2 187 64 318 85 1.62 78.60 1.62 0.62 60.06 1.23
3 332 13 318 85 0.69 78.60 0.69 1.44 18.08 1.51

MNV = Mean Normal Vector of fracture set.

= Actual angle is 76.9 ; however the angle was limited to 70 to calculate the 1-D fracture frequency along MNV direction.

frequency data can be used for generation of orientation values LENGTH UNIT: Meter
(Kulatilake et al. 1990b). Minimum Fracture Frequency: Maximum Fracture Frequency:
Magnitude (#/Length Unit): 1.1720 Magnitude (#/Length Unit): 2.9759
Trend (Deg.): 193.0000 Trend (Deg.): 128.0100
Plunge (Deg.): 9.6100 Plunge (Deg.): 50.5700

2.3 Modeling of fracture spacing, 1-D intensity, size and N

3-D intensity
The goodness of fit test results on fracture spacing indicated
that all three probability distributions lognormal, gamma and
1DFREQ.
exponential are highly suitable to represent fracture spacing 2.77542
2.575
along the borehole KAS 02 for any of the three fracture sets. 2.37457
E
The estimation of mean spacing and linear frequency 2.17414
1.97371
(1/spacing) are based on the measurements carried out on Max
1.77328
a finite length of the borehole. However, unbiased estimates 1.57285
1.37242
of these parameters should be based on infinite length. A cor- 1.17199
rection was applied for this sampling bias on spacing to obtain Min

corrected mean spacing along the borehole according to the

procedure given in Kulatilake (1988). For each fracture set,
the spacing distribution, including the observed mean spac-
ing and the standard deviation of spacing, is available along
the borehole direction. Assuming the exponential distribution
for spacing, the mean spacing corrected for spacing sampling
bias was calculated for each fracture set by using the observed
mean spacing and the length of the borehole. For all 3 fracture
sets, the length of the borehole was found to be more than 9
times of the observed mean spacing. Therefore, no difference
was found between the observed and corrected mean spacing
for any of the fracture sets.
After the aforementioned calculations, for each fracture set,
the corrected mean spacing is available along the borehole
direction. From the fracture set delineation analysis, the mean
normal vector direction is known for each fracture set (see
Table 2). This information was used to calculate the mean
1-D fracture frequency along the mean normal vector direc-
tion for each fracture set according to the procedure given
in Kulatilake (1988). When the angle between the borehole
direction and the mean normal vector direction of the fracture
set increases beyond 70 degrees, the reliability of the 1-D frac-
ture frequency estimation decreases. Therefore in this study,
when the angle is greater than 70 degrees, the 1-D fracture fre-
quency along the mean normal vector direction is estimated
using the angle of 70 degrees. All the obtained results are given
in Table 3.
The 1-D fracture frequencies obtained along the mean nor-
mal vector directions of the 3 fracture sets were then used
to estimate the 1-D fracture frequency in all the directions in
3-D (Kulatilake 1998). Figure 2 shows the obtained results.
This figure also pin points the directions and magnitudes for
the minimum and maximum fracture frequencies for the sp
diorite rock mass.
Figure 2. One-dimensional fracture frequency distribution in 3-D
on an equal-angle equatorial upper hemispherical plot.
For the project, no raw data were provided on fracture trace
length. However, some summarized statistics about fracture
size was available (Hermanson et al. 1998). Previous projects
on fracture modeling conducted by the first author of this
paper on similar rock types have shown that a gamma distri-
bution is the best to represent fracture trace length distribution
in 2-D and equivalent fracture diameter distribution in 3-D.
Therefore, a gamma distribution with mean = 5 m and coef-
ficient of variation = 0.5 was selected to represent fracture
trace length distribution in 2-D for all 3 fracture sets. A pro-
cedure available in the literature to compute fracture diameter
distribution in 3-D from fracture trace length distribution on
infinite size 2-D exposure (Kulatilake & Wu 1986) was used to
estimate the fracture size distribution in 3-D for the 3 fracture
sets as gamma distributed with mean = 5.26 m and standard
deviation = 2.25 m.
The volumetric fracture frequency for each set was calcu-
lated using the equation given in Kulatilake et al. (1993a)
that relates volumetric frequency to linear frequency and the
distributions of fracture size and orientation. Volumetric frac-
ture frequency values of 0.119, 0.080 and 0.098 per m3 were
obtained for fracture sets 1, 2 and 3, respectively.
2.4 Fracture system generation in 3-D and validation
For a statistically homogeneous rock mass, to describe the
fracture geometry pattern in 3-D, it is necessary to specify the
number of fracture sets, and the statistical distributions for
the following fracture geometry parameters for each fracture

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2007 Taylor & Francis Group, London, UK

 15 15
14 14
13 13
12 12
11 11
10 10

Vertical (m)
9 9
North (m)

8 8 A 10m
7 7 length of
6 6 simulated
KAS02
5 5
4 4
3 3
2 2
1 1
0 0
0 5 10 15 0 5 10 15
East (m) N42 W direction (m)

Figure 3. Fracture traces obtained from fracture generation on a
horizontal square window of size 15 m placed at the mid-level of
30 m cube.
set: (1) number of fractures per unit volume; (2) orientation;
(3) diameter; and (4) location of fracture centers. Because the
exponential distribution was found to be a suitable distribution
to represent the fracture spacing for each fracture set, accord-
ing to the statistical theory, the Poisson distribution could be
used to model the 3-D fracture intensity distribution for each
fracture set with the calculated mean 3-D fracture intensity
value stated earlier. The empirical distribution obtained for
the orientation was used to model the orientation distribution
for each fracture set. For each fracture set, the diameter was
represented by the selected gamma distribution stated earlier.
Because the exponential distribution was found to be a suitable
distribution to represent the fracture spacing for each fracture
set, the location of fracture centers in 3-D can be modeled
using a uniform distribution. These probability models were
used to generate the fracture system in 3-D for a 30 m cube
having two vertical sides parallel to North-South.
Figure 3 shows the fracture traces obtained from the fracture
generation on a horizontal square window of 15 m placed at
the mid-level of the 30 m cube. Out of the three fracture sets,
the first two fracture sets are sub vertical and fracture set 3
is sub horizontal (see Fig. 1). Therefore, fracture sets 1 and 2
should intersect the horizontal window better than fracture set
3.According toTable 2, the mean strike values of fracture sets 1
and 2 are S 15 W and S 87 E, respectively. Strike directions
around these two strikes can be seen very well in Figure 3.
Although the mean strike for fracture set 3 is N 84 W, because
it is a sub horizontal fracture set, strikes of the fractures coming
from this set can cover a wide range (see Fig. 1). These variable
strike directions are also can be seen in Figure 3. Figure 4
shows the fracture traces obtained from the fracture generation
on a vertical square window of size 15 m having the strike
direction same as the trend direction of the borehole KAS02
(318 ) and placed at the middle of the 30 m cube. Note that
fracture set 1 is almost vertical and the mean strike is S 15 W.
Therefore, fracture set 1 should intersect the chosen vertical
window well and produce sub-vertical traces. Such traces can
be seen very well on Figure 4. Fracture set 2 strikes S 87
E and dips 79 S. Therefore, fracture set 2 should intersect
the chosen vertical window well and produce traces having
moderately high apparent dip angles. Figure 4 shows such
traces very well. Fracture set 3 is sub horizontal. Therefore,
Figure 4. Fracture traces obtained from fracture generation on a
vertical square window of size 15 m having the strike same as the
trend direction of borehole KAS02 placed at the middle of 30 m
cube.
fracture set 3 should make sub-horizontal fracture traces on
the chosen vertical window. Figure 4 shows sub-horizontal
fracture traces very well.
A 10 m length of KAS02 borehole is simulated in Figure 4.
The 1-D fracture frequency on this simulated borehole is about
3.2 fractures per m. This value compares quite well with the
observed 1-D fracture frequency of 2.7 fractures per m on
actual KAS02 borehole. Fracture traces simulated on a 40 m
square vertical window produced a mean trace length value of
4.28 m and a coefficient of variation of 0.5. When the verti-
cal window size was increased to 55 m square, the mean trace
length value increased to 4.75 m keeping the value of coeffi-
cient of variation almost the same. This shows clearly that the
mean trace length increases with window size. Note that for
infinite size window, a mean trace length of 5 m along with
a coefficient of variation of 0.5 was used in modeling the frac-
ture size. These numbers validate the used fracture size model.
The above findings show that the fracture geometry features
of the generated fracture system agree well with the fracture
data used to model the 3-D stochastic fracture system.
3 PRINCIPAL IN-SITU STRESSES IN 3-D FOR THE
CHOSEN 30 M CUBE
Table 3 of Klasson & Leijon (1989) provides the calculated
vertical overburden stress, Sv , minimum horizontal stress, Sh ,
and maximum horizontal stress, SH , values at depths 426 m
and 495 m resulting from the in-situ stress measurements per-
formed in borehole number KAS02. The mean depth of the
chosen 30 m cubic block is 485 m. The mean Sv value at
485 m depth was calculated based on the unit weight of rock
calculated using the Sv value available at 495 m depth. The
mean Sv value estimated at 485 m was then used along with
the ratios of Sh /Sv and SH /Sv available at 495 m to estimate
mean Sh and SH values at 485 m depth. Table 4 of Klasson &
Leijon (1989) provides the direction for SH at depths 426 m
and 495 m. These values do not show a clear trend for
the direction of SH with depth. Therefore, the SH direction
value available at depth 495 m was used to represent the
mean direction of SH at depth 485 m. Mean value for the

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2007 Taylor & Francis Group, London, UK

Table 4. Estimates of magnitudes and directions of principal in-situ
stresses.
Major principal mean magnitude (MPa) 22.75
stress, 1 mean trend (deg.) 143
mean plunge (deg.) 0 one 3-D stress analysis of such a 30 m cube using the 3DEC
Intermediate mean magnitude (MPa) 13.90
principal stress, 2 mean trend (deg.) 53
mean plunge (deg.) 0 come up with a procedure to obtain 3D stress analyses results
Minor principal mean magnitude (MPa) 12.64
stress, 3 mean trend (deg.)
mean plunge (deg.) 90
direction of Sh at depth 485 m was selected to preserve the
perpendicularity between Sh and SH directions. The afore-
mentioned estimated mean values are given in Table 4. For
depth 485 m, SH , Sv and Sh turned out to be the major, minor
and intermediate principal stresses, respectively.
4 ESTIMATION OF INTACT ROCK STRENGTH IN 3-D
FOR THE 30 M CUBE
The 30 m cubic block was discretized into many intact rock
deformable blocks. A mean value of 2765 kg/m3 (Nisca 1988)
was used to represent the density of intact rock. Mechani-
cal behavior of each deformable block was represented by
an isotropic linear elastic model up to the peak strength and
a strain-softening model between the peak strength and the
residual strength. Mechanical property values were selected
based on laboratory test results available for sp diorite
(Nordlund et al. 1999). Pre-peak deformation behavior was
represented by a Youngs modulus, E, value of 73 GPa and
a Poissons ratio, , value of 0.28. The peak strength was
represented by the Coulomb criterion with a tension cut-off
(cohesion, C = 49 MPa, friction angle, = 44 degrees, tensile
strength, t = 14.7 MPa). The residual strength was repre-
sented by a cohesion value of 1.23 MPa, a friction angle of
35.2 degrees and a tensile strength of 1.05 MPa.
The 30 m block was subjected to the mean principal in-
situ stresses given in Table 4. Keeping two of the principal
stresses constant, the stress in the third direction was increased
by applying a constant velocity of 0.05 m/sec in that direc-
tion until the block failed. This was repeated in each of the
three mean principal stress directions. These stress analyses
were conducted using the 3DEC code(ITASCA Consulting
Group Inc. 1999). The intact rock strengths of 291.6, 297.0 and
303.2 MPa were obtained in major, intermediate and minor
principal in-situ stress directions, respectively. The results
basically provide the anisotropic mean intact rock strength val-
ues resulting from the anisotropy of the in-situ stress system.
5 ESTIMATION OF ROCK MASS STRENGTH AND
DEFORMABILITY IN 3-D FOR THE 30 M CUBE
5.1 Procedures
The estimated 3-D intensity of 0.30 fractures per m3 produces
8100 fractures in a 30 m cube. In addition, these fractures
are of finite size. To perform stress analysis using the 3DEC
code (ITASCA Consulting Group Inc. 1999), it is necessary
to discretize the entire domain into polyhedra (Cundall 1998).
In general, the intersection of only the finite size fractures
does not discretize the domain into polyhedra. However, the
259
2007 Taylor & Francis Group, London, UK
needed polyhedra can be obtained by introducing fictitious
joints into the considered block and combining them with the
actual fractures (Kulatilake et al. 1992). Such a procedure cre-
ates a large number of polyhedral blocks in a 30 m cube. Just
code on a personal computer can easily take several months.
Due to the time constraints of the project, it was necessary to
for a 30 m cube that can capture the anisotropy in 3D within
about two weeks. The stress analysis procedure given below
was developed to fulfill the needed requirement.
After a few trial 3-D stress analysis runs, it was decided to
perform 3-D stress analysis at a number of increasing cubic
block sizes before reaching the 30 m cube. For each of these
different cubic block sizes, it was decided to limit the maxi-
mum number of fractures to 16. With this arrangement, it was
possible to complete a 3-D stress analysis for a selected cube
in one particular direction within about 3 to 4 hours using
a personal computer having the Intel Pentium IV processor
with a speed of 1.5 GHz. The needed different block sizes were
decided as follows. First the largest 16 discontinuities that exist
in the generated 30 m cube were found. The size of the smallest
discontinuity out of these 16 discontinuities was noted.A cubic
block of this discontinuity size was then placed with its center
exactly coinciding with the center of the 30 m cube. The largest
16 discontinuities of this second block were found and the
size of the smallest discontinuity out of these 16 discontinu-
ities noted. A cubic block of the latter mentioned discontinuity
size was then placed with its center coinciding with the center
of the 30 m cube. This procedure was repeated until a block
size was found that contains less than or equal to 16 discon-
tinuities. Through this procedure the following sequence of
block sizes was obtained: 5.8, 7.2, 8.0, 9.6, 12.3 and 30.0 m.
Note that apart from the 30 m cube, all other block sizes
contain a discontinuity of size close to the size of the block.
In these blocks, a significant number of discontinuities may
intersect the block boundaries. On the other hand, if the dis-
continuities that exist inside one of these blocks are located
inside the 30 m cube, most of them do not then intersect any
of the boundaries. In order to simulate this situation in all the
block sizes apart from the 30 m cube, all the block sizes were
set to the maximum discontinuity size within the block plus
the mean discontinuity size in the block. With this adjustment,
the following sequence of block sizes was used to perform 3-D
stress analyses: 9.5, 13.5, 15.5, 18.3, 21.9 and 30 m. Hence-
forth, in the paper, the different increasing block sizes used
are referred to as the smallest, second, third block size so on.
The 3-D stress analysis was first performed on the small-
est block size. Such a block contains intact rock and actual
fractures. Intact rock was discretized into many deformable
blocks. Intact rock property values stated in the previous
section were used to represent the physical and mechanical
behavior of these intact deformable blocks. As mentioned
before, fictitious joints were introduced to the block to com-
bine them with actual joints to discretize the block into
polyhedra. These fictitious joints should then behave as intact
material elements. The constitutive models and the proce-
dure given in Kulatilake et al. (1992) were used to estimate
the fictitious joint parameters: joint shear stiffness, JKS, as
2852 GPa/m, joint normal stiffness, JKN, as 7130 GPa/m and
C, and t as the same values as for the intact rock.
The shear stress-shear displacement behavior of actual frac-
tures was modeled as linear elastic up to the peak shear
strength and perfect plastic beyond the peak shear strength.
Table 5. Values used to represent mechanical properties of actual
fractures.
Mean value
Sub-horizontal
Mechanical parameter fractures
JKS (GPa/m) 43.4
JKN (GPa/m) 1628
Friction angle, (deg.) 27
Cohesion, C 0 0
Tensile strength, t 0 0
Horizontal Rotation
+ ve: clockwise rotation of Z
Vertical Rotation
+ ve: upwards rotation of Z
Y, Vertical
The three axes
Z, North at zero degree
rotation
X, East
Figure 5. Co-ordinate system and conventions used to keep track
of block rotation.
Linear elastic shear behavior was represented by JKS. The
fracture shear strength was modeled by a Coulomb criterion
with a residual friction angle and zero cohesion and tensile
strength. The normal stress-normal displacement behavior of
actual fractures was represented by a constant JKN value.
Table 5 provides the values used to represent the mechani-
cal properties of actual fractures based on the laboratory test
results given in Lanaro (2001).
Due to time constraints, 3-D stress analysis was performed
only in three perpendicular directions for all the cubic block
sizes that were less than 30 m cube. However, for the 30 m
cube, the stress analysis was performed in 18 directions to
cover the entire 3-D space (Kulatilake et al. 2002b). The local
coordinate system shown in Figure 5 was introduced to the
cube to keep track of the block rotation. Note that the coordi-
nate system shown in Figure 5 rotates with the rotation of the
cubic block. At the zero degree rotation, the Z and X axes coin-
cide with north and east, respectively and Y axis points in the
vertical upward direction. All the block rotations are expressed
with respect to the rotation of the Z axis. A clockwise rota-
tion of Z on the horizontal plane and an upward rotation of
Z on the vertical plane are assumed as positive rotations. For
each of the smallest cubic blocks, physical and mechanical
properties of intact rock, fictitious joints and actual fractures
were assigned according to the values mentioned in the afore-
mentioned paragraphs. On each face of a block as shown in
Figure 6 nine points were selected to monitor deformation and
stress of each block.
The in-situ stress system for the block rotation of 135
degrees on the horizontal plane and 45 degrees on the ver-
tical plane was calculated to apply for the smallest cube to
bring it to the in-situ equilibrium stress condition. Then in
a direction perpendicular to one of the parallel faces, the block
was subjected to a constant velocity boundary condition and
monitored the deformation and stress of the block. The dis-
placements and stresses recorded on the monitoring points on
the two faces perpendicular to the direction of applied velocity
2007 Taylor & Francis Group, London, UK
0.12L 0.38L 0.38L 0.12L
0.12L
Sub-vertical 0.38L
fractures
L
45.2
187 0.38L
32
0.12L
Figure 6. Location of the nine points selected on each face to
monitor the stress and deformation of each block.
were used to calculate the average stress-strain diagram of the
block in the applied velocity direction. This stress-strain dia-
gram was used to estimate the peak shear strength and the rock
mass modulus (tangent modulus at 50% peak strength level)
of the block in the applied velocity direction (see Kulatilake
et al. (1993b) for detailed procedures). The monitored defor-
mations of the other faces of the block were used along with
the monitored deformations of the two parallel faces perpen-
dicular to the applied velocity direction to estimate two of
the six equivalent Poissons ratios of the block (see Kulatilake
et al. (1993b) for detailed procedures). Similar stress analyses
were performed by changing the applied velocity direction to
estimate the block strength and tangent rock mass modulus
perpendicular to other faces of the cube and the remaining
four equivalent Poissons ratios of the block.
The second block size level was considered to consist of an
equivalent continuum material that represents the combined
influence of intact rock and the fractures that were present
in the smallest block size level, the next higher size level of
actual fractures and a set of fictitious joints to form neces-
sary polyhedra in the block. The 3 peak block strength results
coming from the smallest block size were used to draw Mohr
circles to estimate the new C and values that should be used
to represent the peak shear strength of the equivalent contin-
uum material for the second block size level. A significant
drop of C was observed when going from the smallest block
size to the next higher block size level. The value of was
found to be more or less the same value used for the previous
block size with a slight variation due to random variability. In
going from the smallest block size to the next higher block size
level, the new C and values represent the equivalent contin-
uum material behavior of the intact rock combined with the
fractures that were present in the smallest block size. There-
fore, intuitively, it is reasonable to assume the same frictional
component and a reduction of cohesion component to repre-
sent the equivalent shear strength behavior of the intact rock
combined with the fractures that were present in the smallest
block size. It seems reasonable to apply the same assumption
in going from the second block size to the next higher block
size level and so on.
The reduction ratio of t was assumed to be the same as
the reduction ratio of C to calculate the new tensile strength
to represent the tensile strength of the equivalent continuum
material of the second block size level. This assumption was
used to calculate the new t for the equivalent continuum mate-
rial in going from second block size to the next higher block
size and so on.
260
 Table 6. Calculated mean in-situ stresses for the different block rotations used.
Rotation

horizontal vertical
(deg.) (deg.) Sxx Syy Szz Sxy Sxz Syx

135 45 22.58 13.36 13.36 0.86 0.86 0.72

0 0 17.11 12.64 19.54 0.00 4.25 0.00
45 0 14.07 12.64 22.58 0.00 1.22 0.00
90 45 19.54 14.87 14.87 3.01 3.01 2.23
0 135 17.11 16.09 16.09 3.01 3.01 3.45
45 45 14.07 17.61 17.61 0.86 0.86 4.97

Note: Sign convention for positive stress components are given below

The residual strength parameter values of the equivalent Table 7. Mean mechanical property values used to represent the
continuum material for all the block sizes were assumed to be equivalent continuum material and fictitious joints of the selected
the same as that of the intact rock.The three values obtained for block sizes (apart from the smallest block size).
the tangent rock mass modulus for the smallest block size were
Equivalent continuum material property Fictitious
averaged to represent the rock mass modulus of the equivalent mean values joint
continuum material for the second block size level. The six val- property
ues obtained for the equivalent Poissons ratio of the rock mass Block Rock block Poissons mean values
for the smallest block size were averaged to represent the Pois- size C t modulus ratio of JKS
sons ratio of the equivalent continuum material for the second (m3 ) (MPa) (MPa) (GPa) rock block (GPa/m)
block size level. The same procedure was used in estimating
the rock mass modulus and the Poissons ratio values for the 13.5 40.1 12.0 63.7 0.29 2469
equivalent continuum material in going from the second block 15.5 31.2 9.4 59.0 0.30 2274
size level to the next higher block size level and so on. 18.3 24.8 7.4 49.4 0.32 1878
For block sizes second through the largest, the parame- 21.9 21.1 6.3 42.9 0.34 1599
30.0 15.3 4.6 38.5 0.34 1431
ter values for fictitious joints were estimated based on the
property values of the equivalent continuum material in the Note: = 44deg.; JKN = 2.5 JKS; Strain softening properties for
considered block size. The strength parameter values of ficti- equivalent continuum material were assumed to be the same as for
tious joints were represented by the calculated values of C, the intact rock material. For each block size, C, , t values of
and t for the equivalent continuum material. JKS and JKN the fictitious joints are the same as that for equivalent continuum
values for fictitious joints were estimated according to the material.
procedure given in Kulatilake et al. (1992). The same discon-
tinuity mechanical property values were used for the actual
fractures irrespective of the block size. The stress analysis stress was applied to each 30 m block to bring it to the equi-
performed for the smallest block size was repeated for each librium in-situ stress condition. Then the 3-D stress analysis
increasing block size until the 30 m cube was obtained. was repeated for the 30 m cube as for the previous block sizes.
The 30 m cube was rotated in a number of directions However, note that for the 30 m cube 3-D stress analysis was
(Table 6) to obtain the corresponding actual fracture system. repeated for a number of block rotations to calculate strength
For each cube having an actual fracture system, necessary and deformability in 18 directions in 3-D to estimate the
fictitious joints were introduced to discretize the cube into anisotropic properties.
polyhedra. The property values for equivalent continuum
material, fictitious joints and the actual fractures in the block
5.2 Results
were assigned as mentioned in the previous paragraph. The
mean in-situ stress system was calculated for each of the Table 7 shows how the equivalent continuum material and fic-
block rotations (Table 6). First, the determined mean in-situ titious joint property values changed with the block size. All

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Table 8. Calculated values of mean rock mass strength and rock (a) N (Y) (b) Z
0
mass modulus in different directions in 3-D. (MPa) 180
0
(MPa) 180
150 150
315 45 315 45
120 120
Direction 90 90
60 60
30 30
Trend Plunge Mean rock mass Mean rock mass W 270 0 90 E (X) S 270 0 90 N (Y)

(degs.) (degs.) strength (MPa) modulus (GPa)

225 135 225 135
0 90 152.5 38.2
0 45 113.8 34.2 180 180

Z Z
0 0 129.8 35.7 0 0
(MPa) 180 (MPa)
0 45 140.6 41.1 (c) 150 (d) 180
150
45 45 136.0 32.8 315
120
90
45 315
120
45
90
45 0 145.2 36.2 60 60
30 30
45 45 164.5 39.9 45W 270 0 90 N45E W 270 0 90 E (X)
90 45 142.3 40.5
90 0 153.0 39.0
225 135
90 45 131.5 39.0 225 135

135 45 135.0 34.5 180 180

135 0 139.5 38.8

Z
135 45 137.5 34.2 (e) 0

45
(MPa) 180
180 140.6 41.1 150 X = East
315 45
180 0 129.8 35.7 120
90 Y = North
180 45 113.8 34.2 60
30 Z =Vertical
180 90 152.5 38.2 S45E 270 0 90 N45W
225 45 164.5 39.9
225 0 145.2 36.2
225 135
225 45 136.0 32.8
270 45 131.5 39.0 180

270 0 153.0 39.0

270 45 142.3 40.5 Figure 7. Variation of directional rock mass strength on different
315 45 137.5 34.2 planes: (a) on the horizontal plane; (b) on the vertical plane striking
315 0 139.5 38.8 N-S; (c) on the vertical plane striking N45 E.; (d) on the vertical
315 45 135.0 34.5 plane striking E-W; (e) on the vertical plane striking N45 W.

Note: Downward plunge +ve.

N (Y) Z
(a) (GPa)
0 (b) (GPa)
0

40 40
315 45 315 45
Table 9. Principal rock mass strength and rock mass modulus mean 30 30

20 20
magnitudes and their directions. 10 10
W 270 0 90 E (X) S 270 0 90 N (Y)
Rock mass Rock mass
strength modulus
225 135 225 135

First Trend (deg.) 63 51 180 180

principal Plunge (deg.) 29 45
Z Z
direction Magnitude 155.2 MPa 39.9 GPa (c) (GPa)
0
(d) (GPa)
0

Second Trend (deg.) 295 296 315

40
45 315
40
45
30 30
principal Plunge (deg.) 48 23
20 20
direction Magnitude 143.6 MPa 38.7 GPa 10 10

Third Trend (deg.) 170 188 S45W 270 0 90 N45E W 270 0 90 E (X)

principal Plunge (deg.) 27 37

direction Magnitude 121.1 Mpa 33.1 GPa
225 135 225 135

Note: Downward plunge +ve. 180 180

Z
(e) (GPa)
0

40 X = East
315 45
30
Y = North
20
the obtained block strengths and rock mass moduli for the 10
Z =Vertical
30 m cube in different directions in 3-D are given in Table 8. S45E 270 0 90 N45W

These values were used in calculating the principal directions

and magnitudes for block strengths and rock mass moduli 225 135

(see Table 9) using a procedure given in Wang et al. (2002).

Figures 7 and 8 show the levels of anisotropy for the rock mass
strength and modulus, respectively for the sp diorite lithol-
ogy. All the obtained equivalent Poissons ratios for the 30 m
cube are given in Kulatilake et al. (2002b). These Poissons
ratios ranged between 0.28 and 0.40.
180
Figure 8. Variation of directional rock mass modulus on different
planes: (a) on the horizontal plane; (b) on the vertical plane striking
N-S; (c) on the vertical plane striking N45 E; (d) on the vertical
plane striking E-W; (e) on the vertical plane striking N45 W.

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6 CONCLUSIONS
The validation exercise performed for the developed frac-
ture network model turned out to be successful. The mean
rock mass strength was found to be 47% of mean intact rock
strength of 297 MPa at 485 m depth. The mean rock mass
modulus was found to be 51% of the intact rock Youngs mod-
ulus of 73 GPa. The equivalent rock mass Poissons ratio was
found to be 21% higher than the intact rock Poissons ratio of
0.28. These percentages indicate the level of weakening of the
rock mass due to the presence of fractures. The ratio of mean
major principal rock mass strength/mean minor principal rock
mass strength turned out to be 1.28. The ratio of mean major
principal rock mass modulus/mean minor principal rock mass
modulus turned out to be 1.21.
ACKNOWLEDGEMENTS
The Swedish Nuclear Fuel and Waste Management Company
provided financial support for the conducted study.
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Element Model Part 1. A Scheme to Detect and Represent
Contacts in a System Composed of Many Polyhedral Blocks.
International Journal of Rock Mech. Min. Sci. 25(3): pp. 107116.
Hermanson, J., Stigsson, M. & Wei, L. 1998. A discrete fracture net-
work model of the sp Zedex Tunnel section. A Technical Report
submitted to Swedish Nuclear Fuel and Waste Management Co.
ITASCA Consulting Group Inc. 1999. 3DEC Version 2 Users Guide.
Klasson, H. & Leijon, B. 1989. Hydrofracturing stress measurements
in borehole KAS02, sp. A Part of SKB Progress Report 25-89-
17.
Kulatilake, P.H.S.W. 1985. Fitting Fisher distributions to discon-
tinuity orientation data. Jour. of Geological Education, 33:
pp. 266269.
Kulatilake, P.H.S.W. 1988. State-of-the-Art in Joint Geometry Mod-
eling. Proceedings of the 29th U.S Symposium on Rock Mechanics,
Minneapolis, Minnesota: pp. 215229.
Kulatilake, P.H.S.W. 1998. Software manual for FRACNTWK a
computer package to model discontinuity geometry in rock masses.
Technical report submitted to Metropolitan Water District of
Southern California.
Kulatilake, P.H.S.W., Chen, J., Teng, J., Shufang, X., & Pan G. 1996.
Discontinuity geometry characterization for the rock mass around
a tunnel close to the permanent shiplock area of the Three Gorges
dam site in China. Int J Rock Mech and Min Sci., 33: pp. 255277.
Kulatilake, P.H.S.W., Fiedler, R. & Panda, B.B. 1997. Box fractal
dimension as a measure of statistical homogeneity of jointed rock
masses. Int. J. of Engineering Geology, 48(34): pp. 217230.
Kulatilake, P.H.S.W., Park, J. & Um, J. 2002b. Estimation of rock
mass strength and deformability in three-dimensions for four 30 m
cubes located at a depth region of 380500 m at sp HRL. Inter-
national Progress Report IPR-02-11, Swedish Nuclear Fuel and
Waste Management Co.
Kulatilake, P.H.S.W., Ucpirti, H., Wang, S., Radberg, G. &
Stephansson, O. 1992. Use of the Distinct Element Method to
Perform Stress Analysis in Rock with Non-Persistent Joints and
to Study the Effect of Joint Geometry Parameters on the Strength
and Deformability of Rock Masses. Rock Mechanics and Rock
Engineering, 25: pp. 253274.
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Kulatilake, P.H.S.W. & Um, J. 2002. Fracture network models
in three dimensions for four 30 m cubes located at a depth
region of 400500 m at sp Hard Rock Laboratory. International
Progress Report IPR-02-12, Swedish Nuclear Fuel and Waste
Management Co.
Kulatilake, P.H.S.W., Um, J. & Morin B. 2002a. A case study on
open pit mine rock slope stability. Proceedings of the Int. Coastal
Geotechnical Engineering Conf., Atyrau, Kazakhstan: pp. 5362,
Invited Keynote Paper.
Kulatilake, P.H.S.W., Wang, S. & Stephansson, O. 1993b. Effect of
finite size joints on the deformability of jointed rock in three
dimensions. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 30:
pp. 479501.
Kulatilake, P.H.S.W., Wathugala, D.N., Poulton, M. & Stephansson, O.
1990a. Analysis of Structural homogeneity of rock masses. Int. J.
Engineering Geology, 29: pp. 195211.
Kulatilake, P.H.S.W., Wathugala, D.N. & Stephansson, O. 1993a.
Joint network modeling including a validation to an area in Stripa
Mine, Sweden. Int. Jour. of Rock Mech. & Mining Science, 30:
pp. 503526.
Kulatilake, P.H.S.W. & Wu, T.H. 1984a. Estimation of mean trace
length of discontinuities. Rock Mechanics and Rock Engineering,
17: pp. 215232.
Kulatilake, P.H.S.W. & Wu, T.H. 1984b. Sampling bias on orientation
of discontinuities. Rock Mechanics and Rock Engineering, 17:
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Kulatilake, P.H.S.W. & Wu, T. H. 1984c. The Density of Discontinuity
Traces in Sampling Windows. Int. Jour. of Rock Mechanics and
Mining Sciences, 21: pp. 345347.
Kulatilake, P.H.S.W. & Wu, T.H. 1986. Relation between disconti-
nuity size and trace length. Proc. of the 27th U.S. Symp. on Rock
Mech.: pp. 130133.
Kulatilake, P.H.S.W., Wu, T.H. & Wathugala, D.N. 1990b. Proba-
bilistic modeling of joint orientation. Int. Jour. for Numerical and
Analytical Methods in Geomechanics, 14, pp. 325350.
Lanaro, F. 2001. Determination of the normal and shear stiffness
of rock joints: geometry, normal and shear stiffness. A report
submitted to SKB.
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orientation data in rock mechanics. Proc. of the 25th U.S. Symp.
On Rock Mech.: pp. 495502.
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samples from KLX01, Laxemar and KAS02, sp. SKB Progress
Report 25-88-06.
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ties of the diorite in the prototype repository at sp HRL. SKB
International Progress Report 9925.
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mation of REV size and three-dimensional hydraulic conductivity
tensor for a fractured rock mass through a single well packer test
and discrete fracture fluid flow modeling. Int. J. Rock Mech. Min.
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263
 Estimation of uniaxial compressive strength of clay-bearing weak rocks using needle
penetration resistance

Z.A. Erguler & R. Ulusay

Department of Geological Engineering, Hacettepe University, Beytepe, Ankara, Turkey

ABSTRACT: High quality core samples recommended by testing standards or suggested methods for uniaxial compressive
strength (UCS) determinations cannot always be obtained particularly from weak, thinly bedded and clay-bearing rocks. Due
to this difficulty, some simple index test methods have been developed in order to indirectly estimate the UCS. However,
preparation of small specimens from such rocks for these simple index tests is also difficult. In recent years, a new and portable
testing device called needle penetrometer has been developed. In this study, a comprehensive testing program was conducted
on clay-bearing rocks in order to establish a prediction equation to estimate the UCS from needle penetration resistance (NPR).
Statistical analyses of test data revealed that there is strong relationship between UCS and NPR. In addition, the comparison
between the observed UCS values and those predicted from the NPR values suggests that the developed empirical equation
shows a good prediction performance.

1 INTRODUCTION
The uniaxial compressive strength of rock materials, that is
most often used in rock engineering applications and rock
mass classification systems such as RMR (Bieniawski, 1989),
is one of the important mechanical properties Except for
concrete in which cube samples are usually used for deter-
mination of its strength, uniaxial compressive strength of
rock materials is determined on cylindrical rock core spec-
imens. Standards (i.e. ASTM 1994) and suggested methods
(i.e. ISRM 1981) specify the requirements of test samples.
For example, ISRM (1981) suggests that the height to diameter
ratio of core samples should be between 2.5 and 3 for appro-
priate test results. But this ratio cannot always be obtained
particularly from weak, stratified (thinly bedded) and clay-
bearing rocks. Another aspect of the conventional uniaxial
compression test is the amount of time and labor necessary
for sample preparation.
Due to above mentioned difficulties and limitations, some
simple and cheap index tests such as the point load test,
Schmidt hammer test (ISRM 1981) and block punch index
test (Ulusay et al. 2001) have been suggested for estimation
of the UCS of rock materials. However, preparation of appro-
priate specimens from these weak rocks is also difficult for
these simple index tests, because clay-bearing rocks heavily
disintegrate due to wetting and drying processes within rela-
tively short time and are highly prone to weathering and often
coring process breaks up the weaker core pieces, and they are
to thin or fragmented to be used for index tests.
Recently, a new and non-destructive portable testing device
called needle penetrometer has been developed by a manu-
facturer in Japan (www.maruto-group.co.jp). This device is
used to measure the penetration resistance (NPR) of weak and
soft rocks both in field and laboratory. It is designed in accor-
dance with the penetration testing method specified in the
Civil Engineering Societys Guideline for Examination and
Testing of Soft Rocks (Maruto Corporation 2006). With cor-
relation diagram of the NPR and the UCS provided on the grip,
the instrument is adapted for indirectly determining the UCS
of soft rock or stabilized consolidated soil without sampling.
Based on the UCS and NPR database obtained from arti-
ficial cemented-based samples and natural rock specimens,
the manufacturer suggested the following correlation between
UCS and NPR.
But this database is limited and seems not to represent a wide
variety of soft and clay-bearing weak rocks, and types of natu-
ral rocks are not given by the manufacturer. In addition, except
a study on its use for assessing the depth of weathering on rock
surfaces (Oyama & Chigira 1999), there is no published work
on this test in literature. By considering this, to develop an
empirical relationship to predict the UCS from NPR, a com-
prehensive testing program was conducted on a number of
specimens prepared from clay-bearing rocks (mudstone, silt-
stone, marl and ignimbrite) which were selected 18 different
locations in Turkey. Then the results of the uniaxial compres-
sion and needle penetrometer tests were statistically evaluated
to establish a prediction equation and compared to test the
prediction performance of this equation.
2 APPARATUS AND METHOD
A general view of the needle penetrometer is shown in Fig-
ure 1. The penetration resistance scale ranges between 10 and
100 N with graduations of 10 N. The maximum diameter
and overall length of the needle penetrometer are 40 mm and
285 mm, respectively, and its weight is about 700 g. The device
consists of eight parts. The names and functions of these parts
are described below.
In Fig. 1, part 1 is presser that provides measurement of
the penetration as well as protection of the penetration needle,
2 is the chuck used for fixing the penetration needle, 3
is the penetration scale (010 mm with 1 mm graduation),
4 is the load scale, 5 is the load indication ring, 6 is
the UCS-NPR correlation chart given by the manufacturer,
7 is the removable cap (spare penetration needles contained
in the grip) and part 8 is the penetration needle produced
according to the Japan Civil Engineering Societys guideline.

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2007 Taylor & Francis Group, London, UK

 Figure 2. A view of the needle penetration test carried out in
laboratory.

Figure 1. Needle penetrometer and its parts (modified from Maruto

Corporation 2006).

In order to change the needle, the presser (1) is removed

from the penetration scale (3) using vertical and horizontal
notches on it, then the chuck (2) is turned counterclockwise
and the penetration needle is inserted. Then the chuck is turned Figure 3. Schematic illustration of an invalid test.
clockwise for fastening and fixing the needle and the presser
is set using the vertical notch for zero point adjustment of the on core specimens in laboratory (Fig. 2), the test results should
penetration scale (3). The load indication ring (Fig. 1, part 5) be considered as invalid if some fractures develop around the
is a split type and is to be adjusted by sliding with finger. penetration hole as illustrated in Figure 3. Since development
Before testing the surface, on which the test would be of such fractures during penetration may result in a loosened
carried out, might be clean and smooth. If there are some zone which causes an abnormal further penetration.
asperities or the test would be carried out on a rock face at
field, the asperities have to be removed by using sandpaper
3 EXPERIMENTS AND PREDICTION MODELS
or pocketknife. Then by holding rather tightly the removable
cap and the main body, the load is perpendicularly and slowly
For the purpose, block samples of weak and clay bearing rock
applied to rock surface. If the test is carried out in laboratory,
blocks were collected from outcrops, quarries, open pit and
the specimen should be fixed to prevent its movement during
underground mines at different parts of Turkey. A total of 19
penetration as shown in Fig. 2. For weak and saturated rocks,
different locations were selected for sampling. Based on the
the needle may be penetrated to a maximum depth of 10 mm.
field descriptions and the results of X-ray diffraction analysis,
When this depth is reached, no more penetration could be
the rock types included mudstone (5), claystone (3), siltstone
applied and the needle is slowly pulled out. Where the rock is
(6), marl (7) and ignimbrite (1). However, core specimens suit-
hard and the penetration force has come up to 100 N before the
able for uniaxial compression test couldnt be obtained from
needle penetrates for 10 mm, the needle is withdrawn. After
the claystone blocks due to their fragmentation during cor-
the test is completed, the load and penetration depth are read
ing, and therefore, the claystones collected were not included
from the load scale (4) and the position of the presser on the
into the testing program. A total of 120 core specimens were
penetration scale (3), respectively. Then the NPR is calculated
extracted from these four rock units and used both for UCS
from the following equation.
and NPR determinations. Then UCS and NPR tests were car-
ried out on dry and saturated samples, and samples waited in
a humidity room with 90100% relative humidity. The UCS
tests were performed in accordance with the suggestion out-
lined by ISRM (1981) using a standard compression machine.
where F = load (N); and D = depth of penetration (mm). A needle penetrometer of Model SH-70 was utilized for the
Although there is no available standard or suggested method measurement of NPR values. The number of NPR readings
for this test, the authors suggest that when the test is carried out taken from each specimen was between 3 and 10, and the

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2007 Taylor & Francis Group, London, UK

 Table 1. NPR values of rocks having different water
contents.
NPR (N/mm)

Neogene Pre-Neogene

NPR(D) 20.4125.0 125.0500.0

NPR(90100%) 6.383.3 50.0200.0
NPR(WS) 2.547.6 29.0120.7

NPR(D) : dry samples; NPR(90100% : samples waited

in a humidity room with 90-100% relative humidity;
NPR(WS) : saturated samples.

Figure 6. Relationship between the UCS and NPR based on the data
from saturated samples.

Figure 4. Relationship between the UCS and NPR based on the data
from dry samples.

Figure 7. Relationship between UCS and NPR based on data from

this study and Maruto Corporation (www.maruto-group.co.jp).

that it would be better to suggest a general relationship between

the UCS and NPR including all available data from the clay-
bearing rock materials. For this reason, both the test results
from this study and the data from the manufacturer were com-
bined and evaluated by regression analysis for establishing
a general prediction model between the UCS and NPR. Based
on the regression analyses, the following empirical relation-
ship with a high coefficient of correlation between the UCS
and NPR was obtained (Fig. 7).
Figure 5. Relationship between the UCS and NPR for the samples
waited in a humidity room with 90100 % relative humidity.

mean of the NPR readings for each specimen was considered

in the statistical assessments.
Because different degrees of lithification of the studied rock
units, summary of the needle penetrometer test results is given
in Table 1 in terms of their geological ages. At P = 0.05 level
and based on the F-test statistics, the relationships between
UCS and NPR for the specimens under different water condi-
tions are statistically significant and yield high coefficient of
correlations (Figs. 4 to 6).
By considering the highly sensitive feature of clay-bearing
rock materials against wetting-drying process, it is concluded
In order to determine the prediction performance of Equa-
tion 3, the UCS values predicted from this equation were
compared to the measured UCS values (Fig. 8). The points
should be on the line with a 1:1 slope for a perfect prediction,
and on lines with 1:0.5 and 1:2 slopes when the prediction is
half or twice the measured value, respectively. As seen from
Fig. 8, the majority of the points fall very close to 1:1 line and
between the lines 1:1 and 1:0.5 indicating a general agreement
between the predicted and measured UCS values.

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2007 Taylor & Francis Group, London, UK


Figure 8. Comparison between the measured and predicted values
of the UCS of the studied clay-bearing rocks.
4 CONCLUSIONS
In this study, the needle penetration and uniaxial compres-
sion test results from clay-bearing weak rocks collected from
Turkey were presented and then combined with those from
the manufacturer of the needle penetrometer to provide some
contributions to indirect estimation of the UCS from NPR.
On the basis of the results obtained in this study, the following
conclusions are drawn.
The results show that there is a relationship between the
UCS and NPR. In addition, the UCS values obtained from
the prediction equation suggested in this study show a general
agreement to those determined from the laboratory tests.
This is a cheap and practical test which can be carried out
both on rock outcrops in the field without any sampling or
in laboratory using a portable device. This test also seems
particularly useful for clay-bearing weak rocks from which
preparation of convenient core specimens is considerably
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2007 Taylor & Francis Group, London, UK
difficult even for other simple index tests. However, it is con-
cluded that for the universal application of this test to predict
the UCS, further testing involving various soft and weak rock
types will be useful, and comparison of the UCS values not
only those predicted from the NPR values but also from those
predicted from other index tests such as Schmidt hammer,
point load index and block punch index tests is suggested to
be made. Such a comparison will provide a general idea about
the performance of the needle penetration test for indirectly
estimating of the UCS.
ACKNOWLEDGEMENTS
This study is a part of a research project on the mechanical
behavior of clay bearing rocks supported by the Scientific
and Technological Research Council of Turkey (TUBITAK)
(Project No. 104Y363). The authors are also thankful to mer
Aydan from Tokai University of Japan for his comments.
REFERENCES
ASTM, 1994. Annual Book of ASTM Standards-Soil and Rock, Build-
ing Stones, Section 4, Construction, V.04.08. West Conshohocken,
PA, ASTM International.
Bieniawski, Z. T. 1989. Engineering rock mass classifications. New
York, John Wiley and Sons.
ISRM, 1981. ISRM Suggested Methods: Rock Characterization,
Testing and Monitoring. E. T. Brown (ed.), London, Pergamon
Press.
Maruto Corporation 2006. Penetrometer for Soft Rock: Model SH-70
Instruction Manual. Tokyo, Japan.
Oyama, T. & Chigira, M. 1999. Weathering rate of mudstone and tuff
on old unlined tunnel walls. Engineering Geology, 55, 1527.
Ulusay, R., Gokeoglu, C. & Sulukcu, S. 2001. Draft ISRM sug-
gested method for determining block punch strength index (BPI).
International Journal of Rock Mechanics & Mining Sciences, 38,
11131119.
 Evaluation of Brazilian tensile strength in transversely isotropic sandstone

A. Tavallali, B. Debecker & A. Vervoort

Department of Civil Engineering, Katholieke Universiteit Leuven, Leuven, Belgium

ABSTRACT: Results are presented of an experimental study of failure patterns in transversely isotropic sandstone samples
induced by the Brazilian tensile test. The variation of the strength and the failure pattern is examined as a function of the
inclination angle between the isotropic plane and the loading direction. For each sample, the length of fractures parallel to the
(isotropic) layers, as well as corresponding to other directions are determined. For the transversely isotropic sandstone in this
study, the transition angle range (45 60 ) is determined whereby the relative importance of both types of fractures switches
(i.e. parallel to isotropic layers and others).

1 INTRODUCTION

In general, rock material near the earths surface has mechani-

cal properties that can change as a function of the direction, or
in other words are anisotropic. More and more this anisotropy
is taken into account when testing the rock material, as input
for the design and for numerical modelling. Hence, the knowl-
edge of the anisotropic properties is required in studies of civil,
mining and petroleum engineering with applications like e.g.
stability of underground excavations, slope stability, borehole
deformation and breakage of rock by mechanical tools and
explosives. Despite its importance, rock anisotropy is often
poorly understood.
In this study, one specific form of anisotropy is considered,
namely transversal isotropy. The tests are conducted on strat-
ified sandstone and the Brazilian tensile method (diametrical
loading of cylindrical discs) is applied.
Although in situ rock is mostly in compression, tensile
stresses could be encountered on a macro-scale in the vicinity
of excavations or around boreholes and are certainly present
on micro-scale. The Brazilian test has proved to be a simple,
fast and relatively reliable technique for tensile strength esti-
mation of rock (Jaeger & Cook 1969). Recently the Brazilian
test has been used to model the effect of linear discontinuities
and their stiffness on the activation of the discontinuities and
on the occurrence of newly induced fractures (Debecker et al.
2006).
The experimental research in this paper focuses at macro-
scale on the effect of the layering orientation on failure strength
and failure pattern of transversely isotropic sandstone. To
study fracturing and the fracture pattern obtained in the Brazil-
ian tests on micro-scale thin sections perpendicular to the
fracture surface will be prepared in a further study, similar
to studies by e.g. Van de Steen et al. (2002) and Ganne & Ver-
voort (2006). They studied also the correlation with acoustic
emission measurements.
2 MATERIAL AND METHOD
Blocks of sandstone were taken from a quarry in Modave in
the South of Belgium. This type of sandstone is also known as
Psammite of Condroz (Poty & Chevalier 2004). This sand-
stone is characterized by numerous thin and parallel layers.
Figure 1. Disc shape sample and configuration of layers in Brazilian
tests. varies between 0 and 90 .
The plane of transverse isotropy is assumed to be parallel to
the apparent direction of rock layering.
The rock was cored in the laboratory by using a 50 mm
diameter drill bit. The direction of coring was parallel to the
layering. For the test, a thickness-to-diameter ratio (t/D) of 0.5
was taken. In this study, a total of 31 Brazilian tests were con-
ducted. All tests were carried out by using a loading machine
with a loading capacity of 100 kN, at a constant displacement
rate of 1 mm/min. The disc shape samples were positioned as
in Figure 1 and loaded vertically.
3 BRAZILIAN TEST RESULTS
The rock layers were inclined at different angles ranging
between 0 (perpendicular to the loading direction) and 90
(parallel to the loading direction). Nine different values were
considered: 0, 15, 30, 45, 60, 65, 70, 80 and 90 .
Since one sample is not necessarily representative for
the failure behaviour corresponding to a specific inclination
angle, two to five samples were tested per inclination angle
value. Figure 2 presents the variation of the average Brazilian
tensile strength (BTS) with the inclination angle . The aver-
age BTS varies between 15.1 MPa and 9.5 MPa. The smallest
value corresponds to equal to 80 . This seems to be con-
sistent with the experimental results of Chen et al. (1998) on
two kinds of transversely isotropic sandstone. However, the
difference between the maximum and minimum value of BTS
was considerable for the experiments of Chen et al. (1998),
while in this study a relatively small difference is considered.
In the experiments of Chen et al. (1998), the BTS-values for
= 0 and 90 were close.

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2007 Taylor & Francis Group, London, UK

 20
BTS (MPa)
15
10
5
0
0 15 30 45 60 75
Inclination angle, ()
Figure 2. Variation of average Brazilian tensile strength, BTS, as a
function of the inclination angle .
Figure 3. Schematic representation of different fracture types in
Brazilian test. (1) Layer activation, (2) Central fracture, (3) Non
central fracture.
Figure 4. Schematic representation of combinations of different
failure modes in Brazilian tests.
Similar to the idea introduced by Szwedzicki (2006) for
UCS-tests, different failure modes are suggested. By consid-
ering the samples after failure different types of fractures are
observed (see Figure 3): (1) Some fractures are parallel to the
isotropic layers which are further called layer activation;
(2) Some fractures are roughly parallel to the loading direction
and they are located in the central part of the sample between
the two loading lines. The central part is defined as 10% of
the diameter on both sides of the central line. These fractures
are further called central fractures; (3) Fractures outside
the central part are also observed. If they do not correspond
to layer activation, they are further called non central frac-
tures. The latter are often curved lines, starting at or around
the loading platens.
In most cases, two or three different fracture types occur
in the same experiment (see Figure 4). It is good to note that
in case of = 90 and when a straight fracture between both
loading platens is induced, this is classed as layer activation
and not as central fracture.
The predominant failure mode of the samples are observed
as follows: (1) central fracture(s) when inclination angle is
equal to 0 , 15 or 30 , (2) combination of central fracture(s)
and layer activation when is equal to 45 or 60 and (3)
layer activation when is equal to 65 , 70 , 80 or 90 . Some
typical samples after failure are shown in Figure 5 for each
inclination angle. Apart from the predominant failure mode
some secondary fractures are also observed.
The failure patterns corresponding to = 0 and = 90
look similar. However for = 0 (layers perpendicular to
the loading direction) the average BTS is 14.1 MPa which
2007 Taylor & Francis Group, London, UK
90
Figure 5. Observed failure patterns of Brazilian test for different
values of q (one typical sample for each group). The predomi-
nant mode is put in parentheses, CF, = Central fracture, LA = Layer
activation.
should rather correspond to the tensile strength of the intact
material, while for = 90 (layers parallel to the loading direc-
tion), the average BTS is 10.4 MPa. The latter should rather
correspond to the tensile strength of the layers.
Figure 5 shows that for situated between 45 and 60 ,
both failure modes are present, but as increases, layer acti-
vation becomes more dominant. So it can be concluded for this
transversely isotropic sandstone that below a certain transition
angle, fractures are mainly in the central zone (central fracture
mode). Above that transition angle, fractures are parallel to the
isotropic layers (layer activation mode). To determine more
precisely the transition angle, the failure modes are quantified
by estimating the fracture length.
4 FRACTURE ANALYSES
The fracture length within the various rock samples is esti-
mated and used as a tool to distinguish between the different
failure modes. First, the length of all fractures in the samples
is measured. Second, the length corresponding to the various
fracture types is considered. When a fracture is classified as
layer activation the entire length, including the part within the
central zone, is put into the total sum of layer activation. In
a similar way, if the major part of a curved shape fracture
(e.g. the non central fracture in Figure 3) is outside the central
zone, the entire length including the small portion in the cen-
tral zone, is put into the total sum of non central fractures. The
fracture pattern in some of the samples is true three dimen-
sional and on both sides of the sample, the fracture pattern
is different. In such cases, averages of the fracture lengths on
both sides are considered.
Variation of the fracture length corresponding to layer acti-
vation and to central fracture(s) as a function of the inclination
angle are plotted in Figure 6 for individual samples. Figure
6a shows that when the inclination angle exceeds 60 , a
considerable decrease in the length corresponding to central
fracture(s) is observed. Figure 6b shows that for inclination
angle smaller than 45 , the length corresponding to layer
activation is very small, sometimes even negligible. When
exceeds 45 , layer activation becomes significant. For
between 45 and 90 , there is an increasing trend for this
270
 (central fracture), mm
Fracture length
(layer activation), mm
Fracture length
Figure 6. Variation of fracture length as a function of the inclination
angle , (a) Central fracture(s), (b) Layer activation.
Average fracture length (mm)
150
100
50
0
0 10 20 30 40 50 60 70 80 90
Figure 7. Variation of average fracture length as a function of the
inclination angle .
length. By comparing Figure 6a with Figure 6b it can be con-
cluded that a transition of fracture type probably occurs for an
angle between 45 and 60 .
For all samples corresponding to one angle value, the aver-
age fracture length is calculated. Variation of the three types
of fractures, as well as the total fracture length is plotted as a
function of the inclination angle in Figure 7. It shows that for
smaller than 30 the fractures parallel to the isotropic layers
are small and when exceeds 70 the fracture length cor-
responding to central fracture(s) becomes small. This Figure
also illustrates that the non central fracture length is nearly
constant and thus independent of , at least for the interval
0 to 65 . When the inclination angle increases from 30
to 90 , the length of central fracture(s) decreases while the
length corresponding to layer activation increases.
In Figure 8, the percentage of central fracture(s) and layer
activation compared to the total fracture length is given as a
function of the inclination angle. Central fracture(s) is pre-
dominant for an inclination angle of 0 to 45 , while layer
activation is the main failure mode above 60 .
From the above explanation, it can be concluded that the
transition angle, which indicates the change of failure mode
from central fracture to layer activation, is in the range of 45
and 60 in this type of transversely isotropic sandstone.
2007 Taylor & Francis Group, London, UK
(a) Layer activation
Relative fracture length (%)
200 100
Central fracture
150
80
100
60
50
0 40
0 10 20 30 40 50 60 70 80 90 20
Inclination angle, ()
0
0 10 20 30 40 50 60 70 80 90
200 (b)
Inclination angle, ()
150
100 Figure 8. Variation of fracture length percentage corresponding to
central fracture(s) and layer activation as a function of the inclination
50 angle .
0
0 10 20 30 40 50 60 70 80 90
5 DISCUSSION
Inclination angle, ()
The experimental study on the sandstones from Modave in
the South of Belgium, which are assumed to be transversely
isotropic, shows that the failure stress and fracture pattern are
considerably affected by the layer orientation. However, some
Total
other sandstone blocks of the same quarry were also tested,
but they did not show any effect of the disc orientation. Further
Layer activation
Central fracture analyses must be undertaken to quantify the reasons for this
Non central fracture
different behaviour, on relatively similar rock material.
Results of an experimental study of the Kaiser or mem-
ory effect in cyclic Brazilian tests by Lavrov et al. (2002)
present the importance of disc rotation. They studied lime-
stone samples, which can be considered as isotropic, and
rotated the samples between loading cycles while measuring
acoustic emission. In the first loading cycle, micro-fractures
corresponding to the loading direction are induced. By these
micro-fractures, material is not isotropic anymore at the start
Inclination angle, () of the second loading cycle. Somehow it becomes similar to
transversely isotropy, at least in the central zone. Lavrov et al.
(2002) observed that the Kaiser effect becomes gradually less
pronounced with increasing rotation angle and remains only
detectable for angles smaller than 10 . Rotation by more than
10 results in complete disappearance of the Kaiser effect.
In the experiments presented here, the influence of the incli-
nation angle corresponding to the material axes is probably
larger than 10 . Experiments of cyclic loading of transversely
isotropic sandstone with disc rotation between cycles are
planned.
Another study which is currently being performed is based
on a transversely isotropic siltstone. This study shows similar
results, as the ones presented in this paper, but also some inter-
esting differences are noted. The strength contrast between the
direction of layering (i.e. sedimentary bedding planes) and any
other direction in this siltstone is larger than observed in the
Modave sandstone. This results always in layer activation of
the siltstone samples, independent of the inclination angle.
Central fracture(s) may, however, occur, but their length is
always smaller than the length corresponding to layer activa-
tion. In the siltstone samples, the minimum length of layer
activation occur logically when layering is perpendicular to
the loading direction ( = 0 ). For the siltstone the relative
length corresponding to layer activation and to central frac-
ture(s) are respectively 52% and 31%, while for the Modave
sandstone the values are respectively 1% and 82%. In other
words, for = 0 , the layer activation is negligible for the
Modave sandstone, but certainly not for the siltstone. Again
271
further research should quantify the reasons for the different
types of behaviour.
ACKNOWLEDGEMENT
The financial support of the Research Council of the
Katholieke Universiteit Leuven (OT-project OT/03/35) is
gratefully appreciated.
REFERENCES
Chen, C. S., Pan, E., Amadei, B. 1998. Determination of deformabil-
ity and tensile strength of anisotropic rock using Brazilian tests.
Int. J. Rock Mech. Min. Sci. 35: 4361.
Debecker, B. & Vervoort, A. 2006. Fracturing in and around a natural
discontinuity in rock: a comparison between boundary discontinu-
ity and discrete element models. 5th Int. Conf. Eng. Comp. Tech.,
Proc. Paper 168, Las Palmas de Gran Canaria, 1215 Sept 2006.
Civil- Comp LTD.
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2007 Taylor & Francis Group, London, UK
Ganne, P. & Vervoort, A. 2006. Characterisation of tensile damage in
rock samples induced by different stress paths. Pure appl. geophys.
163: 21532170.
Jaeger, J. C. & Cook, N. G. W. 1969. Fundamentals of Rock
Mechanics. London: Methuen & Co. Ltd.
Lavrov, A., Vervoort, A., Wevers, M., Napier, J.A.L. 2002. Experi-
mental and numerical study of the Kaiser effect in cyclic Brazilian
tests with disk rotation. Int. J. Rock Mech. Min. Sci. 39: 287302.
Poty, E. & Chevalier, E. 2004. Lactivit extractive en Wallonie, Sit-
uation actuelle et prespectives. Belgium, Ouvrage publi par le
Ministre de la Region wallonne.
Szwedzicki, T. 2006. A Hypothesis on Modes of Failure of Rock
Samples Tested in Uniaxial Compression. J. Rock Mech. Rock Eng.
In press.
Van de Steen, B., Vervoort, A., Sahin, K. 2002. Influence of internal
structure of crinoidal limestone on fracture paths. Eng. Geol. 67:
109125.
 Evaluation of fracturing process of soft rocks at great depth by AE measurement
and DEM simulation

Y. Mito, C.S. Chang & K. Aoki

Kyoto University

H. Matsui & S. Niunoya

Japan Atomic Energy Agency

M. Minami
Tokyo Electric Power Company

ABSTRACT: The monitoring of EDZ (Excavation Disturbed Zone) is one of the most important required technologies for the
design of rock caverns such as the high-level radioactive waste repository. The authors developed the stress-based evaluation
system of EDZ byAE monitoring and DEM (Distinct Element Method) simulation, and verified the applicability of this system to
the hard rock site. In order to apply this system to the soft sedimentary rock site, the authors examine the relationship betweenAE,
stress change and rock failure in the soft sedimentary rock by conducting the high stiffness triaxial compression tests including
AE measurements, and its simulations by DEM using the bonded particle model. As the result of the triaxial compression tests,
it is clarified that predominant AE frequency is a significant AE parameters to monitor the stress change in fracturing process
of soft sedimentary rocks. After that, the DEM simulation of the triaxial compression test using the bonded particles model is
conducted to visualize the fracturing process in the rock specimen. As the results of the above examinations, the relationship
between AE, stress change and rock failure in the soft sedimentary rock is clarified. Furthermore the three-dimensional DEM
simulation under the in-situ stress condition provides a successful result to examine the borehole breakout observed in the
actual deep borehole in the soft sedimentary rock, and the applicability of the simulation to the actual field is verified.

1 INTRODUCTION examine the AE behavior and rock fracturing process in the

Underground excavation causes Excavation Disturbed Zone
(EDZ) around the opening. It is very important to evaluate
the EDZ accurately for the safety assessment and the develop-
ment of the basis for engineering technologies of the high-level
nuclear waste repository. Especially in highly stressed rocks
at great depth, the formation of EDZ is strongly influenced
by stress change in the rock mass. Therefore, it is essential to
evaluate EDZ with stress change. For this purpose, AE mea-
surement would be a suitable in both of scientific and practical
point of views, and this will enable to evaluate EDZ accurately.
In order to establish stress based evaluation system of EDZ,
the authors have already examined the relationship between
AE, stress change, and fracturing in highly stressed hard rock
masses by the AE measurement and the DEM simulation using
the bonded particles model. Based on this relationship the
authors developed the EDZ evaluation system (Aoki et al.,
2004), and the applicability of this system is verified by the
field applications (Aoki et al., 2005). However, there is a few
case history that the AE monitoring was carried out in the soft
sedimentary rocks because of the lower AE counts, smaller AE
energy, and higher attenuation feature than those in the hard
rocks, This study examine the EDZ evaluation system for the
soft sedimentary rock site at great depth. In order to apply this
system to the soft sedimentary rocks, it is necessary to clarify
the relationship between AE, stress change and rock failure
in the soft sedimentary rocks. The high stiffness triaxial com-
pression tests including AE measurements and its simulations
by DEM using the bonded particle model are carried out to
soft sedimentary rocks. Furthermore the three-dimensional
DEM simulation under the in-situ stress condition is also car-
ried out to examine the applicability of the simulation to the
actual field.
2 LABORATORY TEST
The high stiffness triaxial compression tests including AE
measurements are carried out to examine the relationship
between AE behavior and stress change in the rock fractur-
ing process of the soft sedimentary rock samples. The rock
specimens are manufactured from the drilling core obtained
from the deep borehole at the Horonobe URL site (JAEA) in
Hokkaido, Japan.
2.1 The test specimens and the test method
The 6 cylindrical specimens with a height of 100 mm and
diameter of 50 mm are manufactured from the drilling core
obtained from the soft sedimentary rocks at the depth of
380460 m in the Wakkanai formation (upper Miocene).
The foliation with a dip angle of 45 is perceived in every
specimen. The properties of the specimens are as follows;
Unit weight: 1819 kN/m3
Ultrasonic velocity: 2.12.2 km/s
Uniaxial strength: 520 MPa (*)
E50: 10003,000 MPa (*)

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2007 Taylor & Francis Group, London, UK

 50mm the stress reaches the residual strength as well as hard rocks.
However, it is difficult to calculate a significant m-value when
the AE couts shows very low because the accuracy of m-value
strongly depends on the number of AE waves.
In every test case, the predominant AE frequency starts
to decrease as the stress reaches the yield strength, drasti-

100mm
Before test After test cally decreases when the stress reaches the peak strength,
continues to decrease until the stress reaches the residual
strength, and becomes stable. In general, the attenuation fea-
ture of the rock increases as the fracturing process progresses.
Higher frequency AE waves are hard to propagate in the
materials with high attenuation feature than lower frequency
peak residual
AE waves. Thus the observed predominant AE frequency
yield
300 150 400 6 decreases as the fracturing process progresses. Furthermore,
Predominant AE frequency the observed predominant AE frequency in the soft sedimen-
tary rock shows more characteristic behavior than that in hard

Predominant AE frequency [kHz]

240 120 350 5
rocks. It is considered that the predominant AE frequency in
Differential stress [MPa]

AE counts [count/sec]

the soft sedimentary rocks is strongly influenced by the crack

180 90 300 4 initiation process because soft sedimentary rocks are more
m-value
m-value homogeneous than hard rocks which frequently include het-
120 60 250 3 erogeneous micro cracks. Hence, this parameter would be an
effective parameter to monitor the fracturing process in soft
sedimentary rocks.
60 30 200 2
Differential stress

0
AE counts
0 150 1
3 DEM SIMULATION OF THE FRACTURING
0 1.0 2.0 3.0 PROCESS
Strain [%]

Figure 1. An illustration of the stress strain curve and the behavior

The DEM simulations using the bonded particle models are
of the AE parameters (confining pressure = 6.0 MPa). carried out to examine the relationship between AE behav-
ior and rock fracturing process in the soft sedimentary rock
(*) the result of uniaxial tests using the same kind of specimens specimens. A series of the numerical biaxial tests are imple-
at the depth of 380460 m. mented by applying the servo-controlled confining pressure
and the displacement-controlled vertical load, as applied in
the triaxial tests.
2.2 The test method
A stiff and servo-controlled triaxial compression testing sys- 3.1 The DEM modelling
tem that gives the complete stress-strain curve is used in this
study. Two AE sensors are attached to the both pedestals. The contact bonded particles model is used for the DEM sim-
The cylindrical specimen is subjected to the fixed con- ulations of the laboratory tests. The micro-parameters which
fining pressure of 0.5, 2.0 or 6.0 MPa (in situ minimum represent the anisotropic properties of the soft sedimentary
stress). The displacement-controlled loading with increasing rocks listed below are calibrated by the numerical biaxial tests.
displacement rates of 0.05 mm/min is performed. The broad- Elastic moduli of the particles
band (100 kHz to 1 MHz) AE sensors are used for the AE Strength of the contact bonds between the particles that
measurement. The gain of pre and main amplifier is 80 dB. correspond to the intact rock
Strength of the contact bonds between the particles that
2.3 Test results and consideration correspond to the weak portion (line) on the foliation
Spacing of the foliation (see Figure 2)
Figure 1 shows an illustration of the test results. The stress, AE
Persistence (length and interval) of the weak portion on the
counts, Predominant AE frequency, and m-value are plotted
as functions of the strain. foliation (see Figure 2)
In every test case, AE counts is much less than that in the The values of micro-parameters of the bonded particles are
hard rock masses. Before the stress reaches the peak stress, specified such that (a) the complete stress-strain behavior is
the AE counts shows very low. Immediately after the stress similar to that of the tested specimen, and (b) the macroscopic
reaches the peak stress, the AE counts suddenly increases, and fractures generated in the bonded particles are similar to those
shows the maximum value before the stress is at the level of the in the tested specimen.
residual stress. After that the AE counts suddenly decreases
and becomes almost 0. Such behavior of AE counts is different
3.2 The results of the simulations
from that in hard rocks. This AE parameter is effective to
judge whether the rock is in the residual state or not, but is not Figure 3 shows an illustration of the transition of crack distri-
effective to evaluate the stress concentration behavior before bution in the simulation as the vertical strain increases. The
the residual state. white circle expresses a newly initiated tensile crack while the
In most of cases, the m-value suddenly decreases and black circle expresses a newly initiated shear crack. The gray
becomes stable when the stress reaches around the yield circle also expresses a previously initiated crack. The radius of
strength, and suddenly increases and becomes stable when the circle represents the increment of the distance between the

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2007 Taylor & Francis Group, London, UK

 50mm
100mm
Figure 2. Schematics of spacing and persistence of the foliation.
Differential stress [MPa]
40
30
20
10
0 0
0 1.0
Strain [%]
yield peak
Tensile crack
Crack aperture
Figure 3. An illustration of the transition of spatial distribu-
tion of micro-cracks as the vertical strain increases (confining
pressure = 6.0 MPa).
bond-failed balls (equivalent to increment of aperture), which
is strongly related to the released strain energy when micro-
crack occurs. When the stress level reaches the yield strength,
the local micro-cracks are initiated at some weak portions on
the foliation. After the stress level reaches the peak strength,
such micro-cracks are propagated and connected each other,
and the major fractures are generated. At that time, the crack
initiation rate shows the highest value and the released strain
energy by cracking shows the largest value. After the stress
level becomes low, the micro-cracks with small released strain
energy are initiated at low rate only along the major fractures.
4 THE RELATIONSHIP BETWEEN AE, STRESS
CHANGE AND FRACTURING
The relationship between AE parameters, stress change and
fracturing is examined here based on the above-mentioned lab-
oratory tests and simulations. The measured behavior of each
AE parameter is compared to the computed crack initiation
behavior along an identical stress path.
As mentioned above, predominant AE frequency that
reflects the change in attenuation feature of rocks would be
an effective parameter to monitor the fracturing process in
soft sedimentary rocks. The behavior of predominant AE fre-
quency can be interpreted by the cumulative density of the
2007 Taylor & Francis Group, London, UK
l: length, b: interval
s: spacing
s l
Figure 4. The bonded particles model for the DEM simulation.
initiated cracks as a function of strain. Predominant AE fre-
40
quency starts to decrease after the stress level reaches the
Crack Initiation rate
30 yield strength as the micro-cracks starts to be initiated. Then,
predominant AE frequency drastically decreases as the crack
20 initiation rate shows the maximum value after the stress level
10 reaches the peak strength. Finally, predominant AE frequency
gradually decreases and shows stable as the crack initiation
rate decreases and becomes almost 0, after the stress level
2.0 3.0
reaches the residual strength. Hence, the stress state and
the extent of fracturing can be inferred by the behavior of
predominant AE frequency.
5 FIELD APPLICATION
The bonded particles model of the soft sedimentary rock,
which is constructed in section 3, is applied to the examina-
tion of the borehole breakout observed at the depth of 850 m
Shear crack Previous
Pr vious crack
crack in the actual borehole in the soft sedimentary rock. The three-
dimensional DEM simulation is carried out. The in-situ stress
10 20 30[m]
obtained from the hydrofracturing method is applied to the 3
dimensional bonded particles model, and the cylindrical part
in the center is removed (the borehole excavation) as shown
in Figure 4.
As the result of the simulation, the stress concentration is
observed near the borehole wall in the direction of minimum
stress axis as shown in Figure 5(a). The cracks are mainly
initiated at the region where the stress is changed. Furthermore
the cracks with large aperture are concentrated especially at
the region where the stress relaxation is occurred as shown
in Figure 5(b), and the change in porosity is large near the
borehole wall as shown in Figure 5(c).
Figure 6 shows the stress paths of several points around
the borehole. In this diagram, the failure envelope of the rock
specimen (the dotted line) is also plotted. The black curve
represents the stress path observed at the points where the
borehole breakout was occurred, while the white curve repre-
sents the stress path observed at the points where the borehole
breakout was not occurred. Theoretically, the black curve must
intersect the failure envelope, while the blue line must be
located below the failure envelope.
Furthermore, the spalling limit (the thin line) should be
applied to the stress path at the points near the borehole wall
(i.e. depth of 10 mm) as shown in Figure 6, because the large
stress reduction of the minimum stress suddenly occurred
immediately after the borehole excavation. In fact a lot of
tensile cracks which are perpendicular to the borehole wall
are observed in the bonded particles model near the borehole
wall.
Thus, we can have a relevant failure envelope for the
borehole failure in the soft sedimentary rocks by examin-
ing the stress paths obtained from the DEM simulation. This
275
Figure 5. The excavation disturbances around the borehole simulated by DEM (The dotted line shows the borehole wall).

Figure 6. The stress paths of several points around the borehole. The black curve represents the stress path observed at the points where the
borehole breakout was occurred, while the white curve represents the stress path observed at the points where the borehole breakout was not
occurred.

fact shows the DEM simulation is effective to evaluate the
actual rock fracturing process under the in situ stress, and the
applicability of the evaluation method is verified.
6 CONCLUSION
The authors examine the relationship between AE, stress
change and rock failure in the soft sedimentary rock by con-
ducting the high stiffness triaxial compression tests including
AE measurements, and its simulations by DEM using the
bonded particle model. As the result of the triaxial com-
pression tests, it is clarified predominant AE frequency is a
significant AE parameters to monitor the stress change in the
fracturing process of the soft sedimentary rocks. After that,
the DEM simulation of the triaxial compression tests using
the bonded particle model is conducted to visualize the frac-
turing process in the rock specimen. As the results of the above
examinations, the relationship between AE, stress change and
rock failure in the soft sedimentary rock is clarified. Further-
more the three-dimensional DEM simulation under the in-situ
stress condition provides a successful result to examine the
borehole breakout observed in the actual deep borehole in the
soft sedimentary rock, and the applicability of the simulation
to the actual field is verified.
REFERENCES
1) K. Aoki et al.: Evaluation of behavior of EDZ around rock cavern
by AE measurements and DEM simulation using bonded particle
model, ARMS2004, Kyoto, Japan, 2004.
2) K. Aoki et al.: Evaluation of EDZ around highly stressed rock
cavern by AE measurements, EUROCK05, 2005.
3) Cundall, P. A., & Strack, O. D. L. 1979. A Discrete Numerical
Model for Granular Assemblies, Geotechnique 29: 4765.

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 Evaluation of groundwater flow during excavation of shafts by inversion of tilt data

K. Matsuki
Department of Environmental Studies, Tohoku University, Sendai, Japan

K. Nakatani
Department of Environmental Studies, Tohoku University, Sendai, Japan
Tokyo Gas Co., Ltd., Japan

T. Arai & K. Ohmura

Daiwa Geological Laboratory, Ltd., Fukushima, Japan

R. Takeuchi, Y. Arai & S. Takeuchi

Japan Atomic Energy Agency, Mizunami, Japan

ABSTRACT: By modifying the method proposed by Vasco et al., we developed a revised method for more accurately estimating
a change in groundwater volume by an inverse analysis of tilt data, and groundwater flow at the site of the Mizunami Underground
Research Laboratory in the Tono area, Japan, was evaluated during the excavation of two shafts, based on tilt data measured
by four tiltmeters with a resolution of 109 radians. The revised method developed in this study reproduced the tilt data
accurately, and the results obtained by the inverse analysis showed that the heterogeneous flow of groundwater occurred during
the excavation and that groundwater came mainly from the sedimentary rock lying between two faults. The latter result is
consistent with the previous finding that these faults have low permeability and may act as a flow barrier.

1 INTRODUCTION excavation of two shafts, based on tilt data measured by four

tiltmeters with a resolution of 109 radians.
Groundwater flow must be evaluated for a large volume of
rock mass in designing underground repositories for high-
level radioactive wastes. Although in situ measurements using 2 A REVISED VASCOS METHOD FOR EVALUATING
boreholes can evaluate groundwater flow, they only provide GROUNDWATER FLOW
information in a relatively narrow region. Recently, a tech-
nique for measuring tilt with a resolution of 109 radians 2.1 Theory and Vascos method
has been demonstrated, and a method for evaluating ground- We consider the i-th component of tilt ti (x) (i = 1, 2) at a point
water flow by an inversion of tilt data has been developed x (x1 , x2 , x3 ) on the surface when a change in groundwater
by Vasco et al. (1998). In this method, a change in ground- volume per unit volume of rock v(s) occurs at a point s
water volume is estimated from tilt data measured on the (s1 , s2 , s3 ) in a region V within which flow of groundwater
surface by using a theoretical relation between tilt and a occurs. The x3 -axis is vertical and positive in the downward
change in groundwater volume in a homogeneous, isotropic direction. The inversion for determining v(s) in region V
and water-saturated poroelastic half-space. In this paper, we is based on the following relation between ti (x) and v(s)
refer to this method as Vascos method. Vascos method may (Vasco et al. 1998):
be an inexpensive tool for evaluating groundwater flow in
a large volume of rock mass, since a high-precision tilt-
meter can measure a small change in tilt on the surface
when groundwater volume changes at a great distance from
the surface. Furthermore, this method can be used for long- where B is the Skempton coefficient of the rock and Ti (x, s)
term monitoring of groundwater flow once tiltmeters are is given by
installed.
However, previous research has shown that the results
obtained by Vascos method did not always accurately repro-
duce the tilt data that were used in the inverse analysis (Vasco
et al. 1998, Nakagome et al. 2000) and accordingly, the results where is the Poissons ratio of the rock and
were not always sufficiently reliable. In this paper, by modi-
fying Vascos method, we proposed a revised method for more
accurately estimating groundwater flow by the inversion of tilt
data measured on the surface. This method was used to the site The tilt ti (x) is a gradient (inclination) of the surface in the
of the Mizunami Underground Research Laboratory (MIU) in direction of xi with respect to the coordinate x3 and accord-
the Tono area, Japan, to evaluate groundwater flow during the ingly is positive when the surface is inclined downwards in the

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direction of xi . The value of x3 is zero when the tiltmeter lies
on the surface. In this study, v is taken as positive when the
groundwater volume decreases. Hereafter, we call v simply
the change in groundwater volume for convenience. Note that
v is dimensionless.
In Vascos method, a region V where groundwater flow
occurs is divided into elements in which both the Skemp-
ton coefficient B and the change in groundwater volume v
are constant. Thus, from Equation (1), the tilt data t l (= (t1l ,
t2l )) measured by the l-th tiltmeter are related to the change in
groundwater volume in the j-th element vj by the following
linear equations:
where G is a 2M K matrix and
where M is the number of observation stations for tilt, K is
the number of elements and superscript t means transposition
of the matrix.
In most cases, there are much fewer tilt data than elements.
Accordingly, additional constraints are needed to determine
the most probable value of v by a least-squares method.
Vasco et al. (1998) adopted the sum of the squared first deriva-
tives of v with respect to all coordinates. The first derivatives
of v, which is denoted by S, can be related to the value
of v by using finite difference expressions. Thus, the first
derivatives of v is given by
where D is a 3K K matrix. The most probable value of
v can be determined by minimizing the value given by the
following equation:
where w is the weighting coefficient for the sum of the squared
first derivatives of v. As the value of w increases, solutions
of v can be obtained more easily, while an error in tilt (the
first term in Equation (7)) increases.
The method described above has a few problems that need
to be improved. First, since elements in which v is constant
(constant element) are used, the values of v at the bound-
aries of region V are not zero, while they are zero outside of
region V. Accordingly, step-wise changes in v occur at the
boundaries, which is not realistic. In particular, large values
of v at the boundaries predict that there are regions that have
an appreciable value of v outside of region V while v out-
side of region V is assumed to be zero. Second, the constraints
of the first derivative of v may produce an excessively flat
distribution of v unless w is sufficiently small.
2.2 A revised Vascos method
We developed a revised method by modifying Vascos method
for the terms described above. The features of this revised
method are that 1) a region V is divided into elements in which
the change in groundwater volume v and the Skempton coef-
ficient B vary in a quadratic manner with the coordinates so
that the values of v can be defined at nodes, 2) the values
of v are set to zero at the boundaries of region V and 3) the
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2007 Taylor & Francis Group, London, UK
Figure 1. Site of the Mizunami Underground Research Laboratory
and the locations of the Main and Ventilation shafts, boreholes for
site investigation and tiltmeters.
sum of the squared second derivatives of v is adopted as a
constraining condition that is weighed and added to the sum
of the squared errors in tilt.
In the revised method, relations similar to Eqs. (4) and (6)
are obtained for those between v and both t and the second
derivatives of v by interpolating v at an arbitrary point in an
element with those at the nodes. The constraint of the second
derivatives of v only makes the distribution of v smoother
and does not distort the distribution appreciably. Furthermore,
the condition that the values of v are zero at the boundaries
provides additional constraints to the distribution of v so that
v may approach zero as the position of the node approaches
the boundaries of region V, which may control an overall trend
in the distribution of v. We determined the minimum value
of w when the solution of v was obtained by increasing the
power to 10 w from 20 in steps of 1.
3 APPLICATION OF THE METHOD TO THE MIU
3.1 Site of the MIU
Figure 1 shows the site of the MIU with the locations of the
Main and Ventilation shafts under construction, boreholes for
site investigation and the four tiltmeters. The tiltmeters are
located within a distance of 120 m from the Main shaft and
are called ME02, ME03, ME04 and ME05. For locations of
tiltmeters within the MIU site, we chose points with similar
elevations and as a result, four tiltmeters were placed nearly
in a line. Among the boreholes for site investigation, borehole
DH15 is furthest from the shafts, at a distance of about 500 m.
Previous investigations have shown that several faults exist at
this site and two of them have low permeability in the direction
perpendicular to the strike (Onoe et al. 2005). These faults,
A and B, have a high dip angle and are shown in Figure 1.
In this area, the basement consists of Toki granite, which is
covered by sedimentary rock with a thickness of from 100 m to
200 m. The maximum difference in the elevation of the surface
is about 100 m. The surface of the boundary between the Toki
granite and the sedimentary rock descends toward the east
and the thickness of the sedimentary rock increases toward
the east. Furthermore, geological survey has shown that the
site of the MIU is located above a valley of Toki granite, which
descends toward the SE direction (Nakano et al. 2003).
The Main and Ventilation shafts are 6.5 m and 4.5 m in
diameter, respectively. Figure 2 shows the progress of shaft

Figure 2. Progress of excavation and amount of daily drainage of
groundwater at the Ventilation shaft.
Figure 3. Tilt data after removing noise.
excavation and the amount of daily drainage of groundwater
at the Ventilation shaft from February 1, 2005 to September
30, 2005. At the end of September, the depths of the Main
and Ventilation shafts from the surface reached about 160 m
and about 170 m, respectively, and the bottoms of the shafts
were located near the boundary between the Toki granite and
the sedimentary rock, but were still within the sedimentary
rock. Most of groundwater was drained from the Ventilation
shaft, where the amount of daily drainage rapidly increased in
the middle of June. Thus, the drainage of water at the shafts
caused groundwater flow in this area.
3.2 Measurement and tilt data
The four tiltmeters used in this study were all manufactured
by Pinnacle Technologies, Inc. and had a resolution of 109
radians (nanoradians). The tiltmeters were installed in silica
sand that filled a space within a distance of 100 mm from the
bottom of a borehole 10 m long. The measurement of tilt began
on April 1, 2005, at intervals of 1 min. The raw tilt data con-
tained noise that was mainly caused by tidal force and vibration
due to blasting at the shafts. The former produced a variation
with a period of about 1 day and the latter produced a step-
wise increase/decrease in tilt. We removed the noise caused
by tidal force and changes in both atmospheric pressure and
temperature by using BAYTAP-G (Bayesian Tidal Analysis
Program Grouping Model) software (Ishiguro et al. 1984,
Tamura et al. 1991). For the noise caused by blasting, the step-
wise increase/decrease was simply removed so that data after
blasting would equal the data before blasting.
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2007 Taylor & Francis Group, London, UK
Figure 4. Model for a region of groundwater flow.
Inverse analyses were performed for the data after the tilt-
meters were stabilized, from April 21, 2005 to September 30,
2005. At the beginning of the period, both shafts had already
been excavated to a depth of about 80 m from the surface.
Figure 3 shows changes in tilt during this period. Open circles
indicate the tilt data at the end of the period. Large tilts of
a few tens of microradians (106 ) were observed. This is due
to the fact that a large amount of groundwater was drained at
relatively shallow depths and the tiltmeters are located near the
shafts. The surfaces where tiltmeters ME02, ME03 and ME05
were installed were inclined downwards toward the WSW,
SW and SE, respectively, and these directions did not change
appreciably during the period. However, the direction of the
tilt at ME04, which is located closest to the Ventilation shaft,
changed twice, from W to SSE and from SSE to NNW. The
directions of the tilt at ME02, ME03 and ME05 suggest that
the decrease in groundwater volume occurred continuously
mainly in the south of the Main and Ventilation shafts.
3.3 Inverse analysis
As shown in Figure 4, region V was assumed to be a rectangu-
lar prism with dimensions of xm , ym and zm in the x1 (N), x2
(E) and x3 (vertical) directions, respectively. The center O is
located at a depth of z0 from the surface of a half-space. Since
the bottoms of the shafts were located at a depth of about 80 m
at the beginning of the period and reached a depth of from
about 160 m to 170 m at the end of the period, as described
previously, the values of both zm and z0 were determined to
be 160 m so that the depth of the upper surface of region V is
80 m and that of the center O is 160 m, to perform an inverse
analysis for the total change in tilt during the study period.
Region V consists of 4 4 2 quadratic elements with 20
nodes. Among the overall 245 nodes, v is to be determined
for only 51, since the other nodes lie on the boundaries where
v is zero. We assumed that this area consists of a homo-
geneous rock with a Poissons ratio of 0.25 and a Skempton
coefficient of 0.9.
Measurements of water head in boreholes showed that the
flow of groundwater reached borehole DH15 (Fig. 1) where
the water head began to decrease in the middle of June.
Therefore, we considered that the region of groundwater flow
extended horizontally to more than 500 m from the Main
shaft, since borehole DH15 is about 500 m from the Main
shaft, as described previously. However, we do not have any
other evidence for determining the sizes of xm and ym . There-
fore, inverse analyses were performed for two sets of xm and
ym ; i.e., 1120 m 1120 m and 2000 m 2000 m, which are
called Model 1 and Model 2, respectively. From the result
of an inverse analysis, we determined a contour map of the
distribution of v in the middle plane (x3 = 160 m) of regionV.
Figure 5. Change in groundwater volume per unit volume of rock (v) at 160 m below the surface, estimated for the total change in tilt for
(a) Model 1 and (b) Model 2.
3.4 Results and discussion
The inverse analyses showed that the minimum value of w
for which the solutions of v could be determined was 105
for both models. Since this value of w was sufficiently small,
the error in tilt was also very small: less than 1012 radians.
Thus, the method proposed in this study reproduced the tilt
data very accurately. This means that the distribution of v
was estimated without sacrificing the reproducibility of the
tilt data.
Figure 5 shows the contour map of v within the middle
plane of region V (x3 = 160 m), obtained for (a) Model 1 and
(b) Model 2. The locations of the Main and Ventilation shafts
and the tiltmeters as well as the two faults A and B are shown
in the figure. The Main shaft is located at the center of the
map. The contour line for which v is positive (decrease in
groundwater volume) is indicated by a solid line and that for
which v is negative (increase in groundwater volume) is
indicated by a broken line. Note that the unit of v is104 for
these figures.
These results show that heterogeneous flow of groundwater
occurred in this area. Regardless of the assumed size for region
V, there are three regions where v decreased, denoted by D1,
D2 and D3, and two regions where v increased, denoted by
I1 and I2. When the distribution of v obtained for Model 1
(1120 m 1120 m) is compared to that obtained for Model 2
(2000 m 2000 m), they approximately coincide with each
other, although the locations of the center of the regions
where the volume in groundwater decreased or increased are
slightly different. In fact, v obtained for Model 2 is small in
most regions that are not included in Model 1, which is indi-
cated by broken lines in Figure 5 (b). Thus, the assumed size
for the region of groundwater flow has only a small effect,
although we adopted the assumption that the rock mass is
a homogeneous half-space.
The results also indicate that the decrease in groundwa-
ter volume occurred mainly in the area surrounded by faults
A and B (Fig. 5 (a)), which is called region AB. This is con-
sistent with the finding obtained in previous investigations
that the permeability of these faults is low in the direction
perpendicular to the strike. Note that the Ventilation shaft is
located within region AB and the Main shaft is located almost
on fault A. The value of v is much greater in D2 than that
in D1. Thus, groundwater mainly came from the sedimen-
tary rock south of the Ventilation shaft. Furthermore, there
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2007 Taylor & Francis Group, London, UK
are two regions where v increased (I1 and I2), which are
located almost outside of region AB. One possible interpre-
tation for this finding is that faults A and B acted as flow
barriers against groundwater inflow that occurred in far fields
and groundwater accumulated in the regions of I1 and I2.
4 CONCLUSIONS
By modifying the method proposed by Vasco et al. (1998), we
developed a revised Vascos method for more accurately esti-
mating groundwater flow by an inverse analysis of tilt data and
used the method for evaluating groundwater flow at the site of
the Mizunami Underground Research Laboratory in the Tono
area, Japan, during the excavation of two shafts, based on tilt
data measured by four tiltmeters. The results showed that the
method proposed in this study reproduced the tilt data very
accurately. Thus, the distribution of v was estimated with-
out sacrificing the reproducibility of the tilt data. The contour
maps of v showed that a very heterogeneous flow of ground-
water occurred at the site and that the decrease in the volume
of groundwater occurred mainly in the area surrounded by
faults A and B. The latter finding is consistent with the results
obtained by previous investigations that these faults have low
permeability in the direction perpendicular to the strike and
may act as a flow barrier.
REFERENCES
Ishiguro, M. et al. 1984. Tidal data analysis an introduction to
BAYTAP -. Proc. Inst. Stat. Math. 32:7185.
Nakagome, O. et al. 2000. Evaluation of subsurface fluid move-
ment by using high precision tiltmeters. Proceedings of World
Geothermal Congress 2000:14911496.
Nakano, K. et al. 2003. Working program for MIZ-1 borehole
investigation. Technical Report of JNC, TN7400 2002008.
Onoe, H. et al. 2005. Groundwater analysis and modeling of hydro-
geological structure in site scale by iterative approach. Technical
Report of JNC, TN7400 2005012.
Tamura,Y. et al. 1991. A Procedure for Tidal Analysis with a Bayesian
Information Criterion, Geophys. J. Int., 104:507516.
Vasco, D.W. et al. 1998. Monitoring of fluid injection and soil consol-
idation using surface tilt measurements. Journal of Geotechnical
and Geoenvironmental Engineering. 124:2937.
 Experimental analyses of strain rate effect of frozen clay in the low temperature

Ma Qinyong
Department of Civil Engineering, Anhui University of Science and Technology, Huainan, China

Cai Meifeng
School of Civil and Environmental Engineering, University of Science and Technology of Beijing, China

Hu Shisheng & Chen Baisheng

Department of Mechanics and Engineering, University of Science and Technology of china, Hefei, China

ABSTRACT: The Split Hopkinson Pressure Bar tests of frozen clay are carried through at 5 C, 7 C, 10 C, 12 C,
15 C, 17 C and 20 C at four different strain rates of 300/s, 600/s, 1050/s and 1450/s. The experimental analyses show that
flow stress of dynamic stress-strain curves increases with increasing strain rates at the same temperature, but when the strain
rates goes up to a certain value, flow stress decreases with increasing strain rates. The different dynamic stress-strain curves
of the same strain rate at different temperatures are converged. The higher the strain rate is, the more obviously the curves are
converged. Test results indicate that the dynamic stress-strain curves oscillate obviously. And the oscillation becomes more
obvious with the decreasing temperature and rising strain rate.

1 EXPERIMENTAL PRINCIPLE 2 EXPERIMENTAL METHOD

The high-pressure air pushes bullet with a certain speed to
impact the input bar, and the input bar creates a stress wave
in the input bar. When the stress wave reached the specimen,
it reflects many times between the input bar-specimen inter-
face and the output bar-specimen interface. Stress of specimen
increases rapidly and tends to be uniform. During the test, the
two bars are always at elastic state. So the average stress, aver-
age strain and strain rate can be obtained respectively through
the waveform recorded by strain gauges, which were pasted
on the two bars. Then the relationships among stress, strain
and strain rate of frozen soil can be obtained.
The device for impact compression experiment is split
Hopkinson pressure bar of 37 mm(figure 1).
The wave impedance of frozen soil is very low. The pres-
sure bar is made of aluminum, and the lengths of impact bars
are 800 mm and 400 mm, respectively. The samples were got
from a certain shaft in Anhui Province. The dry density is
1710 kg/m3 , and water content is 21.42%. The specimens are
33.5 mm in diameter and 18.2 mm in thickness (figure 2). Data
of input waves and output waves is obtained by measuring
technique of strain gauge. Because the signal of transmitted
wave is deeply weaker, data of transmission waves is obtained

Where,
I (t), R (t), T (t)amplitude of incident wave, reflection
wave and transmitted wave;
A, A0 cross section of the specimen and the elastic bar;
density of the elastic bar;
cp the propagation speed of elastic wave in the bar;
Lm the length of specimen. Figure 2. The specimens of frozen clay.

Figure 1. Schematic of the SHPB (37 mm) system used for frozen clay test.

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 Figure 6. Stress-strain curves in 4 different strain rates (10 C).
Figure 3. Stress-strain curves at 7 different temperatures (Strain
rate is 1050/s).

Figure 7. Stress-strain curves in 4 different strain rates (12 C).

Figure 4. Stress-strain curves at 7 different temperatures (Strain

rate is 1450/s).

Figure 8. Stress-strain curves in 4 different strain rates (15 C).

Figure 5. Stress-strain curves in 4 different strain rates (7 C).

by measuring technique of semiconductor gage. The tests

of frozen clay are carried through at 5 C, 7 C, 10 C,
12 C, 15 C, 17 C and 20 C at four different strain rates
of 300/s, 600/s, 1050/s and 1450/s.

3 EXPERIMENTAL ANALYSES

Dynamic stress-strain curves at different strain rates and

temperatures are shown in figure 3 and figure 10.
The experimental results show that flow stress will increase
with decreasing temperature at the same strain rate, and the Figure 9. Stress-strain curves in 4 different strain rates (17 C).

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 phenomenon is owing to that the broken samples play an unim-
portant role in carrying capacity. And it reflects the instability
of frozen soil. The instability can not appear in the quasi-static
conditions, but in the dynamic conditions. It shows that frozen
soil has impact-brittleness. The decreasing temperature or the
rising strain rate will bring to the converging phenomenon.
The test results indicate that the dynamic stress-strain curves
oscillate obviously. And the oscillation becomes more obvi-
ous with the decreasing temperature and rising strain rate. The
oscillation reflects the impact-brittleness of frozen soil.

ACKNOWLEDGMENTS
Figure 10. Stress-strain curves in 4 different strain rates (20 C).
temperature has obvious effects on the dynamic mechanical
properties of frozen soil. Flow stress of dynamic stress-strain
curves increases with increasing strain rates at the same tem-
perature, but when the strain rates goes up to a certain value,
flow stress decreases with increasing strain rates. It is shown
that flow stress of frozen soil has strain rate effects. Low
temperature is correspond to high strain rate and high temper-
ature is correspond to low strain rate. Test shows that different
dynamic stress-strain curves of the same strain rate at different
temperatures are converged. The higher the strain rate is, the
more obviously the curves are converged. The curves are con-
verged to the curve at the highest temperature. The different
dynamic stress-strain curves of the same temperature at dif-
ferent strain rates are converged. The lower the temperature is,
the more obviously the curves are converged. The curves are
converged to the curve at the lowest strain rate. The converging
Special thanks go to Anhui Natural Science Foundation of
China. The study is funded by The Outstanding Youth Foun-
dation for Scientific and Technological Research of Anhui
Province (No 04043076) of China and Ph.D Scientific Foun-
dation of Anhui University of Science and Technology of
China (No 2005YB29).
REFERENCES
Moo Y. Lee, Arlo Fossum, Laurence S. Costin, David Bronowski.
Frozen soil material testing and constitutive modeling. In: Sandia
Report, SAND 2002-0524
Liu Jianfei, Hu Shisheng, Hu Yuanyu, Zhao Jian. Research on
dynamic compressive testing and mechanics properties of gran-
ite. Chinese journal of rock mechanics and engineering, 2000, 19
(5): 618621(in Chinese)

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 Experimental study on the seepage characteristics of rock mass under
unloading condition

Liu Xin-rong, Liang Ning-hui & Bao Tai

College of Civil Engineering, Chongqing University, Chongqing, China

ABSTRACT: The destruction of rock mass may be caused by improper excavation in rock engineering, and the main external
factors affect the rock slopes stability may be groundwater and seepage. To analyze the relationship between unloading and
permeability coefficient of the rock, the method and steps of experiment for the rock mass under unloading condition are
put forward. The relationship curves of the seepage-unloading at different phases are found by experiments. According to the
experimental results, the seepage-stress relation of rock mass under unloading has been established, and the variation rule of the
unloading value with the permeability coefficient is discussed. Two points can be concluded, i.e. the permeability coefficient is
almost unchanged in the elastic phase of unloading process; and the permeability coefficient is changed very much in the plastic
phase of unloading process; especially, as the unloading value reaches over 80% of ultimate one, the permeability coefficient
increases rapidly.

1 INTRODUCTION

(MPa)
The mechanical essence of rock excavation usually belongs o

compressive stress
to the category of unloading mechanics. In practical rock
on
project there is often complicated geological condition accom- tati
rien
panied, it mainly includes high stress, groundwater, coal bed Yo

excavation unloading step

a
p

p
gas and so on. In these problems, the study of the coupling te

ste
gs
din

ing
mechanism of the seepage field and damage field for frac- loa

oad
e

tured rock masses is very important; by which the co-operation
mechanism of geological condition such as groundwater etc
with the surrounding rock and support structure can be known,
which has important significance for prevention and cure of
groundwater. Academician Wang Sijin, the president of Chi-
nese Society for Rock Mechanics and Engineering had pointed
out: Rock Mechanics is developing from the study on unitary
solid discontinuous material to multiple fields with coupling
and multiphase movement. The experts of rock mechanics
had noticed the important effect of water on the mechanical
behavior of rock mass. But, with the development of mechan-
ical behavior of rock mass and the simultaneous existence of
the multi-fields of heat, flow, solid and chemistry etc, a fur-
ther study on their interaction and coupling mechanism should
be carried out in the future.[1] Moreover, now the study on
characteristic of seepage from rock mass is mainly in respect
of loading process, while the study of unloading process is
still less.
2 ANALYSIS ON ROCK UNLOADING PROCESS
The practice of many projects at home and overseas indicated
that almost all the destruction of rock mass does not commence
at the start, but due to the variation of excavation unloading,
after the rock excavation, there is stress redistribution occurred
in the rock mass, leading to deformation of the rock mass at
the interface with the weak structure; there is a great change
in fissures and the mechanical properties of rock mass are
deteriorated. Based on the process of rock mass unloading, an
ideal curve may be drawn (Fig.1), on this curve some specific
points can be found, such as the points o, a, b, c and d, the
unl
lo gu
ana
ue
log
ana
b
c compressive strain
d
Figure 1. The loading and unloading curve.
process of unloading is divided into five phases with different
characters:
(1) Phase I, section oa indicates the unloading below 30% of
extreme unloading, in this phase there is mainly elastic
deformation;
(2) Phase II, section ab unloading in range of 30%80% of
extreme unloading, in this phase, there is mainly elastic-
plastic deformation;
(3) Phase III, section bc unloading in range of 80%100%
of extreme unloading, in this phase there is mainly plastic
deformation;
(4) Phase IV, section cd above the extreme unloading, the
rock mass is under tensile deformation;
(5) Phase V, after point d, the tension of rock mass exceeds its
tensile strength.
There are three states of the rock during the whole pro-
cess of rock unloading, elastic deformation state (sections oa
and ab), plastic deformation state (section bc), fracture devel-
opment state (section cd and after point d). The rock enters
the tensile deformation state when the rock unloading value
reaches the extreme and the crack begins to develop from
unstable to fracture spreading and crack enlargement.

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 On the different section of the rock unloading curve, the fis-
sure varies with unloading. Based on the Darcy Law, the water
seepage flow is mainly in the little channels at the boundary
with rock fissure surface, therefore, the relationship between
unloading and permeability coefficient at different phases can
be gained through experiment.
3 EXPERIMENT SCHEME AND METHOD
OF ROCK MASS UNLOADING
The sample was taken from certain rock slope in Chongqing
University and the rock sample belongs to Middle Jurassic,
weathering sandstone. The sample is a cylinder with diameter
of 39 mm and height 80 mm.The experiment is carried out on
the three-axial tester SJ-1A.G made in Nanjing. The stress
path which the experiment had adopted is that firstly to exert
the axial pressure up to close to the yield state then carry out
unloading to simulate the stressing effect of rock slope during
its formation process. The physic-mechanical parameters of
the rock sample are given in Table 1.
The steps of experiment are as follows: (1)Firstly, to exert
axial pressure to the sample, gradually increase the pressure
to certain value 1MPa before rupture, keep it unchanged in
30 min. (2) Secondly, to exert the surrounding pressure up
Table 1. Physical-mechanical parameters of the rock
sample.
SD/
u E/GPa W/% (g/cm3 )
0.34 0.489 10.10 2.656 2.265
4.0E-04
pore water pressure is
permeability coefficient(cm/s)
to 800kPa, after 30min increase the axis pressure to make
1 3 = 1 MPa, keep the rock stable at this stress for 30 min.
(3) Thirdly, to keep the sample stable for 30 min under certain
water pressure (such as 100 kPa, 200 kPa and 300 kPa ), then
to unload the surrounding pressure and measure the seepage.
Unloading is carried out with a step of 100 kPa and interval of
30 min, until the surrounding pressure is about 10 kPa more
than the pore water pressure.
In addition, at each stage, the seepage of the sample without
unloading is measured for comparing it with the influence of
unloading damage on the seepage.
4 ANALYSIS OF THE EXPERIMENT RESULTS
4.1 Influence of the unloading value on the
permeability coefficient
The permeability coefficient changes greatly with the increas-
ing unloading value of the rock and the pore pressure
unchanged. Figure 2 is the relationship curves between per-
meability coefficient and unloading value of the rock at pore
pressure of 100 kPa, 200 kPa and 300 kPa.
The permeability coefficient is increased with loading
increasing and corresponds to the unloading state in dif-
ferent phases of unloading. The permeability coefficient is
unchanged basically in the elastic phase of unloading process.
Entering into plastic phases of unloading, the permeability
coefficient is changed very much, especially, as the unload-
ing reaches 80% of ultimate unloading value, the permeability
P/% coefficient increases rapidly. From the information presented,
the plastic deformation of the rock mass influenced the
22.84 permeability coefficient greatly and the tiny cracks in rock
formed during unloading gradually changed into expedite
seepage pass [57].
The above given relationship curves demonstrated the

3.5E-04 100kPa relation between the increasing gradient of permeability coef-

3.0E-04 pore water pressure is ficient and unloading value. Fig. 2 illustrates the direct
200kPa
2.5E-04 pore water pressure is
proportion of the permeability coefficient with the unload-
300kPa ing when the pore pressure is low. With the increasing of pore
2.0E-04
pressure the increasing gradient of permeability coefficient
1.5E-04
is bigger under the same unloading value. Table 2 gives the
1.0E-04 experimental data of unloading and permeability coefficient.
5.0E-05
0.0E+00
0 20 40 60 80 100 120 4.2 Fitting analysis for experimental data of
effective unloading % seepage under unloading
Figure 2. Relationship between permeability coefficient and From the information presented in Fig. 2, there were dif-
unloading value. ferent data, but their form of representation show definite

Table 2. Experimental data of unloading and permeability coefficient at different pore pressure.

100 kPa 200 kPa 300 kPa

Unloading permeability Unloading permeability Unloading permeability
value coefficient value coefficient value coefficient
% cm/s % cm/s % cm/s

0 1.52E-05 0 2.18E-05 0.00 3.14E-05

14.28571 1.52E-05 16.66667 2.21E-05 20.00 3.29E-05
28.57143 1.64E-05 33.33333 2.34E-05 40.00 3.46E-05
42.85714 1.76E-05 50.00000 2.47E-05 60.00 3.65E-05
57.14286 2.01E-05 66.66667 2.93E-05 80.00 4.33E-05
71.42857 3.78E-05 83.33333 5.92E-05 90.00 7.60E-05
85.71429 5.94E-05 91.66667 1.27E-04 98.00 3.70E-04
98.57143 1.31E-04 98.33333 1.86E-04

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Figure 3. Analog curve of unloading and permeability coefficient
at pore pressure 100 kPa.
Figure 4. Analog curve of unloading and permeability coefficient
at pore pressure 200 kPa.
Figure 5. Analog curve of unloading permeability coefficient at
pore pressure 300 kPa.
comparability. Based on the Curve Expert1.3 the fitting equa-
tion 1 has been obtained and the relationship equation of
unloading stress with permeability coefficient has been estab-
lished for further study on the variation rule of permeability
coefficient and unloading. Fig. 3 to Fig. 5 are the analog
curves obtained by the relationship equation of stress and
permeability coefficient from experimental data curves and
fitting.
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2007 Taylor & Francis Group, London, UK
The fitting relation equation of unloading and permeability
coefficient for the rock mass under unloading is:
Where, K and K0 are the current and initial permeability coef-
ficients; p is pore pressure,  is effective unloading value;
is experimental coefficient, and =0.07 for this experiment.
According to the information in Fig. 3 to Fig. 5, we can con-
clude that analogue curve from the fitting equation fits the
experimental data very well.
5 CONCLUSIONS
(1) The crack formed during rock unloading process and
the unloading orientation is basically perpendicular, after
experiment the crack of rock sample is well-developed.
(2) The rock mass structure with heterogeneity and large
quantity of primary tiny cracks causes both the rock
strength variation and partial stress variation, which is the
basic reason for unloading rock mass damage.
(3) With the unloading of rock mass, a curve relationship
of permeability coefficient of rock mass with unload-
ing value is formed. With the increasing of unloading
and reaching about 80% of effective unloading value, the
permeability coefficient of rock may have a large increase.
(4) The fitting relationship equation 1 of unloading with per-
meability coefficient of rock mass can be obtained by the
experiment.
REFERENCES
Bai Yuhua. 2002. Engineering Hydraulic Geology. Beijing: China
Water Conservancy and Water Power Publishing House.
Chen Hongkai & Ai Nanshan, 1998. Basic characteristics and effect
of ground water pressure in rock slope. Journal of Lanzhou
University, 34 (4): 171175.
He Chaoman, Yao Aijun, Lu Zhu et al., 1998. Study on the hydraulic
effect of slope rock, Journal of rock mechanics and engineering,
17 (6): 661666.
Wang Sijing. 2002. A new century for rock mechanics and engineer-
ing. In: Proc.7th Symp.On rock mech. China.
Xu Guangxiang. 2001. Study on Interaction between Seepage
Flow and Unloading Mechanics and Drainage of Fractured Rock
Masses. Chongqing University.
Yang Mijia & He Yongnian. 1998. Study on the structural model of
rock fissures and the rule of its seepage. Rock mechanics, 19 (4):
813.
Zhang Guo, 1998. Hydraulic Characteristics of Fissured Rock and
Its Influence on the Stability of the Slope. Journal of Liaoning
University of Engineering and Technology, 17 (4): 347352.
 Extension of the Hoek-Brown failure criterion to three dimensions

A. Serrano
E.T.S.I.C.C.P., Universidad Politcnica de Madrid, Spain

J. Estaire
Laboratorio de Geotecnia (CEDEX) Universidad Politcnica de Madrid, Spain

C. Olalla
E.T.S.I.C.C.P., Universidad Politcnica de Madrid, Spain

ABSTRACT: In this paper an extension of the known Hoek-Brown failure criterion to three dimensions is presented. First
of all, a recompilation of compression, extension and true triaxial tests made with rocks, present in the technical literature, is
made. The main conclusion drawn from those tests is the importance of the intermediate principal stress in the failure strength
of rocks. Taking this idea into account, the Hoek-Brown failure criterion is modified. The laboratory test results are modelled
with this new criterion with great success, which proves the goodness of the modification done.

1 INTRODUCTION

In many rock engineering problems it is necessary to have

a failure criterion able to reproduce correctly the real stress
condition at failure under three-dimensional configuration.
Particularly, the spread in the use of Finite Element Method
programs that let calculate three-dimensional models requires
compulsoryly the definition of three-dimensional failure cri-
terion to be able to make adequate calculations.
By other hand, among other criteria present in the technical
literature, probably the most used model in Rock Mechanics
is the one developed by Hoek Brown established in 1980.
In its latest version (Hoek et al., 2002), the criterion can be
written using the following expression:
where 1 is the major principal stress at failure, 3 is the
minor principal stress at failure, c is the uniaxial compression
strength of the rock matrix and mb and s are constants that
depend on the characteristics of the rock and its degree of
fracturing. The following expressions are commonly used to
calculate those constants:
The values of m0 are given for different rocks in Hoek and
Marinos (2000). GSI is the Geological Strength Index (Hoek
et al, 1992) of the mass rock and D is a factor which depends
upon the degree of disturbance to which the rock mass has
been subjected by blast damage and stress relaxation. If the
study is based on laboratory specimens, GSI can be considered
equal to 100 and D equal to 0, which means, from a practical
point of view, a minimal disturbance.
Figure 1. Compression and extension triaxial tests (Mogi, 1967).
Having into account these previous ideas, in this paper an
extension of the Hoek Brown failure criterion is made to
reproduce the failure in three-dimensional stress states.
2 RECOPILATION OF LABORATORY TEST RESULTS
2.1 Compression and extension triaxial tests
The first results that proved the influence of the intermediate
stress (2 ) in the failure strength were those obtained in the
so-called triaxial compression tests in which the intermediate
stress is fixed equal either to the minimum principal stress
(as in the compression test under confining pressure) or to
the maximum principal stress (as in the extension test under
confining pressure).
Examples of these kinds of tests can be found in Mogi
(1967) who made 26 extension and 21 compression triax-
ial tests, in which Westerly granite, Dunham dolomite and
Solenhofen limestone were used. The results obtained in that
research can be seen in Figure 1.
The fact that the extension curve lies above the compression
curve indicates the marked influence of the intermediate prin-
cipal stress on the failure strength. This idea is one of the main
conclusions that can be drawn from those particular results.

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 Figure 3. True triaxial tests made with Shirihama sandstone (Taka-
hashi & Koide, 1989).

Figure 2. Results of true triaxial tests (Takahashi & Koide, 1989).

2.2 True triaxial tests

Another step in the study of the dependence of the inter- (
mediate stress on the failure strength of rocks is to perform
tests in which the three principal stresses can be fixed inde- Figure 4. Results of true triaxial tests.
pendently. To do so, the best laboratory device is the true
triaxial compression apparatus, such the one developed by of the same rocks as mentioned before. In Figure 4, the results
Mogi (1971). obtained with Dunham dolomite are also given.
One of the most complete studies based on true triaxial
tests is the one carried out by Takahashi & Koide (1989) who
used in their research a true triaxial compression apparatus 3 FORMULATION OF THE 3D FAILURE CRITERION
based on the one designed by Mogi. These tests were made
with five types of rocks: Shirihama sandstone (SSSI), Horonai The formulation of the 3D failure criterion, as an extension
sandstone (HOSS), Izumi sandstone (SSIZ), Yuubari shale of the Hoek Brown failure criterion in 2D, requires the
(YUSH) and Yamaguchi marble (MAYA). 172 samples were introduction of two new parameters: and , that represent
broken with nine different minor principal stresses (3 ), rang- the 3D dependence of the failure strength. In the following
ing from 5 to 50 MPa. In these tests, the so called Lambe expression, this mathematical extension is done:
parameter [ = (2 3 )/(1 3 )] ranged between 0 and
0,7. The results obtained are shown in Figure 2.
One of the most important conclusions of this set of tests
is that the failure strength depends on both the intermediate
and the minimum principal stresses. The way of dependence
can be seen in Figure 3, where the results obtained in the
where the parameters mb , s and a were defined before. For
tests performed with Shirihama sandstone are plotted, by the
= 0, this 3D failure criterion reproduces exactly the Hoek
authors, besides the curves that best mathematically fit those
Brown failure criterion for two dimensions.
results. It can be deduced that, for a fixed minimum principal
The results that can be reproduced with the 3D failure crite-
stress (3 ), the failure strength increases while the intermedi-
rion expressed above have a shape as indicated in Figure 5. It
ate stress (2 ) gets larger until it arrives at a value since which
is important to note that when modelling laboratory tests, the
the failure strength begins to decrease. This idea is supported
value of the parameter GSI is equal to 100, so the parameters
on the fact that the best mathematical approximation got is a
mb , s and a are equal to mo , 1 and 0,5, respectively.
parabola, as it can be also deduced from Figure 3.
The analysis of the results shown in Figure 5 makes it
Other results found in the literature are due to Hojem &
possible to highlight some characteristics of the model:
Cook (1968, in Vutukuri, 1974) who studied the influence of
the intermediate principal stress on the strength of specimens a. The influence of the intermediate principal stress (2 ) on
of Karroo dolerite. The results, presented in Figure 4, also the failure strength is clearly reproduced by the model.
show that the value of the intermediate principal stress has a b. The model produces different values, at failure, for com-
significant effect on the compressive strength. pression and extension triaxial tests.
Mogi (1970, in Vutukuri, 1974) also extended his research c. A peak value of the maximum principal stress at failure
on the effect of the intermediate principal stress on the com- (1 ) is obtained, for 3 being constant, depending on the
pressive strength by making true triaxial tests with specimens intermediate principal stress (2 ).

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 Table 1. Parameter values used to model the laboratory tests.

Name No tests c (MPa) mo

Westerly Granite(1) 13 240 29 1,3 1,4

Solenhofem limestone(1) 16 300 3 1,0 1,1
Dunham Dolomite(1) 18 250 12 1,2 1,1
Shirihama Sandstone(2) 55 65 15 0,9 1,0
Horonai Sandstone I(2) 19 70 19 1,1 1,0
Horonai Sandstone II(2) 17 90 19 1,1 1,0
Horonai Sandstone III(2) 8 140 19 1,1 1,0
Izumi Sandstone(2) 21 220 19 1,5 1,0
Yuubari Shale(2) 26 90 6 1,1 1,0
Figure 5. Graphical results of the failure criterion for different val- Yamaguchi Marble(2) 26 80 11 1,5 1,2
ues of the minimum principal stress (3 ) and of Lambe parameter  Karroo Dolerite(3) 10 425 18 1,4 1,0
[ = (2 3 )/(1 3 )].
Note: (1) Mogi, 1970; (2)
Takahashi & Koide, 1989; (3)
Hojem &
Cook, 1968.

the value of the 3D failure strength is constant and equal to

the 2D compression triaxial strength, so the curve becomes
a straight line, as it can be seen in Figure 6.
c. The relation between the values of the failure strength in
compression and extension triaxial tests for the same min-
imum principal stress depends mainly on the value of the
factor , as it can be seen in Figure 7. This means, accord-
ing with Mogis research (1967), that the value of can
never be less than 1.
d. The maximum strength at failure is obtained when Lambe
Figure 6. Results of the failure criterion for different values of parameter is between 0,6 and 0,8; this difference depends
parameter . mainly on factor .

4 MODELLING OF LABORATORY TEST RESULTS

In this chapter, the results of the eleven sets of different lab-

Figure 7. Results of the failure criterion for different values of
parameter .
The model depends basically on four parameters: the uni-
axial compression strength (c ), the parameter m0 and the
three-dimensional factors and . The influence of the param-
eters and in the values deduced of the failure strength is
shown in Figures 6 and 7, respectively.
The following facts can be deduced from the results shown
in the previous figures:
a. The value of the maximum principal stress (1 ) increases
when the value of constant m0 gets larger, while the shape
of the curve that relates the two greatest principal stresses
keeps roughly the same curvature.
b. The influence of the intermediate principal stress (2 ) is
more significant when the value of factor gets larger, as
the shape of the curve that relates the two greatest principal
stresses has more curvature. In the limit, if is equal to 0,
oratory tests, collected previously, are reproduced using the
model developed in this paper. In Table 1 the values of the
parameters used in the modelling are given.
The following facts can be highlighted from Table 1:
a. The values of constant m0 were taken directly from Hoek &
Marinos (2000) according to the type of rock.
b. The value of factor , that bets fits the herein proposed
model, ranged from 0,90 to 1,50, with a mean value of 1,1.
c. The value of factor , that bets fits the herein proposed
model, ranged between 1,1 and 1,4 in the tests performed
by Mogi (1967), which only consisted in compression and
extension triaxial tests.
d. However, in all the poliaxial tests made by Takahashi &
Koide (1989), except one of them, the best value of factor
was equal to 1.
The results obtained when modelling the laboratory tests
are shown in the following figures. It can be seen the good
agreement between laboratory results and the values deduced
by the proposed model.
5 OTHERS 3D FAILURE CRITERIA
Mogi (1967) was one of the first researchers in studying the
influence of the intermediate principal stress on failure con-
ditions. After having made a great number of laboratory test
Mogi suggested the following expression to model the results

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Figure 8. Modelling of test results (Model:solid lines; test results:
solid points).
obtained. The value of the parameter probed to be nearly 0,1
for all the brittles rocks studied.
Takahashi & Koide (1989) developed a model based on
the effective shear strain energy stored in rock specimen and
obtained good results when modelling their own laboratory
test results.
Haimson (2003) undertook a research to established the
true-triaxial strength criterion for an amphibolite. His test data
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2007 Taylor & Francis Group, London, UK
fit extremely well the following relationship, in which a and
b are material constants (in his results a = 1,77 and b = 0,86).
This same expression was used by Kwasniewski and
Takahashi (2006) to model the results obtained with a series of
true triaxial tests on Rozbark sandstone. In this case a = 2,88
and b = 0,74.
6 CONCLUSIONS
a. The proposed failure criterion, which is an extension of the
Hoek Brown model, has the capability to reproduce, in
a reasonable way, the effect of the intermediate principal
stress (2 ) in the true three-dimensional failure strength of
mass rocks.
b. The results obtained by the proposed model have achieved
a relatively good agreement with the eleven sets of lab-
oratory tests available. These laboratory tests were made
with different types of rocks tested in both extension and
compression triaxial conditions and in poliaxial conditions.
c. More laboratory test data, referred to the 3D stresses at
failure, are needed for a better understanding of the new
parameters involved ( and ) in the three-dimensional
extension of the Hoek Brown 2D failure criterion.
REFERENCES
Haimson, B. (2003). Strength, deformability and micromechanics of
brittle fracture in a crystalline rock under true triaxial compressive
stresses. 10th ISRM International Congress, South Africa.
Hoek, E. & Brown, E.T. (1980). Underground Excavation in Rock,
pp. 137150. The Institution of Mining and Metalurgy, London.
Hoek, E., Wood, D. & Shah, S. (1992). A modified Hoek-Brown crite-
rion for jointed rock masses. Proc. Rock Characterization, Symp.
Int. Soc. Rock Mech. Eurock 92. pp. 209214
Hoek, E. & Marinos, P. (2000). Predicting tunnel squeezing prob-
lems in weak heterogeneous rock masses. Tunnels and Tunnelling.
November 2000.
Hoek, E, Carranza C. & Corkum, B. (2002). Hoek-Brown Failure
Criterion 2002 Edition.
Kwasniewski, M. & Takahashi, M. (2006). Behaviour of a sand stone
under axi and asymmetric compressive stress conditions. 4 Asian
Rock Mec. Symposium, Singapore.
Mogi, K. (1967). Effect of the Intermediate Principal Stress on Rock
Failure. Journal of Geophysical Research. Vol. 72, No. 20, pp.
51175131.
Mogi, K. (1971). Effect of the triaxial stress system on the failure of
dolomite and limestone. Tectonophysics 11.
Takahashi, M. & Koide, H. (1989). Effect of the intermediate princi-
pal stress on strength and deformation behaviour of sedimentary
rocks at depth shallower than 2000 m. Rock at Great Depth, Maury
& Fourmaintraux (eds.). pp. 1926.
Vutukuri, V.S., Lama, R.D. & Saluja, S.S. (1974). Handbook on
Mechanical Properties of Rocks. Trans Tech Publications.
 Fracture characterisation determined by numerical modelling analyses

Z.N. Flynn & R.J. Pine

Camborne School of Mines, University of Exeter, Penryn, Cornwall, UK

ABSTRACT: To determine the response of a rock mass to an applied stress field, one must first adequately characterise that
rock mass. Numerical modelling is increasingly put forward as a method of improving understanding of the behaviour of
rock masses. To achieve maximum potential from numerical modelling, series of models that test the natural variability and
uncertainty in fracture geometries and consequent rock mass behaviour must be run. The proposed approach uses the Discrete
Fracture Network (DFN) software FracMan to produce 3D stochastic models of rock masses from mapped fracture data that
contain the geometrical characteristics of the fractures. Geomechanical modelling is carried out using the program Elfen, which
assesses the influence of the initial fracture geometries on the rock mass behaviour. This study focuses on the size of sample
required to adequately characterise a fractured rock mass, taking in to account the natural complexity and variability of fractures
within rock masses.

1 INTRODUCTION This included investigating potential radioactive waste dis-

The 3D characterisation of the structural features of rock mass
is a challenging problem facing engineering geologists. There
are two main issues: firstly, what constitutes an adequate char-
acterisation of the rock mass. This will clearly depend on the
purpose of the survey, and will be scale dependent. The sec-
ond issue is the extrapolation of the collected data into 3D
descriptions of the features within the rock mass. Sampling
carried out in two dimensions (2D), via mapped windows on
exposures, or in 1D, via boreholes, must be extrapolated to
provide a 3D description of the rock mass. To some extent,
the second issue depends on the first: how accurate a rock
mass characterisation is needed. At a more fundamental level,
it addresses the question of the statistical description of rock
masses and their scaling properties.
Typically, rock mass characterisation has been based on
geotechnical mapping data. Traditionally, the collection of
geotechnical field data from exposures has been a manually
intensive, slow, laborious process. The increased accessibility
of digital imaging technology such as photogrammetry and 3D
laser scanning (for example Coggan et al., 2006) has made it
possible to acquire large volumes of high quality spatial data
associated with a given rock mass outcrop. This allows for a
much better quality of rock mass characterisation based on
the statistics of the gathered data, and allows the possibility
of characterisation on multiple scales.
The proposed approach in this paper combines a stochastic
description of the fractured rock mass with geomechanical
modelling. This approach allows the natural variability of
the fractured rock mass to be explored and characterised
using the DFN program FracMan (Dershowitz et al., 1998,
http://fracman.golder.com). A Monte Carlo approach to the
geomechanical modelling, using the program Elfen (Owen
et al. 2004, http://rsazure.swan.ac.uk/index.html), can incor-
porate the range of initial fracture geometries within the rock
mass, and assess their importance to the overall behaviour of
the rock mass.
The FracMan modelling suite has been used on numerous
civil engineering, mining and oil and gas projects where a good
understanding of the effects of fracture networks is required.
posal sites (Heathcote et al. 1996), and hydrocarbon reservoirs
(Jolly et al. 2000).
The geomechanical modelling code Elfen was originally
used for the dynamic modelling of brittle solids (e.g. ceram-
ics), but has found increasing use in rock mechanics (Coggan
et al. 2003, Cai & Kaiser 2004).
This study focussed on investigating the size of sample
needed to adequately capture the geometric characteristics of a
fractured rock mass. It is recognised that variability in litholo-
gies and geomechanical properties as well as environmental
features such as water and weathering also need to be consid-
ered when characterising a rock mass, and that these may in
some cases overshadow the effects of fracture geometry.
Initially generic FracMan modelling was carried out. Very
simple sets of fractures with different sizes of radii were
stochastically generated, and were sampled along 2D planes
to record intersecting fracture traces. The size of sample plane
needed to adequately represent those fracture geometries was
determined.
The measure chosen to describe the fractures was the frac-
ture intensity, or P21 , which is defined as the mean total length
(m) of fracture within a given area (m2 ). The P21 is scale inde-
pendent, and varies with the orientation of the plane upon
which it is measured. It incorporates the number of fracture
sets, the fracture persistence, and the number of fractures
present. Assuming a random fracture location, the P21 when
considered together with the fracture persistence also provides
information on the spacing of the fractures: the same P21 can
be made up of many short fractures, or a few long fractures
(with associated wider spacings). It does not provide informa-
tion on the morphology of the fractures themselves, and fac-
tors such as roughness or infill must be considered separately.
It is recognised that the fractures are the result of previous
stress fields and structural loading events occurring through-
out the history of the rock mass which have determined their
orientation, location, size and density, within this study. How-
ever, it is assumed that all fractures are randomly located
in space. This is a useful simplification for the stochastic
generation of fractures, and in most cases is a sufficient
approximation to natural rock mass.

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 The second half of this study uses Elfen modelling to inves- Table 1. Fracture set properties used in modelling.
tigate the effect of sample size together with initial fracture
geometries on the geomechanical behaviour of the rock mass, Dip
especially focussing on small sample sizes. This approach has Fracture Dip direction radius number P32
set degree degree m of sides m1
been taken based on the reality of most modelling: that limi-
tations in computing power reduce the size and complexity of V 90.0 090 2.0 6 0.5
model that can be run practically. H 00.0 000 2.0 6 0.5
These assessments have then been carried out for the Hop- D1 45.0 090 2.0 6 0.5
tonwood Limestone, as mapped in Middleton Mine, UK where D2 45.0 270 2.0 6 0.5
a previous rock mass investigation has been carried out using D3 72.5 270 2.0 6 0.5
FracMan and Elfen (Pine et al. 2006). This study has initially
been carried out in 2D, but can easily be extended to three
dimensions.

2 FRACMAN MODELLING

2.1 Model set up

The FracMan synthetic fracture models were set up to be as
simple as possible to examine the effect of the size of sample
plane on the variability of fractures sampled.
For the initial generic models, constant fracture dip and
dip directions were used within the fracture sets. The frac-
tures were all oriented such that the sample planes were
perpendicular to fracture strike, giving the true fracture
intersection trace. Each fracture set also had a constant radius,
but radii were varied between sets and models. The fractures
were located randomly in space, following a Poissonian dis-
tribution. In total five fracture sets were used, as shown in
Table 1. Figure 1. Example of a section of a FracMan model containing
The P32 parameter used in Table 1 is a three dimensional three fracture sets (V, D1, D2 from Table 1). The front half of the
measure of fracture intensity, defined as the total surface area box has been cut away to show example 10 m 10 m sample planes,
of fractures (m2 ) per unit volume (m3 ). Like the P21 it is scale with the associated intersecting fractures (traces only on the left hand
independent, but as a volumetric parameter, it is direction side). Only 25% of the fractures are displayed for clarity.
independent.
The fractures were sampled using their intersections with Table 2. Results of FracMan model 1a.
one hundred 2D planes dipping at 90 towards 000, as shown
in Figure 1. The planes were spaced such that no fractures Measured P21
intersected more than one sample plane. The constant orien- Sample Plane
tation and radii of the fractures allowed the expected value of plane area Mean Standard deviation Min Max
P21 on the traceplanes to be determined as 0.5 * (number of m m2 m1 m1 m1 m1
fracture sets).
2.8 7 19.6 1.49 0.33 0.64 2.50
Several models were synthesised within FracMan to deter- 55 25.0 1.52 0.28 0.84 2.32
mine the sample plane area necessary to provide an accurate 77 49.0 1.47 0.18 0.99 1.87
associated P21 value. This tolerance was taken as being 99 81.0 1.49 0.16 1.08 1.98
reached when the standard deviation of the P21 of the one 10 10 100.0 1.49 0.14 1.13 1.92
hundred samples was equal to 10% of the value of the mean
P21 . This was an arbitrary value, but was consistently used
throughout the study. Henceforth, a representative sample
plane area will be assumed to conform to this tolerance.

2.2 FracMan results

2.2.1 Model series 1
The first series of models, 1ad, was run using three fracture
sets: V, D1 and D2 as described in Table 1, with radii 1.0 m,
0.5 m, 2.0 m and 4.0 m respectively. The expected P21 on the
sample planes for all these models is 1.50 m1 . The results
from model 1a, with radius 1.0 m, are shown in Table 2 and
Figures 2 and 3.
Figure 4 shows the results from Table 2, plotting the stan- Figure 2. Plot of frequency versus measured P21 for different sized
dard deviation against the sample plane area. A power law sample planes in model 1a, showing the tendency for more tightly
curve has been fitted to these results, with equation 1 shown constrained values of P21 with increasing sample plane area.

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 Figure 5. Plot of representative sample plane area versus frac-
ture radius for model series 1.

Figure 3. Sample planes of sizes 2.8 m 7 m, 7 m 7 m and

10 m 10 m from model 1a showing the fracture traces of minimum
and maximum recorded P21 s (as in Table 2). There is a large disparity
between the two extremes for smallest plane, but this becomes more
acceptable with increasing sample plane area.

Figure 6. Plot of variation in representative sample plane area

with P21 for model series 2. The best-fit trendline to the data
(equation 3) is also shown.

Table 3. Fracture properties for Middleton Mine.

Associated parameters

Fracture Distribution Dip/dip direction P32

set orientation degree fisher K m1

Figure 4. Plot of standard deviation of measured P21 versus the 1a Fisher 89/308 41.5 0.80
sample plane area for model 1a. 1b Fisher 84/323 8.4 0.90
2a Fisher 88/319 17.2 1.15
2b Fisher 87/269 28.2 0.66
in the plot. The Pearson product moment correlation coeffi- 3a Fisher 46/260 22.4 0.27
cient, R2 , is also given, which shows the curve is a good fit to 3b Fisher 44/013 12.6 0.16
the data. A power law curve was found to be an acceptable fit
for the corresponding plots for all models in this study. This Radius Mean Standard deviation
graph suggests that at low sample plane areas, the P21 can- m m
not be measured with any accuracy, but increasing the area
quickly reduces the uncertainty in measured P21 . 1a Lognormal 38.9 9.0
In this study the size of the sample planes are increased in 1b Lognormal 3.3 0.6
steps of 1 m in side length. It must therefore be noted that 2a & 2b Lognormal 3.7 1.2
3a & 3b Lognormal 3.7 1.5
the actual representative sample plane size required may
fall between those measured. In Table 2, the representative
sample plane size is probably 9.5 m 9.5 m. This will not lead
to inaccuracies in the relationships between the parameters 2.2.3 Model series 3
determined. However, the aim of this part of the study is to The third series of FracMan models was run using the fracture
look at the trends in generic relationships, and not at specific properties from Middleton Mine, as shown in Table 3. All
cases. fracture spatial locations followed a Poissonian distribution,
The plot in Figure 5 shows a linear variation (equation 2) and the fractures were generated as 6-sided polygons. The
in the sample plane area needed for an acceptable standard sample planes were oriented as vertical planes striking East-
deviation in P21 with fracture radius for models 1a to 1d. West, as in previous models.
These fractures have dispersions associated with both their
2.2.2 Model series 2 orientations and radii, and are thus far more realistic than those
Model series 2 was run keeping a fracture radius of 2.0 m for used in the generic models so far.
all sets, and varying the number of fracture sets synthesised. The expected P21 on the sample planes was 3.02 m1 . An
Each fracture set had a P21 of 0.50, so this had the effect of adequate representation of the P21 was obtained with a
varying the P21 . The results are shown in Figure 6. 14 m 14 m sample plane as shown in Figure 7.

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Figure 7. Example 14 m 14 m sample planes from model 3a,
showing the lowest, average and highest P21 recorded.
There was no obvious way to compare this result to the
relationships determined from model series 1 and 2 above,
given the range of fracture radii in the Middleton model. A
second model, 3b, was therefore developed which used the
same properties as model 3a, but changed the fracture radii
distribution for each set to have a mean of 3.7 m and a standard
deviation of 1.2 m. The P32 values for each set were kept the
same, and the resultant P21 on the sample planes was still
3.02 m1 . For model 3b, the representative sample plane
was found to lie between the 13 m 13 m and 14 m 14 m
sample plane sizes.
Using Equation 2 with a radius of 3.7 m, the predicted rep-
resentative sample plane area is 402 m2 , suggesting a sample
plane of about 20 m 20 m. However, this relationship was
derived for models with a P21 of 1.50 m1 , half that of model
3b. This was then taken into account using equation 3:
suggesting a sample plane of about 13.5 m 13.5 m, which
compares well with the size determined from model 3b.
To test this further, a third model, 3c, was generated with
all radii 3.7 m as in model 3b, but halving the P32 of each
fracture set. This had the effect of halving the expected P21 on
the sample plane. Using the above logic, it was predicted that
the representative sample plane would be 400 m2 in area.
When model 3c was sampled, it was found that the sample
plane required to adequately represent the standard devia-
tion of the P21 was 20 m 20 m, giving an area of 400 m2
as predicted.
It is interesting to note that the representative sample plane
in model 3b was only fractionally smaller than that in model
3a, which contained fractures with a radius of 38.9 m. It might
be expected that such a large fracture size would need a repre-
sentative sample plane of the order of several thousand square
metres in area, and yet it appears to have little effect on model
3a. This may be because there are many fracture sets in this
model, and set 1a only makes up 10% of the total P21 ; the
remaining sets all have fracture radii of 3.3 m or 3.7 m. If the
fractional contribution from set 1a increased, it is expected its
effect on the size of the representative sample plane would
also increase.
3 ELFEN MODELLING
3.1 Model set up
Elfen employs a combination of finite and discrete element
(hybrid) approaches. The software allows a realistic fracture
geometry to be entered. Subsequent loading of the model
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Table 4. Intact rock material values for pillar modelling.
Property Unit Value
Unconfined compressive strength MPa 48.0
Fracture energy Jm2 19.5
Tensile strength MPa 3.8
Youngs modulus GPa 27.5
Poissons ratio 0.23
Density kgm3 2600
Cohesion MPa 9.2
Angle of friction degree 45.0
results in both fracture growth and the development of new
fractures.
The geomechanical modelling discussed here is simulated
pillar loading in mines. However the results of this study into
the characterisation of the variability of rock masses are more
general. It is beyond the scope of this paper to describe the
Elfen modelling in detail, or the background to it; a full review
can be found in Pine et al. (2006) and Elmo (2006).
The modelled rock mass was based on the massive Hop-
tonwood Limestone of Middleton Mine. The geomechanical
parameters are given inTable 4.These parameters were derived
from laboratory tests and typical values for similar lime-
stones from the literature.The Mohr-Coulomb failure criterion
was used for the intact rock, and a coupled Mohr-Coulomb
and Rankine formulation (Klerk 2000) was used for fracture
development.
The Elfen models were based on a number of differ-
ent 2.8 m 7.0 m cross sectional sample planes representing
pillar faces taken from FracMan models. FracMan fracture
geometry models are based on the Hoptonwood Limestone
(Table 3) and variations thereof.
It is clear from the previous FracMan modelling results
that this is far smaller than a representative area for this
rock mass derived in section 2.2.3 (14 m 14 m). These sized
pillars were chosen for their short model run times (a few
hours). Even relatively small 14 7 m 2D pillar models took
of the order of weeks to run in Elfen. Code developments for
improved run time, including parallel processing, are now in
progress.
The pillars were simulated as if subject to uniaxial labo-
ratory loading, and taken to complete failure. The loadings
were in two stages, with an initial gravity loading followed by
a constant strain rate control on platen closure. All simulations
were conducted in plane strain. Values of the peak axial stress
were compared for each model.
3.2 Elfen modelling results
3.2.1 Model series E1
A fracture geometry model was generated in FracMan, based
on those in Table 1, using fracture sets V (radius 20 m), D1
(radius 1 m) and D2 (radius 1 m). The 2D planes modelled in
Elfen are in the same orientation as the sample planes in the
FracMan modelling above.
Given a sample of rock mass, it is not expected that the
same initial fracture geometry would give exactly the same
response if loaded more than once, due to the extremely com-
plex nature of rock mass and the interactions that occur within
it. The software Elfen is sophisticated enough to reproduce this
variability.
 Figure 10. Initial model geometries, model series E2 with
P21 = 1.62 m1 .

Figure 8. Original model geometry and a typical peak stress fracture Table 6. Results of series E2 models.
pattern for model E1a.
Model Peak axial stress MPa % axial strain at peak

Series E1 average 6.44 0.68

E2a 4.64 0.43
E2b 4.62 0.17
E2c 4.33 0.29

The jagged nature of the curves in Figure 9 is due to the

creation of new fractures and the development of existing ones
within the model as a response to loading. There are two peaks
in the axial stress in the curves, one occurring at about 0.3
0.5% axial strain followed by a sharp drop, and a build up to a
second peak at about 1.0% axial strain. The overall peak stress
occurs at the first peak in models E1a E1c, and at the second
peak in models E1d and E1e.
The mean peak axial stress is 6.44 MPa, with a range of
2.05 MPa, and a mean axial strain at peak of 0.68%.
3.2.2 Model series E2
A series of models was run maintaining a P21 of 1.62 m1 , as
in models E1, but changing the fracture geometry as shown in
Figure 10. In model E2a, the through-going vertical fracture
was moved 1 m towards the right. Model E2b contains the
Figure 9. Comparison of axial stress/strain plots for models E1a same geometry of diagonal fractures as series E1, but the two
E1e. It can be seen that the curves are all fairly similar, showing a rise long vertical fractures were changed into six shorter ones.
to a peak stress and a gradual decreasing of stress after this failure Model E2c was freshly generated in FracMan using fracture
point. sets V, D1 and D2 as before, but all with radii of 1.0 m. The
results of these models are given in Table 6.
Table 5. Peak axial stress and strain values for five runs of the The values of peak stresses are all lower than any measured
same initial fracture geometry as shown in Figure 8.
in series E1.At 2.8 m 7.0 m, the model plane is much smaller
Model Peak axial stress MPa % axial strain at peak than the representative area suggested in the FracMan model
series (9.5 m 9.5 m plane (model 1a in FracMan modelling)
E1a 7.50 0.39 for model E2c here). This places a greater significance on
E1b 6.29 0.49 the initial location of individual fractures within the model.
E1c 5.45 0.34 This may be the reason for the relatively low value of peak
E1d 6.31 1.24 axial stress in model E2a, which has just one fracture moved
E1e 6.65 0.92 compared to series E1.
The FracMan modelling showed that the lower the fracture
radius, the smaller the representative area needed to capture
an accurate P21 . This will also extend to geomechanical mod-
The model geometry, shown in Figure 8, was run several elling: a few large fractures within an area will individually
times in Elfen to determine the variation in response of an have a much greater influence on the response of the rock
identical initial fracture geometry to loading. The models were mass to loading than many shorter fractures amounting to the
compared at the point of peak axial stress, as shown in Fig- same P21 within the same area.
ures 8 and 9 and Table 5. Model E1a was run in Elfen version The models in series E2 follow the expected trends
3.7.0, and E1b E1e were run in Elfen version 3.8.5. described above, but given the large scatter of peak stresses

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Figure 11. Summary of all Elfen 2.8 m 7.0 m models.
seen within series E1, these results can only be taken as an
indication of these behaviours.
3.2.3 Model series E3
Several 2.8 m 7.0 m models have been run in Elfen using
variations of the geometries described above, varying the frac-
ture radii and the P21 . The results all these models described so
far are drawn together in Figure 11, which reveals the overall
trend that decreasing the P21 increases the strength of the rock
mass, but with substantial scatter.
4 CONCLUSIONS
This paper introduced the concept of a minimum represen-
tative sample plane area needed to accurately describe the
fracture geometry within a rock mass using the P21 as a mea-
sure of this accuracy. A power law relationship was found
between the sample plane area and the accuracy of the P21
measured on it. The representative area varied linearly with
fracture size, and as a power law with the P21 . The effect of a
few relatively large fractures within the rock mass has a neg-
ligible effect on these relationships as long as they make up
only a small proportion of the overall P21 .
Geomechanical modelling using Elfen shows that on top of
the variation in fracture geometry within a rock mass, there
will also be variability in the way that each geometry responds
to an applied loading. This highlights the need for repeated
(Monte Carlo) simulations to gain true insight into the range
of strength and deformability of the rock mass.
This methodology of characterisation should be considered
when designing any site investigation for the strength of rock
masses, particularly where existing fractures are not closely
spaced.
ACKNOWLEDGEMENTS
We wish to acknowledge the support of colleagues and col-
laborators, including Professor Roger Owen of the University
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2007 Taylor & Francis Group, London, UK
of Wales, Swansea, Dr John Coggan of Camborne School
of Mines and Davide Elmo of Simon Fraser University,
Canada. Golder Associates developed the FracMan software,
and Rockfield Software Ltd supported the use of Elfen. This
work was supported through EPSRC grants GR/S04970/01
and EP/C518713/1.
REFERENCES
Cai, M. & Kaiser, P.K. 2004. Numerical simulation of the Brazil-
ian test and the tensile strength of anisotropic rocks and rocks
with pre-existing cracks. In Proc. SINOROCK2004, Int. Symp. on
Rock Mechanics: Rock characterisation, modelling and engineer-
ing design methods, 1821 May Three Gorges Project Site, China.
Paper 2B03, International Journal of Rock Mechanics and Mining
Sciences 41, supplement 1: 478483.
Coggan, J.C., Wetherelt, A. & Flynn, Z.N. 2006. Modelling frac-
tured rock masses in underground spaces. Tunnels and Tunnelling
International. September 2006: 3841.
Coggan, J.C., Pine, R.J., Stead, D. & Rance, J. 2003. Numerical
modelling of brittle rock failure using a combined finite-discrete
element approach: Implications for rock engineering design. In
ISRM 2003 Technology roadmap for rock mechanics, South
African Institute of Mining and Metallurgy, SAIMM Symposium
Series S33: 211218.
Dershowitz, W., Lee, G., Geier, J. & LaPointe, P.R. 1998. FracMan:
Interactive discrete feature data analysis, geometric modelling and
exploration simulation. User Documentation. Golder Associates
Inc., Seattle, Washington.
Elmo, D. 2006. Evaluation of a hybrid FEM/DEM approach for
determination of rock mass strength using a combination of discon-
tinuity mapping and fracture mechanics modelling, with particular
emphasis on modelling of jointed pillars. Ph.D. Thesis, University
of Exeter, UK.
Heathcote, J.A., Jones, M.A. & Herbert, A.W. 1996. Modelling of
groundwater flow in the Sellafield area. Quarterly Journal of
Engineering Geology 29: S5981.
Jolly, R.J.H., Wei, L. & Pine, R.J. 2000. Stress sensitive fracture flow
modelling in fracture reservoirs. Society of Petroleum Engineers
Paper 5902, IPC Villahermosa, Mexico, 10pp.
Klerk, P.A. 2000. The finite element modelling of discrete frac-
ture in quasi-brittle materials. Ph.D. Thesis, University of Wales,
Swansea.
Owen, D.R.J., Feng, Y.T., De Souza Neto, E.A.A., Cottrell, M.G.,
Wang, F., Andrade Pires, F.M. & Yu, J. 2004. The modelling of
multi-fractured solids and particulate media. International Journal
of Numerical Methods in Engineering 60 (1): 317339.
Pine, R.J., Coggan, J.S., Flynn, Z.N & Elmo, D. 2006. The devel-
opment of a new numerical modelling approach for naturally
fractured rock masses. Rock Mechanics Rock Engineering 39 (5)
395419.
www.fracman.golder.com. FracMan Technology Group, Golder
Associates (UK).
http://rsazure.swan.ac.uk/index.html Rockfield Software Ltd. Tech-
nium, Kings Road, Prince of Wales Dock, Swansea, UK.
 Fracture mapping using 3D laser scanning techniques

S. Slob & H.R.G.K. Hack

ITC, Enschede, The Netherlands

Q. Feng & K. Rshoff

Berg Bygg Konsult A.B., Solna, Sweden

A.K. Turner
Colorado School of Mines, Golden, USA

ABSTRACT: 3D terrestrial laser scanning is nowadays the technique for 3D mapping and documentation of rock faces and
tunnels that shows most potential. In this paper two state-of-the-art methods are described to map rock mass fractures on the
basis of 3D laser scan data: a semi-automatic method and a fully automated approach. Both methods give good results and
have both their advantages and disadvantages in terms of practical implementation. Both methods make use of the very high
level of detail and precision that the 3D laser scan data provide. This, together with the rapid method and simple way of data
acquisition makes 3D lasers scanning the most promising fracture mapping tool in the future.

1 INTRODUCTION A 3D terrestrial laser scanner can quickly record a great

In a rock engineering project, fracture mapping is one of the
important steps, which provides the input data for further
rock mechanics analysis, rock engineering design and numer-
ical modeling. Currently, fracture mapping at rock faces is
well-known performed by using compass and inclinometer,
and documentation by recording information on a notebook
and photographing with a camera. Although these so-called
traditional methods are now still used in most of the rock
engineering projects, the quality and quantity of the data are
sometimes unable to meet the requirement in rock engineering
projects.
The most well-known drawback for traditional methods is
that too much personal work are involving in the in-situ data
acquisition procedure, which is time-consuming, not accurate
enough, sometimes difficult and dangerous to reach the rock
faces physically. In addition, the way of data recording and
storing can not make the full use of modern IT and computer
technology to speed up the data processing, and then provide
the input data in a required format for further analysis and
designing.
Therefore, it has been recently realized that applying a new
method for in-situ data acquisition is the key point to solve
the bottleneck problem for improving the rock face mapping
data with both quality and quantity. In recent years, the efforts
of developing new techniques for in-situ data collection at
rock faces are in progress. Techniques, such as photogram-
metry (e.g. Harrison, 1993; Coe, 1995), image processing
(e.g. Post and Kemeny, 2001), total station (Bulut and Tudes,
1996; Feng, 1999) and laser scanning (Feng 2001, Slob et al.,
2002, 2004), have been tested for measuring of different joint
parameters and documentation of rock faces. The presented
method has applied a newly-developed 3D visual laser scan-
ning technique to characterization and documentation of joint
and jointed rock masses at rock faces.
amount of digital 3D information of an object. Each scan
takes just few minutes with a high-speed sampling rate up
to hundreds of thousands of points per second, and covers
up to hundreds of square meters with the optimal scanning
resolution in the order of mms. Each scanning point can be
recorded by 4 parameters, i.e. the 3D co-ordinates (X,Y, Z) and
the reflected intensity (I). Some laser scanners can in addition
provide colour information (R,G,B) through the concurrent
use of digital photography.
Therefore, the geometry of rock faces can be quickly
recorded in three dimensions with the 3D digital model and
a grey-scale or even colour image (3D gray-scale image or
3D colour information). By measuring a few reference points
for each scan, the rock face can be transformed into a geo-
referenced co-ordinate system, which enables the user to
locate any parts of a rock face in real 3D space. Therefore,
3D measurement and documentation of a rock face can be
more quickly recorded in a 3D visual and digital format.
The largest problem so far has been to handle the data out-
put. It is not very difficult to carry out a 3D laser scan survey,
but it has been quite hard to convert the data to useful infor-
mation that can directly be used in rock engineering practice.
In this paper two different methods are discussed to handle the
large amount of point data that a typical 3D terrestrial laser
scanning survey yield.
The first method discusses a semi-automatic approach,
which makes use of the expert knowledge of the user to iden-
tify important rock fractures in the scene. In this way, very
quickly, even in real-time, detailed measurements can be made
of the key fractures in the scanned face or tunnel wall.
The second method is based on a fully automated approach,
which identifies and measures every individual fracture that
can be detected. This method is more time-consuming, but
can be used to generate large amounts of fracture data, which,
in turn, can be used as input for statistical analysis (e.g.

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calculation of block size distribution) or can be used as input
to numerical modeling tools (e.g. 3DEC).
2 SEMI-AUTOMATED PROCESSING OF LASERSCAN
DATA FOR MAPPING FRACTURES
By using the semi-automatic method, orientation of a fracture
plane (e.g. dip and strike) can be determined interactively or
semi-automatically from the 3D laser scanning data. The pre-
sented method aims to not only make use of the advantage
of modern computer techniques, but also enable the operators
to utilize their geological background knowledge to control
the mapping results. A typical mapping procedure of this
method is not only taken by a computer software as virtual
mapping platform, but also interactively performed between
the computer and the operator: (1) select a part of rock sur-
face from the whole 3D scanning model by the operator; (2)
choose a fracture exposed on the scanned rock surface, and
mark the exposed fracture surface interactively by the opera-
tor; (3) Automatically calculate the best-fit fracture plane by
the computer program, and then calculate the fracture orien-
tation. Figure 1 shows an example for fracture mapping based
on 3D laser scanning data from an exposed rock face. Once
selecting an interesting area from en exposed rock surface
(Fig. 1a), a fracture can be interactively selected by a soft-
ware based on the users geological background from the 3D
digital model, which is important in the authors opinon, so
non-geological linear features can be avoided to be mapped.
Afterwards, a best-fit fracture plane can be created by the com-
puter (Fig. 1b), and then automatically calculate the fracture
orientation (dip angle and dip direction). Therefore, orienta-
tion of fracture planes can be semi-automatically determined,
which means that the geologists select the representative frac-
ture planes in 3D laser image, and the computer technology is
employed to make the mapping procedure automatically.
By using this method, fracture mapping can be interactively
performed in 3D virtual model created by high-resolution
scanning data. Although taking a little while to select a fracture
interactively, it is important to guarantee that a correct fracture
is chosen for mapping. In addition, by the help of computer
technology, such as growing a plane from a seed point, rota-
tion and moving a plane with accurate steps, a fracture plane
can be accurately and quickly selected, and then calculation of
fracture orientation and displaying of fractures in a 3D digital
model become automatic and easy to handle, and can directly
input to further analysis and modeling.
Figure 1. Fracture mapping based on 3D laser scanning data:
(a) Scanned exposed rock face; (b) a best-fit fracture plane created
from scanning data to determine fracture orientation.
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3 AUTOMATED PROCESSING OF LASERSCAN
DATA FOR MAPPING FRACTURES
3.1 Automated processing through surface reconstruction
The first method of automated processing of laserscan data
is based on the creation of structure in the pointcloud data
through 3D surface reconstruction. This method is docu-
mented and published in detail by Slob et al. (2005) and
Van Knapen et al. (2006). In short, the basic idea behind this
method was that the reconstructed virtual computer-based 3D
surface, which consists of a mesh of triangular facets, contains
all the discontinuity information. Each meshed triangular facet
has in fact an orientation. By plotting of all the facet orienta-
tions in a stereonet it is possible to detect trends in the data. The
trends then represent the discontinuity sets. Through fuzzy k-
means clustering these sets can automatically be recognised
and thus the mean orientation of each set can be determined.
3.2 Automated processing through direct segmentation
The other method is based on a direct segmentation approach
for processing of the point cloud data. The direct segmenta-
tion approach makes use of the raw point cloud data and the
advantage is that it does not require prior surface reconstruc-
tion, which is the case for the previous method. The spatial
structure of the point cloud data is provided through a (kd) tree-
based structure. The purpose of the tree structure is to speed
up the spatial search in the point cloud, which is important to
the efficiency of the direct segmentation approach.
The basic principle behind the segmentation method is rela-
tively simple: it starts with the selection of a seed point around
which the nearest neighboring points are selected within a
specified search distance. If it can be mathematically verified
that most of the neighboring points lie close to the same flat
plane, they are all labeled with a (similar) label. From these
labeled points, their neighboring points are selected and it is
again determined whether most of these points are positioned
close to the same mathematical definition of a plane that is
found before. This process is repeated unless no new points
are found, which demarcates the extent of the discontinuity
plane. Then a new random (unlabelled) seed point is selected
and the process is repeated until all points in the data set are
classified. All points that have the same class are thus part of
the same discontinuity planes. Consequently, a single mathe-
matical expression in the form of the plane equation can be
determined for each discontinuity. Therefore, the poles or nor-
mals to those planes can also be plotted as orientations in a
stereo plot. The next step is to identify and demarcate the dis-
continuity sets. The poles of the planes that are part of the
same Fuzzy or Fisher cluster can be re-classified as belong-
ing to the same discontinuity set. In this way the entire dataset
can finally be simplified as a number of sets with average
orientations. Since the plane equation of each plane in a set is
known, the calculation of discontinuity set spacing becomes
possible as well.
In this paper only one method is demonstrated for the
mathematical recognition of planes in the point data, namely:
Principal Component Analysis (PCA). Another method that
could successfully be used is a Hough transformation (Vos-
selman, 2005). The segmentation approach based on PCA is
implemented in a Matlab-based computer code. Both proce-
dures yield a segmented or classified point cloud which is
subsequently processed with Matlab to derive the individual
plane equations, to find the discontinuity sets and compute
 Figure 4. This illustration is the same pointcloud, show in Figure 3,
Figure 2. Rock exposure with well-developed discontinuity sets but now each point is classified (segmented) to individual discon-
along a secondary road in Spain, from the towns of Falset to Bellmunt tinuity planes. The various classes (planes) are show with different
in Baix-Camp, Catalonia. The rock mass consist of Carboniferous colours. In this case a total of 285 individual planes were recognised.
Meta-Siltstone and Slates. According to BS: 5930:1999 the rock
mass can be described as: dark-grey to black, silt-clay size, small
tabular, slightly weathered META-SILTSTONES and SLATES. The
dimensions of the white boards are 60 60 cm. The size of the out-
lined area that is used for the laser scan analysis is 4 4 meters (see
Figures 3 to 5).

Figure 5. This illustration shows the segmented point, but now clas-
sified according to the 5 discontinuity sets that are identified in the
stereoplot of all the 285 planes (please refer to Figure 6.)

Figure 3. This is a visualization of the laserscan pointcloud of the

part of the rock exposure that is outlined in Figure 2. The grey-scaled
value is the lasers reflected intensity value. This pointcloud consist of
616300 points, that are defined by their x,y and z coordinate values.
The pointcloud is georeferenced, i.e. oriented with the positive y-axis
towards the North and the entire set is level, i.e. the positive z-axis
points straight upwards.

the set spacings. Both methods are applied to data of two dif-
ferent rock faces and the results are compared with manual
field measurements.
Below the illustrations clearly demonstrate the results and
possibilities of using the direction segmentation approach to
derived discontinuity orientations data from a large part of a
rock exposure. The various illustrations speak for themselves Figure 6. The orientations of the 285 individual planes that were
and demonstrate the various analysis and data processing steps recognised after the pointcloud segmentation are plotted in this stereo
(polar) plot. Visually, 5 discontinuity sets are recognised. The various
in the method. Although at this moment the various steps
poles of the planes are clustered with Fuzzy k-means clustering. The
require some interference of the user in terms of data import only user input is the number of joint sets. The colour of the poles in
and export to various software, the entire process can in prin- the various sets correspond with the coloured pointcloud in Figure 5,
ciple be fully automated so that in the future the results can i.e. the red set (1) is the bedding, which is the same as the slatey
be analyzed and displayed in real time, in the field. cleavage in this case.

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Figure 7. This is the stereoplot of manual (scanline) orientation
measurements. It is hard to compare both stereoplots. Only two of
the discontinuity sets clearly correspond, while the other sets show
little correlation.
4 CONCLUSIONS
In this paper, the new 3D terrestrial laser scanning is intro-
duced for 3D mapping and documentation of rock faces, which
enables one to capture 3D data of rock faces with high sam-
pling speed and good resolution, especially 3D laser image
can help geologists to perform rock face mapping in a 3D
digital model, and speed up the data processing procedure.
Two methods, semi-automatic and full-automatic, are pre-
sented to apply 3D terrestrial laser scanning data for fracture
mapping, which show both their advantages and disadvantages
regarding to the practical applications. With a semi-automatic
method, one can surely select a fracture for mapping with the
background knowledge, and then speed up the mapping pro-
cedure by the computer capacity. The full-automatic method
enables one to capture a large amount of data for statistic analy-
sis, and provide enough data for further analysis and numerical
modeling.
In addition, the high-resolution scanning data with both
visual and special information can be not only used for fracture
mapping, but also has a great potential application to solving
different problems in rock engineering.
REFERENCES
Bulut, F. and S. Tdes. 1996. Determination of discontinuity traces on
inaccessible rock slopes using electronic tacheometer: an example
from the Ikizdere (Rize) Region, Turkey. Engineering Geology 44,
pp. 229233.
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2007 Taylor & Francis Group, London, UK
BS 5930:1999. Code of practice for site investigations. British
Standard. British Standard Institution, London. BSI 10-1999.
192 pp.
Coe, J. A. 1995. Close-range photogrammetric geological mapping
and structural analysis, Master thesis, Colorado School of Mines,
USA.
Feng Q. 1999. Geodetic total station for measuring geometry of dis-
continuities at exposed rock faces. Licentiate thesis. Royal Institute
of Technology, Sweden.
Feng Q., Anders B. and Stephansson O., 2001. Fracture mapping at
exposed rock faces by using close-range digital photogrammetry
and geodetic total station. Proceedings of The 38th U.S. Rock
Mechanics Symposium, Washington D.C. July 710. 2001.
Feng Q. 2001. Novel methods for 3-D semi-automatic mapping
of fracture geometry at exposed rock faces. Ph.D. Thesis, Divi-
sion of engineering geology, Royal Institute of Technology (KTH),
Stockholm. ISBN 91-7283-113-8.
Harrison, J.P. 1993. Improved analysis of rock mass geometry
using mathematical and photogrammetric methods. Ph.D. Thesis,
Imperial College, London, U.K.
Knapen, B. van. and Slob, S. 2006. Identification and characterisation
of rock mass discontinuity sets using 3D laser scanning. In: IAEG
2006 : Pre-proceedings 10th international congress International
Association of Engineering Geology : Engineering geology for
tomorrows cities : 610 September, Nottingham, United Kingdom
CD-ROM / London : Geological Society of London, 2006. paper
438. 11 p.
Slob, S., Hack, H.R.G.K., van Knapen, B., Turner, K. and Kemeny, J.
2005. A method for automated discontinuity analysis of rock
slopes with three dimensional laser scanning. In: Transporta-
tion research record : journal of the transportation research board,
(2005) 1913, pp. 187194.
Slob, S., Hack, H.R.G.K. and Turner, K. 2002. An approach to
automatic discontinuity measurements of rock faces using laser
scanning techniques. In Proceedings of ISRM EUROCK 2002:
Funchal, Portugal, 2528, November 2002/ed. By C. Dinid da
Gama and L. Riberia e Sousa. Lisboa, Sociedade Portuguesa de
Geotecnia, 2002. pp. 8794.
Slob, S. and Hack, H.R.G.K. 2004. 3D terrestrial laser scanning as a
new field measurement and monitoring technique. In: Engineer-
ing Geology for Infrsutructure Planning in Europe. A European
Perspective. Eds: Robert Hack,Rafig Azzam and Robert Charlier.
Berlin, Springer Verlag, 2004. pp. 179190.
Vosselman, G., Gorte, B.G.H., Sithole, G. and Rabbani, T. 2005.
Recognising structure in laser scanner point clouds. The Inter-
national Archives of the Photogrammetry, Remote Sensing and
Spatial Information Sciences. ISPRS WG III/4, V/3 Workshop
Laser scanning 2005, Enschede, The Netherlands, September
1214, 2005.
 Geomechanical tests and their applications in rock anchorage design

Kang Hongpu & Lin Jian

Beijing Mining Institute, China Coal Research Institute, Beijing, China

ABSTRACT: A newly developed fast geomechanical test system for coal roadway anchorage design is presented in this paper.
It includes in-situ stress measurement, strength determination of roadway surrounding rock mass, and borehole observation.
The applications of the system in Luan coal mining district are introduced. The practice proves that the system is of importance
for improving the safety level of roadway supporting.

1 INTRODUCTION

The roadway surrounding rock mass is an extremely com-

plicated geological body. It has two characteristics. First, it
has various discontinuous interfaces such as joints and fis-
sures, but their existence apparently change the characteristics
of strength and deformation, resulting in the extremely large
strength differences between the rock mass and blocks con-
sisting of the rock mass. Second, it has internal stresses and the
magnitude and orientation of such stresses obviously affect its
deformation and failure. Therefore, to understand thoroughly
the geomechanical characteristics of the roadway surrounding
rock is very imperative for works related to roadways such as
their layout and support design, especially their anchor support
design (Gale, 1993).
Beijing Mining Institute, China Coal Research Institute has
developed a fast geomechanical test system serving the coal
roadway anchor support. The system can rapidly and correctly
measure the geomechanical parameters of the surrounding
roadway rock mass and has been applied successfully in Lu-an
and Jincheng coal mining districts.
2 A GEOMECHANISC TEST SYSTEM FOR ROCK
MASS SURROUNDING ROADWAYS
The geomechanical test system mainly includes the following
three parts: the borehole stress measurement, the rock strength
determination, and the borehole observation.
2.1 Borehole stress measurement
The method used by the system is the hydraulic fracturing
method. Compared with the stress relief test, it has advantages
as follows (Li, 1985; Su, 1985): (a) capable of testing stresses
at comparatively deep positions; (b) directly testing without
understanding and measuring the elastic modulus of rock.
The test rig used is the SYY-56 Hydraulic Fracturing
Test Rig developed by Beijing Mining Institute, China Coal
Research Institute. It can rapidly and massively measure
stresses within a small diameter borehole ( 56 mm). The
same borehole can also be used in the strength test of the road-
way surrounding rock mass. The rig is composed of sealing
tubes print tube, direction finders, hand pump, energy storage
component, exploding-proof oil pump, and recorder (Fig. 1).
Test is carried out in the selected borehole segments with
complete rock cores. First, put the sealing tube in the selected
Figure 1. Schematic drawing of hydraulic fracturing in situ stress
test.
borehole segment, then bring pressure to bear on the borehole
segment by the exploding-proof oil pump until rock breaks up,
and finally record hydraulic fracturing curves and take fracture
prints by the print tube The measurement data recorded are
processed by a special software for the hydraulic fracturing
stress test (Cheung, 1989).
2.2 Rock strength determination
The used instrument is the WQCZ-56 test rig (see Fig-
ure 2). It is composed of displacement reading device, probe,
hand pump, and installing rod. The diameter of the probe is
54 mm. The testing depth of boreholes can be up to 15 m.
The instrument is very suitable for fast rock mass strength
measurement in underground mines.
Test is carried out in a borehole. First, drive the piston in the
probe by the hand (high oil pressure) pump and at the same
time push the needle to press the borehole wall until the bore-
hole wall is crushed, and then record the critical pressure in the
hand pump. Thus the uniaxial compressive strength (UCS) of
the rock mass can be derived from the critical pressure through
simple calculation.
To obtain the UCS along the whole borehole length, one test
section is selected every 200 mm 300 mm along the bore-
hole. Test at the section is curried at three points spanning
120 degrees around the borehole axis. a span of are mea-
sured at each section. The arithmetic mean value of three
critical pressures obtained is taken as the critical pressure of
the section.

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 Stress(MPa)
Detector 0 5 10 15 20
100

200

Depth(m)
300

Installing rod
Electric cable 400

High-pressure
hose
Read box Manual pump 500
Vertical stress
The maximum horizontal stress

Figure 2. Schematic drawing of strength test in rock mass. The minimum horizontal stress

Figure 4. Variation of in situ stress values with depth in Luan coal

12 mining district.
Hydraulic pressure (MPa)

10
50
8 Uniaxial compressive strength(MPa)

40
6
4 30

2
20
0
0 1 2 3 4 5 6 7
10
Time (min)
0
Figure 3. Fracturing curve for stress test. Wuyang Zhangcun Changcun Shigejie Wangzhuang
Immediate roof strength Coal strength

2.3 Borehole observation
The instrument used is the FS75 20 borehole observation
rig. It is composed of flexible optical fiber, lens, eyepiece,
camera connector, miner lamp connector, and so on. The
observing depth is up to 6 m.
Borehole observation is to insert the instrument into the
borehole up to the maximum observing depth, and then
observe and record the rock texture in the borehole from the
eyepiece. While observation is ongoing, slowly turn and draw
out the instrument.
3 FIELD TESTING EXAMPLE
Nine sites had been measured successfully in Luan coal
mining district with the geomechanics test system.
3.1 Results and analysis of stress measurement
Figure 3 shows the pressure curve from a testing point in
Changcun Coal Mine.
The testing results indicate that there are two kinds of stress
field in Luan coal mining district: (a) H > V > h , 7 test-
ing sites having H /V = 1.03 1.84; (b) V > H > h , 2
testing sites having H /V = 1.29 1.75. So the horizontal
stresses are dominated in Luan coal mining district. The ori-
entations of the maximum horizontal main stresses gather
between N11.8W N55W.
Figure 5. Distribution drawing for strengths of coal and rock in
Luan coal mining district.
The testing results also show that the in situ stresses vary
linearly with depth. The linear regression of their main stresses
is shown in Figure 4.
3.2 Results and analysis of rock strength test
What is tested here is mainly the strength (USC) of rock and
coal in a range of 10 m above the roadway roof. The testing
results show that the UCS of No.3 Coal Seam is varying from
mine to mine: the highest UCS is up to 18.30 MPa, and the low-
est UCS is 9.60 MPa. The UCS of the immediate roof of No.
3 Coal Seam is also varying: the highest is more than 40 MPa
and the lowest is about 13.08 22.16 MPa. The strength dis-
tribution of the coal seam and the immediate roofs in Luan
coal mining district are is shown in Figure 5.
3.3 Results and analysis for borehole observation
The roadways observed through boreholes are of two types:
one is anchor supported and one is steel timber supported. The
latter is a passive support. It is observed through boreholes that
there occur massive separation, cracking and breaking in steel
timber supported roofs. It seems that as soon as the overburden
weight exceeds the load-bearing capacity of the steel timber, it
will be destroyed. This destruction will bring great difficulties
to roadway maintenance and result in the great increase of

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maintenance cost. On the other hand, it is observed through
boreholes that the supporting state of anchor supported roofs
is much better than that of steel timber supported roofs. For
example, there is no separation and destruction to be found
in anchor supported roofs of Changcun Coal Mine, showing
a good supporting state. And in drainage roadway No. 7516
of Wuyang Coal Mine, except light separation (about 0.24 m
above the roof ), coal and rock supported by anchors show also
a good supporting state. Anchor support is an active support.
The rock anchoring is an initiative support. This support
can bear not only the self-weight of the rock supported by
anchors, but also can transmit stresses from surrounding rock.
In anchor supported roadways, therefore, it is important to
keep rock beds from separation and damage and to maintain
the stability of the overburden rock beds as much as possible.
4 AN APPLICATION EXAMPLE
4.1 Background and test results
The example is the belt roadway of mining area No. 22 in
Zhangcun Coal Mine. The roadway was driven along the floor
of Coal Seam No. 3. It is 20 m from the boundary of the mining
area and 25 m from the material roadway and is located at the
depth of about 340 m in depth. Coal Seam No. 3 is about
6.51 m thick and has the average dip angle of about 2 .
The geomechanical test system was applied here. The aver-
age UCS of Coal Seam No. 3 is about 9.60 MPa. A gray and
black shale layer above the coal seam is about 1.30 m thick
and has the average UCS of about 13.71 MPa. A thin coal
layer above the shale is about 0.30 m thick and has the aver-
age UCS of about 6.75 MPa. A gray and black mud-shale layer
above the thin coal is about 7.20 m thick and has the average
UCS of 20.92 MPa.
The hydraulic fracturing test results show that the orienta-
tion and magnitude of the maximum horizontal main stress
is N54.7W and 6.58 MPa, respectively. The minimum hori-
zontal main stress is 3.53 MPa and the vertical main stress is
8.50 MPa.
4.2 Design scheme
The section of the roadway designed is rectangular, 3.6 m
wide and 3.0 m high. The FLAC3.3 program (Kang, 1999)
was adopted in design. A reasonable anchor scheme was
selected by comparing multiple different designs obtained
through inputting stress, orientation and other parameters into
FLAC3.3. The design scheme is as follows:
The roof is protected with 14 mm steel beam and wire
mesh.
The roof anchors are a 20 mm left-twisted steel bar, 2.4 m
long and without vertical lines. They are arranged in row: the
row-to-row span is 0.9 m and the anchor-to-anchor space in
the same row is 0.8 m, that is, there are 5 anchors in every row.
The anchor cable is 7.3 m long and is set up at the center of
the roof. The combination frame for cables is made of No. 12
channel bars.
The side anchors are a 18 mm left-twisted steel bar, 1.8 m
long. They are arranged in row: the row-to-row span is 0.9 m
and the anchor-to-anchor space in the same row is 1 m, that
is, there are 3 anchors in every row. The sides of the roof are
also protected with 14 mm steel beams and wire meshes.
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All of the anchors are lengthened and are set up by using
resin as a binding agent.
4.3 Analysis of anchorage effects
To analyze the anchorage effects, the surface displacements
of the roadway, the roof separation and the stress state of the
anchors were monitored while the roadway was driven. The
monitoring results are as follows:
(1) The displacement of the roadway was not noticeable. The
roof subsidence averages about 10.8 mm and the side-
to-side displacement averages about 45.8 mm. The latter
lasted only about 3 5 days and then trended to stop,
showing a stable state.
(2) The roof separation is about 10.3 50.5 mm in a range
of 2.4 m above the roof surface and about 0 2.5 mm
in a range of 2.4 to 7 m. The roof separation was rapidly
developed in two days after excavation, then became slow,
and trended to stop after 5 days.
(3) The stress in the roof anchors was relatively low, generally
lower than 100 kN, but the stress in their shallow parts
was higher than that in their deep parts. The stress in the
side anchors in the lower part of the roadway was higher
than that in the upper part of the roadway. This stress
heterogeneity can be interpreted by the cohesive force of
the interface between coal and rock being lower than that
of coal itself.
The monitoring results above proved that the rock anchor-
age design is scientific, reasonable and safe.
5 CONCLUSIONS
(1) The geomechanical test system can rapidly finish the
in situ tests and provide the basic parameters for the
rock anchorage design. The extensive application of this
system will promote the rock anchoring technology in
Chinese coal roadways and improve the roadway support
safety to a great extent.
(2) The geomechanical testing and anchorage practice in min-
ing area No. 22 in Zhangcun Coal Mine lay a solid
foundation for popularizing this kind of rock anchorage
design in the whole of Luan coal miming district.
REFERENCES
Cheung L.S. & Haimson B.C. 1989. Laboratory study of hydraulic
fracturing pressure data How valid is their conventional inter-
pretation?, International Journal of Rock Mechanics and Mining
Sciences & Geomechanics Abstracts, vol.26, no.6, 595604.
Gale, W.J 1993. Design approach to assess coal mine roadway
stability and support requirement, VIII Australian Tunneling
Conference.
Kang, H.P. 1999. FLAC Analysis on affecting factors to rock
bolting in gate roads, Chinese Journal of Rock Mechanics and
Engineering, vol.18, no.5, 534537.
Li, F.Q. 1985. In situ stress measurement, Chinese Journal of Rock
Mechanics and Engineering, vol.4, no.1, 95110.
Su, K.Z. 1985. Measuring Methods of In Situ Stresses, The Earth-
quake Press, Beijing.
 Geotechnical mapping evaluation of rock groynes in Espinho area (NW Portugal)

A.C. Pires
Centro de Minerais Industriais e Argilas, Universidade de Aveiro, Aveiro, Portugal

H.I. Chamin
Departamento de Engenharia Geotcnica (LABCARGA), Instituto Superior de Engenharia do Porto, Porto, Portugal
Centro de Minerais Industriais e Argilas, Universidade de Aveiro, Portugal

ABSTRACT: In Portugal groynes are one of the most common shoreline protection structures. This study presents a method-
ological proposal for the mapping and assessment of the block materials from coastal protection structures, such as groynes.
An applied cartography for the armour layer of the Paramos groyne case was first developed in a georeferenced GIS base.
Geotechnical and geomechanical parameters, particularly, petrophysical features, weathering grade and uniaxial compressive
strength, were then assessed. The results obtained allowed to define a geotechnical zonation for the Paramos armour layer,
according to the type of lithology, weathering grade and strength of the rock materials. The methodology developed proved
economical and easy of use, providing a geological-geotechnical characterisation valuable to improve the diagnosis of the
groynes status, as well as the monitoring and maintenance of the kind of structures. In addition, it contributes to clarify our
understanding of the coastal management of Espinho area.

1 INTRODUCTION

The shoreline protection against coastal erosion is a com-

plex problem. According to the specific framework, different
methods and coastal structures may be used to protect the
shoreline. Among the most generalized constructions in use
there are the so-called groynes. These are transverse coastal
structures, whose function is to retain the littoral sediment
transportation, in order to stabilize the beach. Normally they
are built in groups and are designated as fields of groynes.
These coastal defence works may be integrated with longitudi-
nal and adherent constructions, and in some cases, they may be
artificially nourished (e.g., LCPC, 1989; CIRIA/CUR, 1991;
USACE, 1995). Due to their characteristics, these structures
are designed under the condition that maintenance and repair
works will certainly be needed during the structures life (e.g.,
USACE, 1990; Silva, 1996; Santos et al., 2003).
This study provides a proposal for the geotechnical map- Figure 1. Espinho location and the study area: Paramos groyne
ping evaluation of the armour layer block materials in groynes, (aerial photo by F. Piqueiro, 2005).
according to the type of lithology, weathering grade and
strength of the rock materials. This is a profitable approach,
in the sense that it provides information crucial to extend the 1977; LCPC, 1989; CIRIA/CUR, 1991; Mota Oliveira &
average life-time of these coastal protection structures. It also Martins, 1991; USACE, 2002). The main aim of both the
emphasizes the importance, and need, of geotechnical stud- mapping and the systematic inspection of these structures is
ies for a more efficient planning of this kind of constructions. to define and characterise the natural and artificial blocks
The cost of the structure, its expected behaviour, as well as, the constituting the groynes. In addition, it is important to trace
consequences of its failure on the groynes base, do justify the back the mass blocks to their origin (i.e., the extraction quar-
geotechnical site investigations, which will help in the pro- ries) in order to typify and better evaluate the construction
cess of decision making concerning the time of maintenance of the whole structure since. This geotechnical evaluation
or repair or of works initiation. of the material is extremely relevant because it might influ-
ence groynes behaviour and the duration of their useful life
(McCleese, 2000).
2 OBJECTIVES AND STUDY AREA The Paramos groyne, located in the Espinho region, was
chosen for this field survey. This coastal area is situated on
The purpose of this study is to demonstrate the importance the Portuguese West shoreline. Espinho is a municipality that
of coastal geology and engineering concepts for the plan- belongs to the district of Aveiro, being situated on the North
ning of maritime structures, such as groynes (e.g., Gomes, Atlantic coast approximately 16 km South from Porto (Fig. 1).

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Figure 2. Datasheet created for the evaluation and inspection of
block materials (adapted from Pires, 2005; Pires et al., 2006a).
The Espinho town has a total area of 21.1 km2and a
population of about 33.000 inhabitants, including 5 parishes
(Espinho, Anta, Guetim, Silvalde and Paramos), about 20.000
of which are concentrated on the urban seafront of Espinho
(SOMAGUE, 1980; Veloso Gomes et al., 2002; Veloso Gomes
et al., 2006; Pires et al., 2006b).
3 METHODOLOGY
The work was based on the recommendations and terminology
of the Manual of the Use of Rock in Coastal and Shoreline
Engineering from CIRIA/CUR (1991), as well as on the pro-
posal of geological and geotechnical characterisation of rock
masses by ISRM (1978a, 1978b, 1981) and GSE (1995).
A geotechnical datasheet was created for the recognition
and visual evaluation of the rock material. Aerial images of
the area were used to set up a geo-reference GIS database
(Gonalves & Piqueiro, 2004). A detailed mapping of the
rock blocks was then prepared with the support of the aerial
photographic database. Afterwards, more than 5.000 block
materials on the groynes superficial section (armour layer)
were vectorized in a GIS base. Sampling along a linear scan-
line is an accurate method for the systematic collection of
geological and/or geotechnical information (Lamas, 1989;
Dinis da Gama, 1995). In several geotechnical situations it
is, moreover, the easiest and fastest way to collect data. This
approach allowed us to obtain thematic maps of the Paramos
groyne armour layer useful to evaluate different geological and
geotechnical parameters (adapted from ISRM, 1978b; Brown,
1981; Brady & Brown, 2004).
This assessment was also supplemented with walkover
surveys carried out, not only to record (with the aid of pho-
tographs) the overall condition of the structure, including
any obvious rock movements, but also changes in the groyne
profile, type of lithology, etc. These visual evaluations were
supported by the use of the inspection datasheet (Fig. 2) where
the most important aspects and parameters were registered,
namely lithology, weathering grade, petrophysical character-
istics, geomechanical features of block materials, scanline
segments. Additionally, it was carried out a meticulous study
of the quarry control that provides the rock materials, i.e.,
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2007 Taylor & Francis Group, London, UK
Figure 3. Lithological sketch from Paramos groyne (Espinho area).
Explanation: Lithology: I Grayish-blue granite, medium grained,
essentially biotitic; II Reddish-rose granite, medium to fine grained;
III Yellowish biotite-orthogneiss with feldspar megacrystals; Mate-
rials: IV Concrete.
gneissic and granitic rocks in the surroundings of the study
area (Chamin, 2000; Pizarro et al., 2005).
For the evaluation of the uniaxial compressive strength of
rocks and materials (concrete) in the groyne, the Schmidt
Hammer technique was used (e.g., Brown, 1981; Katz et al.,
2000; Kahraman, 2001).
This methodology was further refined through the applica-
tion of several tools, such as GIS (Burke et al., 2001) and
StraterTM software (2004). While GIS was used to create
thematic geological and geotechnical maps of the groynes,
StraterTM helped to organize all the geological data observed
and measured in the defence structure.
4 RESULTS AND DISCUSSION
The materials used to construct coastal engineering structures
are critically important to the success and longevity of the
structure. Figure 3 shows the lithological map of the armour
layer of Paramos groyne, with more than 5.000 rock materials
vectorized. Different lithologies were recognized, such as: nat-
ural rocks (granite and gneiss) and artificial material (concrete
or a mixed material, i.e., concrete + aggregates). This applied
cartography provided an evaluation of the current condition
of the structure and the revetment material status.
The Schmidt hammer rebound values allowed to estimate
the uniaxial compressive strength of block armour materials
along the crown wall of the structure, according to ISRM
(1981) geomechanical classification (Fig. 4).
The cross-check of all geotechnical and geomechanical
parameters, particularly, petrophysical features, weathering
grade and uniaxial compressive strength, allowed to define
a zonation for the Paramos armour block materials (Fig. 5).
Zone I (ZI) corresponds to the crown wall, with maximum
strength (ranging from 195 to 250 MPa); this zone is pre-
dominantly constituted by reddish-rose granite, with medium
to fine grain. Zones II (ZII, inner) and III (ZIII, head) have
the same geotechnical characteristics, namely grayish-blue
granite, with medium grain essentially biotitic and strength
ranging from 150 to 195 MPa. Finally, Zone IV (ZIV) cor-
responds to the outer zone, with low strength (ranging from
120 to 150 MPa); this zone is mostly constituted by yellowish
biotite-orthogneisses with feldspar megacrystals.
 5 CONCLUDING REMARKS

This study presents, in a geotechnical perspective, a method-

Figure 4. Uniaxial compressive strength sketch map; photos of the
Schmidt rebound tests and an example of StraterTM application on
segment number 6. Explanation: I >195 MPa; II 150 to 195 MPa;
III 120 to 195 MPa (118 geomechanical stations).
ological proposal for the mapping and assessment of the block
materials from coastal protection structures. The methodology
developed proved to be an easy of use, fast, and economi-
cal way to assess the preservation status of coastal protection
structures. Furthermore it provides a geological-geotechnical
characterisation useful for groynes management. The main
results of both the applied cartography developed in a geo-
referenced GIS base, and the evaluation of the deterioration
level of the groyne, reinforce the need for a careful planning
of this kind of works. Since the cost of production and trans-
portation of the very large quantities of rock often required for
coastal and shoreline structures is an essential consideration
when selecting a particular design solution, it is important to
establish the availability and quality control of rock materi-
als since its origin or local of extraction, until the project is
completed.
This study is still in progress to provide more detailed infor-
mation concerning the geological materials that may be found,
the material properties which may be expected in relation to
the design requirements, and the test procedures that are usu-
ally applied to assess quality and durability of these materials
before and during construction. On the other hand, there is
also a concern to evaluate the structure condition after the
construction (monitoring and maintenance).

ACKNOWLEDGEMENTS
Figure 5. Armour block materials zonation: a tentative synthesis
map. Explanation: a high (ZIII head); b medium (ZII inner This work is a LABCARGA I&D (Laboratrio de Car-
zone); c low (ZIV outer zone); d very low (ZI crown wall). tografia e Geologia Aplicada, DEG-ISEP) contribution. We
gratefully acknowledge Alberto Gomes (DG-FLUP), F. San-
tiago Miranda (APDL) and Francisco Piqueiro (DC-FEUP)
Table 1. Results of the field assays and the visual inspection carried for stimulating discussions and for their kind support in
out (ZI crown wall; ZII inner zone; ZIII head; ZIV outer zone). fieldwork.
Uniaxial
Weathering compressive Present REFERENCES
grade strength c condition
(ISRM, (MPa) (Deterioration
Brady, B. H. G. & Brown, E. T. 2004. Rock mechanics for under-
Designation 1981) [ISRM (1981)] level)
ground mining, 3rd edition, George Allen & Unwin (eds), London,
527 pp.
ZI W1 195250 [S1 ] Very-low
Brown, E. T. 1981. Rock characterization Testing and Monitoring.
ZII/ZIII W12 150195 [S2 ] Medium/High
ISRM Suggested Methods. Pergamon Press, Oxford.
ZIV W3 120150 [S2 ] Low
Burke R., Napoleon E., Ormsby T., Groess C. & Feaster L. 2001. Get-
ting to Know ArcGIS Desktop: The Basics of ArcView, ArcEditor,
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Chamin, H. I. 2000. Estratigrafia e estrutura da faixa metamrfica
Table 1 synthesises the geotechnical features of the armour de Espinho-Albergaria-a-Velha (Zona de Ossa-Morena): impli-
block material zonation and the present deterioration level of caes geodinmicas. Universidade do Porto, 497 pp. (PhD
the groyne. In this case, for Zones I, II/III, and IV the dete- Thesis).
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based on the inspection and assessment of Paramos groyne Report 154. CIRIA/CUR Edition, 607 pp.
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Gonalves, J. A. & Piqueiro, F. 2004. Geo-referenciao de ima-
gens areas de uma cmara digital no mtrica: aplicao Costa
Oeste de Portugal Continental entre a Figueira da Foz a Nazar.
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I.S.R.M. International Society of Rock Mechanics. 1978a. Sug-
gested methods for determining hardness and abrasiveness of
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I.S.R.M. International Society of Rock Mechanics. 1978b. Sug-
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in rock masses. Int. Journ Rock Mech. Min. Sci. & Geom. Abstr.,
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I.S.R.M. International Society of Rock Mechanics. 1981. Basic
geotechnical description of rock masses. Int. Journ Rock Mech.
Min. Sci. & Geom. Abstr., 18, pp. 85110.
Kahraman, S. 2001. Evaluation of simple methods for assessing the
uniaxial compressive strength of rock. Int. J. Rock Mech. Min.
Sci., 38, pp. 981994.
Katz, O., Reches, Z. & Roegiers J.-C. 2000. Evaluation of mechanical
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 Geotechnical properties in an alteration profile of the granite of Covilh

V.M. Cavaleiro, P.G. Almeida & J.F. Riscado

Department of Civil Engineering, University of Beira Interior, Covilh, Portugal

ABSTRACT: In the area of Covilh the granite is on of the more abundant lithologies. The superficial alteration, controlled
by the fault system, leads to the formation of alteration horizons in the vertical direction, which, on the geotechnical point of
view, change their properties. This article presents some preliminary results of the accomplished study, that tries to establish
correlations between weathering degree and mechanical properties.

1 INTRODUCTION

The geomechanical properties of rocks vary fundamentally

in function of the rock type, tectonics, fracturing degree and
weathering.
The alteration degree is, of the referred factors, probably the
most important in engineering, since its variation affects the
dynamic behavior of the rocks, and so conditioning their apti-
tude characteristics, like rock mass if excavability, the bearing
capacity or the behavior of materials in work along the time.
This phenomena has been study by several authors, based
on weathering, compressive wave velocity or uniaxial com-
pressive strength aiming on proposing a classification.
The main objective of this study is to evaluate, through sam-
pling accomplished along ten boreholes, how the weathering
mechanisms and the different geomechanical parameters vary
in depth. Figure 1. Location of the study area in Serra da Estrela mountain.
Laboratory testing accomplished on the samples bodies
(bulk volume weight, open porosity, water absorption, com-
pressive waves velocity and uniaxial compressive strength)
allowed to establish correlations between the geomechanical
parameters.

2 GEOLOGY AND GEOMORPHOLOGY

Geomorphologically the area is known by Plateau of Torre

(Figure 1), and it was subject to the recent glaciations (Vieira,
2004). The actual relief results of a commitment between the
erosion and tectonics phenomena that are well marked in the
entire area.
Tectonical behaviour generates on the all massif several
fracturing surfaces originating on hercinic age orogenic mov-
ments and granitic intrusion resulting in strong litostatic
decompression in the framming lithologies.
The fracture network observed in aerial photo at a scale of
1/26000 is dense and it presents an predominant orientation
of NNE-SSW. A second family, almost perpendicular to the
first, appears with an orientation that oscillates of E-W and
WSW-ENE.
In situ measurements of the existent fracture network
allowed the analysis of the geometry of these planes as it is
observed in the Figure 2.
The spacing among discontinuites varies from family to
family, being the more representative values, from 0.25 to
0.40 m, those correspond, according to the classification of
Figure 2. Stereographic projection of joint sets of granite in study
area.
ISRM (1976), to a degree F3 or medium spacing between
faults.
The discontinuity surfaces are quite narrow, 1 to 2 mm of
opening and in general showing traces of percolation with iron
oxides or caulinite.
3 GEOTECHNICAL CHARACTERIZATION
Geotechnical studies were conducted in two stages field and
laboratory work.
During the field work, a 1:5000 scale engineering geology
map of the study area was made (Figure 3). Studies of the

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Figure 3. Engineering geology maps: A) Geological map with drilled boreholes; B) Generalized geological cross-section of the slope with
drilled boreholes location.

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 100
90
80
70
Frequency (%)

60 51
50
40 30
30
20 12
10 2 5

0
0-25 25-50 50-75 75-90 90-100
RQD (%)
Figure 5. Correlation between porosity and depth.
Figure 4. Distribution of RQD values of granite in the study rea.

Table 1. Statistical evaluation of geomechanical properties of

granite.

Dry unit Water Compressive

weight absortion Porosity wave velocity
(kN/m3 ) (%) (%) (m/s)

Samples 20 20 20 20
Mean 25.48 1.16 2.94 2548.5
Maximum 25.99 2.77 6.82 3333.3
Minimum 24.62 0.42 1.08 1471.5
Standard 0.41 0.62 1.51 496.5
dev. Figure 6. Correlation between compressive wave velocity and
depth.

Table 2. Statistical evaluation of mechanical properties of granite.

Schmidt Uniaxial Static Dynamic

hammer compressive young young
rebound strength modulus modulus
(N) (MPa) (GPa) (GPa)

Samples 20 20 20 20
Mean 44 95.75 7.70 28.75
Maximum 50 143.00 6.38 31.83
Minimum 35 28.24 9.01 25.67
Standard 6.10 30.22 1.86 4.36
dev.
Figure 7. Correlation between uniaxial compressive strength and
depth.

direction, persistence, spacing, opening, roughness and filling
of discontinuites in the granite and the degree of weathering
along the joints was included.
Analysis was preformed for each 1.5 m sections of the total
length of 10 borehole cores determining RQD values as well
as weathering degree (ISRM, 1981).
Figure 4 shows the histogram with the obtained values of
RQD according to Deere (1964). It can be observed that the
massif corresponds to a class of good to excellent.
Laboratory tests were preformed to determine the geome-
chanical properties of the rock material. Samples were sub-
jected to testing for dry (d ) and saturated (s ) bulk volume
weight, water absorption (Aw ), porosity (n), compressive
wave velocity (VL ), Schmidt hammer rebound (N), uni-
axial compressive strength (UCS) and Young modulus (E)
properties.
The obtained results of the characterization testing are
presented in Tables 1 and 2.
4 DATA PROCESSING
The obtained results of the several laboratory tests made
allowed the accomplishment of several correlations for some
of the geomechanical parameters with depth. In the collected
samples of the boreholes with an interval of 1.5 meters of
depth, the mean values of the geomechanical parameters were
calculated as presented on Table 1 and 2, and were correlated
with the depth. In figure 5 is shown the correlation found
between porosity and depth.
From observation of figure 5 it can be verified that the
porosity of the material decreases as depth increases, follow-
ing the decrease of the weathering degree of the massif. It was
also possible to analyze the correlations between the com-
pressive wave velocity and the uniaxial compressive strength
with depth, resulting those correlations presented in Figures 6
and 7.
The observation of figures 6 and 7 allows to verify that both
compressive wave velocity and uniaxial compressive strength

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 160 160
-0,2629n UCS = 0,057VL - 49,45
140 UCS = 193,95e 140
2 2
120 R = 0,927 120 R = 0,876

100

UCS (MPa)
100
UCS (MPa)

80 80

60 60

40 40

20 20

0 0
0 1 2 3 4 5 6 7 8 0 500 1000 1500 2000 2500 3000 3500
n (%) VL (m/s)

Figure 8. Correlation between uniaxial compressive strength and Figure 10. Correlation between uniaxial compressive strength and
porosity. compressive wave velocity.

160 160

140 UCS = 66,002gd - 1586 140 UCS = 5,4093N - 133,51

R2 = 0,821 2
R = 0,992
120 120
UCS (MPa)

100

UCS (MPa)
100
80 80
60 60
40
40
20
20
0
0
24,4 24,6 24,8 25 25,2 25,4 25,6 25,8 26 26,2
20 25 30 35 40 45 50 55
d (kN/m ) 3
Schmidt hammer rebound (N)

Figure 9. Correlation between uniaxial compressive strength and Figure 11. Correlation between uniaxial compressive strength and
dry unit weight. Schmidt hammer rebound.

increases in depth, accompanying just as it had already hap-
pened with the porosity the decrease of the weathering of the
massif.
The results obtained from the laboratory tests, allowed cor-
relating the geomechanical parameters between themselves,
namely the uniaxial compressive strength with porosity, com-
pressive wave velocity, bulk unit weight and the value of
Schmidt hammer rebound. In figures 8 and 9 are shown corre-
lations found between the uniaxial compressive strength and
porosity and bulk unit weigth respectively.
The observation of figures 8 and 9, allows verifying the
existence of a good correlation between these parameters, it
can also be seen, in the case of porosity, that an increase rel-
atively small of this parameter implicates a large decrease of
the uniaxial compressive strength.
In the figures 10 and 11 it is possible to observe correla-
tions obtained between compressive wave velocity, Schmidt
hammer rebound and uniaxial compressive strength.
5 CONCLUSIONS
This work intends to evaluate the way the measured physical
and mechanical parameters vary in depth. The drilling of 10
mechanical boreholes distributed equaly along 1000 meters,
allowed to evidence the following aspects:
1. The massif is considered of good to excellent quality with
a RQD above 90% in more than 50% of the cases;
2. The measurement of 378 planes allowed the elaboration of
the diagram evidencing the main discontinuites families;
3. In general terms, the properties of porosity (n) and water
absorption decreases with the depth, while the bulk unit
weigth, compressive wave velocity and uniaxial compres-
sive strength increase with the depth;
4. A good correlation is observed between the obtained values
of uniaxial compressive strength and compressive wave
velocity;
5. The quality of the massif seems to be higher in depth in
terms of RQD as well as in relation to the weathering degree
of the rock.
REFERENCES
American Society of Testing and Materials ASTM. 1994. Anual
book of ASTM Standards Construction, soil and rocks.
Anon. 1995. The description and classification of weathered rock for
engineering purposes. Geological Society Eng. Group Working
Party.
Deere, D. N. 1964.Technical description of rock cores for engineering
purposes. Rock Mech. Rock Engineering.
International Society of Rock Mechanics ISRM. 1981. Rock char-
acterization testing methods. Brown E. T. (Editors). Pergamon
Press Oxford.
Vieira, G. 2004. Geomorfologia dos planaltos e altos vales da Serra
da Estrela, ambientes frios do Plistocnico Superior e dinmica
actual. Tese doutoral, Departamento de Geografia, Faculdade de
Letras, Universidade de Lisboa.

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 Influence of chemical attack on physical and mechanical properties of some dimension
stones from Brazil

Messias de Paiva Bastos, Eduardo Gomes Marques & Fabiano Jernimo Moreira Sossai
Departamento de Engenharia Civil, Universidade Federal de Viosa

ABSTRACT: This work presents part of the results of a comprehensive technological test campaign of 21 rock types from
Esprito Santo state, Brazil, used as dimension stones. From this initial group, 12 rock types were selected to be submitted to
chemical attack throughout cycling with four different reagents: hydrochloric acid (HCl 18% V/V), diluted detergent (20%
V/V) and distilled water. Mechanical and physical properties were determinated both previously and after chemical attack
for all rock types, in order to evaluate long time behavior and influence of chemical weathering. Results show that all rocks
tested presented sensitive visual changes such as stain spots, bleeding, clouding and mineral oxidation. Some of the rocks were
completely weathered by chemical attacks. Unexpectedly, despite of those severe changes over visual aspects of rock samples,
the influence of chemical attack over its physical properties was not clear for some of the studied properties. Although, it can
be noted an average reduction of specific weight and an average increase for porosity and saturated water content. Point load
strength results show a strength reduction of 25% for HCl, 24% for detergent, 27% for KOH and 13% for distillated water,
characterization chemical weathering influence on mechanical properties of those rocks.

1 INTRODUCTION Table 1. Chemical substances and concentrations

In general, a rock is selected to be used as dimension stones
because of its beautifulness, which is given by minerals col-
ors and rock texture. Yet, it is the specific properties of each
mineral which determinates rock hardness, durability, color
and structure which will more adequate use of such rock as a
dimension stone (Aires-Barros, 2001).
In recent years, mainly because of its high durability quality,
rocks turn back to be used as an important facing material with
great architectural effects (Frazo & Farjallat, 1995 and 1996).
It is important to a good physical, chemical and mechanical
characterization of rocks used as dimension stones, as they
are subjected to several different stress and strength loadings
as well as climate agents such as sun, acid rain, temperature
variations and wind.
2 OBJECTIVES
The main purpose of this paper is to present the results
obtained by Sossai (2006) and Bastos (2006) on the study
of the influence of rock weathering on physical and mechani-
cal properties for some of the most common dimension stones
from Esprito Santo State, Brazil. The effect of weathering was
simulated throughout cycling tests using three different sub-
stances: distilled water, detergent, chloride acid and potassium
hydroxide.
used for chemical attack tests.
Substance Concentration
Hydrochloric acid (HCl) 18% (V/V)
Detergent 20% (V/V)
Distilled water
physical properties determination, uniaxial compression
strength, and chemical attack, respectively. Ten samples for
each rock type and for each chemical substance were tested.
Average values were calculated discarding both two highest
and lowest values for each test.
Determination of detergent concentration was calculated
to obtain a viscosity close to waters in order to facilitate
penetration of this reagent into rock pores.
Sound rock samples were tested for point load strength tests.
At the end of 10 cycling tests physical indexes were determi-
nated and after 30 to 50 cycling tests (depending on rock type
and solution, due to operational problems) all samples were
submitted to point load compression strength tests in order to
compare with sound rock results.
4 RESULTS

Both qualitative and quantitative evaluation were done for all

3 MATERIALS AND METHODS
Twelve rock types were submitted to chemical attack for the
substances and concentrations presented on Table 1.
Tests procedures followed Brazilian standards (ABNT
1992a, 1992b, 1992c and 1997) for water-oven cycling,
tests.
Qualitative analysis of cycling test has shown severe visual
damage for all rock types tested. The following rock types
have shown the most severe visual changes during cycling
tests: Midnight Green, Branco Romano, Labareda Gold and
Giallo Antico.

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 Table 2. Number of cycles and type of reagent test
for each sample.

Number of chemical attack

cycles for each reagent

Rock name HCl Detergent Water

Amarelo Verniz 50 50
Branco Torrone 40 40 30
Branco Romano 40 40 30
Giallo Firenze 50 50
Juparan Rio 40 40 30
Labareda Gold 40 40 30
Midnight Green 40 40 30
Ocre Itabira 50 50
Santa Ceclia 40 40 30
Verde Ubatuba 50 50
Figure 3. Variation of dry specific weight during cycling with HCl,
Vermelho Braslia 50 50
distilled water and detergent for Branco Romano rock type.
Giallo Antico 40 40 30

Figure 4. Variation of apparent porosity during cycling with HCl,

Figure 1. Variation of dry specific weight during cycling with HCl, distilled water and detergent for Midnight Green rock type.
distilled water and detergent for Midnight Green rock type.

Figure 5. Variation of apparent porosity during cycling with HCl,

Figure 2. Variation of dry specific weight during cycling with HCl, distilled water and detergent for Giallo Antico rock type.
distilled water and detergent for Giallo Antico rock type.

In order to exemplify the results obtained for studied rock
types only quantitative data from three rock types will be
presented on this paper.
Graphics from Figures 1 to 4 shows results of changing into
dry specific weight during chemical attack cycling for rock
types tested.
Figures 4 to 6 shows results of changing into for apparent
porosity during chemical attack cycling for rock types tested.
Figures 7 to 9 shows results of changing into for absorption
capacity during chemical attack cycling for rock types tested.
Figures 10 to 12 shows the results for point load strength
for sound rock and for rocks after chemical attack.

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 PorosityVariation During Cycling for Branco Absorption Capacity Variation During Cycling for
Romano Branco Romano
1,200 0,450
1,100 0,400

Absorption (%)
Porosity (%)

1,000
0,350
0,900
0,300
0,800
0,250
0,700
0,600 0,200
0 10 20 30 40 50
0 10 20 30 40 50
Cycles
Cycles
HCl Water Detergent
HCl Water Detergent

Figure 9. Variation of absorption capacity during cycling with HCl,

Figure 6. Variation of apparent porosity during cycling with HCl, distilled water and detergent for Branco Romano rock type.
distilled water and detergent for Branco Romano rock type.

Absorption Capacity Variation During Cycling Reduction Into Point Load Strength
for Labareda Gold During CyclingWith HCl
0,500 10

0,450 8 Branco Romano

Strength (MPa)
Absorption (%)

0,400 6 Labareda Gold

4 Midnight Green
0,350
2 Giallo Antico
0,300
0
0,250 0 40
0 10 20 30 40 50 Cycles
Cycles
Figure 10. Reduction on point load strength due to chemical attack
HCl Water Detergent
during cycling with HCl.
Figure 7. Variation of absorption capacity during cycling with HCl,
distilled water and detergent for Midnight Green rock type. Reduction Into Point Load Strength During
Cycling With Detergent
8
Absorption Capacity Variation During Cycling for 7
Gialho Antico
6 Branco Romano
Strength (MPa)

0,600 5
Labareda Gold
0,500 4
Absorption (%)

3 Midnight Green
0,400
2
0,300 Giallo Antico
1
0,200 0
0 40
0,100 Cycles
0 10 20 30 40 50
Cycles Figure 11. Reduction on point load strength due to chemical attack
during cycling with Detergent.
HCl Water Detergent

Reduction Into Point Load Strength During

Figure 8. Variation of absorption capacity during cycling with HCl, Cycling With Distilled Water
distilled water and detergent for Giallo Antico rock type.
8
7
5 CONCLUSIONS 6 Branco Torrone
Strength (MPa)

5 Labareda Gold
Cycling tests caused severe visual and strength damage to all 4
rock types tested. 3
Midnight Green
Physical properties results show an average increase on Giallo Antico
2
porosity and absorption capacity, while dry specific weight is
reduced for all studied rocks. Some unexpected results were 1
observed for Branco Romano tested with detergent, as long its 0
0 30
dry specific weight raised and its porosity decreased during Cycles
weathering. This result will be the purpose of future stud-
ies regarding correlations between mineralogy and chemical Figure 12. Reduction on point load strength due to chemical attack
reagents for cycling of these rocks. during cycling with Distilled Water.

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 Point load compression strength has shown an average drop
of 25% for strength after HCl chemical attack cycling tests,
24% for Detergent and only 13% for distilled water. It can
be seen that for the first two reagents the results were very
similar, while distilled water has a much lower weather effect
over strength.
HCl directly influence the esthetical aspect of rocks, com-
pletely changing the color of studied rocks.
For dark rocks, with a great amount of dark minerals, dis-
tilled rock cycling has created a significant esthetical change,
such as stain spots all over its surfaces due to mineral oxida-
tion. This effect can be easily noted for Midnight Green rock
type.
ACKNOWLEDGEMENTS
The authors would like to thanks the Brazilian ScientificAgen-
cies CNPq and CAPES for the financial support to the
development of the research.
REFERENCES
ABNT. 1992a. Rochas para revestimento Determinao da resistn-
cia compresso uniaxial. NBR 12767. Rio de Janeiro: ABNT. 2p.
ABNT. 1992b. Agregados. Verificao do comportamento mediante
ciclagem gua-estufa. NBR 12696. Rio de Janeiro: ABNT. 3p.
318
2007 Taylor & Francis Group, London, UK
ABNT. 1992c. Rochas para revestimento Determinao da massa
especfica aparente, porosidade aparente e absoro de gua
aparente. NBR 12766. Rio de Janeiro: ABNT. 3p.
ABNT. 1997. Placas cermicas para revestimento Especificao e
mtodos de ensaios. Anexo H Determinao da resistncia ao
ataque qumico. NBR 13818/1997. Rio de Janeiro: ABNT __p.
Aires-Barros, L. 2001. As rochas dos monumentos portugueses
tipologias e patologias, Vol. I e II, Edio Instituto Portugus
Patrimnio Arquitectnico (IPPAR), Lisboa: IPPAR. 2001.
Bastos, M.de P. 2006. Caracterizao tecnolgica e da influncia
da alterabilidade em algumas rochas ornamentais usadas como
revestimento. Relatrio Final de Iniciao Cientfica Centro de
Cincias Exatas e Tecnolgicas, Universidade Federal de Viosa:
Viosa: UFV, 55p.
Frazo, E.B. & Farjallat, J.E.S. 1995. Seleo de pedras para revesti-
mento e propriedades requeridas. Rev. Rochas de Qualidade. No.
124. So Paulo. 8p.
Frazo, E.B. & Farjallat, J.E.S. 1996. Proposta de especificao para
rochas. In: Congresso Brasileiro de Geologia de Engenharia, 8.
Rio de Janeiro, 1996. Rio de Janeiro: ABGE. 1: 369380.
Sossai, F.J.M. 2006. Caracterizao tecnolgica de rochas ornamen-
tais. Dissertao (M.Sc. Thesis) Centro de Cincias Exatas e
Tecnolgicas, Universidade Federal de Viosa: Vios.
 Interpretation of rock joint orientations exposed on the rock faces using a multistage
convergence photogrammetric technique

Jaedong Kim, Sung O. Choi & D.H. Kim

Division of Environmental and Geosystem Engineering, Kangwon National University, Korea R.

ABSTRACT: To execute geological mapping works in the field more objectively and correctly, it can be said that the pho-
togrammetric mapping technique could be an alternative to the conventional one. Though several methods has been developed
in the fields of photogrammetry or computer vision, there still lies some drawbacks when they are applied to the geological sur-
veying sites, such as, too many number of control points, restrictions in positioning camera and so on. This study was intended
to develop a system that is most adequately adoptable to the investigation of rock joint structure, covering from obtaining the
field data in the form of digital image to interpreting the individual joint orientations, joint set analysis and density analysis.
A new algorithm, which is a theoretical stem of the system, was originally developed and named as Guide Point Method by
the author. It can be categorized as a modified one of the multistage convergence photographing technique.

1 INTRODUCTION are rotation angle (, , ) and translation vector (XL , YL , ZL ),

The orientation data of rock joints can be surveyed from many
sources, such as surface survey, borehole wall scanning, rock
core examination, and so on.
However, problems arise in the surveying process when it
is done conventionally. For example, information from drilled
core provide a restricted range of data, setting up the scanlines
on the rock face has a limitation in the surveying range in
setting scanlines and impossible cases frequently occur when
the surveyor cannot reach the accessible area (Priest, 1993).
To overcome these problems, this study was intended to
develop a system that is most adequately adoptable to the
investigation of rock joint structure, covering from obtain-
ing the field data in the form of digital image to interpreting
the individual joint orientations, joint set analysis and den-
sity analysis. A new algorithm, which is a theoretical stem
of the system, was originally developed by the author. It
can be categorized as a modified one of the multistage con-
vergence photographing technique, named as Guide Point
Method (GPM).
2 BACK GROUND
To constitute a collinear condition equation, the interior and
exterior parameters of the camera should be determined. The
camera parameters present the location of the camera and the
photographing direction within a certain global coordinate
system.
These parameters should be determined in every case when
the location or the direction of the camera is changed. The
collinear condition can be defined as in Equation 1. Inte-
rior parameters are the focal length f of the camera and
the principal point (x0 , y0 ) of the image. Exterior parameters
which constitute the rotation matrix.
where XA , YA , ZA are the global coordinates of an arbitrary
point A on the object, xa , ya are the image coordinates of the
point a which is the projection of the point A on the image, k
is a scalar and R is a rotation matrix.
To determine the camera parameters, several methods are
currently used like the resection method (Moffitt and Mikhail,
1980), the DLT method (Abdel-Aziz and Karara, 1971) in pho-
togrammetry and the Tsai method (Tsai, 1986) in computer
vision, respectively.
Among the various cases concerning photographing angle,
the simplest one is parallel stereo-photogrammetry (Moffitt
and Mikhail, 1980).This can be regarded as a very simple anal-
ysis method, which has been actually applied to rock slope. But
to solve the problems revealed from the cases of a blind spot
invisible on the image and to secure the largest analysis area,
it is necessary to develop a new method which can fulfil the
collinear condition equation under an arbitrary photographing
angle condition.
The GPM developed in this study, which can analyze global
coordinates from the images photographed from an arbi-
trary position, has a fairly good advantage in overcoming the
limitation in photographing condition.
3 ANALYSIS METHOD
In applying the generalized collinear condition equation, only
three ground control points and one ground guide point were

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Figure 1. Relationship of focal length, ground control points and
guide point.
introduced in this method. There can be relative relationships
among the axes of the global, camera and image coordinate
systems.
3.1 Calculation of focal length and perspective center
Figure 1 is a schematic diagram describing the photo-graphing
layout of the camera location, the ground control points and
the ground guide point.
In Figure 1, f is the focal length, P is the perspective center,
o is the principal point, C1 , C2 and C3 are the ground control
points, and G is the ground control point. The focal length
can be calculated using the proportional relation of lengths
between u1 and u2 in space and d1 and d2 in the image, as in
Equation 2.
The position of the perspective center can be derived as in
Equation 3 by using point G and line I that connects G and C2 .g
is the distance between G and P. l, m and n are the direction
cosines of line I .
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Figure 2. Rotation matrix by directional cosine.
3.2 Rotation matrix
The rotation matrix that determines the directions of the cam-
era can be derived from the rotation angle of each axis of
the camera coordinate system. By applying ground control
points and a ground guide point, the rotation angle of each
axis can be simply induced from the direction cosines of the
line I .
Figure 2 presents the relationship between the amount of
rotation of the image and the direction cosines in the global
coordinate system.
The equation of the axis of line I is
where L = kl, M = km and N = kn. The direction cosines can
be defined as in Equation 5.
Constituting the rotation matrix using direction cosines gives
The components of the rotation matrix which have the same
value as the direction cosines of line I are
The rotation matrix using rotation angles, , and , can
be written as Equation 8. The rotation angle and can
be obtained from the direction cosines of line I and the
rotation angle can be obtained from the image coordinate
(x, y) of the ground control point C3 (or C1 ) and its corre-
sponding coordinates (x , y ) calculated using the values of
and .
3.3 Calculation of global coordinates
The generalized collinear condition equations derived from
left and right images are given in Equation 9.
X , Y and Z are the components of an arbitrary point on
the object for analysis and (xL , yL ) and (xR , yR ) are the coor-
dinates of the points projected on the left and right image,
respectively. (XL , YL , ZL ) and (XR , YR , ZR ) are the components
of perspective centers of both cameras.
Joint orientation could be determined by the normal vector
of the joint plane, which can be induced from the vector prod-
uct of the two vectors constituted by the three or more arbitrary
points chosen on the joint plane. The global coordinates of the
arbitrary points can be analyzed using the algorithm explained
above.
4 PHOTOGRAPHING INSTRUMENTS
The photographing system consists of high resolution digi-
tal camera (Qimaging, MP 3.3-RTV-CLR-10-C), theodolite
(Sokkia, model: EZS21S), notebook PC, camera controlling
device, ground guide point controlling device and lighting
system. The digital camera has 2048 1536 pixels(3.3 Mega
pixels) a frame in gray scale. A small viewing program was
specially coded to control the camera and to communicate
image data between camera and note PC. Two 500 W mer-
cury lamps were used for the lighting system, to ensure
an intensity of illumination on the tunnel working face of
over 500 lx.
The guide point controlling device is the most unique and
original part in the system hardware. Especially, it has been
improved through several years of field adaptation. Figure 3
is the feature after mounted on the tripod.
The camera and the ground guide point controlling device
were specially designed and assembled into a single unit to
ensure that the ground guide point could be correctly allo-
cated on the extended spatial line connecting the camera
pinhole and the ground control point (C2 ) on the rock face.
This assembled unit was mounted on a tripod which has a
very precise adjustment function to control the photographing
direction.
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Figure 3. Camera with guide point controlling device mounted on
the tripod and connected to notebook PC.
Figure 4. Layout of arrangement of photographing system at a
tunnel working face.
5 FIELD APPLICATION- TUNNEL FACE
5.1 Site condition and instrument set up
Field application was tested at a road tunnel construction site
which is located at Godang-ri,Yongin-si, Korea. The rock type
was mainly granitic gneiss and classified as type III by RMR.
The tunnel span was 9 m and the upper part, two thirds of the
tunnel height of 7 m, was being blasted. The tunnel working
face where the image shooting was done was about 120 m
from the tunnel portal.
Figure 4 shows the layout of a typical arrangement of the
photographing system at a tunnel working face. Field work
was executed according to the tunnel advance once a day
during 7 days.
5.2 Input data for analysis
For the joint orientation analysis, the global coordinates of
three ground control points and two guide points of left and
right cameras are necessary as input data (Table 1). These
could be measured using a theodolite at the beginning of the
measuring process.
5.3 Window sampling on image
Measurement of joint orientations using the photogram-metric
technique has a great advantage in being able to set up any
pseudo-windows not on the real test face but on the image
after finishing field works. Figure 5 shows a pair of images
captured by left and right cameras, on which pseudo-lines of
a window were established.
Table 1. A set of input data for photogrammetric interpretation. Table 2. Number and areal frequency of each joint set observed
from the sampling window.
Global coordinate (mm)
Areal
X Y Z Joint Orienta- Number frequency
set tion ( ) of joints Transect Contained Dissect (/m2 )
C1 2286 14267 1772
C2 14855 0 1973 1 088/62 124 1 91 32 2.2
C3 2662 14626 1681 2 143/51 88 0 63 25 1.6
Gleft 2697 1373 127 3 233/55 95 1 72 23 1.7
Gright 3800 2501 130
Image coordinate (pixel)

Left image Right image

c1 c3 c1 c3

X Y X Y X Y X Y

695 785 1398 790 715 767 1372 823

Figure 6. Changes of dip, dip direction and areal frequency of the

major joint set according to the tunnel advance.

Total working time at the face could be reduced down to 10

minutes with two well trained investigators. Therefore, it could
be regarded this digital mapping method can be done with little
influence to the normal working cycle of tunnel construction.

6 CONCLUSIONS

A new system, named Guide Point Method, was developed

to interpret rock joint structure exposed on a excavated rock
surface using a pair of images photographed by digital cam-
era. This system includes a new algorithm modified from the
multistage convergence photographing technique, hardware
embodying the algorithm and software for data interpretation.
Field application was executed at a road tunnel under con-
struction, a underground research tunnel and a slope face of
rock. Window sampling technique was successfully applied
not on the real rock surface but on the images captured. As
a result, major joint sets and the linear, areal and volumetric
frequencies of each joint set could be obtained. The surveying
time in the field for one rock surface was about 10 min-
utes, including preparatory and photographing time with two
well-trained investigators.

Figure 5. Images of a tunnel working face captured by left and right
cameras with a pseudo-window (2048 1536 pixels, shooting depth
12 m, camera distance 5.8 m, convergence angle 27 ).
5.4 Analysis results of joint orientations and frequency
In Table 2, the statistical results from window sampling are
summarized. Figure 6 shows the changes of dip, dip direction
and areal frequency of the major joint set according to the
tunnel advance.
The time necessary for photographing a pair of digital
images of one rock face in the field was checked by steps.
REFERENCES
Abdel-Aziz, Y.I. & Karara, H.M. 1971. Direct linear trans-formation
from comparator into object space coordinates in close-range pho-
togrammetry. Proc. of the Symp. on Close-Range Photogrammetry,
Fall Church, VA. American Society of Photogrammetry. 118.
Moffitt, F.H. & Mikhail, E.M. 1980. Photogrammetry 3rd ed. Happer
& Row Publisher.
Priest, S.D. 1993. Discontinuity analysis for rock engine-ering,
Chapman & Hall.
Tsai, R.Y. 1986. An efficient accurate camera calibration technique
for 3D machine vision. Proc. of IEEE Conf. on computer vision
and pattern recognition. 364374.

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 Inversion of drying tests on partially saturated argillite for hydromechanical
parameter identification

R. Giot, A. Giraud & F. Homand

LaEGO-ENSG, Nancy Universit, Nancy, France

K. Su
ANDRA, Chtenay-Malabry, France

RESUM: Ce papier prsente une mthode inverse pour la dtermination de la permabilit dune argilite en conditions
partiellement satures, partir dessais de schage raliss au laboratoire. Lessai de schage consiste mesurer les variations
de masse dun chantillon de roche partiellement satur soumis une diminution de lhumidit relative, impose par solution
saline, de la chambre hermtique dans laquelle il se trouve. La cintique des variations de masse et des dformations est lie
la permabilit. Les couplages hydromcaniques et la prsence de gaz rsultent en un problme de diffusion coupl fortement
non linaire dans le milieu partiellement satur. Ce problme non linaire est rsolu par la mthode des lments finis, en
considrant des calculs 2D axisymtriques, permettant de prendre en compte les effets 3D dus la gomtrie et aux dimensions
de lchantillon. Cest le Code_Aster dElecticit De France qui a t utilis pour la modlisation de lessai de schage. Le
modle de comportement considr est le modle thermoporolastique non linaire de Coussy; diffrents effets de couplage
ont t pris en compte.

ABSTRACT: The paper deals with the interpretation of laboratory drying tests on a partially saturated argillite for the deter-
mination of its permeability, by an inverse method. The drying test consists in measuring the transient weight loss of a partially
saturated sample when submitted to a decrease of relative humidity, imposed by saline solution in a hermetic chamber. The
kinetic of variations of weight and deformation is linked to the permeability. Both hydromechanical coupling and presence of
gas result in a highly non linear coupled diffusion process in the partially saturated media. The non linear problem is solved
with a finite element method, considering 2D finite element calculations under the hypothesis of axisymmetry, allowing to
account for the 3D effects due to the geometry and dimensions of the sample. The finite element code Aster (Electricit De
France) has been used to model the drying test. The constitutive model chosen is the non linear thermoporoelastic model due
to Coussy, and various coupling effects are taken into account.

1 INTRODUCTION 2 COUPLED HYDROMECHANICAL MODEL FOR

The principle of the determination of the permeability in the
partially saturated domain is based upon measures of weight
loss and deformation of a sample during a drying test. The
kinetic of variations of weight and deformation is linked to the
permeability. The presence of gas, as well as the hydromechan-
ical couplings in rocks such as argillites, results in a highly
non linear coupled diffusion process in the partially saturated
domain. Numerical methods such as finite element have then
to be used to solve the direct problem (Chavant et al. 2002).
An identification method based on 1D linear and non linear
modelling of these tests has been presented by Giraud et al.
(2006). In the present paper, the non linear hydromechani-
cal behaviour, as well as 3D effects due to both the geometry
and the finite dimensions of the tested samples, is taken into
account. The finite element code Code_Aster (Chavant et al.
2002) has been used to model the drying test. The constitutive
model chosen in this paper is the non linear thermoporoe-
lastic model developed by Coussy (2004). Various coupling
effects due to the presence of liquid, gas, surface tension of
the capillary interfaces and the phase change between liquid
and vapour are accounted for.
PARTIALLY SATURATED POROUS MEDIA
Let us consider a porous medium, composed of a deformable
matrix, and partially saturated by a compressible liquid (sub-
script l) in equilibrium with its vapour (subscript v), while the
vapour forms an ideal mixture (subscript g) with another gas
(dry air, subscript a).
i , Ma , Mv and R respectively represent the volumetric mass
of constituent i (i = l, v, a), the molar mass of dry air, of water
vapour and the universal gas constant. Darcys and Ficks laws
are respectively taken into account to model the diffusion of
the mixture (dry air and vapour) and the liquid, and the dif-
fusion of the vapour in the mixture. The vapour pressure can
be eliminated using the thermodynamic equilibrium relation
between water liquid and water vapour:

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where the index 0 refers to a saturated reference state
(p0c = 0, p0l = p0g = patm ), hr represents the relative humid-
ity. p0v denotes the vapour pressure in a water saturated air
(pl = pg = patm ). Two independent pressures can be chosen as
state variables between liquid pressure pl , gas pressure pg ,
and capillary pressure pc . In what follows, capillary and gas
pressure have been chosen. Assuming isothermal conditions,
the non linear isotropic poroelastic constitutive equations for
partially saturated media (see Coussy 2004) can be written
incrementally as:
where , m , s,  , v , e, mi , KO and G denote respectively the
total stress tensor, the total mean stress, the deviatoric stress
tensor, the effective stress tensor, the volumetric strain, the
deviatoric strain tensor, the fluid mass supplies of the con-
stituents, the drained (dpi = 0 for i = l, v, a) bulk modulus and
the shear coefficient. The stress p represents the mechanical
stress due to the fluids saturating the pores. Sl is the liquid
saturation of the porous media and b the Biot coefficient.
In most cases the gas pressure contribution (dpg ) is not sig-
nificant compared to the term (Sl dpc ) which includes the
effect of the capillary interfaces. The coupling coefficients
Cij are functions of saturation, derivative of saturation and
partial pressures.
Neglecting the gravity effects, and applying Darcys gener-
alised law for multiphase flow in unsaturated media (Whitaker
1998), the velocity of liquid and average relative molar
velocity of gas mixture are governed by:
wi , i , k, Kirel and i denote respectively the relative flow vec-
tor and the Darcys conductivity for fluid i (i = l or g), the
intrinsic and relative permeability and dynamic viscosity. The
diffusion of the vapor in the gas mixture is accounted for
through Ficks law, where F denotes Ficks coefficient:
Combining Darcy and Fick relations, two conduction laws
can be written for water liquid, water vapour and dry air, in
terms of capillary and gas pressure gradients:
The mass conservation equations for the water species and
dry air write:
2007 Taylor & Francis Group, London, UK
Figure 1. Experimental device for the drying test.
By inserting Darcys and Ficks conduction laws, as well as
the constitutive equations, one can obtain the field equations.
The two non linear diffusion equations write:
Cij and Kij coefficients are functions of primary variables
pc and pg . The linear momentum equation can be expressed
through:
The field equations have been solved with the 3D coupled
THM finite element code Code_Aster developed by Electricit
de France, which uses a Newton-Raphson algorithm to solve
the non linear coupled equations at each time increment.
3 MODELLING OF THE DRYING TEST
3.1 Presentation of the drying test
The experimental apparatus developed at the laboratory for
the drying test is shown on figure 1. The kinetic of variations
of weight is linked to the permeability. A cylindrical sam-
ple of radius R and height L of a partially saturated rock is
introduced inside a hermetic chamber in which the relative
humidity is maintained constant with a saline solution. For
the tests presented in this paper, the relative humidity range is
0.980.93. The chosen dimensions of sample for experiments
are R 25 mm and L 20 mm in order to obtain maximal
exchange on bottom (z = 0) and top (z = L) faces relatively to
lateral surface (r = R) and to minimize axial diffusion time.
Due to the very little dimensions of the sample, the mass
variations to measure are very small (see Giraud 2006 for
details).
Capillary pressure imposed at the boundary of the sample
corresponds to the relative humidity of the chamber. Initially,
the sample is supposed to be in thermodynamical equilib-
rium with the air in the airtight and watertight chamber (with
relative humidity h0r ). So, the sample is partially saturated,
and the capillary, gas and vapour pressures inside the sample
are homogeneous (p0i , m0 ). For a given saline solution, at a
324
Figure 2. Variations of capillary pressure at the end of test.
constant temperature T = 293 K, the initial pressures can be
assessed through the relations:
At time t = 0+ , the saline solution is changed which results in
the change of the relative humidity of the air in the chamber
imp
to hr .
The measures of relative humidity show that, for all the
tests, a stable and constant relative humidity is obtained in
the chamber approximately 4 to 5 hours after the change of
saline solution. In the numerical simulations of the drying
test, a linear step loading corresponding to this duration (tm )
of stabilization of relative humidity in the chamber has been
imposed and a constant value of capillary pressure has been
maintained after this progressive loading. This change induces
a variation of the capillary pressure on the outer boundary of
the sample (denoted ) which is supposed uniform:
The forward problem is defined by Dirichlet hydraulic
boundary conditions and by zero normal stress. A compar-
ison of the hydraulic boundary condition with an evaporation
boundary condition has shown the relevancy of the hydraulic
condition on the capillary pressure.
3.2 Results of finite element modeling of the drying test
In this part, we present results of a 2D-axisymmetrical finite
element simulation of a drying test with Code_Aster, consid-
ering the model presented in the first part of this paper. We
consider sample B (see below), with relative humidity varying
from 0.98 to 0.93. The test lasted 7 days.
Distribution of capillary pressure variations is represented
on figure 2. Modelling confirms that gas pressure variations
in the sample are negligible compared to the capillary pres-
sure variations. 2D effects can be noticed on figure 3 which
represent the spatial distributions of saturation in the sample.
A decrease of relative humidity induces a drying of the
sample associated with mass loss, deformation shrinkage and
stress variations. The very low permeability of the material
considered in this paper induces non uniform spatial distribu-
tions of liquid mass, capillary and gas pressures and stresses in
the sample during the test. Drying results in a shrinkage of the
sample and strong compressive effective stresses variations:
this is a coupling between hydric and mechanical behaviours.
The hydric loading is represented by the p stress.
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Figure 3. Distribution of liquid saturation at the end of test.
4 THE INVERSE PROBLEM
4.1 Identification problem
In the non linear approach for the direct problem of drying
test, the capillary capacity or storage coefficient as well as the
hydraulic conductivity are function of the capillary pressure.
The identification problem is then translated to the parameters
defining these function. The capillary capacity function of
capillary pressure is expressed as a product of porosity and
derivative of saturation (see Giraud 2006 for details). It is then
defined by the two parameters avv and bvv of the saturation
function of Vachaud-Vauclin type (Vachaud et al. 1979):
The hydraulic conductivity is defined as a product of intrin-
sic and relative permeability divided by the viscosity of the
liquid which is assumed constant in isothermal conditions.The
intrinsic permeability has been identified from pulse tests in
saturated conditions so the unknown is the relative permeabil-
ity function. The following function has been chosen for the
relative permeability:
Four parameters define capacity and conductivity func-
tions:
avv and bvv from saturation function, al and bl from relative
permeability function. The parameters avv and bvv affect both
the capacity and the permeability because the relative perme-
ability is a function of the liquid saturation. So, the transient
evolution and the asymptotic mass loss during a drying test
both depend on the values of the parameters avv and bvv . The
parameters al and bl only affect the permeability and so the
transient evolution. On the basis of a sensitive study performed
on the functions of saturation and relative permeability, two
parameters have been chosen for the identification problem:
avv and al . The vector of the constitutive parameters to be
identified is:
4.2 Inverse method developed
The interpretation of a drying test is an identification prob-
lem that can be brought back, in the non linear case, to an
inverse problem. The objective of the inverse problem is to
quantify and minimize the difference between experimental
data and the corresponding computed value in order to obtain
unknown parameters. There exist a lot of identification meth-
ods, a presentation of which can be found in Giot (2004).
For the back-analysis of drying tests, a probabilistic method
has been considered. It consists in minimizing the cost func-
tional by calculation of its gradient. This allows us to take into
account a priori information and covariance matrices on both
data and a priori information. A review of those methods can
be found in Tarantola (1987) and Bonnans (1997). The cost
functional which quantifies the difference between the exper-
imental data and the corresponding numerical value is given
by the equation:
where mes and denote respectively measured and calculated
total mass variations of the sample. The total mass variation is
supposed equal to the total mass variation of the water liquid.
Nmes represents the total number of measured data points. i
and j are weight coefficients. cprior contains prior values of
the parameters, inferred from previous knowledge on those
parameters. So the cost functional is the sum of two terms,
one quantifying the quadratic difference between measured
and computed water mass variation, the other accounting for
prior knowledge on the parameters to be identified. The values
given by the one dimensional interpretation of the drying test
can be considered as prior knowledge.
The minimisation problem is highly non-linear. Conse-
quently an iterative minimisation approach is required. Gen-
erally the optimisation procedures that use the gradient of the
objective function are efficient. We used the modified version
of the Gauss-Newton method due to Levenberg-Marquardt
(Gill 1982).
5 RESULTS AND DISCUSSION
Three samples of a Callovo-Oxfordian argillaceous forma-
tion cored at a depth about 500 m have been submitted to
isothermal drying tests. The poroelastic data and intrinsic per-
meability have been deduced from pulse test in the saturated
case (see Homand 2005). The desorption curve of this mate-
rial has been characterized thanks to microgravimeter tests.
Experimental results have been fited to a Vachaud Vauclin
function. The results of an identification method based on 1D
linear and non linear modeling of drying test (see Giraud 2006)
have been used as prior information for the 2D identification
of permeability. 5 tests have been interpreted. The results for
the whole set of tests are presented in detail in Giraud (2007).
In this paper, as an illustrative case, we only focus on one test,
denoted sample B, submitted to a variation of relative humid-
ity, from 0.98 to 0.93. Figure 4 gives the comparison between
the mass variation calculated by 2D-axisymmetrical finite ele-
ment modelling, considering the values of the parameter avv
and al at the end of inversion.
The values of avv and al respectively varied from 6880 and
42 to 6580 and 63 during the inversion iterations. The fitting
of calculated (after inversion) and measured mass variations
for the whole set of tests is quite good, the inversion method
proved to be efficient. A comparison between estimates based
upon 1D linear modeling and 2D-axisymmetrical non linear
finite element modeling shows that he 1D interpretation gives
correct order of magnitude of the permeability but overesti-
mates its value. A presentation of all the results and a detailed
comparison between 1D and 2D back analysis of drying test
can be found in Giraud (2007).
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M (kg) Sample B: Hr 0.98 Hr 0.93
t (s)
100000 200000 300000 400000 500000 600000
-0.0001
-0.0002
Computed mass
-0.0003 Measured mass
-0.0004
-0.0005
Figure 4. Comparison between measured and calculated mass
variation.
6 CONCLUSIONS
An inversion method has been developed for back-analysis
of laboratory and in situ tests in geomechanics. It has been
adaptated and applied to the interpretation of drying test, for
permeability identification, in a partially saturated weakly per-
meable argillite, allowing to take into account 2D effects of
the test as well as non linearities due to the hydromechanical
coupling and the presence of gas.
The results are quite good, and the experimental mass varia-
tions have been fitted for the whole set of tests. A comparison
with a 1D linear interpretation shows that the 1D interpretation
gives overestimation of the permeability.
ACKNOWLEDGEMENTS
This work has been supported by ANDRA, Scientific Divi-
sion, 1/7 rue Jean Monnet, Chtenay-Malabry F-92290. The
author express sincere appreciation to the organization.
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identification of a weakly permeable partially saturated porous
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chanical parameters of a partially saturated argillite: 2D modelling.
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ability determination of a deep argillite in saturated and partially
saturated conditions. Int. J. Heat Mass Transfer, 48, 15871598.
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15(5), 10891101.
Whitaker, S. 1998. Coupled transport in multiphase systems: a theory
of drying. In. Adv. In Heat Transfers, Vol. 3 Academic press, New
York, p. 1102.
 Laboratory measurements of hydraulic exchanges and associated hydromechanical
couplings between fracture and rock mass in the case of a sandstone
Mesure en laboratoire des changes hydrauliques entre fracture et matrice et des couplages hydromcaniques
associs dans le cas dune roche grseuse

M. Souley
Institut National de lEnvironnement Industriel des Risques (INERIS) Ecole des Mines de Nancy, Nancy Cedex, France

M. Boulon & I. Rahmani

Laboratoire 3S (Sols, Solides, Structures), UMR 5521 (UJF, INPG, CNRS), Grenoble, France

A. Thoraval
Institut National de lEnvironnement Industriel des Risques (INERIS) Ecole des Mines de Nancy, Nancy Cedex, France

RESUME: Le dispositif exprimental du laboratoire 3S, prcdemment utilis pour tudier le comportement hydromcanique
des fractures lchelle du laboratoire, a t modifi pour mesurer galement le dbit travers la matrice poreuse de lchantillon
de roche. Les rsultats des 3 essais ont t analyss par modlisation numrique. Les codes VIPLEF/HYDREF utiliss tiennent
compte de la double porosit de lchantillon (fracture + matrice) et permettent de reproduire avec prcision le chargement
hydromcanique impos. Les analyses montrent que la relation entre louverture hydraulique de la fracture et la fermeture
mcanique affecte fortement le dbit simul dans la fracture. Les coulements dans la matrice peuvent galement tre lgrement
affects par louverture hydraulique de la fracture. La ralisation de mesures simultanes des dbits dans la fracture et la matrice
devrait, terme, permettre une valuation globale de lapproche conceptuelle utilise.

ABSTRACT:The experimental device of 3S laboratory, previously used to study the hydromechanical behaviour of individual
fractures on the laboratory scale, was modified to also measure the flow through the porous matrix of the rock mass sample
as well. The results of the 3 tests were analyzed by numerical modelling. The VIPLEF/HYDREF codes used take into account
of the double porosity of the sample (fracture + rock matrix) and make it possible to precisely reproduce the hydromechanical
loading. The analyses show that the relation between the hydraulic aperture of the fracture and mechanical closure strongly
impacts the fracture flow rate predictions. The rock matrix flow rate can also be slightly affected by the fracture hydraulic
aperture. The realization of simultaneous measurements of flows in both fracture and rock matrix should enable us to globally
evaluate the conceptual approach used.

1 INTRODUCTION
Waste deep geological disposal, as well as the natural resource
management (water, gas and hydrocarbons), explain the
increased interest of the scientific community in studying the
hydromechanical behaviour of rock masses. It is known that
these phenomena are affected both by the rock matrix poros-
ity and the fracture network. Attempts have been made in the
field of oil engineering, but the concept of rock mass with
double porosity has seldom been employed in rockmechanics
applied to the underground works. More generally, convincing
experimental data is rarely available in this field.
The aim of the study presented in this paper was to develop
an experimental device that makes it possible to capture the
hydromechanical behaviour of the rock mass on the labora-
tory scale. A first interpretation of the hydromechanical tests
carried out is based on numerical modelling performed with
the VIPLEF/HYDREF codes.
2 HYDROMECHANICAL EFFECTS IN POROUS AND
FRACTURED ROCK MASS
Double porosity mediums are generally considered as the
superposition of two mediums that interact: the first one
accounting for the porosity of the poorly permeable rock mass
but with an important storage coefficient and the second one
accounting for the fractures, more permeable, but with a lower
storage coefficient.
The first conceptual models, developed primarily for the
oil mining, neglect the mechanical effects (Warren & Root
1963). The effects related to the deformation of the fractured
rock medium have been taken into account gradually by many
authors as (Bai et al. 1999).
It appears through the literature that the conceptual model
must include: (1) porous rock mass and fractures constitutive
laws relating the effective stress tensor (Biot or Terzaghi) to
the strain tensor; (2) conservation and equilibrium equations
of the fluid masses; (3) a generalized Darcy law for the flu-
ids diffusion; (4) a continuity equation at interfaces between
fractures and rock matrix.
3 DESCRIPTION OF AND IMPROVEMENTS TO THE
EXPERIMENTAL DEVICE
The 3S laboratory has developed a device for characterizing
of the hydraulic behaviour of the fractured media (Fig. 1). This
apparatus allows the hydraulic properties of natural or artifi-
cial fractures to be measured. This device is equipped with

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2007 Taylor & Francis Group, London, UK

 a b c

Figure 3. Sample preparation and set up.

a - Without waterproofing of the fracture boundary

Stress and hydraulic pressure input during test 1 I
Input and ouput flowrate during test 1
(MPa) (MPa)
6 0,
0,3
300
5 P

Hydraulic pressure
To normal stress
n 250 Qext_frac

Flowrate (g/mn)
4 0,
0,2 Qext_rock
200
3 150
Figure 1. Overview of the experimental device used for hydrome- 2 0,
0,1 100

Total
chanical tests. 1 50
0
0 0,
0,0
0 200 400 600 800 1000 1200 1400
5 200
2 390
3 581
5 772
7 963
9 1153
11
Time (s)
Time (s)
Ti

b With waterproofing of the fracture boundary (with the collar)

(MPa) Stress and hydraulic pressure input during test 2 (MPa) Input and output flowrate during test 2
6 0,3
150
Total normal stress
5 Qext_rock

Hydraulic pressure
P 120 Qext_frac
n

Flowrate (g/mn)
4 0,2
Qinj
3 90

2 0,1 60

1 30

0 0,0 0
5 5
554 1099 1644 2189 2734 0 500 1000 1500 2000 2500 3000
Time (s)
Ti Time (s)

c Controlling leakage through the waterproofing collar (as the

injection hydraulic pressure becomes higher than 0.5 MPa)
(MPa)
Stress and hydraulic pressure input during test 3 I
Input and output flowrate during test 3
(MPa)
14 2,0

12 1000

Hydraulic pressure
Total normal stress

P 1,6 Q_inj
nn
10 800

Fowratel (g/mn)
Q_ext_fract
8 1,2 Qext_rock
600 Qext_total
6 0,8 400
4
0,4 200
2

0 0,0
0
5 281 554 826 1099 0 200 400
4 600 800 1000 1200
Time (s) Time (s)

Figure 4. Applied stress and injection hydraulic pressure (left) and

flow rate input and output (right).

matrix hydraulic permeability (the upper part of the sample)

Figure 2. Improvements to the experimental device aimed at
evaluating the hydraulic exchanges between fracture and matrix.
5 electromechanical pistons allowing application of various
shear and normal stress load paths.The device is equipped with
a high pressure hydraulic system (maximum injection pres-
sure: 20 MPa; maximum injection flow rate: 1 l/min) enabling
water to be injected at the fracture centre and for it to be
collected at the periphery of the fracture using a sectorized
membrane.
In order to highlight the rock matrix effects in the laboratory,
it was necessary to modify this experimental device so as to be
able to apply to the fracture a constant (or controlled) pressure
over a sufficiently long time to make it possible for the fluid to
diffuse in the porous rock matrix. The modifications consisted
mainly in waterproofing the injection hole and setting up a
removable waterproofing collar at the periphery of the fracture
(Fig. 2).
With the collar on, only the rock matrix (upper wall)
hydraulic permeability is mobilized (because the exit of the
fracture is sealed), while without the collar, both the rock
and the fracture hydraulic conductivity are mobilized.
To qualify the experimental device, the first tests were car-
ried out on sandstone samples coming from the Bleuville
quarry, in the Vosges region of France. This rock was selected
for its high permeability, estimated at Km = 5.106 m/s. Labo-
ratory permeability measurements are planned at a later stage
to check this value for the specific samples we used ( 5.2
will show that this value has probably been overestimated).
Figure 3 describes the various stages necessary for the sample
preparation and set-up into the experimental device: (a) rock
matrix water drainage device (porous stone + plastic tubing)
and fracture waterproofing device (mastic + removable col-
lar); (b) sealing of the rock sample into the lower interior box
using cement; (c) sample set up into the L3S experimental
device.
4 MEASUREMENT RESULTS
Several tests were carried out to characterize the hydrome-
chanical fracture behaviour (test 1 Fig. 4a), and the hydraulic
exchanges between fracture and rock matrix (test 2 and 3
Fig. 4b, c).

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 0, 1
0.1
0.
Tim e (s )
0, 0
0.0
0.

Mechanical displacement (mm)

0 200 400 600 800 1000 1200 1400
1
-0 ,1
-0.1
.1

-0.2
-0 .2
,2
m eas urem en ts
measurements
-0.3
-0 .3
,3
T1 C 1and
T1C1 a nd
T1C2
T1 C 2

-0.4
-0 .4
,4

-0.5
-0 .5
,5

Figure 7. Mechanical closure during test 1.

Figure 5. (a) Effective normal stress vs. mechanical closure
obtained from laboratory tests (b) Assumptions for hydraulic
350
aperture vs mechanical thickness relation. m eas urem ents
measureme T1C1:
T1C 1:a0
a0; ;k=1
k=1
300 T1C1:
T1
runC2:
1::a0'
3 a0;' k=12
; k= 1 T1C2': a0'
a0'; k=0.03
; k=0.03 Qf

Fracture outflow (g/mn)

250
k = (a/un)=0
200 a0 = 0.024 mm
a0' = 0.051 mm
150

100

50

0
0 200 400 600 800 1000 1200 1400

Time (s)

Figure 8. Computed and measured fracture outflow for test 1.

Total vertical stress and hydraulic pressure time series

Figure 6. (a) Mesh of VIPLEF/HYDREF model; (b, c) water
pressure contours in the sandstone samples for test 1 and 2.
5 INTERPRETATION
We used the 2D hydromechanical finite element codes
VIPLEF/HYDREF, developed by the geoscience department
of the Paris School of Mines (Tijani et al. 1996) to simulate
the previously described tests. The hydromechanical coupling
is represented in the framework of Biots theory allowing the
evaluation of the effective stresses (for porous rock matri-
ces and fractures) from strain and displacement (effect of
hydraulics on mechanics) and by introducing the volumet-
ric strain rate in the source term into the diffusion equation
(effect of mechanics on hydraulics). Pore pressure and total
stresses are assumed to be continuous at the fracture/rock
matrix interfaces.
The problem is simplified by assuming isotropy at the frac-
ture plane, which makes it possible to simulate the tests by a
2D-axisymetric model (Fig. 6a). All the media are assumed
to be homogeneous and isotropic and to have a linear elastic
behaviour. The fracture is assumed to behave mechanically
according to Bandis hyperbolic relation (Fig. 5a, where Vm is
the maximum closure and Kni the fracture normal stiffness at
zero effective normal stress), the hydraulic aperture a vary-
ing with the mechanical closure un . The modelling results
confirm that the choice of this relation (which depends basi-
cally on the slope k = (a/un )=0 and the residual aperture
ares ) appears to have a considerable impact on flow rate pre-
diction. Because this relation is not well established in the
literature, various cases (Fig. 5b) were investigated: k = 1
and ares = a0 /2 (case C1 ); k = a0 /2Vm and ares = a0 /2 (case
C2 ). Vm and Kni were determined from mechanical displace-
ment variation measurements during an unloading stress path
(Vm = 8 104 m, Kni = 4 GPa/m).
were respectively applied on the top of the model and at the
injection point (Fig. 6a) in relation to the imposed hydro-
mechanical loading during each test (Fig. 4). The presence or
the absence of the removable waterproofing collar was sim-
ulated by changing the hydraulic boundary condition at the
fracture periphery.
The measured displacement includes the rock matrix dis-
placement. However the ratio between the relative rock matrix
and fracture displacement remains below 20 under the load-
ing test conditions Consequently, the measured values are very
closed to the fracture relative displacement.
5.1 Test n 1
Figure 7 shows the displacement variation relating to stress
variations imposed during test 1 (Fig. 4a). As long as the total
stress remains equal to zero, the increasing pressure induces a
fracture mechanical opening that the model does not correctly
reproduced. The mechanical displacement is, on the other
hand, quite well predicted for compressive effective normal
stresses (after 580 s).
The calculated flow rate at the fracture boundary (flow at Ef )
was compared with the measured flows (Fig. 8). Assuming the
classical cubic law between hydraulic aperture, pressure gra-
dient and flow rate, a zero-stress aperture a0 = 0.024 mm has
to be chosen to adjust the computed flow rate to the measured
value for the first hydraulic pressure step (from 30 to 120 s).
We can see that the simulation correctly predicts the flow rate
from 150 to 300 s (Fig. 8 T1C1), but underestimates it when
the hydraulic pressure is increasing (from 300 to 550 s). The
flow rate is also highly underestimated for compressive effec-
tive normal stress (after 580 s) even if the simulation remain
qualitatively correct (flow rate decreasing).
The fact that the flow rate remains small leads us to believe
that a0 has perhaps changed during the test. Indeed, the fracture
aperture (especially between 300 to 550 s) may probably have
induced a mismatching of the fracture walls, which can explain
that, at this stage of the test, the hydraulic aperture at zero

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2007 Taylor & Francis Group, London, UK

 150 1000
measurements
measurements T2C2K1: Km
T2C2K1: Km ==5e-6
5e-6m/s
m/s Be
Beginning of
Sandstone matrix outflow (g/mmn)

Sandstone matrix outflow (g/mn)

T2C2K2: Km
T2C2K2: Km==4e-5
4e-5mm; ;a0
a0 T2C 2'K2: Km
T2C2'K2: Km==4e-5
4e-5m/s
m/s; ;a0'
a0' lleakage at Ef imposed
impos edfracture
f rac ture
120 outfl owata Ef
outflow t Ef
800
imposed
im posed
Qm
90 injectionflow
injection f lowataI t I
Qm 600
computed
comp utedmatrix
ma trix
60 I Ef ou tflow
outflow
I Ef 400
measured
measu redmatrix
m atrix
30 ou tflow
outflow
200
0
0 5
500 1000 1500
1 2000 2500 3000
0
Time (s) 0 4
400 800 1
1200
Ti
Time (s)
Figure 9. Computed and measured rock matrix outflow for test 2.
Figure 10. Computed and measured rock matrix outflow for test 3.
effective normal stress is higher than at the beginning of the
test. We have assumed that the new value of a0 is the hydraulic measurements shows a significant decrease only after the
aperture computed based on flow rate value of 180 g/min (at hydraulic pressure drop.
t = 500 s) prior to any increase in total normal stress; this value Until now, it has not been possible to reduce this discrep-
is a0 = 5.1 105 m. The results obtained in this case (Fig. 8 ancy without changing the fracture or rock matrix properties
T1C1) show an increase in the computed flow rate. However, (there is no reason to do so, the sample used remaining the
the decrease in the flow rate as the normal stress increases same as for tests 1 and 2). More tests and numerical mod-
is too fast. This is linked to the assumption concerning the elling interpretations are necessary to confirm and explain
relation a = f (un ). Figure 8 (T1C2) shows that the slope k these results. It would also seem useful to better control the
must be strongly reduced to fit the measurements (from 1 to leakage in future tests in order to reach steady state, which
a0 /2Vm = 0.03). Following relevant literature, the next step could simplify the interpretations.
will be to link the relation between hydraulic aperture and
mechanical closure to the fracture roughness evolution (the
experimental device allows it to be measured). Because the 6 CONCLUSIONS
results can be highly dependent on the quality of the initial
fracture wall matching, new tests are planned to confirm the The L3S experimental device, previously used to study the
conclusions. hydromechanical fracture behaviour on the laboratory scale,
was modified to allow the flow measurements through the rock
5.2 Test 2 mass sample. The results of 3 tests (performed on the same
fractured sample) were analysed by numerical modelling by
Test 2 was performed chronologically before test 1, so we came using VIPLEF/HYDREF codes.
back to the initial choice for a0 (=0.024 mm). From the pre- The analysis of the two first tests shows that the relation
vious 5.1 results, we have used case 2 instead of case 1 between fracture hydraulic aperture and mechanical closure
type (defined in Fig. 5b) to define the a = f(un ) relation, con- strongly impacts the fracture flow rate predictions. Best
sidering k = a0 /2Vm (=0,015) and ares = a0 /2. The calculated results are obtained considering a variation ratio equal to
flow rate at the top of the sandstone sample along segment amax/unmax . Further work will try to correlate this to the
Em1 E2 (flow through surface re ) was compared with the
m 2
fracture roughness evolution. The rock matrix flow rate can
measured flows. also be slightly affected by the fracture hydraulic aperture.
The initial choice of Km = 5.106 m/s as rock matrix per- The boundary condition imposed during the third test
meability underestimates the sandstone rock matrix outflow allowed us to measure at the same time significant flow into
(Fig. 9 T2C2K1). To become closer to the measurement, the fracture and rock matrix in order to check the consistency
a permeability of 4.105 m/s (T2C2K2) has to be assumed. of the conceptual approach used. It appears that some lim-
It must be noted that the choice of the relation a = f(un ) for itations are still to be overcome and further investigation is
the fracture has a small impact on the rock matrix outflow necessary.
value. Indeed changing a0 to a0 , a 10% flow rate decrease is
computed (Fig. 9 T2C2K2).
REFERENCES
5.3 Test 3
Warren, J.E. & Root, P.J. 1963. The Behavior of Naturally Fractured
During test 3, the collar around the fracture became perme- Reservoirs. Society of Petroleum Engineers Journal. Transactions,
able while the injection hydraulic pressure exceeded 0.5 MPa AIME, 228. 245255, September 1963.
(Fig. 4c). The fracture leakage outflow remained significant Bai, M. Meng, F. Elsworth, D. Abousleiman, Y. & Roegiers, J.C.
as long as the injection pressure was above 0.2 MPa. For the 1999. Numerical modelling of coupled flow and deformation in
simulation (Fig. 10), the fracture hydraulic boundary condi- fractured rock specimens. International Journal for Numerical and
Analytical Methods in Geomechanics, Volume 23, Issue 2, 1999.
tion at point Ef is changed from zero-flow (test 2) to imposed
Pages 141160
flow (what is measured at point Ef ). A hydraulic pressure Tijani, M. 1996. FEM analysis of coupledTHM processes in fractured
was still imposed at point I, which induced the measured media with explicit representation of joints. In Stephansson, O.
injection flow. Jing, L. & Tsang, C.F. (Ed.), Coupled thermo-hydro-mechanical
Figure 10 shows a fast decrease in the computed rock matrix processes of fractured media, Developments in Geotechnical
outflow just after the beginning of the collar leakage while Engineering, vol.79, pp. 165180.

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 Laboratory study on the characteristics of breakout under polyaxial stress conditions

D.S. Cheon, C. Park, J.H. Synn

Korea Institute of Geoscience & Mineral Resources, Daejeon, Korea

S. Jeon
Seoul National University, Seoul, Korea

ABSTRACT: Breakouts are often observed in vertical boreholes at deep depths or at highly stressed regime. In those regimes,
the failures are affected and eventually dominated by stress-induced fractures and recent studies on the stress-induced failure
have revealed its significance. In this study, in order to evaluate the relationships between breakout grade and breakout initiation
stress and applied stress conditions, physical model tests were carried out under various polyaxial stress conditions, using a
new polyaxial testing system. According to visual observation and acoustic emission detection, breakout grades were classified
under three categories. The test results indicate that where higher horizontal stress perpendicular to the axis of the opening
(SH2 ) and horizontal stress parallel to the axis of the opening (SH1 ) were applied, breakout grade decreased with the same
vertical stress perpendicular to the axis of the opening (SV ). Also breakout initiation stress was increased with the increasing
SH1 and SH2 . From the multi-variable regression on breakout initiation stress and polyaxial stress conditions, f(SV , SH1 , SH2 )
was proposed. Numerical simulations using PFC3D were conducted for verifying and complementing the physical model tests.
The crack initiation stress in PFC3D can be seen to be a good indicator for the prediction of breakout initiation stress.

1 INTRODUCTION assess breakout around an opening under various polyaxial

Failure around an underground opening is a function of in-situ
stress magnitudes, intact rock strength, and the distribution
of fractures in the rock mass. At low in-situ stress, the con-
tinuity and distribution of natural fractures in a rock mass
predominantly control the failure processes. As the in-situ
stress increases, the natural fractures become clamped, and
the failure process becomes brittle. At high in-situ stress,
the failure process is affected and eventually dominated by
stress-induced fractures (Read & Martin 1996).
The failure around the opening in brittle material is usu-
ally described as spalling or slabbing, and the shape of
the failure zone is commonly called breakout, dog-ear
or V-shaped notch. This failure is often observed in the
vertical borehole and some researchers have studied the rela-
tionship between the breakout and in-situ stress for several
years both in the laboratory and in the field (Haimson 2003,
Brudy et al. 1997). Also, recent studies (Read & Martin 1996,
Martin et al. 1997) on the stress- or excavation-induced rock
damage have revealed its importance, especially in a highly
stressed regime, where failure around an opening is initiated
by localized spalling. However most of the researches were
conducted in biaxial stress conditions, because of the simplic-
ity of the equipment required, the convenience of tests, and
other factors. In addition, although researches in polyaxial
stress conditions were performed, there are few researches
carried out to evaluate the effects of the polyaxial stress
conditions.
This paper summarizes the physical model tests used to
study the phenomenon of breakouts around openings under
polyaxial stress conditions. The major objective of this study
was to evaluate the relationship between the characteristics
of breakout around an opening and applied stress conditions.
For this purpose, we designed and manufactured a new polyax-
ial testing equipment and performed physical model tests to
stress conditions.
2 TEST METHOD
2.1 Specimen and testing equipment
The material used in the model tests was cement mortar. The
strength of cement mortar is lower than those of rocks, but
the ratio of uniaxial compressive strength to tensile strength
(i.e. brittleness index) is about 13, which is similar to those of
rocks. Thus it is suitable to use as the brittle material. The size
of the specimen was 290 mm 290 mm 290 mm. It had a
half-excavated circular opening of 60 mm in diameter.
The model tests were performed using a new polyaxial test-
ing system, which consists of two main parts: a biaxial loading
apparatus and a polyaixal pressure chamber (Cheon et al.
2006). During these tests, acoustic emissions were measured
using a AEwin system with 8 channels, which was producted
in PAC.
2.2 Test procedures
The physical model tests were conducted to investigate
the relationship between the characteristics of breakout and
polyaxial stress conditions.
The experimental program was as follows: The prepared
specimens were carefully moved inside the polyaxial chamber.
With the use of the hoist and the electric lift, the chamber was
settled into the Interlaken rock testing machine. Next, the two
independent stresses (SV and SH2 ) were applied initially at
low stress level (about 1 MPa). Then SH1 , which was parallel to
the axis of the opening axis, was increased to a constant value.
After reaching the predetermined level of SH1 and SH2 , SV was
increased monotonically to a constant level (SV > SH2 > SH1 ).
The level of SV was determined based on the information

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Figure 1. Breakout around an opening.

Figure 2. Classified breakout grade in physical model tests.

gathered from the pretest and from accumulative AE hits curve
and AE hits.
Table 1. Breakout grade with polyaxial stress conditions
3 TEST RESULTS (SV > SH2 > SH1 ).

SH1 SH2 SV
Failure around the opening observed in the physical model (MPa) (MPa) (MPa) Grade
tests is shown in Figure 1. It is shown in figure 1 that spalling
occurred parallel to the SV , in a V-shaped as seen in previ- 0 4.63 20.2 A
ous researches (Martin et al. 1994, Bae 2005). Little damage 0 4.63 25.0 B
occurred around the opening face because of the 3D arching 0 4.63 29.7 B
effects. As the distance from the opening face increased, the 0 6.95 29.7 B
failure zone became wider and deeper. 0 6.95 25.7 C
0 9.26 35.7 C
1.5 3.47 29.7 C
3.1 Breakout grade 1.5 4.63 27.3 B
The breakout grade based on Bae (2005) was classified under 1.5 4.63 44.0 Specimen failure
three grades. In grade A, it is not possible to detect breakout by 1.5 6.95 27.3 A
visual observation. This is called no failure grade. Grade B can 1.5 6.95 41.6 Specimen failure
1.5 9.26 35.7 B
be detected by visual observation as fragments begin to occur, 2.5 4.63 27.3 A
known as visible macro crack. In grade C, heavy spalling is 2.5 4.63 35.7 C
detected. Figure 2 and Table 1 show the breakout grade in the 2.5 6.95 34.5 C
physical model tests with applied stress conditions. The SV 2.5 9.26 29.7 B
required for spalling increased with increase of SH1 and SH2 . 2.5 9.26 30.0 A
The results show that SH2 has an influence on an occurrence 2.5 9.26 35.7 C
of breakout and maximum stress level for spalling. Figure 3 2.5 9.26 38.3 C
shows the 3-dimensional breakout grade under polyaxial stress
conditions.

3.2 Breakout initiation stress

The relationship between breakout initiation stress and applied
stress conditions is investigated. Visual observation and AE
measurements are used to determine breakout initiation stress.
In the visual observation, breakout initiation stress was set at
no failure grade (grade A) in a conservative aspect. In the
AE measurements, the method proposed by Lee & Haimson
(1993) was used. They determined the breakout initiation
stress as the point at which the points of accumulative AE
hits curve and AE hits curve increase rapidly.
To compare our results with those of previous researches,
breakout initiation stress was plotted with SH2 not taking into
account SH1 (Fig. 4). According to the researches of Castro
(1996) and Diederich (1999) etc. breakout initiation stress has
a linear relationship with applied stress. Martin et al. (1997)
especially reported breakout stress initiation is a linear regres-
sion with deviatoric stress applied on the cross section of an
opening. As with previous researches, our results showed that
a linear regression is the most appropriate. Applied stresses
are normalized with uniaxial compressive strength for com-
parisons with each research. Figure 4 shows the relationship
between vertical stress and horizontal stress for breakout ini-
tiation of this study and previous studies, and Equation (1) is
the regression equation obtained in our study.

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Figure 3. 3D Breakout grade under polyaxial stress conditions.
Figure 4. Relationship between vertical stress and horizontal stress
required for breakout initiation.
We also investigated the effect of SH1 parallel to the open-
ing axis for breakout initiation stress. The stress required for
breakout initiation increased with increase of SH1 . As men-
tioned above in Table 1, SH1 has an influence on an occurrence
of breakout and breakout grade. A multi-variable regression
between breakout initiation and polyaxial stress conditions
was performed and resulted in equation (2).
From equation (2), Breakout initiation stress is more affected
by SH1 (minimum principle stress) than SH2 (intermediate
principle stress).
Figure 5 shows 3-dimensional multi-variable regression
plots. A wireframe in figure 5 means the plane of multi-
variable regression and black points mean breakout initiation
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2007 Taylor & Francis Group, London, UK
Figure 5. Breakout initiation stress from physical model tests and
multi-variable regression (SV > SH2 > SH1 ).
stress levels from the physical model tests. As known in
figure 5 and equation (2), breakout initiation stress was
affected by all of the polyaxial stresses and had the positive
relation with their magnitudes.
We also investigated the relationship between the heavy
spalling stress level and polyaxial stress conditions. Heavy
spalling stress level is determined by visual observation and
crack damage stress in the accumulative AE hits curve. After
the crack damage stress, theAE hits andAE sources are rapidly
increased and these points are considered as the start point of
heavy spalling. Equation (3) is the multi-variable regression
equation for heavy spalling stress levels. To compare with the
breakout initiation, the effects of SH1 were relatively weak on
the heavy spalling stress. On the other hand, SH2 significantly
affected the heavy spalling stress level. This may mean that the
applied stress parallel to the axis of the opening greatly affects
whether the breakout initiation occurs or not, but once break-
outs are initiated, the effect of the stress parallel to the axis of
the opening decreases. This phenomenon was also observed
in the depth and extent of breakouts (Cheon et al., 2006).
4 NUMERICAL SIMULATION
To verify and complement the physical model tests, numerical
simulations using PFC (particle flow code) were performed.
PFC is known as the program which can simulate the brit-
tle failure and breakouts around the opening. For numerical
simulations, micro-properties are determined through uniaxial
compressive tests.
In PFC3D simulations, it is difficult to identify breakout
grade, therefore we only use the breakout initiation stress.
 Therefore to investigate whether breakout happens or not,
intermediate principle stress should be considered.
The following findings were obtained as the results of per-
forming physical model tests under polyaxial stress conditions
using a new polyaxial testing system.
Figure 6. Breakout initiation stress from PFC3D modeling and
multi-variable regression (SV > SH1 > SH2 ).
The breakout initiation stress in physical model tests was con-
sidered as the crack initiation stress in simulations based on
the reports of Martin et al. (1997) where they reported that
the crack initiation stress in a laboratory test is equal to the
breakout initiation stress in a field test.
An equation (4) is a multi-variable regression equation
determined from PFC3D simulation and it is vary similar to
the equation (3). The crack initiation stress in PFC can be seen
to be a good indicator for the prediction of breakout initiation
stress in physical model tests. Based on this result, numerical
simulations were conducted as the polyaxial directions were
changed, in other words, the direction of minimum principle
stress was perpendicular to the opening axis. Figure 6 and
equation (5) are multi-variable regression plots and equation
from PFC3D simulation under SV > SH1 > SH2 conditions.
As shown in the equations (3), (4) and (5), although the
direction of minimum principle stress is orthogonal to the
opening cross section, there may be important factor such as
conventional failure criteria. However, we should note that
intermediate principle stress also has an influence on failure.
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2007 Taylor & Francis Group, London, UK
5 CONCLUSIONS
Breakout grade can be classified into three classes. The
SV (vertical stress) required for spalling increased with
increase of SH1 (horizontal stress parallel to the opening)
and SH2 (horizontal stress perpendicular to the opening).
Breakout initiation stress has a linear relationship with
applied stress. Like as breakout grade, breakout initiations
stress is affected by all of the polyaxial stresses and has a
positive relation with their magnitudes. In comparison to
the breakout initiation, the horizontal stress perpendicular
to the axis of the opening had relatively little effect on the
heavy spalling stress.
The crack initiation stress in PFC3D can be seen to be a
good indicator for the predictions of breakout initiation.
Although the direction of minimum principle stress is
orthogonal to the cross section of an opening, it is an
important factor in breakout initiation. And we should note
that intermediate principle stress also affected to breakout
initiation.
REFERENCES
Bae, S.H., 2005. Characteristics of initial rock stress state in Korean
tectonic provinces by hydraulic fracturing stress measurement,
Ph.D. Dissertation, Seoul National University, Korea.
Brudy, M., Zoback, M.D., Fuchs, K., Rummel, F. and Baumgartner, J.,
1997. Estimation of the complete stress tensor to 8 km in th KTB
scientific drill holes: Implications for crustal strength. J. Geophys.
Res. 102: 18,45318,457.
Castro, L.A.M., 1996. Analysis of stress-induced damage initiation
around deep openings excavated in a moderately jointed brittle
rock mass, Ph.D. Dissertation, University of Toronto, Canada.
Cheon, D.S., Jeon, S., Park, C. and Ryu, C., 2006. An experimental
study on the brittle failure under true triaxial conditions,Tunnelling
and underground space technology, 21: 448449.
Diederichs, M.S., 1999. Instability of hard rock masses: The role of
tensile damage and relaxation, Ph.D. Dissertation, University of
Waterloo, Canada.
Haimson, B., 2003. Borehole breakouts in crystalline and granular
rocks as indicators of in situ stress, In Proceedings of the third Inter-
national Symposium on Rock Stress, Kumamoto, 46 November
2003, eds. Sugawara, K. et al, 8187. Tokyo: Balkema.
Lee, M. and Haimson, B., 1993. Laboratory study of borehole
breakouts in Lac du Bonnet granite: a case of extensile failure
mechanism, Int. J. Rock Mech. & Min. Sci. 30: 10391045.
Martin, C.D., Read, R.S. and Martino, J.B., 1997. Observation of
brittle failure around a circular test tunnel, Int. J. Rock Mech. &
Min. Sci. 34: 10651073.
Read, R.S. and Martin, C.D., 1996. Technical summary of AECLs
mine-by experiment phase I: Excavation response, AECL Report
AECL-11311.
 Laboratory testing methods for in-situ stress measurement and time-to-failure prediction

A. Lehtonen, S. Mononen & J. Antikainen

Helsinki University of Technology, Espoo, Finland

ABSTRACT: A new application takes advantage on acoustic emission in order to seek out the stress memory of rock via
Kaiser Effect. The method is based on one highly similar method that is currently in commercial use at Western Australian
School of Mines. It utilizes multi-directional secondary samples which are tested for Kaiser Effect in uniaxial compression.
Acoustic emission signatures from the tests are then analyzed, and the normal stress values thus obtained are reassembled in
order to form the complete stress tensor. This method has been researched at TKK since 2005, at first on Masters thesis level
and continued afterwards as an independent project. From 2006 on, acoustic emission research will continue in the form of
post-graduate studies, which aim to produce an ISRM Suggested Method for acoustic emission measurement of in situ stress.
Another non-standard in-situ stress measurement testing method called deformation rate analysis (DRA) will also be tested
in the laboratory. The aim is to do DRA tests on sub samples taken from CSIRO HI cell overcoring sample and compare the
results in order to verify the suitability of DRA tests as an in-situ stress measurement method for hard rocks in Finland. Third
non-standard test experimented is the strain rate stepping test. The main goal of conducted strain stepping experiments was to
provide well-documented laboratory test cases for comparison with data from numerical models. The results of strain rate tests
can also be utilized directly for evaluation of time-to-failure of brittle rock in triaxial stress state by comparing the inelastic
strain rates at different total axial strain rates.

1 INTRODUCTION These new methods have greatly augmented the abilities

The upgraded rock mechanical testing facility at the Labora-
tory of Rock Engineering in Helsinki University of Technol-
ogy (TKK) has been mainly utilized since its procurement in
1992 for standard uniaxial and triaxial compression tests, as
well as indirect tensile (Brazilian) tests. In addition, several
non-standard and experimental testing programs have been
conducted during past years. The initial system has been grad-
ually augmented in 1990-ies during these projects; a strain
gage measurement system was purchased in 1994 and an
acoustic emission system in 1999. In years 2005 and 2006,
three new testing programs, which utilize the potential of all
available equipment, have been running.
Two out of these three methods are in essence indirect
methods for measurement of in-situ states of stress, which
are both currently considered as potential methods without
large-scale acceptance. The first one is called the Kaiser effect
(KE) of acoustic emission, and is based on the memory
effect of rock. The memory is recalled by monitoring acoustic
emission under uniaxial loading of a specimen, and the three-
dimensional stress tensor is reassembled from six memorized
stresses in independent directions. The method is similar to
the one used by Villaescusa et al. (2002).
The second testing method, deformation rate analysis
(DRA) also uses the stress memory of rock, but seeks it out
with a different indicator. This method monitors the difference
of strains between uniaxial loading cycles of a specimen that
is plotted versus the level of stress. This graph will show a
similar memory effect as the acoustic emission record of the
previous method. The complete stress tensor is composed the
same way as in the KE method.
The third method, the strain-stepping test has been devel-
oped for the prediction of long-term strength of strong, brittle
rock specimens.
of the current facility, and brought new uses to the two
supplementary instruments.
2 KAISER EFFECT
This method of stress measurement relies on acoustic emis-
sion (AE), a phenomenon in which the rapid release of stress
energy from a distinct micro-scale source generates transient
elastic waves. It is related to internal changes of material that
are driven by an external stimulus, e.g. stress or temperature.
The elastic waves propagate in the material, causing dis-
placement vibrations on the surfaces. They are detected with
displacement gauges or accelerometers, which are called AE
transducers; piezoelectric transducers are the most common
type. Acoustic emission has many analogies with seismology,
and it is often called as microseismic activity (Li, 1993).
The Kaiser effect (KE) is a characteristic of AE, which
shows during cyclic stressing of a material. It is known to
exist in various types of material, e.g. wood, metals, rocks and
even in snow. The KE manifests during a subsequent load-
ing cycle, in which the emission is non-existent or negligible
until the stress level exceeds the peak level of previous stress
cycle. At that point, acoustic emission suddenly starts or inten-
sifies. The Kaiser effect can thus be pointed out on a stress vs.
emission curve. (Pollock, 1989)
In reality the KE point is often less distinct and starts to
break down as the delay between loadings comes longer. If the
peak load of previous cycle (pre-load) is known, a quantitative
quality measure called the Felicity ratio (FR) can be calculated
for the Kaiser effect. It is the ratio of the stress level given by
the AE-onset and the peak stress of previous cycle, expressed
as a percentage. Thus a perfect KE would have a felicity ratio
of 100%.

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2007 Taylor & Francis Group, London, UK


Figure 1. A sub-sampled overcore from HI stress measurement,
with the directions illustrated (Table 1.) This core has been sampled
for the DRA method, but the directions are similar with the KE.
Table 1. Sub sample orientations to core axis for the DRA method.
Plunge/Trend Character
Relation to axis degrees in Figure 1
Axial 90/000 a used as a criterion for possible turning points.
Normal 00/180 b
Normal 00/90 c
Normal 00/135 d direction cosines and the KE stress levels of six specimens.
45 45/180 e The results from a total of 18 tested specimens (three from
45 45/270 f each direction) are averaged to obtain six normal stress levels.
2.1 Measurement procedure
The KE can only recall normal stress levels, which means that
complete resolution of the three-dimensional state of stress
requires at least six independent normal stress results. This
has been provided by sub-sampling the original in six different
directions. The original sample needs to be intact and oriented,
which is easiest to arrange with core samples. If cores are
used, the minimum diameter is 51 mm (closest to HQ size). A
minimum run of 2 meters is needed for one measurement.
The specimens are sub-sampled by drilling out a set of six
small (2021 mm diameter) cores from the original sample in
a specific pattern (Fig. 1, Table 1.) The specimens are then
trimmed to an equal length and ground to make ends parallel.
The length/diameter ratio should be at least two to make room
for the AE transducers. Otherwise the L/D ratio is not crucial
in Acoustic emission tests.
One stress measurement is done from three sets of six cores,
which gives information on the quality (scatter of stress levels
and clarity) of Kaiser Effects. The repetition is also important
when tests fail, e.g. due to fractured specimens or the absence
of AE.
When a set of specimens has been prepared, they are each
instrumented with two acoustic transducers and loaded uni-
axially. The loading program consists of four subsequent
loading-unloading cycles with a similar peak load. The peak
stress level is set lower than the rock-specific crack initiation
stress level. A 30 second pause is added between cycles so that
the AE data can be saved and a new acquisition started.
When the tests are complete, the recorded data is imported
to a spreadsheet application and plotted. Three types of graphs
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2007 Taylor & Francis Group, London, UK
Figure 2. An example of a tangent intersection method, which
indicates a turning point at a stress level of 13.5 MPa.
are used, the first two display cumulative numbers of AE
events or counts. These graphs are studied for the stress level
of Kaiser Effect. The third one is similar, but the events are
sorted into five bands according to their energy level. This
graph is mostly used in plotting the noisy data of the first load-
ing cycle. Data from other cycles are plotted with two former
types of graphs and examined for a turning point by tangent
intersection method (Fig. 2). If no clear points are found, the
normalized slope variation of the graph can be plotted and
The key result, stress tensor, is calculated from Cartesian
The data are then input to a MATLAB function that utilizes
Gaussian elimination to calculate the stress tensor and resolves
the principal stresses (the eigenvalues and eigenvectors of the
tensor.)
2.2 Current cases
In international scale the KE method has been used in several
occasions, mostly in China, Japan and Australia. To date, all
Finnish applications of Kaiser Effect stress measurement have
been performed in Olkiluoto, as they were funded by Posiva
Oy. This company is jointly owned by two major Finnish power
companies and is responsible for the disposal of spent nuclear
fuel. A total of six measurements have been made in three
deep boreholes with measurement depths ranging from 75 to
700 meters.
The measurements were part of two separate projects, of
which the first was an initial evaluation of the method. It
included two measurements in a single borehole, one at 80 m
and one at 460 m depth. Both of the measurements were suc-
cessful; the deeper result correlated well with existing stress
data. The shallower result did not fit the regression as well,
but still had credible magnitudes.
The second project included four measurements from
unknown samples. This meant that sampling information
was disclosed after the measurements were completed. Three
samples out of these four were from one borehole at depths of
340, 490 and 660 meters. The fourth sample was taken from
another borehole at 330 m depth. One out of these four mea-
surements was successful in terms of stress magnitudes and
directions. Other three gave systematically lower stresses than
indicated by existing data.
 To date, only three rock types (mica gneiss, gran-
ite/pegmatite and veined gneiss) have been used for deter-
mination of rock in-situ stresses. Thus, information on this
methods feasibility is limited. Further study on Kaiser Effect
is currently underway in form of a Doctoral thesis work.

3 DEFORMATION RATE ANALYSIS

One of the latest methods for rock stress measurement is the

deformation rate analysis (Yamamoto et al. 1990). The princi-
ple behind DRA technique is that changes in the rate of axial
strain with stress occur at the maximum stress level (along the Figure 3. Interpretation of typical standard triaxial test at a confin-
axis of the sample) to which the sample had previously been ing stress of P = 7 MPa for determining reference values.
subjected.
Because only a small gradient change (ie. inelastic strain)
is expected between two successive cycles of uniaxial load-
ing Yamamoto et al. (1990) introduced the strain difference
function i,j () defined by:

where j () = axial strain of a specimen in the i-th loading at

an applied stress .
The strain difference function represents mainly the differ-
ence of inelastic strain between the cycles. The previous stress
can be read from the value of the applied stress (in the strain
difference versus stress graph) where the strain difference
begins to change its gradient.
As in the KE method, at least six independently oriented sub
samples are needed in order to determine the six independent
components of the stress tensor. The sub sample orientations
used in both KE and DRA method are shown in Table 1.
A DRA test similar to that presented by Dight (2006) is
currently underway at TKK. The sub samples have been taken
from a core recovered from a successful CSIRO HI cell test at
a tunnel in the centre of Helsinki. The aim is to verify the suit-
ability of DRA tests as an in-situ stress measurement method
for the crystalline hard rocks in the Baltic shield region.
4 STRAIN RATE STEPPING TEST
The ultimate goal of long-term testing of rock is usually to
construct a time-dependent model of rock strength or deforma-
bility, or even both. It is shown that the problems in hard
rock creeping tests due to the heterogeneous rock material can
be dealt with strain rate stepping tests. With strain rate step-
ping test a controlled failure of specimen is achieved within
reasonable and predictable time.
4.1 Test description
The specimens are prepared according to the respective ISRM
Suggested Methods. The instrumentation of specimens con-
sists of one strain gage glued onto the specimen surface and
two axial and one chain extensometer attached to the thin
protective neoprene jacket. The interpretation of strain rate
stepping tests requires also results from triaxial tests accord-
ing to the ISRM SG (1983) as reference. The standard triaxial
experiment is done at loading rates of 0.51.0 MPa/s The con-
fining pressure P was 7 MPa which provided reasonably stable
failure process. The critical inelastic strain is a function of
confining pressure (Lockner, 1998), so the confining pressure
shall be selected for each case separately. With low confining
Figure 4. Measured axial strain rate, different axial stress, total
strain and calculated inelastic strain in a strain rate stepping test at a
confining stress P = 7 MPa.
pressures (<1 MPa) the failure process may become unstable.
The specimen is tested with axial strain rate control corre-
sponding to the selected loading rate. The peak differential
stress value po , inelastic strain rate o at peak stress and the
critical inelastic strain (strain at fault nucleation) n are inter-
preted from the test results and utilized as reference values
(Fig. 3). The term inelastic strain by Lockner (1998) should
be understood here as non-linear component of total strain.
In the second experimental set-up second specimen is sub-
jected to a strain rate stepping procedure. The specimen is
loaded at the loading rate of 0.51.0 MPa/s to 60% of the
peak strength of the triaxial test and then strain rate stepping is
started. The strain rates are varied stepwise from 10% to 0.1%
of strain rates in normal tests resulting in stepwise increasing
stresses (Fig. 4).
For interpretation the measured stress and strain values are
plotted as a function of time (Fig. 4) and the value of inelas-
tic strain rate i at selected differential stress levels  are
recorded. The last regular shaped step is used for interpreta-
tion because there the inelastic strain is larger and change in
stress smaller than at previous steps. Also the possible elastic
non-linear component of inelastic strain is smallest.
4.2 Interpretation of the results
The main goal of the experiments in the context of this study is
to evaluate the time-to-failure tf under constant stress loading.
The inelastic strain rate sensitivity ao at constant temperature
and constant confining stress can be solved from Equation 2
(Lockner, 1998):

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2007 Taylor & Francis Group, London, UK

 n from triaxial testing results (Eq. 5). The solution forms a
straight line on logarithmic time scale (Fig. 5).

REFERENCES

Dight, P.M., 2006. Determination of In-Situ Stress from Oriented

Core. In M. Lu, C.C. Li, H. Kjrholt & H. Dahle (eds), In-Situ
Rock Stress: 167175. London: Taylor & Francis.
ISRM SM. 1983. Suggested methods for determining strength of
Figure 5. Time-to-failure graph derived from Figures 3 and 4 with rock materials in triaxial compression: revised version. Int. J. Rock
equations (3)(5). Mech. Min. Sci. Geomech. Abstr.; 20: 285290.
Li, C., 1993. Deformation and Failure of Brittle Rocks under
and Compression. Doctoral thesis 1993:118 D. Lule University of
Technology, Division of rock mechanics.
Lockner, D., 1998. Generalized law for brittle deformation of
Westerley granite. Journal of Geophysical Research, Vol. 103,
No. B3.
Pollock, A., 1989. Acoustic Emission Inspection. Metals Handbook,
Ninth edition, vol. 17(reprint.) ASM International 1989.
Villaescusa, E, Seto, M. and Baird, G., 2002. Stress measurements
from oriented core. International Journal of Rock Mechanics &
By rearranging the terms in Equation 2 the inelastic strain rate
Mining Sciences, vol. 39, pp. 603615. Elsevier Science Ltd, 2002.
is solved: Yamamoto, K., Kuwahara,Y., Kato, N. and Hirasawa, T., 1990. Defor-
mation Rate Analysis: A New Method for In-Situ Stress Estimation
from Inelastic Deformation of Rock Samples Under Uniaxial
Compressions. Tohoku Geophysical Journal (Ser. 5) 33: 127147.

The apparent time to failure tf at selected value of differ-

ential stress  is estimated using the critical inelastic strain

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 Model failure tests on rock anchors

S. Garca-Wolfrum
Ministerio de Medio Ambiente, Madrid, Spain

A. Serrano
Universidad Politcnica de Madrid, Spain

C. Olalla
Laboratorio de Geotecnia, CEDEX, Madrid, Spain

ABSTRACT: The objective of the investigation was to carry out pull out tests on a scale model of rock anchors in intact rock
samples and to determine the shape of the different failure surfaces formed. Specifically, failure was forced to take place through
the rock, not through any of the interfaces or through the anchor itself, to allow studying the behaviour of the rock at failure.
For this purpose, specific equipment has been designed and constructed in the Geotechnical Laboratory of the CEDEX (Centre
for Studies and Experimentation on Civil Engineering) in Madrid, Spain. The testing equipment has been used with different
materials (granite, limestone and sandstone blocks), carrying out several tests for each one of these materials. Different aspects
of the geometry of the test results have been analyzed. This experimental data can be employed to contrast and validate an
analytical calculation method to obtain the tensile capacity of rock anchors based on nonassociated plasticity and the variational
method, and to get a deeper insight in the behaviour of rock at failure.

1 INTRODUCTION
Hydraulic jack
At construction sites where many anchors are needed, it is
usual to make specific in situ pull out tests at the site to improve
the anchor design. These tests are seldom carried out to reach
Hydraulic
the rock failure, because of too low anchor resistance or prob- Protective fence compressor
lems with the testing equipment, particularly when the quality
Calibration box
of the rock mass is high. Usually, the anchor itself fails much
before the rock, and even if failure takes place through the Data output

rock, the failure surface is not measured.

During the works presented in this text, model rock anchors Energy Tested block
have been tested, and the failure of the anchors have been
thoroughly studied (Garca-Wolfrum, 2005).
Figure 1. Scheme of the testing device (base: 1 m 1 m).

2 TESTING EQUIPMENT

A specific testing equipment has been designed and con-

structed in the Geotechnical Laboratory of CEDEX (Centre
for Studies and Experimentation on Civil Engineering) to
carry out the pull-out tests. This testing equipment is com-
posed by a hydraulic jack, a computerized control system and
a connection system with the different blocks (see Figure 1
and 2).
With testing device rock blocks with a base of 1 m 1 m
can be subjected to an increasing force of up to 100 kN. The
vertical displacement of the jack and the pull-up force are
measured with a precision of 0,25 mm and 0,5 KN, respec-
tively. The whole testing process is controlled by a personal
computer. Figure 2. Testing device.

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2007 Taylor & Francis Group, London, UK

Table 1. Basic properties of the different rocks used for the tests.

Base material Sandstone Limestone Granite

Density (kg/m3 ) 2181 2397 2607

Uniaxial compression
strength (MPa) 24,22 36,57 119,40
Rebound Schmidt hammer 45 53 68
Ed (MPa) 19621 34908 35227
Poissons coefficient 0,290 0,357 0,248
I50 (MPa) 1,91 4,73 9,00
Indirect tensile 1,80 3,37 10,45
strength (MPa)

Table 2. Basic parameters for rock employed in the pull-out tests.

Base material Sandstone Limestone Granite

Mohr-Coulomb C (MPa) 3,41 5,67 17,99

model  50,2 52,4 61,2
Hoek and m 21,80 18,71 22,62
Brown model s 1 1 1
c (MPa) 24,51 42,27 166,82

Figure 3. Pull-out test on an anchor set in sandstone, granite and

limestone, respectively.
3 TESTED MATERIALS
ROCK PULLOUT TESTS
Tests were carried out using as a base material some of the
rock kinds that are most usual in Spain: sandstone, limestone 140
1,6056
y = 0,1113x 1,6476
y = 0,0473x
and granite. 120
2
R = 0,9892 2
R = 0,9638
SANDSTONE
LIMESTONE
GRANITE
100 MORTAR
Pull out force T (kN)

3.1 Rock
80 81,06
77,85 78,47
73,03
Three sandstone blocks, two limestone blocks and two granite 67,32
71,2
66,98

blocks with a size of 1 1 0,4 m respectively were used for

60
1,7826
y = 0,0167x
2 1,2515
R = 0,9453 y = 0,0656x
46,26
the tests. The basic properties of these rocks have been studied 40 39,51 38,89
2
R = 0,6316
39,39
34,17
in laboratory through a wide range of tests.The most important 26,77
21,08
31,63
27,77
27,86 27,67 26,26
22,94
25,5
22,08
28,65 27,253
24,58
28,45
31,69

20 20,0719,11 20,17
results are shown in Table 1. 12,84
12,73
11,83
13,85
11,94
11,46
14,268
9,43
17,02 15,18
17,63

6,74
The behaviour at failure of the three different rock types 0
3,83

0 20 40 60 80 100 120 140 160 180

was found to be adequately described by two different failure Length L (mm)

laws: the linear Mohr-Coulomb and the non-linear Hoek and

Brown failure criterion (Hoek and Brown, 1980). The basic
parameters for these criteria are shown on the Table 2.
The values of the parameter m and c shown on Table 2 are
those which make the best fit for Hoek and Browns failure
criteria (Serrano and Olalla, 2006).
3.2 Anchor
The anchors used for these tests are steel rods made of inoxid-
able steel. Each steel rod is fastened into a drilled hole in the
centre of the rock block with a two-component resin.
The lengths of the different anchor rods employed for these
tests varied from 19 to 185 mm. The diameter of the steel rods
for all tests was 14 mm.
4 PULL-OUT TESTS ON ROCK
Pull out tests were further performed on seven intact rock
blocks of different kind, obtained from different quarries of
Spain. 28 pull out tests were carried out on these blocks: 8 were
performed on sandstone, 10 on limestone and 10 on granite.
Figure 4. Pull out strength-Anchor length for the pull out tests on
blocks of sandstone, limestone, granite and mortar.
From the 28 tests conducted, 3 had to be discarded because of
adherence problems at the rock-resin interface and because of
the rupture of the whole block.
From the pull-out tests (Figure 3), different aspects were
analyzed, concerning the maximum tensile load, the shape of
the failure surface and the length of the anchor.
4.1 Analysis of the pull out force
The relation Pull out strength (T)-Anchor length (L) is
shown in Figure 4. Only the results for the 25 valid tests are
presented.
The exponents on the curves that best represent the
behaviour of the rocks vary from 1,80 for the sandstone to
1,60 for the granite. The correlation factor r 2 is near to 1 in
all cases.
It can be seen that, logically, the longer the anchor the
higher the pull out force that must be used to produce
failure.

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 AVERAGE SHEAR STRENGTH AS % OF THE UNIAXIAL COMPRESSIVE FAILURE SURFACES (SANDSTONE)
STRENGTH
20
70 0
-20-400

x (mm)
-300 -200 -100 0 100 200 300 400
-40
% Uniaxial compressive strength

60 -60
-80
-100
-120
50
y (mm)

40
A1A1 A1A3 A1A4 A1A5 A1A6 A1A7 A2A1 A2A2 ext A2A3 A3A1

30
FAILURE SURFACES (LIMESTONE)

20 SANDSTONE

x (mm)
LIMESTONE 100
0
GRANITE
10 -100-600 -400 -200 0 200 400 600
y (mm)

0 C1A1 C1A2 C1A3 C1A4 C2A1 C2A2 C2A5 C2A6

0 1 2 3 4 5 6 7
Slenderness ratio n (n=L/D)
FAILURE SURFACES (GRANITE)
20
Figure 5. Average shear strength acting at the contact surface 0

x (mm)
-20-300 -200 -100 0 100 200 300
between anchor and rock, expressed as a percentage of the uniaxial -40

compressive strength. -60

-80
G1A1 G1A2 G1A5 G1A6 G1A7 G2A1 G2A2 G2A4 G2A5 G2A6

These results can also be expressed using the average shear

strength () acting on the contact surface between the anchor Figure 6. Failure surface of the pull-out tests for sandstone,
and the rock: limestone and granite.

MAXIMUM SEPARATION FROM ANCHOR AXIS (ROCK)

600

being T the pull out force, D the diameter and L the length of 500
Maximum separation y max (mm)

the anchor.
The average shear strength () obtained from the different 400

test results can be expressed as a percentage of the uniaxial

300
compression strength. In Figure 5 it has been plotted against
the slenderness ratios n (n = L/D). 200 SANDSTONE
The average shear strength at the contact increases with LIMESTONE
increasing slenderness ratio n. 100 GRANITE

The shear strength, expressed as a percentage of the uniaxial

compressive strength decreases with an increasing value of the 0
0 20 40 60 80 100 120 140 160
mi parameter of Hoek and Browns model obtained from the Length L (mm)

characterisation tests (sandstone mi = 22. limestone mi = 19

and granite mi = 23). Values ranging from 10% to near to 50%
of the uniaxial compressive strength, respectively, have been
obtained for the intact rock mass tested.
4.2 Analysis of the failure surface
Observing the different failure surfaces obtained from the tests
(Figure 3 and 6), the following affirmations can be made:
All the failure surfaces are extremely open
The longer the anchors, the wider the failure surface
The more resistant the rock is, the larger is the initial angle
between the failure surface and the anchors axis
The more resistant the rock is, the more widely does the
failure surface open
The failure surface, in its outer edge, forms with the anchors
axis an angle that tends to 90 .
4.2.1 Maximum separation from the anchor axis
The maximum separation of the failure surface from the
anchors axis ymax is an important parameter in the design pro-
cess of anchors. This factor may contribute to fix the anchors
separation, when many anchors are set together in a group.
If the anchors are set close to each other, so that the sep-
aration between the anchors is lower than ymax , a reduction
factor has to be considered for the resistance of each anchor.
If they are separated more than ymax , the total anchor force
for the group can be obtained by just adding the full pull out
resistance of each anchor of the group.
Figure 7. Maximum anchor separation from the anchors axis ymax
for the different rock kinds.
Figure 7 shows the relation between anchors length (L)
and the maximum separation from the anchors axis (ymax )
obtained from the tests.
It is observed that the longer the anchor, the more widely
does the failure surface open.
It is also possible to observe a link between the rocks uni-
axial compressive strength and the parameter ymax : the higher
the uniaxial bearing strength, the more widely does the failure
surface open.
4.2.2 Initial angle of the failure surface
Another aspect from the failure surface that can be analysed is
the angle 0 formed between the anchors axis and the failure
surface at the inner starting point of the failure surface. To
calculate this angle, the average of the angles for each of the
four measured diameters of the failure surface at the vicinity
of the anchors axis has been taken.
Figure 8 shows the angle 0 resulting for the different tests.
It can be observed that the angle 0 is almost independent
from the rocks type and from the anchor length, varying its
value between 10 and 30 .
4.2.3 Final angle of the failure surface
It can be observed that the angle formed between the anchors
axis and the failure surface at the outmost edge of the failure
surface is an angle tending almost to 90 (see photographs on
Figure 3 and diagrams in Figure 6).

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 INITIAL ANGLEo ANGLE eq OF EQUIVALENT CONE - ROCK
80,00
65
70,00
60
60,00

Angle of equivalent cone eq

55
50,00
Angleo

40,00 50

30,00 45

20,00 SANDSTONE 40
SANDSTONE
LIMESTONE
GRANITE LIMESTONE
10,00
35 GRANITE

0,00
0 20 40 60 80 100 120 30
0 1 2 3 4 5 6
Anchor length L (mm)
Slenderness ratio n=L/D

Figure 8. Initial angle of the failure surface for different rock kinds.
Figure 10. Relation of the angle of the equivalent cone eq with the
x slenderness ratio n.

ymax ymax(eq)
0 Analysing the test results, it can be said that the shear
L strength acting on the contact surface between the anchor and
eq
Real surface
Equivalent cone
y Analysing the failure surfaces it can be observed that the
D be observed that:
Figure 9. Basic geometric parameters.
The hypothesis of a failure surface of an anchor under ten-
sion as a cone with a constant angle between the anchors axis
and the failure surface is a clear simplification.
4.3 Analysis of the volume enclosed by the failure surface
It is very frequent to approximate the failure surface of an
anchor to a cone. The angle of the equivalent cone eq can be
calculated from the volume enclosed by the measured failure
surfaces. The equivalent cone is the one with the same volume
than the real failure surface (Figure 9).
The angle of the equivalent cone has been calculated for the
different rock types (see Figure 10).
It can be observed that the equivalent angle of the cone
varies from 37,65 to 62,7 for the sandstone, from 43,55 to
59,4 for limestone and from 44,4 to 60,85 for the granite,
with average values of 49,9 , 54,3 and 53,4 , respectively.
No clear trends are observed.
5 CONCLUSIONS
The pull out force necessary to rupture the intact rock material
increases with the length of the anchor and with the uniaxial
compressive strength of the rock. The relations Pull out force
(T)-Anchors length (L) for each of the tested materials adjusts
well with curves of the kind T = aLb , with an exponent b
within the range 1,61,8 and the factor a ranging from 0,016
to 0,11.
the rock are not constant, and its average is, for sound rock,
of about 30% for sandstone, 32% for limestone and 14% for
granite.
aperture of the surfaces is extremely wide. Specifically it can
The longer the anchors, the wider the failure surface opens
The more resistant the rock is, the larger is the initial angle
formed between the failure surface and the anchor axis
The more resistant the rock is, the more widely the failure
surface opens
The failure surface, in its outer edge, forms with the anchors
axis an angle that tends to 90
The cone that forms the same volume than the real failure
surface has an angle of about 4560
ACKNOWLEDGEMENTS
The authors would like to thank the Geotechnical Laboratory
of the CEDEX, a public institution of the Ministry of Civil
Works, for its support during this investigation.
REFERENCES
Garca-Wolfrum, S. 2005. Anclajes en roca. Doctoral disertation.
Escuela Tcnica Superior de Ingenieros de Caminos, Canales y
Puertos. Universidad Politcnica de Madrid. Madrid, Spain.
Hoek, E. and Brown, E.T. 1980. Empirical strength criterion for rock
masses. Journal Geotechnical Engineering Division, American
Society of Civil Engineers; 106 (GT9), pp 101355.
Serrano, A. and Olalla, C. 2006. Discussion to the paper Non-
linear Mohr envelopes based on triaxial data by R.Baker. Journal
Geotechnical Engineering Division. January 2006.

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 Moment-frequency distribution used as a constraint for hydro-mechanical
modeling in fracture networks

D. Bruel
Centre de Gosciences, Ecole des Mines de Paris, France

J. Charlety
EOST-Institut de Physique du Globe de Strasbourg, France

ABSTRACT: Shear re-activation of deep fractured rocks for the development of Enhanced Geothermal Systems is accom-
panied by microseismicity. From our coupled hydro-mechanical model for discrete fracture networks which incorporates
stress drops with known amplitudes and neglects the influence of static stress changes, it happens that the moments of
induced seismic events are scaling with the power 3 of the fracture size. It follows that the value of the slope in the moment-
frequency diagram, better known as the b value, obtained from numerical experiments correlates with the exponent of the
power law distribution used for the fracture size generation. Our suggestion is therefore to use the in-situ observed diagrams
for constraining the fracture network generator in the numerical model and then accessing other hydro-mechanical coupled
processes.

1 INTRODUCTION 2 MECHANISM FOR INDUCED MICROSEISMICITY

IN THE FIELD OF ENHANCED GEOTHERMAL
Concepts for recovering energy from deep hot crystalline SYSTEMS
rocks have gradually evolved as the data base was increased
by experiences from several Hot Dry Rock (HDR) projects 2.1 A variety of in-situ observations
during the last 30 years. The early vision (Smith, 1983) pro-
As an HDR reservoir is being formed following the stimulation
moted at the Los Alamos National Laboratory of tapping into
strategy, fracture walls and rock blocks are moved very slightly
an inexhaustible and widely available energy using the so
by the pressure of the injected fluid.
called man-made-geothermal-system based on the creation of
Shear stresses are partly liberated and the resulting small
parallel hydraulic fractures linking a pair of wells in homo-
sliding movements give rise to low frequency stress waves sim-
geneous impermeable rock had to be abandoned, and the
ilar to, but much smaller than those caused by earthquakes.
technology was adapted to the geological conditions under-
Microseismic technology has thus been developed from the
ground. The concept forward to create a reservoir has therefore
early days to identify these signals and locate their points of
been the acceptance of the view that the interconnection of
origin (figure 1). A major goal of monitoring the induced seis-
boreholes over inter-well distances of commercial interest
micity is to obtain information about the pattern, the size and
occurs through the pre-existing volumetric network of frac-
orientation of ruptured fractures away from the wells (Cornet
tures, faults and joints of hydraulic significance. Hydraulic
& Scotti, 1993) given the assumption that these pressurized
experiments at high over pressure and elevated flow rates per-
and damaged zones will further act as preferential flow paths.
formed into these pre-existing conductive structures resulted
However, as experiences were accumulated at Soultz and
in a shearing and self propping process better known as stim-
other places, a new puzzling set of questions surges, dealing
ulation experiments, a term therefore preferred to hydraulic
with microseismic events with magnitudes M in the range of 2
fracturingexperiments. This way of thinking the development
to 3. Moreover, these large events tend to occur after injection
of a reservoir was first applied in the Camborne School of
ceases (figure 2) and therefore are nearly out of control. Such
Mines (CSM) project run at Rosemanowes, Cornwall (Parker,
small earthquakes can however be felt and could alter the pub-
1989), then at Hijori site (Japan) and again in a graben exten-
lic acceptance of HDR projects in urban areas. Although these
sional setting at the Soultz sous Forts site, in France, where
events are clearly resulting from the operators activity, their
valuable results with regard to scientific and pre-industrial
mechanisms remain poorly understood and the question of
objectives have been obtained at a depth of around 3.5 km
their prediction in time and space to manage the risks without
(Baumgartner et al. 1998). After this significant success at
exceeding tolerable thresholds is a matter of debates (Bommer
moderate depth, the Soultz project has evolved toward a three
et al., 2006).
well system at a depth of 5 km, and a temperature close to
Interestingly, this problem of seismic hazard did not rise in
200 C, with the aim of prefiguring a pilot plant of some 50
the early and shallower UK project, most probably because of
to 75 MWth of thermal power (Genter et al., 2000). Sim-
the local low variability in the joint size distribution. Measured
ilar production objectives are assigned to the most recent
magnitudes were very moderate, observed stress drops lower
projects that started at Cooper basin, in Australia and Basel in
than 0.1 MPa, and the b slope coefficient for the moment
Switzerland.
distribution, shown by figure 3 is about 1 (Parker, 1989).

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Figure 1. Plan view of the locations of the generated events at Soultz
after the hydraulic stimulation of GPK2, GPK3, and GPK4 boreholes,
from north (top of the figure) to south respectively.
Figure 2. Log-log plot magnitude-frequency distributions of events
recorded during and after the stimulations of GPK3 (2003 experi-
ments) and GPK4 (2004 experiments) boreholes.
2.2 Toward a quantitative understanding of the
hydro-mechanical processes
Various attempts have been made to incorporate micro-
seismicity in modeling work and some 3D numerical tools
have been gradually developed to account for this new but
sparse structural data. A review of codes specific to HDR
research is given in (Sanyal et al. 2005), but very few of
them are dedicated to the understanding of reservoir devel-
opment and to the transient analysis of shear growth during
fluid injections, with estimates of the seismic moments.
The FRIP package (Hicks et al., 1996), developed in the
framework of the CSM project belongs to this set of very first
modeling tools and took advantage of the rectangular blocky
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2007 Taylor & Francis Group, London, UK
Figure 3. After Parker, 1989. Distribution of seismic moments at
Rosemanowes, phase 2A, UK project, reprocessed from figure 4.9,
chap. 4.1.4, Source Inference.
pattern of the investigated rock mass. As a result shear could
propagate with fluid pressure, without any large rupture gener-
ation. Owing to the more general random nature of the fracture
population in deep hard rock masses, discrete fracture network
(DFN) approaches have been promoted (Willis-Richards et al.,
1996, Tezuka et al., 2005) in three dimensions with hydro-
mechanical coupling capabilities to describe the propagation
of the shearing process, in response to a fluid pressure pertur-
bation at a well. Applying the FRACAS code to data recorded
in 2004 during GPK4 stimulation at Soultz sous Forts, Bruel
(2007) showed that the analysis of the seismicity migration is
appropriate to give reliable estimates of the virgin hydraulic
diffusivity and that the occurrence of late events is predictable
due to the low local hydraulic diffusivity. At the edge of the
reservoir, fluid pressure can increase further during day-long
periods, and events, small or large, can be triggered as they
were during the injection period.
3 PROPOSAL FOR THE DERIVATION OF THE
FRACTURE SIZE DISTRIBUTION
Following the above discussion, we are now considering the
possibility of deriving some additional knowledge from the
analysis of the temporal and spatial spreading of the shear
failure mechanism. A seismic moment M0 can be evaluated
at any time when a displacement consequent upon a shear
rupture is calculated in the model, according to M0 = G.S.u,
G being the shear modulus, S the area of the sheared zone and u
the displacement. From our numerical hydro-mechanical cou-
pling which incorporates stress drops with known amplitudes
and neglects the influence of static stress changes, it happens
that seismic moments are scaling with the power 3 of the frac-
ture size, since the area S and displacement u are respectively
a quadratic and a linear function of fracture size. Stress drops
are controlled by the amount of shear in excess when a Mohr
criterion is met and by fracture cohesion, which is cancelled
at places where some displacement occurs.
As is common for fracture size description in hard rocks,
we use a power law distribution. The value of the slope of
the moment frequency diagram better known as the b value
obtained from numerical experiments should correlate with
the exponent a of this power law. The relation should be
a = 3b. A direct outcome of this finding is that site specific
seismic moment-frequency diagrams or magnitude-frequency
diagrams might be directly usable as a constraint for fracture

Figure 4. Cross sections of two fracture networks, obtained with
different density and size distribution parameters, but exhibiting the
same overall hydraulic diffusivity; Top a = 3.5, bottom a = 2.1.
network generation, provided a scaling relationship between
both measures like the one by Hanks & Kanamori (1979)
can be established for small events. This formula states that
M = (2/3)logM0-10.7, thus giving the ratio b/b = 2/3 .
At Rosemanowes site (figure 3), b is close to or larger than
1. This might correspond to a power law exponent a 3 for the
fracture size distribution. This behaviour would correspond to
fracture networks where hydraulic properties are controlled by
the fracture density (percolation theory) and not by the occur-
rence of large fractures. This fits with the average size of the
joints estimated (Parker, 1989) at this site in the order of 10 to
25 m. As some seismic magnitudes have been made available
(figure 2) for the Soultz site, we will address this question
of the size of the ruptured fractures using the FRACAS code
upon a series of synthetic numerical networks.
4 NUMERICAL EXPERIMENTS
4.1 Defining admissible networks with same hydraulic
diffusivity
Random networks are constructed as in (Bruel, 2007) using
different power law exponents, with the aim of having a diffu-
sivity of the shearing process of about 0.15 m2 /s, i.e. the in-situ
value characterized by Delepine et al. (2004). This is obtained
by adjusting the total fracture density for each different frac-
ture size distribution law, in a way that the d32 index (fracture
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2007 Taylor & Francis Group, London, UK
Figure 5. Sheared events reported in a time/distance to source dia-
gram, for ten equiprobable realisations of the networks. Top a = 3.5,
bottom a = 2.1.
area/unit rock volume) ratio is similar from one network type
to another. This ratio is known to control the permeability
at large scale (Mourzenko et al., 2004). The threshold for
the minimum fracture radius is set between 12.5 m and 15 m,
depending on the a exponent, to avoid too numerically cum-
bersome networks. A d32 value of 0.038 m2 /m3 was obtained
for the GPK4 area. Figure 4 shows two cross sections of admis-
sible networks. Figure 5 shows how the same diffusivity can
be obtained for two sets of 10 equiprobable networks with
distinct a parameters.
4.2 Calculated moment-frequency distributions
The shearing process that develops during the seven days long
injection tests simulated in the series of 3D fracture networks
can also be illustrated by the distribution of seismic moments
(four days of injection, three days of shut-down). On the log-
log plot depicted by figure 6, a linear trend can be identified
with a b slope value of one third of the corresponding a
value. Events of small magnitudes are not as numerous as
in-situ, because of the prescribed minimum fracture size, but
the shearing process does sample large fractures in a rock vol-
ume at the kilometer scale and events of large moments are
triggered.
5 RESULTS AND PERSPECTIVES
Comparing figure 6 and the data recorded in figure 2 would
suggest, using the Hanks and Kanamori (1979) relationship,
that an appropriate b-value for the Soultz area is b 1.15,

Figure 6. Seismic moment frequencies reported in a log-log plot for
two of ten network realisations, with respectively a = 3.5 and a = 2.1.
and hence b 0.85. This gives a in the range of 2.1 to 2.7.
Such low values correspond to networks where flow is partly
controlled by large fractures (multipath scheme) and not by
a very dense network of short elements. Most probably the
network is not of block type. This is a very valuable output,
as no direct information on fracture size can be obtained from
observations in deep bore holes.
Progress could also be gained in magnitude prediction,
by discussing the shear strength parameter. In the present
approach no stress is induced when a fracture fails. But imple-
menting a slip-stick process with an induced stress on the
remaining contacts or on the neighboring fractures is possi-
ble in our DFN model, using a Discontinuity Displacements
technique. Fracture shear strength could be distributed non-
uniformly on the cells that mesh the large fractures. Gradual
rupture at the cell scale with calculations of stress redistribu-
tion at the fracture scale might allow the rupture criteria to
be met at the stronger places of the fracture. The dislocation
of the entire fracture would be the final step of the rupturing
process, with a larger stress drop and therefore a potentially
large magnitude.
ACKNOWLEDGMENTS
The research was supported by the European Commission,
and ADEME. The author would like to thank Heat Mining
GEIE and EOST in Strasbourg for sharing data.
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2007 Taylor & Francis Group, London, UK
REFERENCES
Baumgartner, J., Grard, A., Baria, R., Jung, R., Tran-Viet, T.,
Gandy, T., Aquilina, L. & Garnish, J. 1998. Circulating the HDR
reservoir at Soultz: maintaining production and injection flow in
complete balance. Proc. of 23rd Workshop on Geothermal Reser-
voir Engineering, Stanford University, Stanford, California, Jan.
2628.
Bommer, J.J., Oates, S., Cepeda, J.M., Lindholm, C., Bird, J.,
Torres, R., Marroquin, G. & Rivas, J. 2006. Control of hazard due
to seismicity induced by a hot fractured rock geothermal project.
Engineering Geology, Vol. 83, 287306.
Bruel, D. 2007. Using the migration of the induced seismicity as a
constraint for fractured Hot Dry Rock reservoir modelling. Int. J.
Rock. Mech. Min. Sci. & Abstr., accepted, oct 2006.
Cornet, F.H. and Scotti, O. 1993. Analysis of induced seismicity for
fault zone identification. Int. J. Rock. Mech. Min. Sci. & Abstr.
Vol.30, no 7, 789795.
Delepine, N. Cuenot, N. Rother, E., Parotidis, M., Rentsch, S. &
Shapiro 2004. Characterization of fluid transport properties of
the Hot Dry Rock reservoir Soultz-2000 using microseismicity.
J. Geophys. Eng., 1, 7783.
Genter, A., Traineau, H., Ledesert, B., Bourgine, B. & Gentier, S.
2000. Over ten years of geological investigations within the HDR
Soultz sous Forts project, France. Proc. of WGC, Kyushu-Tohuku,
Japan, 37073712.
Hanks, T.C. & Kanamori, H. 1979. A moment magnitude scale. J. of
Geophys. Res., Vol. 84, 23482350.
Hicks, T.W., Pine, R.J., Willis-Richards, J., Xu, S., Jupe, A.J. &
Rodrigues, N.E.V. 1996. A Hydro-thermo-mechanical numerical
model for HDR geothermal reservoir. Int. J. Rock. Mech. Min.
Sci. & Geomech. Abstr. Vol.33, no 5, 499511.
Mourzenko, V.V., Thovert, J.F., & Adler, P.M. 2004. Macroscopic
permeability of three-dimensional fracture networks with power-
law size distribution. Physical Review E., 69, 066307.
Parker, R.H. 1989. Hot Dry Rock Geothermal Energy. Phase 2B
final report of the Camborne School of Mines project. Vol 1&2,
R.H. Parker ed., Pergamon Press, Blevins, R.D.
Sanyal, S.K., Butler, S.J., Swenson, D. & Hardeman, B. 2005. Review
of the state-of-the art of numerical simulation of enhanced geother-
mal systems. Proc. of WGC, Kyushu-Tohuku, Japan, May28
June10.
Smith, M.C 1983. A history of Hot Dry Rock geothermal energy
systems. J. Volcanol. Geotherm. Res., Vol. 15, 120.
Tezuka, A., Tamagawa, T. & Watanabe, K. 2005. Numerical Simula-
tion of Hydraulic Shearing in Fractured Reservoir, Proc. of World
Geothermal Congress 2005 Antalya, Turkey, Apr. 2429.
Willis-Richards,J.,Wanatabe, K., & Takahashi, H. 1996. Progress
toward a stochastic rock mechanic model of EGS. J. of Geophys.
Res., Vol. 101, 8, 174811749.
 New insights on the geomechanical concept of joint roughness

M.J.A. Leal-Gomes & C. Dinis-da-Gama

University of Trs-os-Montes e Alto Douro, Vila Real, Portugal
IST, Technical University of Lisbon, Lisbon, Portugal

ABSTRACT:The idea of obtaining rock joint strength assessment from their roughness geometry appeared with Pattons model
(1966) and afterwards countless parameters to quantify roughness, correlations among them and various indexes, sometimes
of difficult insertion in the equations of limit equilibrium models, appeared in the literature. In the phase of dilatancy, these
equations are relations between shear and normal forces on discontinuities through roughness parameters. But in accordance
with these models, under identical circumstances, homothetical roughnesses having different amplitudes and the same slopes
have equal strengths expressed as shear sliding forces. But the positional energy achieved by the upper sliding blocks during
shear testing rises as roughness increases. Therefore, the reliability of those limit equilibrium models of forces for joint strength
assessment is dubious. This paper describes the development of these topics and reveals advances towards the geomechanical
insights on the true nature of joint roughness.

1 INTRODUCTION equipment which made their utilization prohibitive; therefore,

The search for the best parameter to express rock joint rough-
ness together with a joint limit equilibrium model of forces
began when Patton (1966) experimentally demonstrated that
joint shear sliding forces in the phase of dilatancy depend on
the normal stress exerted on the discontinuity, as well as on
the residual friction angle () and on the roughness slope (i).
A profusion of parameters and indexes were proposed in the
academic environment for modelling this behaviour, but they
are not much used in practice. The basic idea of this research
was to increase the precision of roughness descriptions, which
in nature seem to have casual patterns and this allows a closer
approximation to the limit equilibrium shear forces given by
models that appeared after Pattons contribution. Parameters
describing the roughness texture connected with its slope and
others connected with roughness amplitude, that is, with the
vertical distance between the asperity crests and the bottom
of the discontinuity surface, also appeared in the meantime.
However, the roughness is adequately defined by two
parameters: one textural and another of amplitude (Muralha,
1995); in the equations of limit equilibrium models, usu-
ally there is just place for one of those parameters. Probably
influenced by Patton and due to those equations, which are
relations between shear and normal forces, so that the textu-
ral parameter, as a rule, is in question. Actually, among the
above cited indexes, correlations were obtained, sometimes
between parameters having different contents and dimensions,
not withstanding the homogeneity of equations, in spite of the
high correlation coefficients found for those relations.
The joint roughness coefficient (JRC) came to solve par-
tially these problems. It is an experimental parameter deduced
from Bartons model, also correlated with the former param-
eters, either of texture or of amplitude, through equations of
high correlation coefficients.
The number and diversity of correlations between param-
eters having very different contents are very wide, denoting
several attempts to understand the problem that were hardly
ever well solved, because without the help of additional spec-
ifications, there was usually a large increase of work and
the concept of roughness is variable and uncertain.
2 THE CENTRAL PROBLEMS
In accordance with limit equilibrium models, under identical
conditions, discontinuities having the same roughness slope (i)
but different amplitude (h) have the same strength expressed
by sliding shear forces. This fact was reasonably demon-
strated with some tiny deviations, by pull tests made at UTAD
(Leal-Gomes, 2001) on moulded samples of Portland cement
mortar (with a density of 2 g/cm3 ) having homothetical tri-
angular teeth, showing that the positional energy achieved by
the upper sliding block increases with amplitude. However,
energies involved in the process cannot be measured but only
calculated, which weakens this way of assessing discontinuity
stability.
Therefore, to measure whether forces or energies are
involved in the process, an ideal parameter to assess joint
strengths is very important. When energies are replaced by
forces in calculations, dimensions are lost in the process
definition. Actually forces are only indexes of the involved
energies. When force equilibriums on a structure are set the
so-called logical mapping is applicable (Leal-Gomes,
2002). When the amplitude of homothetical triangular asperi-
ties (h) is divided by their bases (b), calculating tan i, likewise
dimensions are lost because h and b are expressed as lengths
and i is an adimensional number. So information is lost
because the same i for different proportional lengths of h and
b is obtained, such as in the substitution of energies by forces.
The problem is complex because the present limit equilib-
rium models of joint sliding in the phase of dilatancy do not
adequately describe the reality for calculation purposes.
3 BARTONS JOINT ROUGHNESS CONCEPT
The introduction by Barton of the JRC concept was an impor-
tant but not sufficient step for the awareness of the question.

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Actually, the JRC of typical profiles presented by Barton &
Choubey (1977) was experimentally deduced from pull tests
under a normal pressure on samples of approximately 1 kPa
(3 cm of rock thickness of upper block on the lower part).
These tests lead to a surprising result showing that samples
having higher roughness amplitude have greater JRC, implic-
itly taking into account the effect of that amplitude. When
Leal-Gomes (1998) made pull tests on samples of an arti-
ficial joint opened in porphyritic granite by tensile stresses
he arrived to the same conclusion. He explained the effect
obtained through a model where only normal and shear forces
intervened (Bartons model), therefore a force limit equilib-
rium model, verifying that, in the limit, the failures were
sudden without premonitory movements. He suggested that
shear forces were accumulated on the irregular sample sur-
faces against the highest asperities, reaching larger intensity
and providing higher JRC values obtained by back-analysis
from Bartons model (Leal-Gomes, 2000). In opposition to
these, tests on cement mortar moulded samples having regu-
lar homothetical asperities with different heights showed that
the upper block gradually rises, under its own weight, over
the asperity slopes of the lower block under a normal stress
of 0.7 kPa (Leal-Gomes, 2001). It means that in Leal-Gomes
(1998) and Barton & Choubeys (1977) tests, the energy excess
needed to overcome the higher asperities is converted into
increases of dilatancy angles that have no morphological cor-
respondence. Therefore, an ambiguity about the true dilatancy
angle results if it is deduced from shear and normal stresses.
On the other hand, the amplitude of roughness effect will be
completely disregarded if dilatancies obtained through record-
ings of gauges or measurements of asperity morphologies are
introduced in limit equilibrium models.
Probably, for this reason, experts correlate many param-
eters of the literature with JRC, which seemed a universal
solution of the exposed problems, by intending to obtain the
JRC discontinuity in the field by doing simple comparisons
with typical profiles of Barton & Choubey.
However, there are several objections to this procedure.
Bartons model demonstrates that this comparison is only
legitimate if discontinuities in the field have the same JCS
(Joint Compressive Strength) and are under the same normal
stress as the more similar typical profile. Nevertheless, JCS
changes very much with the lithology and the weathering of
discontinuity walls, thus only agreeing by chance. On the other
hand, 1 kPa of normal stress in tests corresponds to a rock
column of 3 cm, while in the field thicknesses above joints
assessed in this way may be enormous. It is also observed in
Bartons model that an increase of normal stresses on joints
may increase the roughness which actually participates in
sliding.
However, a comparison between typical profiles and dis-
continuities in the field, brings intrinsic difficulties indepen-
dently of the previous considerations. Actually, there is a
tendency in such comparisons to choose the most conspicuous,
steepest and highest roughness, which leads to an overesti-
mation of JRC (Leal-Gomes, 1998). On the other hand, the
increase or the reduction of typical profiles, even if only
mentally for comparison, are not legitimate, because there
are homothetical transformations which do not assure that
JRC are maintained. Actually, that comparison rises roughness
amplitudes and increases JRC of enlarged profiles and joint
strengths in nature, independently of all existent but unknown
scale effects, making it useless. Besides, only the exposed joint
roughness on the rock mass face is observed and not within the
348
2007 Taylor & Francis Group, London, UK
Figure 1. Deduction of equation (1).
rock mass. However, Leal-Gomes (1998) suggested the inde-
pendence of Rmax (maximum roughness amplitude) from the
shorter dimension of the sample. So it is possible to determine
Rmax from the observation of a slice having the larger dimen-
sion of the sample because the shorter dimension has little
influence on Rmax . Therefore, Rmax estimation is suggested
for field characterization of joint profiles.
So, Bartons model has numerous handicaps in spite of
being a great advance the greatest on this subject in last
decades.
4 GEOMECHANICAL APPROACH
The present use of the joint roughness concept is partially
irrelevant because joint strength models of limit equilibrium
of forces do not represent the profusion of sliding phenom-
ena in practical Geomechanics. The confusion on the most
appropriate parameters for the representation of roughness is
a consequence of that absence.
However, the formulation of a limit equilibrium model for
the dilatancy phase where the calculations of energies involved
in the overcoming of a regular triangular asperity having height
h and slope i, under a normal force on discontinuity N, is not
difficult to perform. Leal-Gomes (2001) obtained the equation
where E is the energy required for overcoming this asperity
and the friction angle along the asperity face (Figure 1).
The E values calculated through this formula are so low, that
they are unrealistic. For the above cited tests on samples of
cement mortar they are around 1 Joule, whereas at least some
kJoules must be involved in the tests. They created fragments
having the size of a nail and a lot of dust on the pull test table
on samples of an artificial joint in porphyritic granite. Also, a
large amount of dust resulted in the pull test table with cement
mortar samples having regular homothetical teeth. Therefore,
there are asperity damages under normal pressures so low as
1 kPa and 0.7 kPa respectively. The mixed process of dila-
tancy and asperity cutting begins for normal pressures very
low at the discontinuities. This fact very much increases the
true involved energies required for joint overcoming. This is
a situation where the measurements of energies actually in
question would be of the greatest importance, which is not
easy to achieve.
Everything that was reported only applies to matched joints,
ruled by Pattons model. Mismatched joints are ruled by
another model, the Peres-Rodrigues & Charrua-Graas model
(1985), where the forces needed for the upper wall to over-
come the more conspicuous irregularity of lower block in
a non-parallel movement of both parts, on the contrary to
Figure 2. Resultant force R increases as upper block rises the lower
block asperities.
Pattons model were that movement is parallel, but in a rota-
tional movement of upper block around the more conspicuous
asperity of lower block, are assessed. Therefore, here the dila-
tancy is lower than in matched joints and in Pattons model
(Leal-Gomes, 1999).
Even in matched joints having regular teeth of cement mor-
tar, like those referred by Leal-Gomes (2001), there are slight
tiltings as the upper block rises over lower block asperities.
The resultant force R increases as an asperity is overcome
(Figure 2). Therefore, an increase of shear force during the
rise over lower block asperities is necessary.
However, there was a tiny but consistent lowering of
iexp (dilatancy values calculated by back-analysis from Pat-
tons model) as the height h of asperities increase, when h
approached 2.4 cm, becoming iexp < i. This conclusion seems
to oppose the above referred lack of levelling effect of the pull
belt resulting in an increase of R(h). Therefore, the impor-
tance in the process of longer arms of shear forces T with
reference to asperity bottom, leading to lower shear forces T
needed to produce slides because momentums of T are larger
as h is increased, was suggested. On the other hand, momen-
tums causing upper block tilting also cause stress relief on
the asperities (Figure 3) the relief becoming greater as h and i
increase. On the contrary, iexp > i is obtained for shorter asper-
ities, having 0.5 cm in height. Here, another very controversial
mechanism is suggested. In the term tan( + i) from Pattons
model, and i are both angles but having very different con-
tents: is derived from the quotient of two forces, T/N, in
accordance with Amonton theory, and i is given by tan1 (h/b),
where b is the asperity base (see Figure 1). As b and h are both
linear dimensions expressed in centimetres and i is a param-
eter having geometrical and graphic expression while, is a
tribological parameter. Therefore, when h is very small, the
Amontons theory tends to prevail and ( + i) also prevails
as a whole as a friction angle, therefore only as a tribologi-
cal parameter having complex contents and evolution. More
research on this matter is required to achieve clear conclusions.
This explanation is advanced to add a new element: dila-
tancy values deduced from observation of roughness geometry
may put problems on the unsafe side of engineering as poten-
tially movable blocks are higher and/or discontinuity asperities
are higher and more inclined. These conditions may be found
in nature and are problematic when blocks have high gravity
centres. Pull tests having the levelled pull belt grazing the top
of the highest asperity of the lower block seems to simulate
2007 Taylor & Francis Group, London, UK
Figure 3. The occurrence of momentums by shear forces acting on
sliding blocks.
better what happens in nature. This is an additional question
complicating these already difficult problems.
Besides, phases of dilatancy and of asperity cutting are usu-
ally concomitant and the acquisition of reliable and correct
strengths from block shapes is not possible. For large normal
stresses on discontinuities whenever there is clear and deep
asperity cutting and where Pattons model for large normal
stresses would appear applicable, there always is some dila-
tancy, depending on the original roughness and on the new
surfaces created by asperity ruptures. The most conspicuous
asperities tend to break in the first place and in such cases
dilatancies may be controlled by less prominent asperities.
5 CONCLUSIONS
The present limit equilibrium models, either of forces or of
energies, such as (1), do not describe adequately the reality
for practical calculation goals. This fact is due to an unsat-
isfactory approach to the phenomenon but there are no safer
alternatives. Therefore, it must be pointed out that nowadays
in Geomechanics when discontinuity stabilities are calculated
in practice there are no reliable parameters and models. To a
great extent there are not so many accidents than those actually
registered on account of the partial description of the sliding
phenomenon by present limit equilibrium models, though in
only a very restricted way. On the contrary, the limit equi-
librium concept is very useful in Soil Mechanics because this
branch of Geotechnics does not make use of either any asperity
roughness concept or roughness parameter.
Due to the drawbacks of limit equilibrium models in Rock
Mechanics, accidents may occur with a frequency lower than
expectations because engineers intuitively feel that the matter
is not well understood and specify parameters on the safe side
of calculations. On the other hand ( + i) is dependent on the
tangent and usually greater than 45 so in most of cases esti-
mations are conservative. When ( + i) is greater than 45 ,
tan ( + i) increases quickly and shear strengths rise quickly
guaranteeing the actual safety of works, which is underes-
timated in calculations made taking lower parameters than
measured ones.
As a rule, new formalizations arent distinct from those
already approached. New parameters essentially are not very
349
different from the existing ones, because the basic conditions
of the sliding phenomenon are known, as their evolution and
their interdependence.
All models assumed the existence of constant and eas-
ily identifiable physical parameters and equilibriums usually
analysed at limit situations, while reality is more complex.
The meaning of normal stresses, the intrinsic significance of
parameters and scale effects are not yet adequately dominated,
although they materialise the applicability of models to natural
conditions.
REFERENCES
Barton, N. & Choubey, V. (1977). The shear strength of rock joints
in theory and practice. Rock Mechanics, 10, pp. 154.
Leal-Gomes, M.J.A. (1998). The scale effect on rock masses The
case of joint strength and deformability. PhD thesis, University
of Trs-os-Montes e Alto Douro, Vila Real, Portugal, pp. I-XIX,
1-303, D1-D148 (in Portuguese).
Leal-Gomes, M.J.A. (1999). The practical meaning of shear tests
on rock mass joints. Geotecnia n 87, Portuguese Geotechnical
Society, Lisbon, pp. 5359 (in Portuguese).
350
2007 Taylor & Francis Group, London, UK
Leal-Gomes, M.J.A. (2000). Some reflections for an alternative rock
mass joint strength model. 7th National Geotechnical Congress,
Oporto, Portugal, pp.221228, Vol. 1 (in Portuguese).
Leal-Gomes, M.J.A. (2001). The assessment of safety of rock mass
joints considering their amplitude of roughness. ISRM Regional
Symposium EUROCK 2001, Espoo, Finland, pp.249254.
Leal-Gomes, M.J.A. (2002). Considerations around an insufficiency
of Pattons model. 8th National Geotechnical Congress, Lisbon,
Portugal pp. 483494, Vol. 1 (in Portuguese).
Muralha, J.J.R.D. (1995). Probabilistic approach to the mechanical
behaviour of rock mass joints. PhD thesis, IST, UTL, Lisbon (in
Portuguese).
Patton, F.D.(1966). Multiple modes of shear failure in rock and
related materials. PhD thesis, University of Illinois.
Peres-Rodrigues, F. & Charrua-Graa, J.G. (1985).Scale effect on
the strength characteristics of rock masses. Proc. Int. Symp. on
Role of Rock Mechanics in Excavations for Mining and Civil
Engineering, Zacatecas, Mexico.
 New model for the volumetric strain of rocks under high differential stress and
large shear displacement

M. Takahashi
Research Center for Deep Geological Environments, AIST, Tsukuba, Japan

T. Takemura
Institute of Geology and Geoinformation, AIST, Tsukuba, Japan

M. Kato
Faculty and Graduate school of Engineering, Hokkaido University, Sapporo, Japan

M. Kwasniewski
Silesian University of Technology, Gliwice, Poland

X. Li
Institute of Rock and Soil Mechanics, Chinese Academy of Science, Wuhan, China

ABSTRACT: To investigate precisely the internal structural changes that occur in highly stressed Shirahama sandstone with
increasing axial strain and confining pressure, we measured the total porosity and bulk density using mercury injection
porosimetry and specific surface area using the gas adsorption method. Under low confining pressures, the specimen is
characterized by the existence of a main fault and deformation is dominated by dilatancy. Under higher confining pressures,
the specimen undergoes ductile deformation; volumetric strain indicates progressive compaction throughout the experiment.
The measurements of total porosity and specific surface area support the finding of increasing porosity at higher confining
pressures. Macroscopically, the specimens show persistent compaction, yet microscopically the total porosity increases with
increasing confining pressure. This phenomenon is attributed to the formation of stress-induced microcracks caused by grain
crushing and the development of small open spaces around rock fragments that arose due to high degrees of compaction and
large shear displacement.

1 INTRODUCTION changes in the internal structure, especially volumetric strain

Permeability and specific storage are important parameters
in evaluating the transport property and storage capacities of
soils, rocks, and geomaterials. These properties are analyzed
using permeability measurements undertaken in laboratory
tests. Test results indicate that permeability decreases with
increasing effective confining pressure, but the specific stor-
age does not show a clear correlation with changes in effective
confining pressure. Zhu and Wong (1997) measured per-
meability as a function of various stress states across the
brittle-ductile transition in five types of sandstone. They
compiled triaxial compression data for permeability ver-
sus effective pressure, differential stress, porosity, and axial
strain, and discussed the evolution of permeability in various
porous sandstones in terms of mechanical deformation and
failure mode.
Aspects of the microstructural changes that occur under
conditions of high stress and large shear displacement have
yet to be studied sufficiently to yield definite conclusions
regarding their mode of occurrence. Additional, data are also
required in terms of the changes in volumetric strain and
bulk density that accompany different deformation patterns.
In the present study, we focuse on the relationship between
and changes in bulk density change at a microscopic scale, and
mechanical deformation using data obtained from mercury
intrusion porosimetry and the gas adsorption method.
2 EXPERIMENTAL TECHNIQUES
In this experiment, we used the following two methods
to evaluate volumetric strain and the total volume of the
specimen.
2.1 Pore volume apparatus
When the pore pressure was constant during deformation of
the specimen, the volume change of the pore water that flowed
out or was extracted from the specimen was measured using
a micro- metering valve in which the inner piston could be
moved forward or backward to maintain constant pore pres-
sure. The change in pore volume change was calculated based
on the diameter of the metering valve piston and the degree of
rotation of the valve handle. The sensitivity of this system was
about 2.7 104 cm3 corresponding to a 6.36 micro-strain in
terms of volumetric strain.

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2007 Taylor & Francis Group, London, UK

Figure 1. Schematic diagram of the mercury intrusion porosimetry method.

2.2 Mercury intrusion porosimetry

We used mercury intrusion porosimetry to measure the total
porosity and bulk density of the stressed specimen following
the experiment. The specific surface area was measured using
the gas adsorption method. Both methodologies are described
briefly in the following text.
In using mercury Intrusion porosimetry, a materials poros-
ity is measured by applying various levels of pressure to
a specimen immersed in mercury. The pressure required to
intrude mercury into pores within the sample is inversely
proportional to the size of the pores (see ASTM D4404-84).
Figure 1 shows a schematic diagram of this method.

2.3 Adsorption method

The BET surface area is measured using a The Tristar3000
analyzer, which makes use of physical adsorption and capil-
lary condensation principles to obtain information about the
surface area and porosity of a solid material. The analytical
technique is simple. A sample housed within an evacuated
sample tube is cooled to cryogenic temperature and exposed
to an analysis gas at a series of precisely controlled pres-
sures. With each incremental pressure change, the number Figure 2. View of the sample assemblage and displacement trans-
of gas molecules adsorbed on the surface increases. The equi- ducers for the axial and radial directions.
librated pressure (P) is compared to the saturation pressure
(P0), and their ratio (P/P0) is recorded along with the quantity
of gas adsorbed by the sample at each equilibrated pressure sandstone consists mainly of quartz grains without any cracks
(see http://www.micromeritics.com). or rock fragments that comprise aggregations of various types
of minerals. The quartz grains have an average size of about
150 microns. The pore sizes are dominantly around approx-
3 SAMPLE DESCRIPTION imately 1 micron, and the total porosity is about 13%. All
of the specimens were ground to a cylindrical shape with a
The sample of Shirahama sandstone was collected from length of 60 mm. Figure 2 shows the specimen assemblage and
Kii peninsular in Wakayama Prefecture, Central Japan. The displacement transducers in the axial and radial directions.
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2007 Taylor & Francis Group, London, UK

 4 EXPERIMENTAL RESULTS : EVOLUTION OF
PERMEABILITY AND CHANGES IN INTERNAL
STRUCTURE

4.1 Changes of permeability

Figure 3. Variations in axial differential stress, volumetric strain
and permeability as a function of axial strain during a loading under
four different confining pressures and a constant pore pressure of
20 MPa.
Four specimens were deformed under various confining pres-
sures up to 100 MPa and constant pore pressure of 20 MPa
to investigate the relationship between the volumetric strain
and permeability (Figure 3). With increasing effective confin-
ing pressure, we observed a transition from strain softening
to strain hardening. The volumetric strain shows distinct dila-
tancy and persistent compaction with increasing axial strain.
In the brittle regime, the permeability decreases over the range
of elastic deformation range, but shows a remarkable increase
at the same stress level with the onset of dilatancy behavior.
A distinctive feature of the permeability trend is that fol-
lowing the deformation of a unique shear fracture within the
specimen, permeability is higher than the initial permeability
at the onset of the axial loading. Although the permeabil-
ity increases within the range of inelastic deformation in the
brittle-ductile and fully ductile regimes, the rate of increase
in the permeability increases within the inelastic deformation
range, the increasing ratio lessens with increasing confining
pressure. It should be noted that the permeability after load-
ing is never higher than the maximum value obtained during
the experiment. In the unloading process, the permeability at
four progressively lower confining pressures falls below the
minimum value recorded during the loading process.

30 30

25 Pc=0MPa 25 Pc=40MPa, Pp=20MPa

Volumetric Ratio (%)

Volumetric Ratio (%)

Porosity = 14.47 % Porosity = 12.59 %

20 20

15 15

10 10

5 5

0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m) Log Radius (m)
30 30

25 25 Pc=80MPa, Pp=20MPa
Pc=50MPa
Volumetric Ratio (%)

Volumetric Ratio (%)

Porosity = 13.52 %
20 Porosity = 16.14 % 20

15 15

10 10

5 5

0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m) Log Radius (m)

30 30

25 25 Pc=100MPa, Pp=20MPa
Pc=50MPa
Volumetric Ratio (%)
Volumetric Ratio (%)

Porosity = 16.24 %
20 Porosity = 16.39 % 20

15 15

10 10

5 5

0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m) Log Radius (m)

Figure 4. Pore size distributions under various stress conditions.

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2007 Taylor & Francis Group, London, UK

 18.0
17.0
16.0
Porosity (%)
15.0
14.0 porosity in deformed
porosity in intact
surface area without fault plane
13.0
surface area with fault plane
12.0
surface area in intact
0 204 0 608
Confining Pressure (MPa)
Figure 5. Porosity and specific surface area as a function of the
confining pressure.
Figure 6. Photomicrographs of the stressed specimen under con-
fining pressures of 90 MPa (dry condition, mechanical test) and 100
MPa (wet condition, permeability test).
4.2 Microscopic observations
Figure 4 shows the pore size distributions for various con-
fining pressures and a constant pore pressure of 20 MPa.
Figure 4 (a) and (b) are dry and wet conditions, respec-
tively. For both conditions, the peak volumetric ratio in the
radius shifts to a larger scale. This behavior means that wide
stress-induced microcracks become dominant with increas-
ing effective confining pressure. Figure 5 summarizes the
relationship between porosity as measured using mercury
intrusion porosimetry, and confining pressure. In addition,
the surface area obtained using the gas adsorption method
2007 Taylor & Francis Group, London, UK
8 firmly supports the observation that porosity increases with
7.5 increasing confining pressure. Direct observations by optical
7 microscope and SEM reveal that grain crushing and the com-
BET surface area (m2/g)
6.5
paction of strong rock fragments occurs in highly deformed
specimens under high confining pressure (Figure 6). We also
6
recognized the existence of small open spaces between quartz
5.5
grains and compacted rock fragments. These crushing-related
5 fractures and slightly open spaces lead to an increase in per-
4.5 meability during inelastic deformation under high confining
4
pressure and high deviatoric stress.
0 100
5 CONCLUSION
The tested specimens are characterized by the existence of
a main fault and dominantly dilatant deformation under low
confining pressure. Under higher confining pressure, the spec-
imens behave in a fully ductile mode, and the volumetric strain
measured by displacement transducers and changes in pore
volume reveal persistent compaction throughout the exper-
iments. However, measurements of total porosity by means
of mercury intrusion porosimetry reveal increasing porosity
with increasing confining pressure. This finding is supported
by measurements of the BET surface area of the pore space
obtained by the gas adsorption method. These findings indi-
cate that the deeper the burial depth, the greater the porosity
with inelastic deformation, although we acknowledge that the
real underground field is restricted. Porosity corresponds to
the specific storage in hydrogeology, and it determines the
ability of the fluid to flow out of or be extracted from a rock
or sedimentary layer. Thus, we conclude that a rock mass
subjected to highly confined compression stress and high devi-
atoric stress has a large capacity for storing the pore-fluid
volume.
REFERENCE
Zhu, W. & Wong, T.-f. 1997. The transition from brittle faulting to cat-
aclastic flow: Permeability evolution. J. Geophys. Res. 102 (B2):
30273041.
354
 New peak shear strength criteria for anisotropic rock joints using quantified
joint roughness parameters

D.Y. Kim & Y.N. Lee

Hyundai Engineering & Construction Co., LTD., Seoul, Korea

ABSTRACT: In this study, Bartons profiles are investigated precisely to clarify the validity of JRC and a new method that
quantifies the JRC is proposed. Laser profilometer and the direct shear strength testing system that simulates the in-situ stress
and the boundary conditions have been developed and employed to the shear test. The tests were conducted on the joints molded
out of hydrostone. The joint surfaces were shaped to simulate asperities from natural rock joint. Under a constant normal stress
and a free condition of dilatancy, pitch and roll, direct shear test were conducted. As a result, new equation of peak shear
strength, which considered anisotropy of the joint roughness has been proposed.

1 INTRODUCTION Tse & Cruden (1979) quantified Bartons profile at a

sampling interval of 1.27 mm to propose the Equation 3:
The peak shear strength of rock joints shows anisotropic
properties due to roughness variation with shearing direc-
tion in direct shear test. The roughness of rock joint could be
described as JRC but the selection of the value is not objective
and JRC could not present the anisotropy of rock joint well.
This paper presents (1) the quantification method considering The method suggested in this paper quantifies JRC as follows;
whole roughness from small asperities to undulations of joint (1) obtain the numerical information of Bartons profiles at a
surface, and (2) new peak shear strength criteria considering constant sampling interval, 0.1 mm by AutoCad (2) based on
anisotropy of joint roughness. the result of (1), draw the plot of sampling interval vs. statis-
tical parameter (Ai and lnAi , Equation 4 and 5, respectively)
with change of sampling interval from 0.1 mm to 10 mm, (3)
2 LITERATURE REVIEW regress the plots linearly to find the slope and intercept of the
graph as shown in Figure 1, and (4) determine the JRC func-
Among the equations that consider friction behavior and dila- tion of two variables, slope and intercept, by multi-regression
tion of joint, the equation of Barton (1973) is widely used. analysis:
Barton and Choubey (1977) also presented a chart that shows
profiles and JRC value, and modified Bartons equation.
Since JRC is not a parameter in physical concept but is
obtained from the back-calculated value using Bartons equa-
tion, it is not objective . In order to make up for this problem,
numerous researches on quantification of joint roughness have
been performed in various ways; using statistical parameters, where S = slope of the graph of Ai vs. sampling interval;
fractal dimension and spectral analysis. I = intercept of the graph of Ai vs. sampling interval:

3 NEW QUANTIFICATION METHOD OF JRC

Among the various statistical parameters, major parameters

used in this study are as follows; Z2 (root mean square of
profile gradient), Ai (micro average i angle), and Ai (micro
average i angle):
where n = number of measurement of y; and yi = height of
profile at ith x.
where S = slope of the graph of lnAi vs. sampling interval;
I = intercept of the graph of lnAi vs. sampling interval.
In these equations, the slope defines the degree of primary
roughness and secondary roughness. It defines both primary
and secondary roughness simultaneously at a small sampling
interval while only primary roughness (waviness or undula-
tion) is defined at a large sampling interval. The intercept
defines the degree of small asperities. Figure 2 shows the
comparison between Bartons JRC and other JRCs predicted
using Equations 4, 5 and the equation of Tse & Cruden (sam-
pling interval = 1.3 mm). As shown in the figure, JRC using
Equations 4 and 5 show a better agreement with Bartons JRC
value.

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2007 Taylor & Francis Group, London, UK

 24 JRC=0~2
22 JRC=2~4
JRC=4~6
20 JRC=6~8

18 JRC=8~10
JRC=10~12
16 JRC=12~14
JRC=14~16
14
JRC=16~18
Ai

12 JRC=18~20

10
8
6
4
2 Figure 3. Silicone rubber cast and four scanned images of specimen
joints.
0
0 2 4 6 8 10 Table 1. Compressive strength and basic friction angle of
Sampling interval (mm) the joint samples.
Figure 1. Micro average angle(Ai ) vs. sampling interval for sample qu (MPa), (average) basic friction angle, u ( )
Bartons JRC profiles.
LJ 20.423.2, (22.2) 43.18
MJ 40.142.4, (41.5) 41.61
20 HJ 50.454.0, (52.6) 39.42
18
16
14
12
joint), MJ (medium strength joint) and HJ (high strength joint)
Predicted JRC

10
8
for each strength and basic friction angle of specimen shown
6 in Table 1.
4
2
0 Tse's Z Eq. (3)
2
-2 A -,Eq. (4)
4.2 Measurement of joint roughness
i
-4
lnAi, Eq. (5) Sampling X, Y, and Z data was performed using the three
-6
-8
dimensional laser profilometer which was manufactured to
-10
move laser both x-axis and y-axis. Measuring length of joint
0 2 4 6 8 10 12 14 16 18 20 specimen was 110 mm for x-axis, and 100 mm for y-axis.
JRC
Sampling interval was 0.1 mm for x-axis and y-axis. The data
for z-axis, which indicates the topology of sample specimen
Figure 2. Comparison between Bartons JRC and predicted JRC. obtained from laser scanning, is a (1000 1100) matrix. Ai
and ln(Ai ) were calculated from the matrix at each interval of
0.1 to 10 mm with increment of 0.1 mm. The sampling inter-
val is 0.1 n (mm) (where n = 1, 2, 3 . . . , 100). The average Ai
of the whole sample is calculated using Equation 6 for any
4 SHEAR TEST sampling interval:
4.1 Preparation of testing sample
The rock joints used in this research were obtained from the
surface of a granite sample and the surfaces of three gneiss
samples in Korea.
A pair of perfectly mated silicone rubber cast that represent
the topographic features of the natural rock joints was used to
prepare a series of specimen joints from smooth surface (J1) to
rough surface (J4). Figure 3a provides the silicone rubber cast where n = sampling increment; (Ai i = average Ai of ith pro-
and Figure 3b-e show the scanned images of specimen joints. file in the shearing direction; and li = straight length of ith
Four samples from J1 to J4 are the laser-scanned images at a profile in the shearing direction.
sampling interval of 0.1 mm. These specimen joints are mix- Non-stationary part of the surface profile is not expressed
tures of plaster of Paris, dental gypsum, sand and water having by statistical parameters. Instead, it can be expressed by a lin-
three different compressive strength such as LJ (low strength ear function with positive or negative slope. The slope angle

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2007 Taylor & Francis Group, London, UK

 3.5 3.5 NRPAi- = a+bS+cl
2 2
r = 0.4651975 DF Adj r = 0.45819135 FitStdErr = 2.0977563 Fstat = 100.03265
Barton's Eq. Using JRCVisual (MPa)

Barton's Eq. Using JRCAi-(MPa)

3.0 3.0 a = -0.43217102 b = 21.89001
c = 2.1924637
2.5 2.5

2.0 2.0

1.5 1.5

1.0 1.0

0.5 0.5

0.0 0.0
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5
test(MPa) test(MPa)
a. Using visual JRC b. Using Equation 4

3.5 6
pre./test (mean, standard deviation)
Barton's Eq. Using JRClnAi(MPa)

3.0 5 JRC(Visual) (1.218, 0.151)

Figure 5. NRPAi surface expressed by S and I of Ai .
JRC( Ai- ) (1.208, 0.172)
Probability Density

2.5
4
2.0 JRC( lnAi ) (1.120, 0.134)
values appears when the parameters (slope and intercept)
3 from Ai is used than other methods (Fig. 4b). With use of
1.5
2 the parameters from ln(Ai ), it shows a better agreement than
1.0 other two (Fig. 4c). The ratio of predicted peak shear strength
1
0.5 to tested peak shear strength was analyzed using log-normal
0.0 0 distribution in order to quantatively evaluate Bartons equa-
0.0 0.5 1.0 1.5 2.0
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 tion (Fig. 4d). The smallest standard deviation and the highest
test(MPa) predicted/test
probability density were obtained when ln(Ai ) was used, and
c. Using Equation 5 d. log-normal distribution average value was close to one. Large standard deviation was
obtained when using Ai , and it is due to that anisotropy of
Figure 4. (a, b and c) Diagram of the predicted peak shear vs. roughness is not fully expressed on Bartons JRC profile.
test results and (d) log-normal distribution for predicted peak shear
strength/test results.
6 SUGGESTION OF NEW PEAK SHEAR STRENGTH
(I ) is estimated through linear regression analysis (Kulati- EQUATION
lake et al. 1995).The average non-stationary slope of the whole
sample joint is calculated using Equation 7: Equation 8 is used to predict peak shear strength of joint sur-
face using the slope (S) and intercept (I) of sampling interval
curve of Ai or ln(Ai ):

where Ii = slope of regression equation of ith profile; and where NRP (new roughness parameter) is a function of S and
li = length of straight line of ith profile. I from the curve of Ai or ln(Ai ).
NRP can be decided from either back calculation of peak
4.3 Shear test of joint surface shear strength (Eq. 9) or peak dilation angle (dn ) obtained
from shear test (Eq. 10):
Shear tests were performed in the direction of 0 , 30 , 60 ,
90 , 180 , and 270 for sample MJ, while 0 , 30 , 60 , and 90
for sample LJ and HJ. The tests were conducted with the direct
shear test apparatus designed by Kim et al. (2006) allowing
dilatancy, pitch and roll under constant normal stress condition
(0.01 < n /j < 0.3).

5 RELIABILITY ANALYSIS OF BARTONS PEAK

SHEAR STRENGTH EQUATION

For specimens with four different surfaces, JRC obtained from

visual observation and JRC calculated from the Equations 4, NRP surface is obtained from multi-regression analysis with
5 were substituted into Bartons equation. The results were the variables, S and I. Figure 5 shows an example of NRP
also compared with the results of the shear tests. Figures 4ac surface with variables S and I from the Ai curve. The multi-
show the comparison between test results and peak shear regression of NRP includes results of all the shear tests on
strengths predicted from Bartons equation with different mea- joint surface and plane surface.
suring methods of JRC. It is observed that all the three methods Shear strength was calculated substituting NRP obtained
overestimate the peak shear strength than test results. using Equations 9, 10 into Equation 8. It shows better agree-
It is also observed that shear strength is more overesti- ment when using NRP from Equation 9 rather than using
mated in the range of larger shear strength using JRC from NRP from Equation 10. It is so because peak dilation angle is
visual observation (Fig. 4a). Larger scattering of predicted dependent on sampling interval of shear displacements thus

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2007 Taylor & Francis Group, London, UK

 3.5 3.5 Figure 8b. It is observed that determination of peak shear
strength using NRP is more accurate than using JRC. In the

lnAi (MPa)
3.0
Ai- (MPa)

3.0

2.5 2.5
prediction, probability density is lower for Ai than for lnAi
when using JRC while it is higher for Ai than for lnAi when
New Eq. Using NRP

New Eq. Using NRP

2.0 2.0
using NRP. It is, therefore, more appropriate to use only rough-
1.5 1.5
ness of the parts which contribute to the shear resistance. In
1.0 1.0 addition, NRP using Ai is proper to express the anisotropy of
0.5 0.5 joint roughness that is hard to be expressed by JRC. Consider-
0.0 0.0
ing of everything mentioned above, a new peak shear strength
0.0 0.5 1.0 1.5 2.0
test (MPa)
2.5 3.0 3.5 0.0 0.5 1.0 1.5
test (MPa)
2.0 2.5 3.0 3.5
equation is proposed as in Equation 11:

a. NRPAi- vs. test b. NRPlnAi vs. test

Figure 6. Diagram of the predicted peak shear strength vs. test

results.

n=0.76 MPa for MJ1 n=1.89(MPa) for MJ4

where NRP = 0.4322 + 21.8900 S + 2.1925 I ; S = slope
90 90 of linear regression equation in Ai- curve; I = intercept of
1.2 3.5
120
1.0
60 120
3.0
60
linear regression equation in Ai- curve.
0.8 2.5 Since whole asperities and undulations are considered
150 0.6 30 150 2.0 30
together in the NRP, peak shear strength can be predicted more
0.4 1.5

0.2 1.0
accurately and anisotropy of peak shear strength with shear-
180 0.0 0 180 0.5 0 ing direction also can be expressed well by the new equation
1.2 1.0 0.8 0.6 0.4 0.2 0.0 0.2 0.4 0.6 0.8 1.0 1.2 3.5 3.0 2.5 2.0 1.5 1.0 0.5
0. 1.0 1.5 2.0 2.5 3.0 3.5
0.2
(MPa)
1.0
(MPa) using NRP.
0.4 1.5
Test Results Test Results
210 0.6 Barton's Eq. 330 210 2.0 Barton's Eq. 330
New Eq. New Eq.
0.8 2.5

1.0 3.0
7 CONCLUSION
240 1.2 300 240 3.5 300
270 270
The reliability of Bartons peak shear strength equation is eval-
Figure 7. Comparison by shear direction between shear strength uated using JRC from visual observation and new quantified
prediction and test results (MJ1 and MJ4). JRC. A new peak shear strength equation that uses NRP (new
roughness parameters) is also evaluated. The results show that
4.0
o
6
pre./ test(mean, standard deviation)
the peak shear strength prediction using NRP is more reliable.
MJ4, Shear direction : 90
3.5
5
JRC(Visual) (1.218, 0.151) The results are follows;
Probability Density

3.0 NRP( A - ) (1.000, 0.110)

i
4
NRP( lnA ) (1.000, 0.113)
1) Using the slope and intercept obtained from linear regres-
(MPa)

2.5
i
2.0 3
sion curve of sampling interval vs. statistical parameter
1.5
related with the slope of profile, it is observed that new
2
1.0
JRC quantification method shows a better relation with
New Eq. using NRPAi-
0.5 Barton's Eq. , JRCVisual
1 JRC than conventional quantification method.
0.0
Test Results 0 2) As a result of reliability analysis on JRC through quantified
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 -0.5 0.0 0.5
predicted/test
1.0 1.5 2.0
roughness and shear tests, it is observed that predicted peak
n(MPa)
shear strength by JRC tends to slightly overestimate shear
a. Failure envelopes b.Log-normal distribution strength and it doesnt present well the anisotropy of joint
3) New equation suggested in this study, based on the test
Figure 8. (a) Failure envelopes of suggested equation and Bartons data for sample joints, can predict the shear strength more
equation and (b) log-normal distribution of suggested equation and
Bartons equation.
accurately and present well the anisotropy of joint. More
researches on the applicability of this new equation are
NRP using Equation 10 can not be generally applied. With required for natural rock joints.
NRP obtained from Ai and ln(Ai ) curve, predicted peak shear
strengths using Equation 8 were plotted in the Figures 6a, b, REFERENCES
respectively.
Figure 7 shows the peak shear strengths of MJ1 and MJ4 Barton, N. R. 1973. Review of a new shear-strength criterion for rock
specimens in the shear direction of 0 , 30 , 60 , 90 , 180 , and joints, Engineering Geology, 7: 287332.
270 .The shear strengths presented in Figure 7 include the pre- Barton, N. and Choubey, V. 1977. The shear strength of rock joints
dicted peak shear strength using NRPAi , peak shear strength in theory and practice, Rock Mech. Vol. 10: 154.
using JRC, and test results. The method using NRP agrees Kim, D. Y., Chun, B. S. and Yang, J. S. 2006. Development of direct
well with test results which show an anisotropy depending on shear apparatus with rock joints and its verification tests, ASTM
shear direction. Geotechnical Testing Journal, Vol. 29, No. 5: 365373.
Figure 8a shows the result of shear test on specimen MJ4 in Kulatilake, P. H. S. W., Shou, G., Huang, T. H. and Morgan, R. M.
the direction of 90 , and the failure envelopes from Bartons 1995. New peak shear strength criteria for anisotropic rock joints
Int. J. Rock Mech. Min. Sci. & Geomech. Abstr. Vol. 32, No. 7:
equation and suggested equation. The figure shows that the 303307.
suggested equation matches well with peak shear strength by Tse, R. and Cruden, D. M. 1979. Estimating joint roughness coef-
normal stress. ficients, Int. J. Rock Mech. Min. Sci. & Geomech. Abstr. Vol. 16:
Log-normal distribution for the ratio of predicted peak shear 303307.
strengths to peak shear strengths from tests was plotted in

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2007 Taylor & Francis Group, London, UK

 New Zealand greywacke characteristics and influences on rock mass behaviour

L. Richards
Rock Engineering Consultant, Canterbury, New Zealand

S.A.L. Read
GNS Science, Lower Hutt, New Zealand

ABSTRACT: Upper Paleozoic to Mesozoic-age greywackes are widespread throughout New Zealand. This paper describes the
characteristics of the greywacke rocks based on field mapping, laboratory testing and rock mass classification from sites around
the country. The rocks comprise hard sandstones, interbedded sandstones and mudstones, and mudstones. Where unweathered,
intact rock materials have unconfined compressive strengths generally above 100 MPa and moderate to high modulus ratios.
The rock masses, which are typically closely-jointed and commonly tectonically disturbed, have an unusual combination of
very high intact strength and joints with low persistence. The effect of these properties on rock mass deformability and strength
is illustrated by estimation of dam foundation deformability from tiltmeter measurements and assessment of critical foundation
failure mechanisms from estimates of defect and global rock mass strengths.

1 INTRODUCTION This paper is part of a long-term New Zealand research

In New Zealand, the term greywacke is applied to the
very well indurated to slightly metamorphosed, interbedded
mudstones and muddy sandstones belonging to the Torlesse
Supergroup. These Upper Paleozoic to Mesozoic-age base-
ment rocks are widespread throughout New Zealand (Fig. 1)
where they are the bedrock of many of the countrys engi-
neering projects and also an important source of roading
and concrete aggregate. Greywacke rocks are commonly
closely-jointed as a result of their complex geological history.
project into the engineering properties of unweathered
greywacke. Studies at three sites (Aviemore Dam, Belmont
Quarry, Taotaoroa Quarry Fig. 1) have involved engineer-
ing geological mapping, laboratory testing of intact rock and
assessment of rock mass properties (Read et al. 1999, 2003,
Richards & Read 2006, Read & Richards 2007). Postgraduate
studies involving mapping, laboratory testing and analysis of
earlier in situ testing (e.g. Cook 2001) also form part of the
project. This paper summarises geotechnical characteristics
of greywacke rock masses and discusses influences of defect
characteristics on their strength and deformation properties.

2 GREYWACKE PROPERTIES

2.1 Rock material

Figure 1. Distribution of New Zealand greywacke rocks and
locations of main study sites.
Greywacke sequences (Begg & Mazengarb 1996) consist of
interbeds of:
Sandstone coarse to medium grained, and medium to dark
grey. Individual grains are poorly sorted angular quartz and
feldspar, plus fragments of metamorphic and igneous rocks.
The intergranular filling is clay minerals formed during
induration or slight metamorphism.
Mudstone layers of clay, silt or mud, generally dark grey
to black, sometimes red from iron minerals.
Proportions of mudstone to sandstone vary between local-
ities. For example, at Waitaki near Aviemore, mudstone is
the dominant lithology, while elsewhere (e.g. Karapiro near
Taotaoroa) sandstone dominates. More massive beds of both
lithologies may be up to tens of metres thick, although more
cyclic deposition can result in interbedding with discrete beds
<0.5 m thick.
Figure 2 summarises intact compressive strength and
deformation parameters for greywackes from a number of
sites. Sandstones, which have moderate modulus ratios,
have strengths >100 MPa with stronger rocks being coarser

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2007 Taylor & Francis Group, London, UK

 Location
1 Belmont
100 2 Aviemore
3 Whitehall
3+ 6 4 2
4 Taotaoroa
6 + 8 1
5 Benmore
6 Rangipo 6 10
1 9
7 GlobeProgressMine 5
8 Ruataniwha 7
9 Motu
Young's modulus, Ei, GPa

10 Plimmerton
11 Karapiro 12
12 Moawhango 12
7
12

1
0:
50

1
=

0:
10
tio

20
ra

=
us

tio
ul

ra
od

us
M

ul
Lithology
od
M
e

Sandstone
at
er

Mudstone
gh
od
w
Lo

Hi
M

Interbedded

Strength divisions
moderately very ext.
very weak weak strong strong strong strong
1
1 10 100
Uniaxial compressive strength, qu, MPa

Figure 2. Strength and deformation properties of unweathered

intact greywacke using Deere & Millers modulus ratio chart.

Table 1. Hoek-Brown parameters for intact unweathered

greywacke (from Richards at al. 2001).
Figure 3. Logging sandstone-dominated greywacke rock mass
Location Lithology Tests ci mi exposure at the Taotaoroa study site.

Aviemore Sandstone
Belmont Sandstone
Belmont Mudstone
Taotaoroa Sandstone
ci Uniaxial compressive strength (MPa)
mi Hoek-Brown constant for rock material
grained. Mudstones, with moderate to high modulus ratios,
are generally weaker than the sandstones and strong to very
strong.
There are fewer mudstone test data, as very close spac-
ing of joints makes it difficult to obtain suitably-sized intact
specimens for conventional testing. However, point load
tests involving a modified procedure with small samples
(1020 mm width) indicated that the strength of small frag-
ments was similar to that of larger pieces which could be tested
by standard methods (Cook 2001, Read & Richards 2007).
Table 1 summarises the Hoek-Brown parameters (ci , mi )
for intact greywacke determined from uniaxial, triaxial and
tensile testing. The typical mi value of 12 for greywacke sand-
stone is outside the range of values suggested by Marinos &
Hoek (2000) for either greywacke (15 to 21) or sandstone
(13 to 21) while that for mudstone (9) is at the top of their
range from 5 to 9 for siltstone.
2.2 Rock mass
With New Zealands plate boundary location, the greywacke
rock masses have a complex geological structure. Bedding is
generally steeply dipping (>70 ) and sometimes overturned
from tight folding with steep plunges. With more severe tec-
tonic deformation, the rocks may be crushed, fractured or
sheared with thin mudstone beds often being more susceptible
to tectonic deformation.
5 87
11 240
9 65
5 193
11 Greywacke rock masses have been mapped (Fig. 3) and
13
9
described for engineering geological purposes at a number
12 of sites, including those on Figure 1. Methodologies have
followed those described in Anon (1977). Table 2 includes
summary descriptions of greywacke characteristics at the
three main study sites.
Defect types include bedding, joints, veins, sheared zones
and crushed zones with typical defect characteristics shown
in Table 3. Greywacke rock masses rarely exhibit the regular
blocky structure of many other sedimentary rocks. There are
often in excess of six defect sets at any one location, and even
within the same geological domain there may be significant
variations. Figure 4 shows a stereographic plot of defects, dif-
ferentiated by type, from engineering geological mapping at
Waitaki near the Aviemore site (Fig. 1).
Joints generally comprise over 85% of all defect types
and are typically closely spaced (Table 3). Spacing is gener-
ally wider in sandstones than mudstones, with corresponding
block sizes small and mostly <0.01 m3 .
Joint persistence is generally low, often <2 m and rarely
>10 m (Table 3). Figure 5 shows persistence data from the
mapping at Waitaki. In the case of sheared zones, crushed
zones and bedding, the observations are limited by the size
of available exposures, with their continuity known to often
exceed 100 m. However, joint persistence distribution follows
a negative exponential form indicating an adequate number of
observations for statistical validity.
Joint apertures are generally <2 mm. The surface rough-
ness of most defects is planar rough or planar smooth using the
ISRM (1981) roughness profile classification. ISRM (1981)
also defines an index which describes the nature of defect ter-
minations based on mapping of exposures. Ends of individual
defects may terminate in rock (r), against other defects (d)
or extend beyond the exposure (x). The Termination Index
is defined as the percentage of defect ends terminating in
rock (r) compared with the total number of terminations

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2007 Taylor & Francis Group, London, UK

Table 2. Greywacke descriptions and rock mass classification values from main study sites (locations on Figure 1).

Geological description Rock mass classification

Site Lithology & structure Defects RMR Q GSI

Aviemore Interbedded sandstone and mudstones Numerous minor crushed and sheared <050 0.0022 2050
dam with quartz and calcite veining. Bedding zones, especially along bedding. Joint
dips steeply, mainly to west spacing 50150 mm, max 500 mm
Belmont Sandstone with mudstone beds 0.25 m Several minor sheared and crushed 2555 0.12 2555
quarry thick. Bedding dips steeply to south-east. zones. Four principal joint sets;
Little secondary mineralisation. spacing 40200 mm, max 1000 mm.
Taotaoroa Sandstone with secondary mineralisation Several minor sheared zones and one <2050 0.021 1040
quarry along joints. Several 15 m thick major crushed zone. Three orthogonal
mudstone beds. Bedding dips joint sets, plus curving fractures;
35 65 mainly to west. spacing 50250 mm, max 750 mm

RMR Rock Mass Rating (Bieniawski 1993); Q Rock Mass Quality or Q-system (Barton & Grimstad 1994); GSI Geological Strength Index
(Marinos & Hoek 2000)

Table 3. Descriptions of defects in New Zealand greywacke rock masses.

Bedding1 Vein1 Joint Sheared zone Crushed zone2

Physical Defect where parting Defect with Defect with Roughly parallel sided Roughly parallel sided zone
description is parallel with secondary little or no zone with closely with angular fragments
rock texture mineralisation displacement spaced joints including clay and/or gouge
Proportion 08% 010% 80100% 02% 02%
Spacing 10 mm5 m Where present: 20600 mm Where present: Where present:
10 mm2 m 120 m 120 m
Persistence <2 m>10 m <1 m<10 m <1 m10 m 10>100 m 10>100 m
Width n/a n/a n/a <1 m <2 m
Filling Clean or silt/clay Secondary Clean or silt/clay n/a n/a
infill where mineralisation (e.g. infill where
relaxed calcite or zeolite) relaxed
1
Not considered a defect where bedding is textural only (has no parting) or vein is annealed.
2
Fault is a generic term for crushed zones with development of gouge from significant tectonic displacement and may be >2 m wide.

0.6 Crushed zone 0.6 Joint

n = 13 n = 487
Frequency

Frequency

0.4 0.4

0.2 0.2

0 0
0 4 8 12 16 20 0 4 8 12 16 20
Persistence, m Persistence, m

Sheared zone Bedding

0.6 0.6
n = 54 n = 62
Frequency

Frequency

0.4 0.4

Contours at 1, 2, 3 & 4%
0.2 0.2
TYPE [poles]
of total per 1% area

Bedding [62] 0 0
Crushed zone [13] Equal angle projection
Lower hemisphere 0 4 8 12 16 20 0 4 8 12 16 20
Joint [487] 616 poles Persistence, m Persistence, m
Sheared zone [54]
Figure 5. Frequency distributions for persistence of greywacke
Figure 4. Stereographic plot of greywacke defects from Waitaki. defects in Waitaki exposures.

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Table 4. Descriptive classification for New Zealand greywacke rocks (after Read et al. 2000).

Class Lithology Strength Defects Comments

I Homogeneous or faintly bedded
medium-grained sandstone.
Fine-grained sandstone with
some widely spaced interbeds
of mudstone.
II Fine or very fine-grained
sandstone with mudstone laminae.
Interbedded sandstone
and mudstone.
Mudstone/sandstone
with coarse podding.
III Mudstone with extensive
recrystallisation.
Interbedded sandstone and
mudstone, often with
podding and some veining.
IV Interbedded sandstone
and mudstone, often
with extensive podding.
Mudstone or very fine sandstone
with extensive veining.
V Mudstone or fine sandstone
(rock material generally
sheared and crushed).
Extremely Joint spacing >150 mm, typically Little indication of major
strong to 200300 mm, surfaces rough tectonic deformation in
very strong to smooth. rock mass.
Sheared , crushed or shattered
zones generally absent.
Very strong Joint spacing 60200 mm, surfaces Rock mass may contain minor
to strong rough to slickensided. very widely spaced zones of
Minor narrow (<300 mm wide) sheared and crushed rock.
sheared, crushed or shattered zones.
Strong to Joint spacing <100 mm, surfaces Characterized by closely spaced
moderately smooth to slickensided. defects (may be shattered) or
strong Narrow (<300 mm wide) sheared, recrystallised rock mass.
crushed, or shattered zones.
Strong to Joint spacing <60 mm, surfaces Characterised by very closely
moderately smooth to clay-lined. spaced fractures with sheared
strong Sheared zones with crushed zones zones (i.e. shattered and sheared
(typically <500 mm wide), and may rock mass with some crushed zones
contain thin (<25 mm) gouges. associated with fault zones).
Strong to Joint spacing <20 mm, surfaces Characterised by very or extremely
moderately slickensided to clay-lined. closely spaced fractures with crushed
strong Generally sheared or crushed zones and gouges (i.e. crushed rock
(or n/a) zones which contain gouges. mass associated with major faulting).

Classification based on rock mass in the unweathered (fresh) or fresh-stained state.

Podding refers to the disruption of bedding into irregular lenses or pods. Recrystallisation refers to recementation of the rock mass and is
often accompanied by veining.

(r + d + x). The total number of terminations is twice

SURFACE CONDITIONS

the total number of defects since the trace of each defect in an

GEOLOGICAL
exposure has two ends. STRENGTH
Verygood

Verypoor
INDEX (GSI)
Good

Poor
Fair

STRUCTURE DECREASING SURFACE QUALITY>

More than 80% of greywacke defects terminate against 90

Intact or massive N/A N/A
other defects so that the termination index is low and the rock
mass may be described as sub-systematic (ISRM 1981). Off- 80

sets of 12 cm are commonly observed where joints intersect

70
other defect planes. Blocky

60
<DECREASINGINTERLOCKINGOFROCKPIECES

2.3 Summary of greywacke characteristics

I
50
Greywacke is a complex rock mass to describe because of the Very blocky

following factors:
II
Typically intense geological deformation 40

Variable proportions of mudstone and sandstone lithologies Blocky/disturbed

III
Large numbers of defect sets 30

High persistence of bedding, sheared and crushed zones IV

Low persistence of joints
Defects often offset at terminations. Disintegrated
20

Table 4 gives a descriptive five-fold greywacke rock mass V

classification scheme based on variations in rock material Foliated/ N/A N/A
10
laminated/
(lithology) and rock mass defects. This scheme provides an sheared
5

effective linkage between engineering geological descriptions

and rock mass classifications such as RMR or GSI (Read &
Richards 2007). Figure 6 shows GSI ranges for the five classes Figure 6. Geological Strength Index ranges for different classes of
of New Zealand greywacke in Table 4. New Zealand greywacke in Table 4 (from Read et al. 2000).

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2007 Taylor & Francis Group, London, UK

 Downstream 1.0
Lake Hoek & Diederichs equation D=0

Modulus Reduction Factor, MRF, Em/Ei

Normal
Air gallery For all tiltmeters 0.8
range _
TILTMETER +
X Tilt convention

D = 0.5
0.6

Middle gallery
TILTMETER
Tailwater
0.4 D = 1.0
Normal
range

Hornell 0.2 Waitaki

gallery Drain China/Taiwan database
greywacke - test averages
Cable anchor
0.0
0 10m 0 20 40 60 80 100
Geological Strength Index, GSI
Figure 7. Dam block 10 at Waitaki am with tiltmeter locations.
Figure 8. Rock mass deformability of Waitaki greywacke compared
3 ROCK MASS BEHAVIOUR with Hoek & Diederichs (2006) detailed relationship.

Greywacke is a closely-jointed rock mass which is typically

composed of high strength rock material together with tight
joints of low persistence which mostly terminate against other
defects. The significant influence of this unusual combina-
tion of factors on the mechanical properties of the rock mass
is shown by the following examples of deformability and
strength of dam foundations.

3.1 Deformability
The Waitaki Dam comprises a 354 m long 36.5 m high curved
concrete gravity structure whose post-construction history
since 1934 has included improved drainage measures and
installation of stressed anchors (Walsh 1994). Electronic bub-
ble tiltmeters were installed in 1992 and 1994 in two of the
galleries in a central part of the dam (Block 10Fig. 7) with
a third installed in 1996 closer to the left abutment (OReilly
et al. 1998). Lake temperatures, headwater and tailwater lev-
els have been recorded regularly to correlate with the tiltmeter
data.
Dam block 10 is founded on Class IV greywacke (Table 4)
with defect spacings of less than 60 mm and moderately strong
to strong rock intact rock (>50 MPa). Most of the other dam
blocks are founded on Class II greywacke.
The results from a three-dimensional finite element analysis
of the dam were calibrated against the displacements measured
by the tiltmeters. The best fit of the Block 10 tiltmeter data was
obtained for a rock mass deformation modulus (Em ) of 10 GPa.
The intact rock modulus of elasticity (Ei ) is 70 GPa and the
corresponding a Modulus Reduction Factor (MRF = Em /Ei )
Figure 9. Comparison of rock mass and joint strengths for Waitaki
is therefore 0.15. The rock mass has GSI = 20 and this MRF greywacke.
is much higher than that empirically predicted by the detailed
relationship of Hoek & Diederichs (2006) shown in Figure 8,
as is also discussed in Richards & Read (2006). and the strength of the intact rock using a Continuity Ratio
(Cr ) where:
3.2 Shear strength
The Waitaki dam base varies from about 30 to 60 m in width
(Fig. 7). 60% of the joints at the dam site have a persistence
<2 m, with few >6 m (Fig. 5). The shear strength of planar Figure 9 gives strength envelopes derived for failure
failure surfaces was estimated using the approach in Hung & surfaces with partial continuity together with rock mass
Lee (1990), which interpolates between the strength of joints strengths estimated using the Hoek-Brown failure criterion

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2007 Taylor & Francis Group, London, UK

(Hoek & Brown 1997). Comparison of the strength envelopes
shows that:
For lower rock mass quality (GSI = 20, such as beneath
Block 10), the predicted rock mass strength is less than that
of joints which have a Cr < 95%.
For better quality rock (GSI = 35, a more characteristic
value for the dam foundations), the predicted rock mass
strength is less than that with joints with Cr < 90%.
Structurally controlled failure mechanisms along low angle
joints are kinematically possible for the defect pattern in Fig-
ure 4; approaches for the assessment of strength with respect
to defect patterns are given in Read et al. (2003). As potential
failure planes in the dam base are >12 m in extent the low
persistence of joints (i.e. Cr < 90%) gives rise to strengths
in excess of the global rock mass strength. Bedding, sheared
zones and crushed zones, which have greater continuity than
the dam base, are not kinematically viable. Consequently, the
controlling failure mechanism for stability assessment of the
dam is the strength through the rock mass rather than along
the joints or other defects.
4 CONCLUSIONS
New Zealand greywackes comprise hard interbedded sand-
stones and mudstones. They form complex rock masses in
which the most frequent defects are joints with close spac-
ings, low persistence and frequent terminations against other
defects.
Rock mass properties are significantly influenced by the
combination of high intact strength and low continuity of
joints. Deformation properties are often better than predicted
by empirical methods such as Hoek & Diederichs (2006).
Strengths along joints, which are typically partially contin-
uous, are likely to be in excess of global strengths through the
rock mass.
Structurally controlled failure mechanisms are generally
limited to more persistent defects such as bedding, sheared
and crushed zones where they are kinematically admissible.
ACKNOWLEDGEMENTS
The authors would like to thank Nick Perrin, Chris Massey and
Bernard Hegan for review comments and Meridian Energy
Ltd for access to data from Waitaki Dam. The study is
being performed under Foundation for Research, Science and
Technology (FRST) contract C05X0402.
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Anon 1977. The description of rock masses for engineering purposes.
Report by the Geological Society engineering group working party.
The Quarterly Journal of Engineering Geology 10(4): 355388.
Barton, N. & Grimstad, E. 1994. The Q-System following twenty
years of application in NMT support selection. Felsbau 12(6):
428436.
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Begg, J. G. & Mazengarb, C. 1996. Geology of the Wellington area.
Sheets R27, R28 & part Q27, 1:50,000. Institute of Geological &
Nuclear Sciences geological map 22. Levin: Graphic Press &
Packaging.
Bieniawski, Z. T. 1993. Classification of rock masses for engineer-
ing: the RMR system and future trends. In J. A. Hudson (ed.),
Comprehensive Rock Engineering; Vol. 3 Rock testing and site
characterisation. Oxford: Pergamon Press.
Cook, G. K. 2001. Rock mass structure and intact rock strength
of New Zealand greywackes. MSc (hons.) thesis in Engineering
Geology, University of Canterbury, Christchurch.
Hoek, E. & Brown, E. T. 1997. Practical estimates of rock mass
strength. International Journal of Rock Mechanics & Mining
Sciences 34(8): 11651186.
Hoek, E. & Diederichs, M. S. 2006. Empirical estimation of rock
mass modulus. International Journal of Rock Mechanics & Mining
Sciences 43(2): 203215.
Hung, J. J. & Lee, T. T. 1990. A study on the shear strength of rock
joint of partial continuity. In N. Barton & O. Stephansson (eds.),
Rock joints; Proc. intern. symp., Loen, 46 June 1990. Rotterdam:
Balkema.
ISRM 1981. Rock characterization testing and monitoring: ISRM
suggested methods. E. T. Brown (ed.) for International Society on
Rock Mechanics (ISRM). Oxford: Pergamon Press.
Marinos, P. & Hoek, E. 2000. GSI: a geologically friendly tool
for rock mass strength estimation. In M. Ervin et al. (eds.),
GeoEng2000; Proc. intern. conf. on geotechnical & geologi-
cal engineering, Melbourne, 1924 November 2000. Lancaster:
Technomic Publishing.
OReilly, M., Read, S. A. L & Foster, P. F. 1998. Monitoring
dam performance using tiltmeters. In I. Forster (ed.), Proc. 2nd
ANCOLD/NZSOLD conf., Sydney, 29 August4 September 1998.
Canberra: Australian National Committee on Large Dams.
Read, S. A. L. & Richards, L. 2007. Characteristics and classifica-
tion of New Zealand greywackes. In D. Stead et al. (eds.), Proc.
1st Canada-U.S. rock mech. symp., Vancouver, 27-30 May 2007.
Rotterdam: Balkema.
Read, S. A. L., Perrin, N.D. & Richards, L. 1999. Applicability of the
Hoek-Brown failure criterion to New Zealand greywacke rocks. In
G. Vouille & P. Berest (eds.), Proc. 9th congr. ISRM, Paris, 2428
August 1999. Rotterdam: Balkema.
Read, S. A. L., Richards, L. & Cook, G. 2003. Rock mass defect
patterns and the Hoek-Brown failure criterion. In M. Handley &
R. Stacey et al. (eds.), Technology roadmap for rock mechanics;
Proc. 10th congr. ISRM, Johannesburg, 812 September 2003.
Johannesburg: South African Institute of Mining & Metallurgy.
Richards, L. & Read, S. A. L. 2006. A review of empirical methods
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Golden Rocks 2006; Proc. 41st US rock mech. symp., Golden,
1721 June 2006. Alexandria: ARMA.
Richards, L., Read, S. A. L. & Perrin, N. D. 2001. Comparison
of the Hoek-Brown failure criterion with laboratory and field
test results for closely-jointed New Zealand greywacke rocks. In
P. Sarkka & P. Eloranta (eds.), Rock mechanics a challenge for
Society; Proc. reg. symp. ISRM Eurock 2001, Espoo, 37 June
2001. Lisse: Balkema.
Walsh, I. G. 1994. Refurbishment of the Waitaki Dam.
In N. Blaikie (ed.), Proc. 34th ANCOLD conf., Hobart,
26 November1 December 1994. Canberra: Australian National
Committee on Large Dams.
 Non-destructive evaluation of the stable behavior of a quasi-brittle sandstone

M.P. Luong, M. Emami Tabrizi, B. Halphen & J.C. Eytard

LMS (Solid Mechanics Laboratory) CNRS UMR 7649, Civil Engineering, Departement of Mechanics,
Ecole Polytechnique, Palaiseau Cedex, France

ABSTRACT: The paper introduces a non-destructive testing technique in use to detect the occurrence of geomaterial instability
subsequently causing damage and a specific data reduction procedure to assess damage accumulation. It is assumed that the
evolution of non-linear energy increase corresponds to the evolution of the damage extent. The damaging process was detected
by analyzing the signal evolution of ultrasonic pulses propagating through a sandstone specimen subjected to increasing
static compression loads up to failure. An input-output non-parametric technique and a non-linear analyzer for data reduction
procedure were chosen to portray the non-linear behavior. Based on a multi-dimensional Fourier transform, the non-linear
analyzer permits to separate linear and non-linear parts. It can be used to monitor non-destructively and continuously the overall
alteration or damage process of sandstone so that damage mechanisms could be quantitatively estimated by a dimensionless
parameter, the so-called non-linearity ratio.

1 INTRODUCTION structural integrity and failure mechanisms in rock

Interest in the non-destructive evaluation and testing for civil
engineering projects, particularly in inspection and monitor-
ing of geotechnical structures has increased very much in
recent years, for example, in the use of elastic wave, seis-
mic and electrical methods in the evaluation of concrete
structure, foundations, etc.; because these methods are rapid,
inexpensive, economic and portable in comparison with the
other methods. On the basis and the fact that the effect of
scale and the climatic and biological events are very impor-
tant in the behavior and strength of rocks, application of
non-destructive evaluation for inspection and monitoring of
geotechnical structures seems to be in underdevelopment.
This paper introduces a non-destructive technique based on
ultrasound propagation characteristics to detect the material
instability occurred in sandstone; thus providing a very use-
ful early warning for the security of underground structure or
rock slopes at high risk for environment. A non-destructive
evaluation of material stability in some sandstone specimens
under uniaxial compressive loading was successfully per-
formed in laboratory. It uses a special testing technique to
detect the signal evolution of ultrasound pulses propagating
through the specimen subjected to increasing axial compres-
sion loading. An input-output non-parametric technique based
on ultrasonic pulse propagation (Luong et al. 2005) and a
non-linear analyzer for data reduction procedure (Liu & Vinh
1991) were chosen to portray the non-linear behavior of a
sandstone subjected to increasing static compressive loads.
Based on multidimensional Fourier transform, the non-linear
analyzer permits to separate linear and non-linear parts. It can
be used to monitor non-destructively and continuously the
overall alteration or damage process of a sandstone so that
damage mechanisms could be quantitatively estimated by a
dimensionless parameter the so-called non-linearity ratio.
2 EXISTING TECHNIQUES
Common experimental methods have been traditionally
used to obtain information concerning deformation, strains,
infrastructure, using strain gauges, photoelasticity, moir,
ultrasound and radiography, as well as acoustic emission and
thermographic methods (Luong 1992). Unlike most metals
that are mass homogeneously produced, properties of rock
are not unique especially in rock mass. In most rocks, both
acoustic velocity and attenuation vary greatly. Eberhardt et al.
(1998) observed that there is an inverse relationship between
grain size and acoustic velocity. Also Prikryl et al. (2003)
showed that the AE parameters like acoustic rate or cumulative
energy are highly sensitive to fabric arrangement in rocks pro-
nounced fabric. This invites the use of non-destructive testing
(NDT) that can be applied directly to the part being examined.
Until today a practical method, that can effectively and
economically detect micro-cracked zones in rock structure
in the field environment, has yet to be developed. The NDT
method most extensively used at present is probably the ultra-
sonic technique. Several authors (Scholz 1968, Thill 1972,
Rao & Ramana 1974, Lockner et al. 1977, Sobolev 1978)
have used sonic and ultrasonic method to study the behavior
of rock and reported that cracking noise occurred at about
60% to 99% of ultimate load. It was recognized that these sig-
nificant changes in rock mechanical behavior are caused by
micro-cracking resulting in the increase of volume under com-
pression and increase of pseudo Poissons ratio (Brace 1971,
Bieniawski 1967).
Laboratory measurements in rock specimens have indicated
that velocities are indeed sensitive to the presence of exist-
ing microcracks but they indicate the failure process, only
at the start of dilatancy (unstable cracking) or coalescence
appearance. The early beginning of cracking (phase 3 of Bieni-
awskis model: stable cracking) cannot be determined by the
velocities (Couvreur et al. 1998). Modification of waveform
during propagation through the material is a measure of the
non-elastic components of deformation (Bourbi et al. 1987).
Attenuation may therefore be more sensitive than velocity to
defects, but it is more complex to analyze (Lockner et al.
1977).
Moreover, acoustic emission AE is applied in a broad
sense to the sounds that are internally generated in a material
subjected to loading. There is a wide variety of mechanisms

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2007 Taylor & Francis Group, London, UK

known to be responsible for AE generation, ranging from
dislocation motion to crack propagation. Therefore the basic
AE monitoring techniques are applicable to a wide class of
materials and structures (Ouyang et al. 1991). Unfortunately
the interpretation of results still remains a delicate affair. The
present work aims to introduce a non-destructive testing tech-
nique in use for detecting the occurrence of material instability
and a specific data reduction procedure to access damage
accumulation.
3 THEORETICAL BACKGROUND
The salient feature of rock behavior originates from their inter-
nal micro-cracking, announcing subsequent failure. Ultra-
sound propagation in a damaged rock material, unlike in an
ideally perfect solid, is generally accompanied with attenua-
tion and dispersion.
Attenuation refers to the diminishing of wave intensity or
wave amplitude as a wave propagates through a damaged
medium, while dispersion refers to the shape distortion of
a wave due to the frequency dependence of the effective
wave (phase) velocity. Both attenuation and dispersion (shape
velocity) are measurable quantities and the amount of change
in attenuation and phase velocity can be correlated to the level
of damage states. This feature is advantageously exploited
in this ultrasonic non-destructive evaluation, relying on the
mechanism of ultrasound propagation through rock materials.
This provides an ideal means for detecting and characterizing
micro-cracking in damaged rock material in infrastructure.
Techniques using ultrasonic waves are especially appealing
because of the direct connection between the characteristics
of the wave propagation and the damage states of a solid
(Achenbach 1990). The present analysis only considers, in
the framework of small perturbations, the propagation mecha-
nism of a small wave through an elastic plastic solid presenting
locally an unstable behavior.
Within the theory of plasticity, several postulates that guar-
antee the mechanical stability of frictional materials have
been suggested based on either energy or wave propagation
considerations. Mechanical stability is taken as the capa-
bility of geomaterials to sustain a given stress state. For a
non-associated plastic flow rule, localization can also appear
during hardening. This type of instability, referred to as
pre-failure flow instability.
Note the instability of a material can occur when the prop-
agation of a small perturbation in the form of stress wave in
a certain direction is impossible (Mandel 1964). Based on the
assumption that a stable material is able to propagate a small
perturbation in the form of wave, Mandel proposed a necessary
and sufficient condition for stability. He showed (1963) that
a wave propagates in a material with an elastic plastic matrix
A, along the direction , if and only if all the eigenvalues of
the matrix B are real and positive. This phenomenon is used
as a highly sensitive manifestation of geomaterial instability
(Luong et al. 2005).
3.1 Proposed method
Volterra analysis is used here to deal with unknown non-linear
systems. Although attempts have been made to identify the
governing equation of SDOF systems (Marmarelis 1989), it
is more usual to identify high order transfer functions char-
acterizing the non-linear behavior of the mechanical system.
Volterra has described a series decomposition to express the
system dynamic response y(t) as a function of excitation x(t).
The response y(t) can be expanded in a Volterra series in
the following way:
These series result from the summation of multidimensional
convolution products between excitation and Volterra kernels
hi (1 , . . . i ). The terms y1 of the series correspond to the
linear component of the response, whereas the other terms
correspond to the non-linear components (Vinh & Tomlinson
1990, Liu & Vinh 1991). Working out the Volterra kernels
allows the characterization of the system by separating linear
and non-linear parts of the dynamic response.
It should be noted that the kernels are purely dependent on
the governing differential equation, i.e. the system itself, and
thence independent on excitation. If the system is linear, high
order kernels are constant and equal to zero. Activation of non-
linear phenomena gives rise to non-zero values in these high
order kernels. For a non-linear system, appearance of supple-
mentary non-linearities (such as instability, micro-cracking,
damage, etc.) increases the amplitude of original high order
kernels.
The proposed method aims to evaluate the significance
of non-linear terms in the global response. If these non-
linear aspects exhibit a sudden increase, it will be associated
to the occurrence of material instability causing additional
non-linear behavior.
3.2 Non-linearity ratio
A simple quantitative parameter on which a criterion could be
applied is necessary to characterize the system response. The
determination of kernels gives access to the different terms
of the series, and to their energies. The energy l Emi of the ith
component of l yi (t) for the mth excitation the form:
By comparing these energies, the non-linear phenomenon
significance may be evaluated.
To quantify the non-linear contributions in the global
response, l rm the non-linearity ratio at point l for the mth
excitation is defined as follows:
According to Eq. (2), Volterra kernels can be introduced in the
former equation. The non-linearity ratio is then written as:

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2007 Taylor & Francis Group, London, UK

Table 1. Physical and mechanical properties of the Vosges sand-
stone: : unit weight, n: porosity, c : unconfined compressive
strength (USC).

Type of rock (kN/m3 ) n(%) c (MPa)

A 26.16 17.5 38
B 26.24 13.7 54

Figure 2. Sandstone specimen under compression loading:

a) Sandstone type A, b) Sandstone type B.

-0.10
Level 1
-0.08
Level 2
-0.06 Level 3

-0.04

Amplitude (V)
-0.02
0.00
Figure 1. SEM (scanning electron microscopy) images of Vosges
sandstone. The dimension of grains measured is between 100 and 0.02
300 m for type A, and between 85 and 150 m for type B. 0.04

For N = 3, the non-linearity ratio can be expressed as a 0.06

function of a, so-called l (a), assuming the form: 0.08

0.10
0 20 40 60 80 100 120
Time (s)

This function expresses the energetic part of non-linear com- Figure 3. Wave amplitudes (volts) versus time (sec) of the three
proportional, input ultrasonic pulses.
ponents in the system response to an impulse excitation of
magnitude a. -0.10 -0.10
Level 1 Level 1
-0.08 Level 2 -0.08
Level 2
-0.06 Level 3 -0.06 Level 3
-0.04 -0.04
Amplitude (V)
Amplitude (V)

4 EXPERIMENTAL VALIDATION -0.02 -0.02

0.00 0.00
0.02 0.02
The proposed technique has been applied in laboratory on two 0.04 0.04

different specimens of Vosges sandstone subjected to increas- 0.06

0.08
0.06
0.08
ing levels of static compressive loading. In table 1, the physical 0.10
0 20 40 60 80 100 120
0.10
0 20 40 60 80 100 120
and mechanical properties based on the ISRM recommen- Time (s) Time (s)

dations are summarized, while in Fig. 1 two SEM scan are a) b)

presented. This rock type was selected because it is homoge-
neous, weak, brittle, dilatant and not clayey. Such properties Figure 4. Wave amplitudes (volts) versus time (sec) of the
are definitely favorable in the framework of the research. three proportional: a) output ultrasonic pulses before the stability
The pulse transmission technique, using scan piezoelectric threshold, b) output ultrasonic pulses after the stability threshold.
transducer V150 (0.10 MHz), has been applied as a non-
destructive testing. A coupling agent was used to improve 0.35
the wave transmissibility through the interface between the
0.30
transducers and the rock specimen. The pulser section pro-
duces an electrical pulse to excite a piezoelectric transducer, 0.25
Non-linearity Ratio

which emits an ultrasonic pulse. The pulse travels through the

specimen that is subjected to a given static compressive, to a 0.20
second transducer acting as a receiver (Fig. 2). The transducer
0.15
converts the pulse into an electric signal that makes available
for non-linear analysis. Three input pulses were used at three 0.10 Stability threshold
different amplitude levels (Fig. 3). Response signal records at
different static stress levels have indicated the evolution of the 0.05
ultrasonic pulse traveling through the specimen that is loaded
by increasing static compressive loads (Fig. 4). The experi- 0.00
mental set-up continuously monitored the applied load, the 0 10 20 30 40 50 60 70 80 90 100

axial and radial strains and the signals of ultrasonic waves. Normalized Force (%)

The data processing technique provides the variation of

Figure 5. Graphical definition of the stability threshold ST for
non-linear energy normalized by the total energy and non- sandstone A subject to increasing compression stress.
linearity contrast as a function of stress levels (Fig. 5, 6).

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2007 Taylor & Francis Group, London, UK

 Non-linearity Ratio
-0.10 -0.05 0.00
100
90
Normalized Force (%)
Lareral 80
strain
70
60
50
40
30
20
10
0 Geotech. J. Vol.35, No.2, pp. 222233.
-0.008 -0.006 -0.004 -0.002 0.000
Strain
Figure 6. Graphical definition of the stability threshold ST for
sandstone B subject to increasing compression stress.
They have evidenced a material stability threshold ST that pre-
cedes significantly the occurrence of crack initiation so that
either load-controlled or displacement controlled tests can be
used. This result has been confirmed by the infrared ther-
mography technique (Luong 1992).The slope change of the
non-linearity ratio suggests that the quasi-brittle rock speci-
men presents two quite different behaviors: the former is quasi
elastic and stable, the latter may lead to a sudden failure (in
stress-controlled case) caused by the extension of the unstable
zone that generates non-linear effects affecting the ultrasonic
wave propagation mechanisms.
5 CONCLUSION
This paper demonstrates that the highly sensitive detection
of material instability occurred in sandstone could provide a
very useful early warming for the security of work at high risk
for environment. The underground structures and rock slopes
are often very complex. A non-destructive evaluation of mate-
rial instability could offer an efficient field monitoring before
failure initiation in order to reduce risk of imminent failures
by giving advanced and sufficient warning for remedial mea-
sures to be designed. The application of ultrasound scanning
to inspection and monitoring of underground geotechnical
structures relies on the fact that during the process of micro-
cracking, the sandstone may be locally unstable and hence
modifies and partially obstructs the propagation characteris-
tics of ultrasound pulses. The authors hope that the presented
method will be applied in the near future on the other rock
materials and will eventually be used commonly to monitoring
of geotechnical structures.
REFERENCES
Achenbach, J.D. 1990. From ultrasonics to failure prevention. Elastic
waves and ultrasonic nondestructive evaluation, S.K. Datta et al.
(ed.), Amsterdam: North-Holland.
2007 Taylor & Francis Group, London, UK
Bieniawski, Z.T. 1967. Stability concept of brittle fracture propaga-
0.05 0.10 tion in rock. Eng. Geol., 2, pp.149162.
Volume
Brace, W.F. 1971. Micromechanics in rock systems. Structure, Solid
change Non-linearity Mechanics and Engineering Design. London : Wiley. pp. 187204.
Ratio Axial
Bourbi, T., Coussy, O. & Zinszner, B. 1987. Acoustics of porous
strain
media. Paris: Technip.
Couvreur, J.F., Thimus, J.F., Vervoort, A. & King, M.S. 1998. Damage
Dilation ? process of sedimentrary rocks: Advanced processing of ultra-
sonic waves. Ed. Yunmei L. Advances in Rock Mechanics, World
scientific Publishing Co, pp. 5966.
Stability Eberhardt, E., Stead, D., Stimpson, B. & Read, R.S. 1998. Identifying
threshold crack initiation and propagation thresholds in brittle rock. Can.
0.002 0.004 0.006 0.008 Liu, H. & Vinh, T. 1991. Multidimensional signal processing for
nonlinear structural dynamics. Mechanical system and signals
processing. 5 (1), pp. 6180.
Lockner, D.A, Walsh, J.B. & Byerlee, J.D. 1977. Changes in seismic
velocity and attenuation during deformation of granite. J. Geophys.
Res, Vol. 82, pp. 53745378.
Luong, M.P. 1992. Infrared thermographic observations of rock fail-
ure. Comprehensive Rock Engineering Principles, Practices &
Projects, ed. by J.A. Hudson, Pergamon Press., 4(26), pp. 715730.
Luong, M.P., Emami Tabrizi, M., Halphen, B. & Eytard, J.C. 2005.
Non-destructive evaluation of the instability threshold of a brittle
sandstone under compressive loading. 17th Russian-International
Scientific-Technological Conference on Non-Destructive Testing
and Diagnostics, Ekaterinburg Russia.
Mandel, J. 1963. Propagation des surfaces de discontinuit dans un
milieu lastoplastique. Proc. Int. Symp. Stress Waves in Anelastic
Solids, Brown university.
Mandel, J. 1964. Conditions de stabilit et postulat de Drucker. Rhe-
ology and Soil Mechanics, IUTM Symp., Grenoble, ed. by J.
Kravtchenko and P.M. Sirieys, Spring-Verlag, Berlin, Germany.
pp. 5868.
Marmarelis, V.Z. 1989. Identification and modeling of a class of
nonlinear system. Mathematical and Computer Modeling. 12(8),
pp. 991995.
Ouyang, C., Landis, E. & Shah, S.P. 1991. Damage assessment
in concrete using quantitative acoustic emission. J. Engineering
Mechanics, 117 (11), pp. 26812698.
Prikryl, R., Lokajicek, T., Li, C. & Rudajev, V. 2003. Acoustic
emission characteristics and failure of uniaxially stressed granitic
rocks: the effect of rock fabric. Rock Mech. Rock Engng. 36 (4),
pp. 255270.
Rao, M.V. & Ramana, V. 1974. Dilatant behavior of ultramafic rocks
during fracture. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr.
11, pp. 193203.
Scholz, C.H. 1968. Experimental study of the fracturing process in
brittle rock. J. Geophys. Research., 73(4), pp. 14471454.
Sobolev, G., Spetzler, H. & Salov, B. 1978. Precursors to failure
in rocks while undergoing anelastic deformations. J. Geophys.
Research, 83, pp. 269274.
Thill, R.E. 1972. Acoustic methods for monitoring failure in rock.
New Horizons in Rock Mechanics, Proc. 14th Symp. Rock
Mechanics, University Park, ASCE., pp. 649687.
Vinh, T. & Tomlinson, G. 1990. Dynamique des systmes non
linaires. Sminaire de perfectionnement, ISMCM Saint Ouen,
tome III.
368
 Numerical analysis of fracture toughness with Chevron Bend test

Taewook Ha, Won-Beom Kim, Ju-Hwan Jeong & Hyung-Sik Yang

Chonnam National University, Gwang-ju, Korea

Myung-Hwan Jang
Korea Resources Corporation, Seoul, Korea

ABSTRACT: Standard methods to determine fracture toughness which is one of the important factors in rock mechanics were
suggested in 1988 and 1995 by the commission on testing methods of ISRM. It is difficult to verify lab test because of the wide
variation of test results and difficulty in reproduce. Therefore verification by numerical analysis is preferred to experimental
one. It is also possible to observe fracture propagation into the model and to repeat the same simulation in numerical analysis. In
this study 4 kinds of numerical analysis, FLAC 2D and FLAC 3D as continuum method and PFC 2D as discontinuum method,
were performed in order to estimate fracture toughness and results were compared with actual Chevron Bend test results. It
was found that fracture toughness values of 3D simulations were closer to the lab test results than 2D simulations and values
of discontinuum method were better than those of continuum methods.

1 INTRODUCTION

Rock failure can be evaluated with theoretical explanation of

facture mechanics like as microscopic behavior that crack is
created inside the rock and grew enough to fragment rock
with propagation. Fracture mechanics is primarily used to
prevent and predict catastrophic failure of structures by eval-
uation of crack creation, growth and propagation. Especially,
the fracture toughness is used in order to determine the possi-
bility of failure. The fracture toughness expresses resistance to
crack extension or fracture energy consumption rate required
to create new surface.
After the suggestion of standard fracture toughness test
methods by ISRM commission on testing methods(1988,
1995), several studies were carried out to estimate fracture
toughness by numerical analysis(Synn et al, 2000, Yoon & Figure 1. The diagram of Chevron Bend test and section of
Jeon, 2003). specimen.
In this study, 3 numerical analysis codes, FLAC 2D and
FLAC 3D as continuum method and PFC 2D as discontinuum considered to calculate fracture toughness with equation
method, were carried out to estimate the influence of each 1 and 2.
code to the calculation of fracture toughness and to compare
results of each code.

2 CHEVRON BEND TEST(CB)

Suggested standard test method for determining fracture

toughness with Chevron Bend test by ISRM has two levels,
one is called level I test, that only maximum load is consid-
ered to calculate fracture toughness, and the other is called
level II and continuous measurement of load and displace-
ment beyond the maximum load are considered to calculate
fracture toughness.
The description of level I test is run under load control and
load has to record until the specimen fails. The minimum
aver-
age stress intensity rate during the test is 0.25 MPa (m)/sec
and the rate has to be controlled that failure occurs within
10 sec of initial load application. Only maximum load is
Where, Fmax is maximum load, D is diameter of specimen,
a0 is Chevron tip distance and S is distance between support
points.
Figure 1 shows diagram of the Chevron Bend test and
dimensions of specimen are as in table 1.
3 NUMERICAL ANALYSIS
In order to observe effect to fracture toughness by numerical
analysis method, 4 codes were used to estimate and compare

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2007 Taylor & Francis Group, London, UK

Table 1. Dimensions of Chevron Bend specimen (ISRM). Table 3. Converted micro parameters for PFC 2D.

Modeling Input parameters PFC 2D

Geometry parameter Value Tolerance size
density[kg/m3 ] 2680
Specimen diameter D >10 grain size 54.0 mm kn[kN/m] 2.0e8
Specimen length, L 4D >3.5D 216.0 mm ks[kN/m] 4.4e7
Support span, S 3.33D 0.02D 180.0 mm Friction[degree] 0.5
Subtended chevron 90.0 1.0 90.0 n_bond[kN] 2.0E4
angle, s_bond[kN] 1.0E5
Chevron V tip 0.15D 0.10D 8.1 mm
position, a0
Notch width, t <1.0 mm <0.03D 1.0 mm

Table 2. Mechanical properties of Jechon granite (Kim & Baek,

1992).

Density c t s E
(kg/m3 ) (MPa) (MPa) (MPa) (GPa) (degree)

2680 143.07.0 9.1 2.1 15.0 57.8 0.26 55.0

(a) Aspect of crack growth simulated by FLAC 2D. Each figure

represents condition in 0, 21.0kN, 26.0kN, and 38.8kN as loading.

Figure 2. Numerical model for each code.

result with that of lab test in previous study. FLAC 2D and

FLAC 3D were carried as continuum method and PFC 2D
as discontinuum. Specimen size and properties by lab test of
reference were used as numerical model size and assigned
properties to numerical model. Mechanical properties of
specimen are as table 2.
Numerical model for 2 dimensional code was generated in
the middle part of specimen which section was cut through tip
of chevron notch to have maximum length. In case of 3 dimen-
sional, numerical models were created same as suggested
method by ISRM. Boundary condition that fixed vertical dis-
placement at the location of both support point was used
instead of support rollers in FLAC. Instead of support rollers,
vertical displacements at each support point were confined
as boundary condition in FLAC. In PFC, ball elements were
made as support roller and fixed vertical displacement. The
loading roller was assigned as boundary condition in FLAC,
and as ball element in PFC. Loading rate was kept as 3kN
per second in both of them. Diagrams of numerical model for
each code are shown in figure 2.
(b) Aspect of crack growth simulated by FLAC 2D. Each figure
represent condition in 0, 13.9kN, 15.6kN, and 18.8kN as loading.
Figure 3. Simulation results with 2 dimensional codes.
Mechanical properties for FLAC model were used same
value as result of reference study like in table 2. Because micro
properties are particularly used for PFC instead of result of lab
test, micro properties converted from macro properties were
used for PFC model through simulation of compressed and
Brazilian test and the description is in table 3. Constitutive
model was used Mohr-Coulomb model for FLAC and Contact-
Bond model for PFC.
4 RESULT OF NUMERICAL ANALYSIS
Figure 3 shows the result of analysis by 2dimesional codes
and figure 4 shows that by 3 dimensional codes. Both of them

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2007 Taylor & Francis Group, London, UK

 tion at tip of the notch due to peculiarity of 3-D geometry
is not able to generate in 2-D analysis like as figure 5. In
figure 5a, it is shown that maximum principal stress (+) in
tension direction) in 2-D analysis is similar to that in 3-D anal-
ysis(figure 5b) even though applied load is more high in crack
opening stage. In addition to this, PFC 2D is more approxi-
mated than FLAC 2D in spite of same 2-D analysis code.
It is able to assume that discontinuum is more suitable than
continuum analysis to determine fracture toughness through
numerical analysis. It is supposed that discontinuum analysis
should consider uncertainty or defect in specimen better than
continuum method while ball element set in array.

5 CONCLUSION

In this study, 4 different numerical analysis codes were applied

to fracture toughness model of Cheveron Bend test specimen
Figure 4. Simulation result with 3 Dimensional code. Each figure suggested by ISRM to simulate fracture toughness in mode 1.
represent condition in 0, 0.6kN, 1.7kN, and 2.8kN as loading. Applicability of numerical analysis was examined. The results
obtained are as follows.
Table 4. Detail of specimen, maximum load and fracture toughness
in each code. 1. Qualitative simulation of fracture test was simulated by both
continuum and discontinuum analysis methods.
Amin Notch Span Fmax KCB 2. Fracture toughness values determined by 2-D analysis were
D(mm) (mm) degree (mm) (KN) (MPa/ m) several times larger than lab test results because of geomet-
ric limitation even though applied load in 2-D was lager
Experiment 56.00 8.95 89.90 186.5 2.26 1.83 than 3-D. Therefore in case that geometry has peculiarity
FLAC 2D 54.00 10.43 90.00 180.0 38.80 32.25
like as Chevron notch, estimation with 3-D analysis code
FLAC 3D 54.00 10.43 90.00 180.00 2.80 2.33
PFC 2D 54.00 10.43 90.00 180.00 18.8 15.60 for fracture toughness should be used.
3. Fracture toughness by discontinuum analysis was closer
to the result of lab test. It seems that defect generated
consequently while ball elements set in array caused this
result. Furthermore it seems that discontinuum analysis
method is better than continuum analysis method to predict
fracture toughness by numerical analysis because discon-
tinuum method has more accurate in reflecting brittle
characteristics of rock.

ACKNOWLEDGMENT

This paper was funded by the Ministry of Construction and

Transportation in Korea (Grant No. D03-01, Development
Figure 5. Contour of maximum principal stress in the state of crack of Rapid Construction Technology for Tunnel by Information
opening. Technology and Advanced Materials).

show that crack induced by tensile stress was generated on tip

of the notch and propagated form initial crack to loading point
with tensile failure.
Fracture toughness computed by each numerical code is
described in table 4. Fracture toughness by numerical anal-
ysis was larger at least about 8 times of experiment as
15.6 MPa/ m. But in FLAC 3D, it was possible to get more
approximate value than 2D codes as 2.33 MPa/ m. The rea-
son of this difference is that basic assumption in 2-D analysis
was plane-strain condition. In other words, stress concentra-
REFERENCES
Synn, J. H., Park, C., Shin, H. S., Chung, Y. B. & Lee, H. K. 2000,
Fracture Toughness Evaluation and Influence Parameter Analysis
by Numerical Simulation of Brazilian Test, J. of Korean Society
for Rock Mech., Vol. 10, No. 3, 320328.
Kim, J. D. & Baik, S. G. 1994, A Study on the Size and Shape Effects
of Specimen for the Measurement of Fracture Toughness in Rock,
J. of the Korean Institute of Mineral and Energy Resources Eng.,
Vol.31, No.1, 4959.

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2007 Taylor & Francis Group, London, UK

 Numerical examination of flow mechanism during shear in a rock joint

Y. Mitani, T. Esaki, H. Ikemi & F. Vallier

Institute of Environmental Systems, Faculty of Engineering, Kyushu University, Fukuoka, Japan

ABSTRACT: The purpose of this paper is to clarify the mechanism of flow in a rock joint using a developed flow simulation
method taking into account the aperture distribution of a rock joint. Shear-flow coupling test has been conducted under constant
normal stress condition after that, the developed flow simulation method has been applied based on the comparison between
test and simulation results, this simulation method can adequately express the change of flow rate in a rock joint during shear.
As a simulation result, the contact area is reduced and a variable channeling flow appears as the shear displacement increases
until peak shear stress. After that, the contact area localizes and the channeling flow is stable in the residual shear stress region.
Furthermore, these phenomena are characterized by change of the flow path (tortuosity).

1 INTRODUCTION may incline, unevenly distributing normal stresses, and exert-

For the construction of underground structures utilizing the
sealing characteristics of rock mass, evaluating the hydraulic
and mechanical properties of rock joints is very important.
A joint is a mechanical weak plane in rock mass, in addi-
tion it becomes a factor of permeability variation in rock
mass. Therefore, for the safe and appropriate development
of the underground structures utilizing the isolation property
of rock mass, it is important to evaluate the characteristic of
rock joints. The permeability of a rock joint is fundamentally
dominated by the width of the aperture, and it is generally
evaluated as a parallel plate model for a rock joint (Wither-
spoon et al., 1980). Furthermore, it is indispensable to evaluate
simultaneously, mechanical and hydraulic properties of a rock
joint, since the aperture width of a rock joint is very sensitive
to various stresses conditions. Although a number of studies
have been carried out the hydro-mechanical properties of a
rock joint (Olsson et al., 2001 etc.), the mechanism of flow in
a rock joint has not been clarified.
In this paper, the change in permeability through the
shear process of a rock joint is clarified experimentally.
Subsequently, a flow simulation method considering the distri-
bution of aperture is developed. According to the comparison
between experimental and simulation results, this new method
verifies the change of flow in a rock joint during shear. Finally,
the mechanism of flow in a rock joint is clarified by the flow
simulation results.
2 EXPERIMENTAL APPARATUS
Concerning the experimental test, a previously developed
shear-flow coupling apparatus is used (Mitani et al., 1999).
The direct shear method is adopted in this apparatus. The
upper and lower shear boxes are separated, and contact is made
only through the enclosed sample. The upper box is connected
by a pair of tie rods to a horizontal jack and constrained to
have only vertical movement and rotation. These shear rods
are aligned along the joint surface and consequently measure
shear load, devoid of augmented moment. This apparatus has
two normal loading jacks in order to control the inclination
of the upper shear box. The normal-load jacks can be con-
trolled independently. At low normal stresses, the upper box
ing a large effect on joint permeability. The lower shear box
moves forward to apply the shear load which is controlled by
shear displacement, while vertical boundary conditions are
controlled by two jacks.
Furthermore, one dimensional permeability test can be
carried out, at the condition of temporarily stopping of the
shear test. Permeability testing is performed under controlled
hydraulic head differential. The hydraulic head is prescribed
at the joint inlet, and the joint exit overflows.
3 TEST RESULTS
The test specimen consists of granite (unit weight 26.4 kN/m3 ,
uniaxial compressive strength 172 MPa), from Fujian (China).
An artificial joint is made at the mid-height of the speci-
men. The specimen is 180 mm (Length), 100 mm (width) and
80 mm (height). After making the artificial joint, the joint is
once opened and the each joint surface roughness is measured
by the laser scanning system.
Shear-flow coupling tests are conducted under constant nor-
mal stress (3 MPa) taking into account the damage of joint
asperity, no production of gouge materials. The inclination of
the upper shear box during shear is controlled, shear displace-
ment is applied up to 20 mm. One-dimensional flow test is
performed under constant head method, the inlet head pressure
is 3.0 m and outlet head pressure is 1.0 m.
The experimental results are shown in Figure 1. Shear stress
increases linearly with shear displacement, a sharp peak at a
shear displacement of 1.4 mm, and then falls, showing strain-
softening behaviour, to a constant residual shear stress with
increasing shear displacement. In this figure, normal displace-
ment is converted to the average aperture width of the joint
using the initial joint aperture. Average aperture width slightly
decreases until the shear displacement previous to the peak
stress. After that, the dilation rapidly occurs and the average
aperture is expanded. The variation in dilatancy rate is maxi-
mum at the shear displacement corresponding with the peak
shear stress. Afterward, average aperture width increases with
shear.
Equivalent hydraulic conductivity decreases slightly at
1.0 mm of shear displacement, and rapidly increases, by about
3 orders of magnitude from the initial value. The equivalent

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2007 Taylor & Francis Group, London, UK

 7 2.5 102

Hydraulic conductivity [cm/sec]

6
2 101
Shear stress [MPa]

Aperture [mm]
4 1.5 10-0
Aperture
3

2 1 10-1

1 Shear stress
0.5 10-2
0 Hydraulic conductivity
(a)Shear disp. = 0 mm
-1 0 10-3 Mean aperture = 0.093
0 5 10 15 20
Shear disp. [mm]

Figure 1. Experimental results of shear-flow coupling properties.

hydraulic conductivity is nearly constant, showing the small

fluctuation in the post-peak regime although increasing the
average aperture width. Finally, it increases by about 4 orders
of magnitude over the initial value.

(b)Shear disp. = 3.0 mm

4 ESTIMATION OF APERTURE DISTRIBUTION Mean aperture = 0.660

A joint is usually expressed as a single line or one plane (Barton

et al., 1985). However, a joint is fundamentally composed of
two surfaces (upper and lower surface). Joint properties such
as mechanical and hydraulical properties are controlled by the
contact of the upper and lower surface. Therefore, joint should
be estimated using the three dimensional distribution of the
aperture width.
In order to estimate quantitatively joint aperture distribu-
tion, asperity heights of the upper and lower joint surfaces are
measured using the 3-D laser scanning system. The specimen
is set on the positioning table, which moves in the X,Y direc- Shear disp. = 10.0 mm
tion. Asperity height is measured by the laser displacement Mean aperture = 1.659
meter (spot diameter 45 m 20 m, resolution 0.5 m). The
accuracy of this system can ensure 3 m in the X, Y direc- Figure 2. Aperture distribution during shear. (blank: contact area).
tion, and 0.01 mm in height direction. The measurement
is carried out in the X, Y direction on a grid resolution of surfaces are kept parallel. As a result, the change of the asper-
0.2 mm 0.2 mm. ity distribution of the joint, induced by shear, is obtained by
Geographic Information System (GIS) is used for quan- applying the GIS spatial analysis function (Mitani et al., 2003).
tifying the aperture distribution. The X-Y positional data, The change of aperture distribution during shear is shown in
and linked elevations are implemented as a GIS raster data. Figure 2.
In the GIS, the joint surface is meshed (each mesh size is
0.2 mm 0.2 mm) and each mesh has the value of height. The
digital raster data for the upper surface is overturned, and the 5 FLOW SIMULATION
topography of each joint surface is constructed as a layer.
It is necessary to register the upper and lower joint sur- Flow simulation is modeled as permeability changes locally
faces, which is an initial joint aperture. It is very difficult to according to the change in aperture distribution. Though it is
specify this joint aperture, since it is very sensitive to normal ideal to model the flow in three dimensions, it is modeled here
stress. Initial joint aperture is evaluated from the results of nor- as a two dimensional flow, vertical flow is neglected because
mal loading tests. After conducting the normal loading test, the joint roughness and surface undulation are relatively small.
the normal displacement curve is obtained, which includes Then, it conforms to the fundamental flow equation under the
the deformations of the joint itself, the intact rock, and the condition of laminar flow, steady state, incompressible fluid,
test apparatus. The normal stiffness of the intact rock and the and the solution is obtained.
apparatus is more strongly linear than that of joint itself at In the modeling process, the joint surface is modeled by
high normal stresses. The deformation curve of the joint itself columns, as shown in Figure 3. The hydraulic conductivity of
is obtained by subtracting this linear component from the total each mesh is calculated in proportion to the aperture width
deformation curve. Finally, the initial joint aperture according according to cubic law. The aperture width is defined from
to the normal stress is evaluated by this curve. the relationship between adjoining mesh. For contacting por-
After defining the initial joint aperture, the upper and lower tion of the mesh, the aperture width is assumed to be 0.001 mm
joint surfaces are moved respectively to the dilation curve (corresponding hydraulic conductivity: 8.1 107 cm/sec)
obtained from the shear test results, while the upper and lower because the rock mass itself has finite permeability and the

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2007 Taylor & Francis Group, London, UK

 X
X cross section
precision of measurement of the asperity height is limited.
Y Upper wall
Boundary conditions equivalent to test conditions are applied
z y
Contact and analysis is conducted by an original program using finite
x
Aperture difference method. All of the pre- and post-processing of this
Shear
analysis is carried out in the GIS.
dx1(i,j)
Upper wall direction dx2(i,j)
Mesh
Lower wall
(i,j)
Lower wall 6 RESULT OF FLOW SIMULATION

Figure 3. Joint aperture model for flow simulation. 6.1 Comparison of the experimental and
simulation result
104 3
103 The changes of flow rates in simulation and test result during
102 2.5 shear are shown in Figure 4.
Flow rate [cm3/sec]

101 The flow rate of test result slightly decreases, but simulation
100 2
result increase in the initial shear stage. And, initial flow rate

Tortuosity
10-1 of simulation result is smaller than the one of test results.
1.5
10-2 However, the flow rate, which rapidly increases with initial
10-3 1 shear stage and becomes constant in residual shear region,
10-4 Frow rate
10-5 Simulation Tortuosity can be simulated.
0.5
10-6
Experiment The difference between experimental and simulation results
10-7 0 is caused by generation of turbulent flow locally in spite
0 5 10 15 20
Shear disp. [mm] of assumption of laminar flow in this model. Furthermore,
it is caused by the production of gouge materials in a rock
Figure 4. Comparison of flow rate between experimental and joint.
simulation results, and change of tortuosity during shear.

Figure 5. Flow simulation results. a) shear disp. = 0.0 mm, b) shear disp. = 1.4 mm, c) shear disp. = 3.0 mm, d) shear disp. = 10.0 mm,
i) contact area, ii) flow rate distribution, iii) particle paths (Ave.: average length of flow path, Rep.: length of the representative flow path).

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2007 Taylor & Francis Group, London, UK

6.2 Examination of the situation of flow in a rock joint
Figure 5 shows the distribution of contact area in a rock joint,
flow rate distribution and the path of particle. Concerning
the path of particle, the path which maximizes accumulation
flow rate from the optional inlet point to outlet point using
the function of Network Analysis of GIS is obtained as a flow
path. Then, tortuosity is defined as the ratio of the flow path
length showing the maximum flow rate (representative flow
path) to the length of a rock joint. As the result, the change of
tortuosity during shear is shown in Figure 4.
At a shear displacement of 0 mm, the ratio of contact area
is 50.45%. The water head value is distributed in proportion
to the distance from the inflow side. Each flow rate is small
and the flow situation is almost uniform because the contact
area is uniformly distributed in a rock joint. Tortuosity value
is 1.5 and flow path is directly connected from inlet to outlet
side with minutely vibrated.
At shear displacement of 1.4 mm, where occurs the peak
shear stress, the ratio of contact area decreases to approxi-
mately 33.98%. Before this shear displacement, the flow rate
indicates a minimum value. And the variation of flow rate indi-
cates maximum at this shear displacement. The contact area is
shown as a black stripe and is primarily perpendicular to the
direction of shear. This contact area affects the flow of a rock
joint. The concentrated flow rate develops and clearly appears.
It diverts flow around the contact area. The flow paths are
distributed in accentuated channels Therefore, the flow is con-
trolled by the contact area. As represent of this behavior, tortu-
osity rapidly increases and indicates a maximum value of 2.8.
As the shear displacement increases, for a shear displace-
ment of 3.0 mm, in strain-softening region, the ratio of contact
area rapidly decreases to approximately 8.13% and its distri-
bution is localized. At this shear displacement, flow rate is
increasing and a lot of flow paths are generated.As the result of
this, tortuosity tends to decrease. However, flow paths are not
suitable. The flow path changes significantly with increasing
shear displacement.
At a shear displacement of 10 mm in the residual shear stress
region, the ratio of the contact area is 6.8% and its distribution
is quite localized. Distinct flow paths become developed and
the previously generated flow paths are not changed in the
residual region. Finally, the constant flow field not depending
on the shear displacement is established in a rock joint. It can
be also explained that the tortuosity does not change after
shear displacement of 10 mm.
As a result of this, the flow path is not fixed from the initial
shear stage; the distribution of flow in a rock joint is remark-
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2007 Taylor & Francis Group, London, UK
ably changing with shear. This phenomenon continues before
the residual shear region. It means that the flow in a rock joint
is not uniform such as described in the parallel plate model
and is changeable the situation depending on the joint aperture
distribution. Therefore, it is difficult to apply the cubic law
model when accentuated channeling occurs, even if the flow
of the whole joint is in the laminar condition.
7 CONCLUSION
In order to clarify the mechanism of flow path in a rock joint,
the shear-flow coupling test and the flow simulation taking
into account the aperture distribution of a rock joint has been
conducted. From the experimental result, the permeability of
a rock joint slightly decreases until the peak shear stress, after
that it rapidly increases about 3 orders of magnitude with
increasing shear displacement, then, it becomes constant in
a residual shear stress region. As the result of the flow simula-
tion, the contact ratio is reduced and the variable channeling
flow appears while the shear displacement increases until peak
shear stress. Subsequently the contact area is localized and the
channeling flow is stable in the residual shear region. Further-
more, the result of the examination of the flow path indicates
that the reduction of flow rate in the initial shearing stage is
caused by the significant change of the channeling flow, and
the constant flow rate in the residual shear region is caused by
the stabilization of the flow path.
REFERENCES
Barton, N. et al. 1985. Strength, deformation and conductivity cou-
pling of rock joint, Int. J. Rock Mech. Min. Sci. & Geomech.,
Vol.22, pp.121140.
Mitani, Y. et al. 1999. Development of new advanced shear-flow
coupling test apparatus, Proc. of the 9th Int. Conger. On Rock
Mech., pp.769772.
Mitani,Y. et al. 2003. Experiments and simulation of shear-flow cou-
pling properties of rock joint, Proc. of the 39th US Rock Mechanics
Symposium, pp.14591464, 2003.
Olsson, R. et al. 2001. An improved model for hydromechanical
coupling during shearing of rock joints, Int. J. Rock Mech. Min.
Sci. & Geomech., Vol.38, pp.317329, 2001.
Witherspoon, P. A. et al. 1980. Validity of cubic law for fluid flow
in a deformable rock fracture, Water Resource Research, Vol.16,
No.6, pp.10161024.
 Numerical modelling of the mechanical behaviour of bimrock

M. Barbero, M. Bonini & M. Borri-Brunetto

Department of Structural and Geotechnical Engineering, Politecnico di Torino, Italy

ABSTRACT: The aim of the study reported in this paper is to contribute to the understanding of the mechanical behaviour of
bimrock, and to the definition of a methodology for its modelling, by using a numerical approach. A number of unconfined
or laterally confined tests on bimrock specimens have been numerically simulated, to identify the strength and deformability
laws that are needed to model the material as a homogenized equivalent continuum. The finite difference and the finite
element methods, implemented in the FLAC and the ADINA codes, respectively, have been used to investigate possible model-
dependent responses. A novel approach has been used, in which the size, orientation and position of rock blocks contained
in a two-dimensional specimen are generated according to a random process that produces representative samples of block
populations with assigned statistical properties. Different volumetric proportions and aspect ratios of the blocks have been
considered and the effects on the strength and deformability of bimrock are presented.

1 INTRODUCTION implemented in the FLAC and the ADINA codes. A novel

Bimrock, block in matrix rock, is a particular type of rock that
is characterized by a heterogeneous structure. Bimrock has
been well defined by several Authors (Medley 1994, Lindquist
1994) as a material that is constituted by rock blocks, contained
in a small-grained, well cemented material (matrix) with lower
mechanical characteristics.
Bimrock is a very peculiar material, which can give rise to
serious engineering application problems. In particular, it is
difficult use to estimate the strength and deformability param-
eters to use in numerical analyses that are needed to assess,
for instance, the safety of tunnel excavations or the stability
of slopes.
The studies reported in literature have pointed out some of
the main characteristics of a rock mass that can be classified
as a typical bimrock (Medley 2002):
The block size distribution is scale independent, that is, the
lab and site size scale behaviour is the same.
The ratio between the block and matrix strength is greater
than 2.
The maximum and minimum sizes of the blocks are conven-
tionally assumed to be 75% and 5% of the characteristic
engineering length (tunnel diameter, thickness of a land-
slide, laboratory rock specimen diameter, etc.). In this
range, the block size distribution has a power law with an
exponent of 2.3.
The strength and deformability of a bimrock depend on the
volumetric proportion and orientation of the blocks.
Different methods are available to evaluate the volumet-
ric proportion of the blocks (BVP in the following): one-
dimensional (drilling and outcrop mapping), two-dimensional
(photographs and maps analysis) and three-dimensional (labo-
ratory analysis). It has been observed that the first two methods
underestimate the BVP, and lead to significant mistakes.
A numerical approach has been used in the present study to
study the influence of the BVP on the strength and deforma-
bility characteristics of bimrock, as an equivalent continuum.
A number of two-dimensional bimrock specimens, with or
without lateral confinement pressure, have been numerically
tested using finite difference and finite elements methods,
approach has been used to introduce the rock blocks in the
specimens, according to given statistical parameters.
2 METHODS
2.1 Generation of the specimens
The generation of a two-dimensional bimrock sample starts
with the assigning of the statistical distribution parameters of
the elliptical inclusion properties, namely: minimum and max-
imum size, exponent of the power law, ratio of the maximum
axes, range of orientation.
Each inclusion is added to a sample by firstly extracting its
major axis, by means of a power-law random numbers gen-
erator, then, obtaining the minor axis and the axis rotation
with respect to a fixed reference frame, using uniform random
number generators. The insertion of inclusions ends when the
chosen BVP is attained.
A second phase of the algorithm defines the position of
the ellipses via a uniform random generation of the centre
coordinates. In order to retain only feasible inclusion con-
figurations, a test on the interpenetration of the ellipses was
included in the algorithm (Donev et al. 2005 and references
therein). The inclusions are added to the specimen in reverse-
size order, the position of each new block is checked against
the previous ones, and the extraction is repeated until a suitable
arrangement is obtained.
The algorithm that generates the ellipses is the basis for
the discretisation that is needed for the subsequent numeri-
cal analyses. A rectangular grid, with a sufficiently small cell
size is generated to build a FLAC model. The points defining
a polygonal approximation of the ellipse boundary are then
superimposed onto the grid, so that an adjustment of the rele-
vant grid-points is introduced, and the mechanical properties
of the inclusions are given to the enclosed cells.
A different approach was followed to build the ADINA
models. In this case, the points defining the boundaries of
the ellipses, together with the boundary points of the sample,
are used to generate a Delaunay triangulation of the domain
(Schewchuck 1996). Triangular three-noded finite element

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2007 Taylor & Francis Group, London, UK

Table 1. Mechanical properties of the materials.

E t  c
GPa MPa deg MPa

Matrix 2.5 0.25 0.712 24.7 2.28

Blocks 5.0 0.25 1.268 38.3 3.07

E: Young modulus, : Poisson ratio, t : tensile strength,  : friction

angle, c : cohesion.

mesh is obtained, and, as in the previous case, the mechanical

properties of the matrix and inclusions are then assigned.

2.2 Numerical model

Rectangular specimens 5 cm wide and 10 cm high were mod-
elled. The characteristic engineering length is 5 cm (the width
of the specimen), therefore the maximum and minimum
sizes of the blocks are 0.2 cm and 3.75 cm, respectively. The
following assumptions were made:
The blocks have circular or elliptical shapes.
The matrix and blocks are described by elastic-perfectly- Figure 1. Examples of the specimens with circular (top) and
plastic behaviour, with a Mohr-Coulomb yield criterion elliptical (bottom) blocks in the FLAC analyses (BVP 12%).
with associated flow rule (parameters listed in Table 1).
As far as the boundary conditions are concerned, the base of
the specimen is fixed and the top can only move in the vertical
direction. In unconfined tests, the axial displacement (or the
vertical load) of the upper edge of the specimen is imposed,
while the side edges are free to move. In confined tests, a
constant uniform pressure is applied to the side edges.

2.3 FLAC analyses

Samples with circular and elliptical blocks with axis ratio
of 2 and random orientation were examined. The specimens
were discretised with quadrilateral, possibly distorted cells
(Figure 1) and analysed in plane strain conditions. Four differ- Figure 2. Examples of the specimens with circular blocks in the
ent BVP were considered for specimens with circular blocks: ADINA analyses (BVP 22%).
12%, 24%, 38%, and 54%. Three BVP were considered for
specimens with elliptical blocks: 12%, 24%, and 37%. The Only specimens constituted by matrix or block material
following tests were simulated for each BVP: were also analyzed in this case. The tests were simulated in
Three unconfined tests, on specimens with circular and displacement-controlled conditions.
elliptical blocks.
Two confined tests for each lateral pressure (0.5, 1.5,
3.0 MPa) on specimens with elliptical blocks. 3 RESULTS

Homogeneous specimens, constituted by only matrix or
block material, were also analyzed for reference and model
validation.
The tests were simulated as a loading-controlled process
until the axial stress was close to the peak value, then
displacement-controlled conditions were adopted.
2.4 ADINA analyses
FEM analyses were only carried out on specimens with cir-
cular blocks. The specimens were discretised with triangular
three-noded elements (Figure 2) in plane strain conditions.
Seven different BVP were chosen: 14%, 22%, 34%, 48%,
61%, 68%, and 72%. The following tests were simulated for
each BVP:
One unconfined test.
One confined test for each lateral pressure (0.5, 1.0, and
2.0 MPa).
The load-displacement curves were plotted for each numerical
test, both in the FLAC and ADINA analyses (Figure 3). In all
cases the maximum load attained during the test was used
to calculate the strength of the specimen. In what follows,
the term unconfined strength is adopted to indicate the value
determined in the absence of lateral pressure.
The analyses carried out using the two numerical methods
produced quite comparable results so that, in most cases, it
was possible to interpret all the data together, even though
some differences emerged, as discussed below.
As a general remark, it is important to state that the geom-
etry of the blocks was more accurate in the ADINA model,
thanks to the triangular element mesh. Instead, due to grid
limitations, it was only possible to simulate low values of BVP
with the FLAC code.
In unconfined loading conditions, plasticization starts and
spreads in the matrix, and tensile strength is reached in some
points along the block-matrix interface. When the applied load

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2007 Taylor & Francis Group, London, UK

 14 15
12 blocks

Unconfined compressive
Deviatoric stress

10

strength (MPa)
10
(MPa)

8
matrix
6
0.5 MPa
FLAC - circular blocks
4 5
1.5 MPa FLAC - elliptical blocks
2 3 MPa ADINA - circular blocks
0
0
0.000 0.002 0.004 0.006 0.008 0.010
0 20 40 60 80 100
Axial strain (-) BVP(%)
Figure 3. Typical stress-strain curves for specimens in confined Figure 5. Influence of BVP on the unconfined compressive strength
conditions (FLAC results). of bimrock specimens.

blocks
5
Deformation modulus

4
(GPa)

3
matrix
2
FLAC - circular blocks

1 FLAC - elliptical blocks

ADINA - circular blocks
0
0 20 40 60 80 100
BVP(%)
Figure 4. Example of the evolution of yielding (lighter-grey zones)
Figure 6. Influence of BVP on the deformation modulus of bimrock
at 60% (left) and 95% (right) of the maximum load (ADINA results).
specimens.

is close to the peak value, yielded points also appear within
the blocks (Figure 4). The maximum load is attained when
a continuous yielded zone spreads across the specimen. This
process is influenced by the BVP.
3.1 Effects of the BVP and block shape on the unconfined
compressive strength and the deformability
The influence of the BVP on the unconfined compressive
strength of bimrock is shown in Figure 5. It should be noted
that different responses are obtained from the two numerical
models. FLAC results are limited to a maximum BVP equal
to 37%, due to limitations in the adaptation of the quadran-
gular grid to the underlying block population. Beyond this
value, only ADINA results are available, and these show that
the compressive strength increases more rapidly with higher
values of the BVP.
The FLAC specimens generally offer an underestimation of
the strength, possibly due to the fact that the mesh is not suffi-
cient refined to take into account the smallest inclusions. The
shape of the blocks does not seem to influence the compressive
strength trend.
The tangent deformation modulus, evaluated at 50% of the
compressive shear strength, increases with the BVP, in a linear
trend. The trend is always the same irrespective of the block
shape (Figure 6).
3.2 Influence of BVP on the strength properties
The Hoek-Brown strength criterion (Hoek & Brown, 1997)
was used to interpret the tests results obtained for bimrock with
circular and elliptic blocks. The results from all the available
tests were considered, and the specimens were grouped into
BVP classes in the 020%, 2040%, 4060%, and 6080%
ranges. The parameters m and ci were calculated for each
class by regression of all the relevant data.
The points in Figure 7 show the stress at failure, while
the lines represent the corresponding Hoek-Brown failure
envelope. The results obtained for homogeneous specimens
are also reported. The positive influence of the BVP on the
strength of bimrock is made more evident by plotting the
Hoek-Brown parameters m and ci for the four BVP classes
(Figure 8). It should be noted that the values of the same param-
eters are ci,m = 7.0 MPa, mm = 3.8 and ci,b = 12.0 MPa,
mb = 9.9 for the matrix and block, respectively.
4 CONCLUSIONS
The results of the numerical modelling of compressive tests
on bimrock specimens highlighted some interesting aspects
concerning the behaviour of the material:
The compressive strength increases with the BVP, with a
more marked effect for higher BVP values.

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2007 Taylor & Francis Group, London, UK

 30
25
20
1 (MPa)
15
10
5 large plastic strains, has to be modelled.
0
0 1 2 3
3 (MPa)
Figure 7. Failure data for all the tests. The lines represent the
Hoek-Brown envelope for the indicated BVP ranges.
12
m Unconfined compressive strength
10
8
m (-), (MPa)
6 Preferentially orientated block arrangements should be
ci
4
2 A larger number of simulated specimens should be used for
0 here on a statistically founded basis.
<20% 20-40%
BVP
Figure 8. Values of the m parameter and of the unconfined
compressive strength ci of the Hoek-Brown criterion.
Yielding starts and spreads in the matrix, and tensile
strength is reached in some points along the block-matrix
interface. When the applied load is close to the peak value,
yielded points also appear within the blocks.
In confined conditions, the blocks are less affected by yield-
ing, and the matrix also shows tensile failure along the
block-matrix interface. The response of bimrock to com-
pression seems to be influenced by the behaviour of the
material at the interface between the matrix and the blocks.
The bimrock deformation modulus is proportional to the
BVP, according to a simple rule of mixtures.
The analyses on bimrock with elliptical blocks provided
results that are very similar to those obtained for circu-
lar blocks. It should be noticed that, due to limitations
of the generation process, only low values of BVP were
considered in the case of elliptical blocks. Therefore, the
interpretation of the behaviour of simulated bimrock with
a high volumetric proportion of elliptical blocks is not
reliable.
2007 Taylor & Francis Group, London, UK
Comparing the results of the analyses performed with
matrix FLAC and ADINA codes, it is possible to observe that:
FLAC allows both the pre and post peak behaviour of
<20%
bimrock specimens to be easily modelled, but the quad-
rangular mesh, with almost equal cells, precludes a good
20-40%
representation of the block geometry.
40-60% ADINA can use a triangular mesh, thefore the shape of the
blocks, even the smallest ones, is well reproduced. However,
60-80% some difficulties arise when the post peak behaviour, with
block
On the basis of the previous observations, it is possi-
ble to highlight some limitations of the approach presented
here, which could help to provide suggestions for further
developments of the study:
As the mechanical behaviour of bimrock is a clearly three-
dimensional problem, 3D numerical analyses have to be car-
ried on in order to properly interpret the material response
to different stress paths.
A continuum model seems to be adequate for bimrock mass
modelling but, as the interface between the matrix and
blocks seems to play an important role in the response of
the material, contact elements should be introduced into the
model to simulate the interaction.
studied in order to identify the influence of shape on the
mechanical response of bimrock.
each BVP in order to assess the general trends presented
40-60% 60-80%
REFERENCES
Donev, A., Torquato, S., and Stillinger, F.H. 2005. Neighbor list
collision-driven molecular dynamics simulation for nonspherical
hard particles: II. applications to ellipses and ellipsoids. J. Comput.
Phys. 202 (2): 765793.
Hoek, E. & Brown, E.T. 1997. Practical estimates of rock mass
strength. Int. J. Rock Mech. Min. Sci. 34 (8): 11651186.
Lindquist, E.S. & Goodman, R.E. 1994. The strength and deforma-
tion properties of a physical model melange. In P.P Nelson, P.P.
& S.E. Laubach (eds), Proc. 1st North American Rock Mechanics
Conference (NARMS), Rotterdam: Balkema.
Medley, E.W. 1994. Engineering characterization of melanges and
similar block-in-matrix rocks (bimrocks). PhD Dissertation, Dept.
Civil Engineering, Univ. California at Berkeley. Ann Arbor: UMI,
Inc.
Medley, E.W. 2002. Estimating block size distribution of melanges
and similar block-in-matrix rocks (bimrocks). In R. Hammah, W.
Bawden, J. Curran & M. Telesnicki (eds), Proc. 5th North Amer-
ican Rock Mechanics Symposium (NARMS): 599606. Toronto:
University of Toronto Press.
Shewchuk, J.R. 1996. Triangle: Engineering a 2D quality mesh gen-
erator and Delaunay triangulator. In M.C. Lin & D. Manocha (eds),
Applied Computational Geometry: Towards Geometric Engineer-
ing, Lecture Notes in Computer Sciences 1148: 203222. Berlin:
Springer-Verlag.
380
 Obtaining modeling parameters for engineering design by rock mass characterization

M. Cai & P.K. Kaiser

Geomechanics Research Centre, MIRARCO, Laurentian University, Sudbury, Ontario, Canada

ABSTRACT: A quantitative approach to estimate the peak and residual strength parameters and deformation modulus of
jointed rock masses is presented in this paper. The method is based on the characterization of rock block volume and joint
surface condition from field mapping data and applying the GSI system. It provides a complete set of mechanical properties
(Hoek-Brown peak (mb s, a) and residual (mr sr , ar ) strength parameters, or the equivalent Mohr-Coulomb peak (c and ) and
residual (cr and r ) strength parameters as well as deformation modulus (E) for design purpose.

1 INTRODUCTION 2 ROCK MASS CHARACTERIZATION FOR

Numerical tools are widely used in design of many engineering
structures in or on rocks such as foundations, slopes and open
pits, tunnels, underground caverns, mining developments and
stopes. Knowledge of the rock mass strength and defor-
mation behaviors is required for conducting the numerical
modeling.
Unfortunately, the determination of the global mechanical
properties of a jointed rock mass remains one of the most
difficult tasks in rock mechanics. Traditional methods to deter-
mine these design parameters include field tests (plate-load
tests for deformation modulus and in-situ block shear tests for
strength parameters). These tests can only be performed when
the exploration adits are excavated and the cost of conducting
in-situ tests is high. Alternatively, parameters are obtained by
back-analysis but this again requires established excavations.
Furthermore, the resulting parameters are largely dependent
on the adopted constitutive models.
Few systematic attempts have been made to develop meth-
ods to characterize the jointed rock mass to estimate the
deformability and strength indirectly. The Geological Strength
Index (GSI), developed by Hoek et al. (1995), is one of them. It
uses properties of intact rock and conditions of jointing to clas-
sify the rock but most importantly to arrive at an estimate of
rock mass deformability and strength parameters. It provides
a set of mechanical properties (Hoek-Brown peak strength
parameters mb and s, or the equivalent Mohr-Coulomb peak
strength parameters c and , as well as elastic modulus E) for
design purpose.
A method to obtain a compete set of design parameters
using the GSI system is presented in this paper. Based on
results from numerical simulation and laboratory and field
tests, the GSI system is extended to cover the residual strength
of jointed rock masses. The idea is to obtain peak GSI value
from field mapping and adjust the peak GSI to the residual
GSI r value based on the two major controlling factors in the
GSI system, i.e., the residual block volume Vbr and the resid-
ual joint surface condition factor Jcr . Methods to estimate the
residual block volume and joint condition factor are presented.
The peak and residual strength parameters as well as defor-
mation modulus thus determined from the GSI system can
be used in the numerical analysis for safe and cost-effective
design.
ENGINEERING DESIGN
Rock mass characterization is the process of collecting and
analyzing qualitative and quantitative data that provide indices
and descriptive terms of the geometrical and mechanical prop-
erties of a rock mass. It is a significant part in any field
geological investigation involving rock engineering problems.
This process requires the collection and recording as well
as analyzing a sizable amount of geological data. Methods
for rock mass characterization include core logging, borehole
logging, scanline surveying, cell mapping, geologic structure
mapping, and rock index testing. New technologies, such as
digital image processing of fracture information and laser-
based imaging of joint roughness, can be applied for rock
mass characterization.
Many rock mass classification systems (e.g. RMR (Bieni-
awski 1976), Q (Barton et al. 1974), GSI etc.) have been
proposed and used in engineering practice. Of the many alter-
natives, the GSI system seems to be the best choice for design
employing numerical tools because it can provide a complete
suite of input parameters for numerical analysis.
The GSI system has been developed and evolved over many
years based on practical experience and field observations.
The GSI value is estimated based on geological descriptions
of the rock mass involving two factors, rock structure or block
size and joint or block surface conditions. Although careful
consideration has been given to the precise wording for each
category and to the relative weights assigned to each combina-
tion of structural and surface conditions, the use of the original
GSI table/chart involves some subjectivity. Hence, long-term
experiences and sound judgment is required to successfully
apply the GSI system.
A means to quantify this approach by use of field mea-
surement data, which employs the block volume Vb and a
joint surface condition factor Jc as quantitative characteriza-
tion factors, is presented by Cai et al. (2004). The quantified
GSI chart is presented in Figure 1. The block volume can
be calculated from joint spacings of joint sets. The effect of
joint persistence on the block volume can also be considered.
The joint surface condition factor is obtained by rating joint
roughness depending on the large-scale waviness, small-scale
smoothness of joints, and joint alteration depending on the
weathering and infillings in joints. The quantitative approach

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2007 Taylor & Francis Group, London, UK

 Joint or Block Wall Condition in Hoek et al. (1995) or other relevant references. Once the
GSI value is known, strength parameters mb , s, a are given as

compact coating or fillings of angular fragments

Slickensided, highly weathered surfaces with

Slickensided, highly weathered surfaces with
(Hoek et al. 2002):

Very rough, fresh unweathered surfaces

GSI

Smooth, moderately weathered or

soft clay coatings or fillings

Rough, slightly weathered,
iron stained surfaces

altered surfaces
Very good

Very poor
Block Size Good

Poor
Fair
Massive - very well interlocked
undisturbed rock mass blocks formed 10E+6

e
by three or less discontinuity sets
ne

95 on
zo

with very wide joint spacing

ez
150
ure

Joint spacing > 100 cm

lur

85
fai
ail

100 cm 90
1E+6
ef

le

90
(1 m3)
ritt

Blocky - very well interlocked

ittl

80 75
lb
Br

undisturbed rock mass consisting 70

tia

of cubical blocks formed by three 60 80

ten

65
orthogonal discontinuity sets 50
where mi is a Hoek-Brown constant for the intact rock, D is
Po

Joint spacing 30 - 100 cm 100E+3

40
30 cm
70
55 a factor that depends on the degree of disturbance to which

Block Volume Vb (cm )

Very Blocky - interlocked, partially
the rock mass has been subjected by blast damage and stress
3
disturbed rock mass with multifaceted 45 10E+3
20
angular blocks formed by four or more
discoutinuity sets
60 relaxation.
Joint spacing 10 - 30 cm 50 35 The generalized Hoek-Brown criterion is developed for
10 cm
40 1000
(1 dm3)
the estimation of peak strength of jointed rock masses. It is
Blocky/disturbed - folded and/or
faulted with angular blocks formed by
25
observed that the rock mass in its residual state represents one
many intersecting discontinuity sets
Joint spacing 3 - 10 cm 5 30
100 particular kind of rock mass in the spectrum in the GSI chart.
3
15 The rock mass spectrum is defined by the combination of the
Disintegrated- poorly interlocked,
heavily broken rock mass with a
20 block volume spectrum and the joint surface condition fac-
10
mixture or angular and rounded
rock pieces
2
tor spectrum. Hence, the generalized Hoek-Brown criterion is
Joint spacing < 3 cm
10 applicable to the residual strength of jointed rock masses if the
Foliated/laminated/sheared- thinly
1 cm
1 peak GSI value is replaced by the residual GSI r value. Peak
laminated or foliated, tectonically sheared
weak rock; closely spaced schistosity N/A N/A 5 and residual GSI values depend on the corresponding peak and
prevails over any other discontinuity set,
resulting in complete lack of blockiness 0.1
residual block volumes and joint surface condition factors.
Joint spacing < 1 cm 12 4.5 1.7 0.67 0.25 0.09
Joint Condition Factor Jc
3.2 Peak and residual block volumes
Figure 1. GSI chart (Cai et al. 2004). Block size, which is determined from the joint spacing, joint
orientation, number of joint sets and joint persistence, is an
was validated using field test data and applied to the estima- extremely important indicator of rock mass quality. The block
tion of the rock mass properties at two cavern sites in Japan. volume can be calculated from
This approach adds quantitative means to assist in the selec-
tion of modeling parameters and is of particular interest to site
engineers. In addition, this approach facilitate the use of prob-
abilistic design approach to tunnel and cavern design using the
GSI system (Cai & Kaiser 2006a). where si , i and pi are the joint spacing, the angle between joint
sets, and joint persistence factor, respectively. If the joints are
3 PEAK AND RESIDUAL STRENGTHS OF not persistent, i.e., with rock bridges, the rock mass strength is
JOINTED ROCK MASSES higher and the global rock stability is enhanced. This effect can
be considered using the concept of equivalent block volume
3.1 Generalized Hoek-Brown criterion as suggested in Cai et al. (2004). The consideration of joint
persistency has been verified using numerical simulation by
The generalized Hoek-Brown criterion for jointed rock masses UDEC and 3DEC (Kim et al. 2006). For persistent joint sets,
(Hoek & Brown 1988) is pi = 1.
Traditional methods for obtaining discontinuity data (joint
sets, orientation, spacing, length, etc.) in the field include
core/borehole logging, scanline survey, and cell mapping.
Core/borehole logging alone cannot provide joint length infor-
mation so that face mapping is needed to compensate. Scanline
where mb , s, a are constants for the rock mass, and c is the surveys, which are time consuming, provide detailed infor-
uniaxial compressive strength of the intact rock. In order to mation on the individual joint in each set that can be used in
apply the Hoek-Brown criterion for estimating the strength of probabilistic design, whereas cell mapping, which are easier
jointed rock masses, three properties of the rock mass have to and more efficient, only provides average information about
be estimated. The first one is the uniaxial compressive strength each joint set. Decisions have to be made to select the most
of the intact rock. The second is the value of the constant mi appropriate method to obtain the required information for
for the intact rock and the last one is the value of GSI for the block volume and joint surface condition factor (see Section
rock mass. c and mi can be determined by statistical analysis 3.3) determination.
of the results of a set of triaxial tests on carefully prepared core For the residual block volume, it is observed that the post-
samples. GSI values can be obtained from a chart provided peak block volumes are small because the rock mass has

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2007 Taylor & Francis Group, London, UK

experienced tensile and shear fracturing. After the peak load,
the rock mass becomes less interlocked, and is heavily broken
with a mixture of angular and partly-rounded rock pieces. The
strength of a fault can be regarded as the lower bound strength
3.4 Determination of peak and residual GSI values
of the rock mass. Shearing disintegrates and damages the rock
based on Vb and Vbr and Jc and Jcr
mass and weathering further weaken the fault strength. Block
sizes observed from fault outcrop, extremely sheared zones, Once Vb and Jc are determined, users can refer Figure 1 or
and in-situ block shear tests suggest that block sizes of rock the following equation (Cai & Kaiser 2006b) to calculate the
mass at residual state are 15 cm in size. The residual block peak GSI value.
volumes can be considered independent of the original (peak)
block volumes for most strain-softening rock masses. The
fractured residual rock mass will have more or less the same
residual block volume in the shear band for intact rocks, mod-
erately jointed and highly jointed rock masses. As an estimate, Similarly, once the residual block volume Vbr and joint surface
if the peak block volume Vb is greater than 10 cm3 , then, the condition factor Jcr are obtained, one can refer to the GSI
residual block volume Vbr in the disintegrated category can chart or use the Eq. (10) to obtain the residual GSI r value,
be taken to be 10 cm3 . If Vb is smaller than 10 cm3 , then, no by replacing Vb by Vbr and Jc by Jcr , respectively. Once the
reduction to the residual block volume is recommended, i.e., reduced GSI r is obtained, the residual Hoek-Brown strength
Vbr = Vb . parameters (mr sr , ar ) can be calculated using Eqs. (2)(4) by
replacing GSI by GSI r and keep the intact rock properties (c
3.3 Peak and residual joint surface condition factors and mi ) unchanged, because fracturing and shearing does not
weaken the intact rocks (even if they are broken into smaller
In the GSI system, the joint surface condition is defined
pieces). In addition, since the rock masses are in a damaged,
by the roughness, weathering, and infilling condition (Hoek
residual state, D = 0 should be used for the residual strength
et al. 1995, Cai et al. 2004). The combination of these factors
parameter calculation. Depending on the numerical code used
defines the strength of a joint or block surface. The peak joint
for the design analysis, the equivalent peak and residual Mohr-
surface condition factor is defined as
Coulomb strength parameters can also be calculated.

where JW , JS , and JA are the joint large-scale waviness factor,
small-scale smoothness factor, and alteration factor, respec-
tively. The tables for peak Jw , JS , and JA are given in Cai et al.
(2004).
The failure process affects the joint surface condition,
especially the joint roughness. The concept of ultimate mobi-
lized joint roughness was suggested by Barton et al. (1985).
According to their model, the joint surface roughness is grad-
ually destroyed during the shearing process and the ultimate
mobilized roughness is about half of the peak roughness
(JRC mob /JRC peak = 0.5). The mobilized joint residual rough-
ness is zero, which can only be achieved when the joint
experiences a very large shearing displacement. It is therefore
proposed here that the large-scale waviness and the small-
scale smoothness of joints be calculated by reducing its peak
value by half to calculate the residual GSI value. In a short
time period, joint alteration is unlikely to occur so that the joint
alteration factor JA will be unchanged in most circumstances.
However, when water and clay infill material is involved, the
fractured rock surface can have a lower residual JA .
Hence, the residual joint surface condition factor Jcr is
calculated from
where JWr , JSr , and JAr are residual values for large-scale
waviness, small-scale smoothness, and joint alteration factor,
respectively. The residual values are obtained based on the
corresponding peak values assessed from field mapping. The
reduction of JWr and JSr are based on the concept of mobilized
joint roughness, and the equations are given as
4 DEFORMATION MODULUS OF
JOINTED ROCK MASSES
The deformation modulus is related to the GSI value as (Hoek
et al. 2002)
The inclusion of c in Eq. (11) shows the influence of the
modulus of the intact rock (E0 ) on the deformation modulus
of the rock mass.
5 DISCUSSIONS
The proposed method for the estimation of rock masss peak
and residual strengths as well as deformation modulus has
been validated using in-situ block shear and plate loading
test data from some large-scale cavern construction sites and
back-analysis data from cavern stability and rock slope stabil-
ity analysis. For details, please refer to previously published
references (Cai et al. 2004, Cai et al. 2007).
It was identified from the case studies that the ratios of
residual GSI r to peak GSI depend on the peak GSI values.
An empirical expression to calculate the residual GSI r value
from the peak GSI value is
The equation suggests that for very weak rock masses, the
residual GSI r is very close to the peak GSI, but for hard rocks,
GSI r is only about 25 to 40% of GSI.
The reduction from peak GSI to residual GSI r is a gradual
process, which can be linked to the post-peak strain softening

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2007 Taylor & Francis Group, London, UK

of the rock mass. Future research will address the issue of the
rate of GSI value decrease associated with the plastic strain
as well as the gradual decrease of the deformation modulus.
6 CONCLUSIONS
The GSI system is a rock mass classification system that
is directly linked to engineering parameters such as Mohr-
Coulomb or Hoek-Brown strength parameters or rock mass
modulus. A supplementary, quantified approach for the GSI
system is introduced by incorporating quantitative measures
of block volume and joint surface condition factor. It provides
a means for consistent rock mass characterization and thus
improves the utility of the GSI system. In addition, the con-
cept of residual block volume Vbr and residual joint surface
condition factor Jcr is introduced to extend the GSI system for
the estimation of rock masss residual strength. The proposed
method for both peak and residual strength estimation extends
the GSI system and adds quantitative means to determine a
complete set of rock mass properties needed for engineering
design.
ACKNOWLEDGEMENTS
The authors wish to thank Tokyo Electric Power Services
Co. Ltd (TEPSCO) and Tokyo Electric Power Company
(TEPCO) for their financial support to this study, and the con-
structive comments provided by Dr. E. Hoek of Evert Hoek
Consulting Engineer Inc., Mr. Y. Tasaka and Dr. H. Uno of
TESCO and Mr. M. Minami of TEPCO.
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2007 Taylor & Francis Group, London, UK
REFERENCES
Barton, N.R., Lien, R., & Lunde, J. 1974. Engineering classification
of rock masses for the design of tunnel support. Rock Mech. 6 (4):
189239.
Bieniawski, Z.T. 1976. Rock mass classification in rock engineering.
Proc. Symp. on Exploration for Rock Engineering. Cape Town, 1:
97106. Balkema.
Cai, M. & Kaiser, P.K. 2006a. Rock mass characterization and rock
mass property variability considerations for tunnel and cavern
design. Proc 4th Asian Rock Mech Symp (ARMS 4). Singapore,
Paper 144. World Scientific.
Cai, M. & Kaiser, P.K. 2006b. Visualization of rock mass classifi-
cation systems. Geotechnical and Geological Engineering 24 (4):
10891102.
Cai, M., Kaiser, P.K., Tasaka, Y., & Minami, M. 2007. Determination
of residual strength parameters of jointed rock masses using the
GSI system. Int. J. Rock Mech. Min. Sci. 44 (2): 247265.
Cai, M., Kaiser, P.K., Uno, H., Tasaka, Y., & Minami, M. 2004. Esti-
mation of rock mass strength and deformation modulus of jointed
hard rock masses using the GSI system. Int J Rock Mech Min Sci
41 (1): 319.
Hoek, E. & Brown, E.T. 1988. The Hoek-Brown failure criterion -
a 1988 update. Rock engineering for underground excavations,
Proc. 15th Canadian Rock Mech. Symp. Toronto, Canada, 3138.
University of Toronto, Toronto.
Hoek, E., Carranza_Torres, C., & Corkum, B. 2002. Hoek-Brown
failure criterion 2002 edition. Proc. 5th North American Rock
Mech. Symposium. Toronto, Canada, 1: 267273.
Hoek, E., Kaiser, P. K., & Bawden, W. F. 95. Support of Underground
Excavations in Hard Rock. A.A. Balkema.
Kim, B.H., Cai, M., Kaiser, P.K., & Yang, H.S. 2007. Estimation of
block sizes for rock masses with non-persistent joints. Rock Mech.
Rock Engng in press.
 Predicting weathering grades by Schmidt hammer test: An investigation on
granitic rock materials from Southeastern Brazil

A. Basu, T.B. Celestino & A.A. Bortolucci

Departamento de Geotecnia, EESC, Universidade de So Paulo, Brazil

ABSTRACT: Identification of weathering grades quantitatively by index tests has obvious advantages and the Schmidt hammer
has attracted considerable attention in recent years in this context. However, due to intricate weathering induced changes in
rock materials, the ranges of Schmidt hammer rebound values in neighboring weathering classes often notably overlap. This
study aims to improve the prediction of weathering grades of granitic materials from Southeastern Brazil by Schmidt hammer
test and also involves investigation of dry density and ultrasonic velocity as additional indices. It was found that changes
in rebound values due to Schmidt hammer multiple impacts at one representative test point are more efficient in predicting
weathering grades than conventional averaged single impact rebound values, P-wave velocities and dry densities. P-wave
velocity variations due to multiple impacts, however, did not depict any consistent pattern. N hammer performed better than L
hammer in predicting both weathering grades and material properties.

1 INTRODUCTION
The descriptions and classifications of weathered rocks for
engineering purposes has been a subject of debate since engi-
neering geologists first produced standards and codes (GSL
1995). Consequently, a number of classification schemes for
both weathered rock mass and material have evolved in last
five/six decades. As most of these classifications are based
on subjective criteria, identifying and assigning weathering
grades objectively and quantitatively by index tests have obvi-
ous advantages. In a comprehensive review of engineering
and weathering indices, Martin (1986) indicated that a simple
quantitative assessment of degree of weathering can be estab-
lished based on a reliable index of any rock property which
changes unidirectionally throughout the weathering spectrum
and can readily be quantified at any weathering stage. A large
number of studies have been devoted to achieve this goal
and the Schmidt hammer has attracted considerable atten-
tion in recent years in this context. This paper first presents a
background on weathering grade assessment by the Schmidt
hammer followed by a weathering classification of granitic
rock materials from Southeastern Brazil and evaluates indirect
assessment of weathering grades of the investigated rocks by
Schmidt hammer test along with density and ultrasonic tests.
2 BACKGROUND
The Schmidt hammer consists of a spring loaded piston. When
the hammer is pressed orthogonally against a surface, the pis-
ton is automatically released onto the plunger and the rebound
height of the piston is considered to be the index of surface
hardness. Theoretically speaking, a complicated problem of
impact loading and stress wave propagation is involved in
a Schmidt hammer rebound test. Partial consumption of the
impact energy is caused by the interaction between the plunger
and the surface and by the mechanical friction in the instru-
ment. As the energy absorbed by the surface depends on the
stress-strain relationship of the material, rebound values are
related to the strength and stiffness of the material. It should
be noted that the Schmidt hammer has got a plunger diameter
of 15 mm and consequently, energy absorptions by polymin-
eralic rock surfaces depend on the number, proportional areas
and bonding of the constituent mineral grains the plunger
hits considering other factors such as surface smoothness,
moisture content and mass of the materials are comparable.
Therefore, even from a single rock type, rebound value ranges
of adjacent weathering grades are very likely to overlap as
weathering causes extremely intricate changes in mineralogy
and microstructures and characteristic rebound value of a rock
material is determined averaging several random single impact
rebound values from its surface.
In order to express the nature of relation between rebound
value ranges and degree of decomposition, a brief literature
review is presented here. It should be noted that the weathering
classifications (in material or mass scale) used in the following
references comply by and large with the conventional 6-fold
classification scheme. Hencher & Martin (1982) advocated
that Schmidt hammer could be used as an index tool over the
full range of weathering. They provided non-overlapping in
situ N hammer value ranges (>45, 2545, 025, no rebound)
for differentiating weathered states (from Grade II to Grade
V) of igneous rocks of Hong Kong. Ebuk (1991) referring
this work, however, indicated that 12% of 133 samples oth-
erwise graded as highly decomposed (Grade IV) showed no
rebound by N hammer. Irfan & Dearman (1978), based on the
investigation of SW England granite, advised that the Schmidt
hammer should be used only for relatively strong materi-
als giving rebound value >40. Karpuz & Pasamehmetoglu
(1997) proposed distinct L hammer rebound value ranges
(5461, 3954, 2839, 1828 and <18) for classifying weath-
ered states of Ankara andesite (from Grade I to Grade V). Irfan
& Powell (1985) reported overlapping ranges of Schmidt ham-
mer rebound values in adjacent weathering grades for Hong
Kong granodiorite. Irfan (1996) presented a classification of
weathering grades of coarse grained granites of Hong Kong
in terms of in situ N hammer values where the ranges of
rebound values for fresh and moderately decomposed granites
are given as 5760 and 3058 respectively. This implies that
overlapping of rebound value ranges is plausible even in the

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early weathering stage. Aydin & Basu (2005) demonstrated
that degree of such overlapping between adjacent grades (in
material scale) increases as weathering advances in granitic
rocks of Hong Kong. This is expected as the general order
of decomposition for granitic constituents indicated by sev-
eral researchers is biotite, plagioclase, K-feldspar and quartz
which means increasing degree of weathering intensifies rock
heterogeneity resulting in high scatter in the single impact
rebound values. It is anticipated that weathered state could be
better represented by multiple impacts at single representa-
tive test point in terms of increasing compaction nature than
by single impacts. This study evaluates both single and multi-
ple impact options in predicting weathering grades of granitic
materials from Southeastern Brazil.
3 SAMPLES
Granite core samples of various weathering grades collected
from the site of Porto Goes Hydroelectric Power Plant were
used for the investigation. No soil material was included in
this study. The rocks belong to the Itu Granitic Complex (IPT
1981) and NW-SE trending faults are predominant in the prox-
imity of the site (Figure 1). Therefore, although intactness and
uniformity of weathered states were the primary criteria to
select cores, attention was also given to exclude core portions
with densely spaced fractures, any shear signature or mixed
lithology and their proximities.A total of 20 samples were cho-
sen for the investigation. Preliminary visual inspection of the
cleaned core surfaces was performed in the laboratory to ascer-
tain comparable mineralogy and texture of the samples. All
samples, brown/pinkish brown in color, were medium grained
granites and displayed equigranular phaneritic texture.
4 WEATHERING CLASSIFICATION
The most widely used weathering classification systems for
rock materials in the world (e.g. GSL 1995, BS5930 1999)
by and large resemble the 6-fold classification scheme devel-
oped by Moye (1955) where Grades I to IV represent rocks
whereas higher grades stand for soils. The grades in this 6-
fold scheme is based on chemical rather than mechanical
weathering (Hencher & Martin 1982). As Southeastern Brazil
experiences a humid tropical climate with a markedly annual
rainfall, chemical weathering supported by rock structural
discontinuities is the most dominant weathering process. In
the borehole logs of the collected cores, degree of alteration
is indicated with depth interval according to the proposed
classification by Vaz (1996). However, this classification is
mainly about rock masses and not specifically for rock mate-
rials. Moreover, according to this classification, there are only
three divisions of weathered states of rocks whereas it is well
Table 1. Characteristics and assigned weathering grades (WG) of
the investigated granitic materials.

Granites Characteristics WG

No discoloration I
Grains have vitreous luster
Equigranular texture with
intact grain boundaries

Slight to moderate staining II

Grains have vitreous to
sub-vitreous lustre
Intact grain boundaries

Grains have sub-vitreous to IIIII

dull luster
White clay minerals are common
Intact grain boundaries
Not easily broken by a geological
hammer

Moderately decomposed III

Abundant soft white clay
minerals can be scratched
by nail
Intact grain boundaries
Can be broken easily by a
geological hammer

Highly decomposed (powdery IV

feldspars) with loose
grain boundaries
NX core can be broken by hand
Does not readily slake in water

Figure 1. Site location and geology (IPT 1981) in and around the
site. 2 cm

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acknowledged that although the common 6-fold scheme is
adequate for general descriptions, even subdivision of the
grades may be justified if a more detailed description is
required; for example while relating laboratory test results
with degree of decomposition. In the present study, therefore,
attempt was made to capture the gradational variability of
weathering induced changes of the concerned granitic mate-
rials (uniform volumes of intact rocks) in detail. A set of five
recognition factors (discoloration and/or staining, grain lus-
ter, grain boundaries, relative strength and disintegration) was
identified and used to describe gradational changes of the
rocks over weathering spectrum. Table 1 presents the weath-
ering classification for the investigated rock materials which
is by and large conformable to the common 6-fold mate-
rial classification scheme. However, a subdivision Grade
IIIII is assigned in the Table 1 with its distinct differen-
tiable decompositional characteristics compared to Grades II
and III.
used. Direct pulse transmission technique was employed for
ultrasonic testing with the coaxial arrangement of the spec-
imen and the transducers at a constant coupling pressure.
P-wave velocities (VP ) were determined (Table 2) from the
measured travel times through the specimens.
Five random test points (any two points separated by more
than one plunger diameter) on each specimen surface were
selected to apply each of L- and N-type Schmidt hammers
(impact energies: 0.735 Nm and 2.207 Nm respectively). Con-
sidered five single impacts by each hammer were those which
did not cause any visual damage of the rock surface. All
these rebound values were normalized in horizontal direc-
tion according to Basu & Aydin (2004) in order to nullify the
gravity effect. For individual samples, the normalized rebound
values (R) by each hammer were averaged and their variances
were calculated (Table 2).

hammer
Schmidt
5 INDEX TESTS, ANALYSIS AND DISCUSSION R

Representative specimens were obtained by cutting the Screwing

selected core samples. In order to achieve reasonable accuracy Transducer device
in the parallelism and smoothness of the specimen end faces
and their perpendicularity to the axis especially for ultrasonic
Rock core
testing, the cut faces were subjected to grinding. All specimens
were comparable in terms of their volumes (L 155.5 mm;
D 75 mm) and were air-dried to constant mass. T
Dry density (dry ), the most often used physical index,
Heavy steel base
was calculated from the measured volume and mass for all with V notch Ultrasonic
specimens. The given sample numbers within each assigned tester
weathering grade were as per the descending order of dry
(Table 2). Figure 2. Schematic representation of the experimental program.
For ultrasonic and Schmidt hammer investigation, a tailor- Note that during ultrasonic testing, thin insulating foam paper was
made test setup schematically represented in Figure 2 was placed beneath the rock core.

Table 2. Weathering grades, dry densities, ultrasonic velocities and rebound values.

RL * RN * Range
Sample dry VP
No. WG (gm/cm3 ) (m/s) mean var. mean var. dry VP RL RN

1 I 2.67 5201 53.12 3.76 63.04 1.76

2 I 2.66 5514 55.38 3.44 64.74 1.84
3 I 2.66 5218 51.60 6.24 63.60 1.84 2.672.65 55145201 55.3851.60 64.7462.09
4 I 2.65 5362 52.55 2.24 62.09 0.56
5 I 2.65 5423 53.49 2.64 62.28 1.20
6 II 2.65 4726 51.98 9.20 59.07 2.24
7 II 2.64 4952 50.85 4.16 60.01 3.84
8 II 2.64 4859 48.77 7.44 57.75 4.96 2.652.63 49524698 51.9846.69 60.0156.61
9 II 2.63 4698 46.69 5.44 56.61 5.20
10 II 2.63 4733 47.06 4.56 57.56 3.76
11 IIIII 2.64 4741 46.50 8.56 53.26 7.36
12 IIIII 2.63 4684 48.01 9.04 57.75 7.84
13 IIIII 2.62 4430 43.79 9.36 53.02 6.56 2.642.55 47413987 48.0141.76 57.7547.71
14 IIIII 2.59 3987 41.76 9.36 47.71 7.84
15 IIIII 2.55 4481 42.33 10.56 52.07 8.96
16 III 2.58 3868 42.71 14.16 48.09 9.20
17 III 2.54 4000 37.89 16.65 45.11 11.23 2.582.46 40003642 42.7136.24 48.0943.16
18 III 2.49 3642 40.62 12.40 46.01 10.16
19 III 2.46 3747 36.24 11.84 43.16 9.36
20 IV 2.11 1938 20.64 20.96 24.21 16.40 -2.11- -1938- -20.64- -24.21-

*RL and RN are the averages from five random single impact rebound values from individual samples.
Abbreviations: WG = Weathering grade; dry = Dry density; VP = Ultrasonic P-wave velocity; RL and RN = Rebound values by L and N type
hammers respectively; var. = Variance.

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2007 Taylor & Francis Group, London, UK

 70 70 70
60
50 65 65
RN

40
y = 1,1871x - 0,2755 60 60
30 2
r = 0,9762
20
20 30 40 50 60 55 55
RL
2,70
50 50
2,60
(gm/cm3)

2,50

RN
RL
45 45
2,40
dry

2,30
y = 0,0147x + 1,9159 40 40
2,20
r2 = 0,8703
2,10
20 30 40 50 60 70
35 35
RL
2,70
2,60 30 30
(gm/cm3)

2,50

No rebound

No rebound
2,40 25 25
dry

2,30
y = 0,0122x + 1,927
2,20 20 20
r2 = 0,8712
2,10 1 2 3 4 1 2 3 4
20 30 40 50 60 70 Sequence of impacts Sequence of impacts
RN Range
6000 WG RL2-RL1 RN2-RN1
I 0.94-1.42 1.42-2.36
5000
II 1.89-3.78 2.83-3.78
VP (m/s)

4000 II-III 3.78-4.74 4.73-6.63

III 4.75-6.65 7.10-8.54
3000 IV -7.75- -11.09-
y = 100,42x - 70,916
2000 Figure 4. Rebound nature of Schmidt hammer multiple impacts
r2 = 0,9437
1000 (at one representative point) with reference to degree of weathering.
RL2 -RL1 /RN2 -RN1 is the difference between the 2nd and the 1st impact
20 30 40 50 60 70
rebound values.
RL
6000 also less variant than RL which suggests that high impact
5000 energy is less sensitive to material heterogeneity than low
4000 impact energy.
VP (m/s)

In order to check the performances of both hammers in esti-

3000 mating material properties, dry and VP values were plotted
2000 against R. Figure 3 depicts that although there exists an excel-
y = 84,707x - 53,849 lent correlation between RL and RN , RN is more efficient than
1000
r2 = 0,9694 RL in predicting these properties.
0
For examining the rebound nature of the Schmidt hammers
20 30 40 50 60 70
due to multiple impacts at one point in response to weath-
RN
ered states of the investigated rocks, one representative test
Figure 3. Relation between L and N hammer rebound values and point on each specimen giving a rebound value +/2 of the
their correlations with dry density and P-wave velocity. mean value of individual hammers was chosen. Test point
comprising single mineral grain resulting in desirable R was
dry and VP are inherent to materials. Nevertheless, their not considered. Four consecutive impacts including the ini-
ranges in adjacent grades overlapped (Table 2). However, tial impact were performed at the chosen point. Trends of R
such overlaps could partially be attributed to unavoidable in each sequence were plotted and were related to weather-
experimental errors. Although overlapping ranges of R in ing grades (Figure 4). In general, the steepest increase in R
neighboring weathering classes existed for both L and N ham- (or maximum compaction) was caused by the second impacts
mers, RN resulted in less overlaps than RL (Table 2). RN was whereas minor increase in R resulted from following impacts

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2007 Taylor & Francis Group, London, UK


Figure 5. Effect of N hammer multiple impacts on plaster and highly
weathered granite.
(Figure 4). Minor decreases in R at the third and/or the fourth
impacts were also noted (Figure 4) which actually were the
results of minor chipping or fragmentation just next to the
center of the compaction zone. Grade IV specimens, however,
could not sustain the entire impact sequence (Figure 4). It is
interesting to note that although there are some overlaps of the
trend lines among neighboring weathering grades in terms of
absolute R, the differences of R between the second and the
first impacts are quite typical of the weathering grades (Fig-
ure 4). This implies that nature of compaction of the chosen
test point is more representative of the behavior of constituent
minerals and microstructures or in other words, weathered
state of the concerned material. N hammer proved to be more
efficient than L hammer in discriminating weathering grades
which points out that stress wave induced by higher impact
energy influences larger effective volume in terms of com-
paction than that induced by lower impact energy with the
same plunger tip diameter.
In order to obtain an additional control on the nature of com-
paction during the impact sequence, VP was measured after
each blow. It was anticipated that VP would reflect the com-
paction pattern. Surprisingly, VP did not show any increase
with the progress in impact sequence, rather VP dropped sig-
nificantly in few test sequences. This observation could be
explained by the fact that volume of the compaction zone
due to Schmidt hammer multiple impacts is not very signif-
icant compared to the volume of the specimen particularly
in a polymineralic medium grained rock where the impact
energy dissipates quickly along the grain boundaries. The
compaction zone, existing only in the close proximity of the
specimen surface, does not significantly modify the propaga-
tion time of the ultrasonic wave with a small beam spread
angle. The occasional falls in VP , on the other hand, are
caused by probable cracks (induced by multiple impacts) that
propagate deep inside the specimen causing delay in wave
propagation. In order to verify such explanation, an additional
investigation was carried out on an artificial plaster specimen
(dry = 2.08 gm/cm3 , close to that of Grade IV material) with
the same volume as the rock specimen. Although the plaster
specimen had lower density than the Grade IV specimen, VP
was higher (2142 m/s) in the plaster than the rock specimen
which implies more scattering of ultrasonic waves at grain
boundaries and microcracks in Grade IV rock material than in
the plaster (assumed to be virtually homogeneous material).
Only N hammer was used in this part of the investigation.
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2007 Taylor & Francis Group, London, UK
After two consecutive impacts at one point of plaster surface,
minor increase in the velocity was observed whereas after two
consecutive impacts at one point of the Grade IV specimen,
velocity dropped. Figure 5 shows the effect of multiple impacts
by N hammer in both plaster and Grade IV rock. Hemispher-
ical stress waves induced by multiple impacts propagate in a
homogeneous material (plaster) causing increase in volume
of compaction zone. In a heterogeneous material (e.g. weath-
ered granite), however, volume of compaction zone is more
limited than in a homogeneous material and stress concentra-
tions might occur around the grains directly in contact with the
plunger tip resulting in irregular and localized grain crushing
and extensional cracking.
6 CONCLUSIONS
Rock materials from Itu Granitic Complex in Southeastern
Brazil were investigated in this study. A weathering clas-
sification by and large conformable to the common 6-fold
classification scheme was framed for the investigated mate-
rials. However, Grade IIIII was added as an intermediate
weathered state based on its characteristic decompositional
differences with respect to Grades II and III. Indirect assess-
ment of weathering grades based on dry density, ultrasonic
velocity and Schmidt hammer single impacts were evaluated.
Ranges of each of these index test values produced significant
overlaps in higher neighboring grades. N hammer produced
less scatter in rebound values and also proved to be more effi-
cient than L hammer in estimating dry density and ultrasonic
velocity. It was found that changes in rebound values due to
Schmidt hammer multiple impacts at one representative test
point are more efficient in predicting weathering grades than
conventional averaged single impact rebound values, P-wave
velocities and dry densities. The N hammer proved to be more
competent than L hammer also in discriminating weathering
grades. Ultrasonic velocity was not sensitive enough to capture
compaction patterns due to multiple hammer impacts.
ACKNOWLEDGEMENT
The authors are thankful to Mr. Paulo V.C.B. Braun, of
EMAE Empresa Metropolitana de guas e Energia S.A.,
for kindly providing the cores. The technical support by
Mr. Benedito Osvaldo de Souza and Mr. Dcio Aparecido
Loureno is also thankfully acknowledged. The study was
funded by Fundao de Amparo Pesquisa do Estado de So
Paulo (FAPESP).
REFERENCES
Aydin, A. & Basu, A. 2005. The Schmidt hammer in rock material
characterization. Engineering Geology 81 (1): 114.
Basu, A. & Aydin, A. 2004. A method for normalization of Schmidt
hammer rebound values. International Journal of Rock Mechanics
and Mining Sciences 41 (7): 12111214.
BS 5930, 1999. Code of practice for site investigations.
Ebuk, E.J. 1991. The influence of fabric on the shear strength char-
acteristics of weathered granites. Ph.D. thesis, The University of
Leeds.
GSL. 1995. The description and classification of weathered rocks
for engineering purposes: Geological Society Engineering Group
Working Party Report. Quarterly Journal of Engineering Geology
28: 207242.
Hencher, S.R. & Martin, R.P. 1982. The description and classification
of weathered rocks in Hong Kong for engineering purposes. Proc.
7th Southeast Asian Geotechnical Conference, Hong Kong: 125
142.
IPT. 1981. Mapa Geolgico do Estado de So Paulo.
Irfan, T.Y. 1996. Mineralogy, fabric properties and classification of
weathered granites in Hong Kong. Quarterly Journal Engineering
Geology 29: 535.
Irfan, T.Y. & Dearman, W.R. 1978. Engineering classification and
index properties of a weathered granite. Bulletin of International
Association of Engineering Geology 17: 7990.
Irfan, T.Y. & Powell, G.E. 1985. Engineering geological investi-
gations for foundations on a deeply weathered granitic rock in
2007 Taylor & Francis Group, London, UK
Hong Kong. Bulletin of International Association of Engineering
Geology 32: 6780.
Karpuz, C. & Pasamehmetoglu, A.G. 1997. Field characterization of
weathered Ankara andesites. Engineering Geology 46: 117.
Martin, R.P. 1986. Use of index tests for engineering assessment
of weathered rocks. Proc. 5th Int. IAEG Cong., Buenos Aires 1:
433450.
Moye, D.G. 1955. Engineering geology for the Snowy Mountain
scheme. Journal of Institution of Engineers 27: 287298.
Vaz, L.F. 1996. Classificaao gentica de solos e horizontes de alter-
aao de rocha em regies tropicais. Revista Brasileira de Geotecnia
19(2): 117136.
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 Probabilistic analysis of block stability in underground excavations using realistic
fracture network models

K.M. Moffitt & S.F. Rogers

Golder Associates Ltd., Vancouver, BC, Canada

ABSTRACT: Conventional tools for key block stability analysis commonly require a series of simplifying assumptions regard-
ing the fracture system and the excavation geometry. A Discrete Fracture Network (DFN) approach however allows a realistic
representation of the geometry and properties of the fracture system, as well as allowing probabilistic consideration of block
formation within complex underground excavation geometries. The DFN analysis approach uses the same basic kinematic
equations as conventional block stability analyses but does not impose any limitation on the number of planes that define either
the excavation geometry or the blocks predicted to develop on the exposed faces. Using a Monte Carlo simulation technique
allows estimation of the spatial frequency of unstable block occurrence, or expressed otherwise, the probability of a failure
event within a given distance of excavation. The result is an ability to optimize excavation and ground support designs with a
method that intelligently handles the natural heterogeneity imposed by the fracture system.

1 INTRODUCTION Fracture intensity is typically defined either from borehole

The Discrete Fracture Network (DFN) approach is a modeling
methodology that seeks to describe the geometric and other
properties of a fracture system in statistical ways by building
a series of discrete fracture objects based upon field observa-
tions of fracture size, orientation, intensity etc. To date there
has been relatively limited application of the DFN approach
to rock engineering problems in strong fractured rock masses
despite their obvious suitability.
The advantage of DFN models is their ability to cap-
ture the heterogeneity and uncertainty of the fracture sys-
tem by explicitly and stochastically describing key elements
of the system. This provides a clearer and more repro-
ducible route from site investigation data to modelling since
real fracture properties are preserved through the modelling
process.
The DFN approach has wide potential application in the
geotechnical analysis of fractured rock masses. This paper
describes a DFN method of kinematic block analysis devel-
oped to provide a robust, probabilistic approach to surface and
underground block stability and ground support design. The
more widely used deterministic approaches require gross sim-
plifications in all aspects of the problem description with no
certainty of whether or not these simplifications are conser-
vative. By defining fracture properties (e.g.,fracture size and
orientation) stochastically and using Monte Carlo techniques
to generate many samples of the network, a DFN approach
can generate a statistically valid series of representations of
the actual rock mass. This allows a risk-based assessment of
excavation geometry and support requirements.
2 DERIVATION OF DFN MODEL INPUTS
The primary fracture properties that need to be defined in order
to build a DFN model for geotechnical analysis are intensity,
orientation and size. More refined analyses may also consider
the variation of joint condition between fracture sets.
data (fracture logging or borehole imaging tools) or from frac-
ture mapping on surfaces such as rock slopes or tunnel walls.
Care needs to be taken in the use of these data as they are highly
directionally biased. DFN model input requires an estimate
of the volumetric fracture intensity, known as P32 (fracture
area/unit volume) which is an intrinsic rock mass property. It
cannot be measured directly but can be inferred from the 1D
and 2D data available from boreholes and mapping using a
simulated sampling methodology.
Fracture orientation, as with fracture intensity, is defined
from borehole imaging data or structural mapping. Where
fracture orientation data are highly systematic and organized
into distinctive fracture sets, the statistical properties of these
sets can be defined and used as a key stochastic input into the
DFN model. Often however the data have a more dispersed
orientation that doesnt support this approach. In this case,
bootstrapping can be used, a statistical method based upon
multiple random sampling with replacement from an original
sample to create a pseudo-replicate sample of fracture orien-
tations. A degree of dispersion is introduced to each sample to
ensure that each pseudo sample is slightly different. Multiple
realizations will then result in a similar but unique orientation
model.
Definition of fracture length or persistence typically comes
from structural mapping of exposed rock surfaces, although
there are methods for deriving these data from borehole image
logs (La Pointe et al, 1983) and other methods. Fracture lengths
need to be converted to an equivalent fracture radius for inclu-
sion within the DFN model with the radius being described
by a number of different statistical distributions such as the
log-normal or exponential distribution.
Further model refinement for analysis of local areas can be
achieved by conditioning the model to match the depth, orien-
tation, and condition of fractures recorded in actual boreholes.
In this case, fractures will initially be generated stochasti-
cally but their depth and properties will be adjusted locally to
match the actual borehole structure log. The continuity of each
structure may be defined by a stochastic size distribution.

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3 ADVANCES IN FIELD CHARACTERIZATION
OF ROCK STRUCTURE

There have been dramatic improvements in data collection and

processing technology in recent years that have significantly
improved the ability to accurately describe rock structure.
These include the relatively widespread use of high resolution
geophysics tools, borehole televiewers, optical borehole cam-
eras, high resolution photography, laser scanning, and satellite
imagery.
Small modifications to conventional data collection proce-
dures and the use of these advanced tools as part of routine
field investigation programs allow relatively quick construc-
tion of representative DFN models for analysis of common
geotechnical problems. For strong, fractured rock masses,
some examples include:
Use of borehole televiewers to obtain fracture orientation
data from diamond drillholes. In addition to core orienta-
tion, data from acoustic and optical televiewers allow an Figure 1. Example DFN model.
indirect assessment of fracture continuity (e.g., from frac-
ture aperture and roughness), particularly when used in
combination with other borehole geophysical tools.
Structures that are more transmissive may be inferred to
be more continuous with their detection provided by tools
such as flow meters, fluid conductivity probes, and fluid
resistivity probes.
Photogrammetric imaging to estimate fracture continuity,
orientation and termination characteristics on exposed rock
surfaces. This is used in combination with physical mapping
(which provides fracture condition data). Processing of the
photogrammetric images provides fracture data for a larger
area with reduced effort.

4 DFN BLOCK STABILITY ANALYSIS

In response to the recent advances in the ability to character-

ize the spatial variability of rock mass structure, a Discrete
Fracture Network (DFN) method of block analysis has been
developed to provide a robust, probabilistic approach to sur-
face and underground block stability and ground support
design.
To evaluate key blocks using a DFN approach, the analy-
sis is carried out using the modelled fracture network with
its fully defined spatial and geometrical properties. Rather
than simply considering the possibility of wedges forming,
the DFN approach considers the probability of adverse wedge
formation.
The initial step for DFN block stability analysis is the con- Figure 2. Example simulation of block analysis.
struction of an appropriate DFN model, as shown in Figure 1.
This should be generated based on the appropriate site geo- fracture intersections with the excavation boundary is gener-
logical and geometrical model and where possible conditioned ated. Once this trace map has been created, rock blocks are
to borehole and trace map data. The fracture geometry may constructed by identifying those fractures which form closed
include major structural features such as faults, fracture zones two-dimensional shapes in the trace map, forming trace maps
and stratigraphic contacts as deterministic elements as well as of those shapes and repeating the process until all fractures
spatial variations in stochastic fracturing patterns. participating in fracture trace maps have trace maps of their
The geometry of excavations subject to block stability anal- own. The block faces identified from this are processed using
yses can be general three dimensional shapes rather than an unfolding algorithm to generate the minimum volume
being limited to simple two-dimensional tunnel profiles; a polyhedron which connects to the excavation face. The rock
practical example is shown in Figure 2. This allows for assess- block volume is computed by a process of three-dimensional
ments of all 3D rock blocks that may form on the boundaries tessellation with the associated block mass being calculated
of a complex excavation geometry (e.g., underground mine using this computed volume and the assigned rock density.
workshops, crusher excavations, shaft loading pockets, drift The stability analysis for blocks defined by realistic fracture
intersections, etc.). To achieve this, a trace map for the DFN geometries from a DFN model is functionally identical to other

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2007 Taylor & Francis Group, London, UK

key block analysis tools. The fundamental difference is that
the analysis is carried out for actual defined 3D blocks for a
specific realization of the fracture geometry, rather than on a
combinatorial approach of infinite fractures.
The stability analysis is carried out by checking whether
each identified block satisfies the criteria for unconditional
stability, whether the block may slide (along one or two sides),
or whether it is a free falling block. The factor of safety is then
calculated based on limit equilibrium assumptions.
For single plane sliding and the Mohr Coulomb failure
criterion;
Where A is the area of the face; C is the cohesion parameter;
N is the normal force to the face; is the friction angle; and
S is the magnitude of the shear force.
For two plane sliding: Using the Mohr-Coulomb model:
Where Ni is the normal force to face I ; Ai is the area of face
I ; S12 is the shear force along the edge created by faces 1 and
2; ci is the cohesion parameter of face i; and i is the friction
angle of face i.
5 DISCUSSION
The ability to more accurately describe rock fabric has
improved dramatically in recent years as a result of advances
in data collection and processing techniques. Very detailed
information on rock structure can now be obtained from the
very early days of exploration/investigation through to exca-
vation/construction. Collection of these detailed data is only
justified if they can be used explicitly in analyses. This leads to
demands for methods of geotechnical analysis that can extract
value from the data.
Conventional methods of analysis rely on simplifying
assumptions (i.e. infinitely continuous, ubiquitous fractures
within a limited number of sets) to assess the possibility of
an unsupported wedge with a given ground support scheme.
The DFN approach to underground block stability analysis
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2007 Taylor & Francis Group, London, UK
uses realistic fracture networks to assess the frequency and
size of unstable blocks. This allows, for example, prediction
of the number of unsupported wedges per kilometre of drift
for a given ground support scheme. Similarly, the number of
occurrences of instability in a sample of 1000 complex exca-
vations within a given rock mass can be predicted. This allows
rational decisions regarding the cost and benefit of differing
ground support patterns or, alternatively, the value of full time
structural mapping staff with a reduced routine ground support
pattern.
REFERENCES
Carvalho, J., Hoek, E. and Lee, B. 1991. UnWedge: Underground
Wedge Analysis. Department of Civil Engineering, University of
Toronto, Toronto.
Dershowitz, W., Lee, G., Geier, J., Foxford, T., LaPointe, P. and
Thomas, A. 1995. FracMan Interactive Discrete Fracture Data
Analysis, Geometric Modeling, and Exploration Simulation. User
Documentation. Version 2.5. Golder Associates Inc. Report 923-
1089. Golder Associates Inc, Seattle.
Einstein, H. and Glynn, E. 1979. Probability of Kinematic Insta-
bility in Rock Slopes: A Numerical Approach. Proceedings, 20th
US Symposium on Rock Mechanics, Austin, Texas. ASCE, NY.
p 317325.
Goodman, R. E. and Shi, G.-h. 1985. BlockTheory and ItsApplication
to Rock Engineering. Prentice Hall, New York.
Hatzor, Y. and Goodman, R. 1992. Application of Block Theory and
the Critical Key Block Concept to Tunneling: Two Case Histories.
Proceedings, ISRM Conference on Fractured and Jointed Rock
Masses, Lake Tahoe, CA.
Jing, O. and Stephansson, O. 1994. Identification of Block Topology
for Jointed Rock Masses Using Boundary Operators. Proceed-
ings, CSMR 4, Integral Approach to Applied Rock Mechanics,
Santiago, Chile.
La Pointe, P., Wallmann, P.C. and Dershowitz, W.S. (1983). Stochastic
estimation of fracture size through simulated sampling. Interna-
tional Journal of Rock Mechanics Mining Sciences & Geomechan-
ics Abstracts, 30:7, 16111617.
La Pointe, P., Wallmann, P.C., and Follin, S. (1996). Continuum mod-
eling of fractured rock masses: Is it useful? Eurock 96. Barla
(ed.).
Rogers, S.F., Moffitt, K.M. and Kennard, D.T. (2006). Probabilistic
Tunnel and Slope Block Stability Using Realistic Fracture Network
Models. Proceedings of the 41st US Rock Mechanics Symposium,
Golden, Co.
Warburton, P.M., 1987. Implications of Keystone Action for Rock
Bolt Support and Block Theory. International Journal of Rock
Mechanics, Mining Science, and Geomechanics Abstracts., Vol
 Problems and experimental methods of surface soft rock in Nanning, Guangxi,
P.R. China

X.G. Zhang
School of Civil & Environmental Engineering, Nanyang Technological University, Singapore

N.P. Yi
School of Civil & Architectural Engineering, Guangxi University, Nanning, China

ABSTRACT: Sedimentary phase in Nanning, Guangxi, P.R. China were formed in paleoclimatic sequence of arid, semiarid,
humid, semi-humid, semiarid, and semi-humid, etc.As a result of ancient atmosphere circumstance evolution, weak consolidation
becomes an important property of the gray lagoon deposited mudstone layers in the Nanning Basin. On the other hand, it is
difficult to divide the categories for a weathered soft rock, which may be affected by the sedimentary formation of soft and hard
interbed alternately. Categorizing weathered soft rock largely depends on the experiences of engineers. There is a significant
lack of knowledge in categorizing soft rock during site investigation because soft rock cannot be kept intact during drilling
borehole. Mudstone is considered as a typical soft rock which is in an intergradation between rock and soil. It is very important to
find a simple, convenient and feasible method to judge the borderline of distinguishing between rock and soil for mudstone.
In this study, mudstone stability subject to water will be taken as the standard evaluation method of the borderline between
rock and soil, the experimental results show that the method is applicable in practical engineering.

1 INTRODUCTION 1.2 Basic characteristics of the lacustrine phase

1.1 History of depositional evolution
Area of the Nanning basin is approximately 948 square kilo-
meters. It is the system of Garys fold in the southeast of China
located on the compound upheaval belt, namely, a raising belt
of the earths crust, of the early Paleozoic era and the late
Paleozoic era in the DaMing mountain-Kunlun Mountains.
It has an asymmetrical wedge-shape. The Nanning basin is
separated as NW-SE NaLong hollow and NE-EW BeiHu hol-
low by Yangmei basin protuberance in the middle of basin.
BeiHu hollow is an irregular diamond shaped fault basin,
which is steeply inclined along the north plane of the fault
and is sloped gently along the south plane. The basin subsi-
dence had controlled by the fault in the northern margins of
the basin, the southern plane of the fault is a flat belt of a
slope. The majority of materials of the Cainozoic era sedi-
mentary origin in the Nanning basin comes from the northern
and western direction of the basin, while the secondary sed-
imentary origin were provided by the northern and southern
direction in the basin. The two directions to the north and west
are the far sedimentary origin rivers delta sedimentary phase,
the down-throw side of the fault in the northern margin of the
basin is a fan-shaped delta sedimentary phase and that in the
southern margin of basin is nearly a sedimentary origin river
delta sedimentary phase. The BeiHu hollow is divided into
six large sedimentary phases, i.e., I. Dry alluvial fan-shaped
sedimentary phase, II. Wet alluvial fan-shaped sedimentary
phase, III. Fan-shaped delta sedimentary phase, IV. Delta sed-
imentary phase, V. Normal lacustrine sedimentary phase. VI.
Salty lacustrine sedimentary phase. The depositional phases
were influenced by the palaeo-structure topography, palaeo-
climatology, sedimentary origin and palaeo-hydrology, etc.,
which indicates obviously regional, inheritable and gradual
characteristics.
sedimentary soft rock
Mudstone in the middle of the Nanning basin is classified as
Nanhu group, Licai group and Beihu group from the older to
the younger in sequence. In general natural state, the uniaxil
compressive strength is 525 MPa, or lower than the values
of 5 MPa. Basic characteristics of the mudstone are (1) short
diagenesis time, poor diagenesis, obvious variation of rock
character, low rock mass strength and weak cemented degree,
(2) Having many original micro-cracks on surface or inside,
but these micro-cracks stay stable until being dehydrated, or be
collapsed and softened when they are immersed in water, (3)
property of higher over-consolidation. The pre-consolidation
pressure is much higher than the quaternary over-consolidated
soil, (4) difficult to divide weathered zones. In geological sec-
tion, vertical distribution of the mudstone layers often appears
the phenomenon that the soft and hard interbeds are occurred
alternately, (5) preparing intact sample is difficult, and the
discrepancy of test data is remarkable. The mudstone often
breaks in preparing sample in a dry condition. Due to col-
lapsing and softening in the saturation condition, the strength
will become lower and it generally can not be adopted in
engineering practice.
It is obvious that the characteristics of mudstone are very
different comparing to hard rock and stiff soil.
2 ANALYSIS OF EXISTING PROBLEMS
2.1 Soft-hard rock interbeds and weathered zones
Because the particularity of sediment, not only the lithol-
ogy exchanges with each other, but also the soft and hard
interbeds appear in turn. The sedimentary sequence is nor-
mal and does not reverse in the Nanning basin. It is difficult
to explain the characteristics of such soft and hard interbeds

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by using concept of weathered degree as the depth increases.
For example, when a site investigation company carried out
drilling process in the Nanning basin, in order to explain the
lithology exchanges and interbeds, they divided the sequence
of sediment as unweathered, highly weathered, moderately
weathered, slightly weathered, etc. by weathered degree. Find-
ing out a simple and convenient classification method to take
place the classical weathered degree based method becomes
very important to explain the the lithology exchanges and
interbeds.

2.2 Soft rock disturbance and parameter variability

Geotechnical engineers often meet such a case, i.e., the actual
value of the soft rock strength (from experiments) is lower than
the theoretical prediction, sometimes the experimental result
is in a comparable level with soft soil. In the natural condi-
tion, the soft rock is more integrated than soil, therefore its Figure 1. Test pattern of mudstone.
mechanical property should be much better. However, the soft
rock expands, collapses and softens rapidly subject to water,
as the earth structure, mainly involves stability and the prob-
and the characteristics of soft rock change remarkablely, the
lem of environmental geotechnical engineering; thirdly, it is
mechanical properties also reduced significantly. Usually, it
taken as construction materials, mainly involves some prob-
has worse engineering characteristic subject to the conditions
lems of engineering characteristic. The two formers mainly
of wet and dry alternately. Therefore, research on the disturbed
do research on mechanics properties and the latter mainly
factors of soft rock and controlling the main factor, for exam-
does research on the problem about availability and engineer-
ple designing extra experimental method, has a comparable
ing characteristic. Although they have different emphasizing
significance for application in surface soft rock engineering,
points, they involve the same problem the water-stability of
for solving the problem such as discrete property, variability
the mudstone subjecting to water. Being good or bad of the soft
and unavailability of the experimental parameters as the result
rock water-stability is relevant directly to the fanout capability
of disturbance.
of itself engineering properties. In the project, the soft rock
often locates differently: One is in the shallow, which is often
2.3 Geotechnical borderline between rock and soil taken as the bearing stratum, earth structure such as slope etc.
and uncertainty of experiential method In such scope, mudstone locates in the depth of atmospheric
influence. It is easily affected by the external environment,
At present, when engineer decide experimental item, they
especially the water environment. Being good or bad of soft
often finish all experiments of rock and soil. The experimental
rocks water-stability will affect the engineering prosperities,
item mainly includes: bulk density, moisture, saturation, ratio,
the fanout capability of bearing capacity directly, therefore its
liquid limit, plastic limit, shrinkage, expansive and collapsing
very important to judge the water-stability of mudstone. The
experiments, shearing test, triaxial compressive test, compres-
other is in the deep location, which is taken as the bearing stra-
sive test, uniaxil compressive test, site shearing test and plate
tum of pile.The soft rock in such scope is out of atmospheric
load test etc. Moreover, we often still have to carry on some
influence, and it isnt affected easily by the external environ-
tests of chemical and mineral composition when we do special
ment. Being good or bad of soft rocks water-stability doesnt
research. Compared with soil experimental items, experimen-
influence the engineering prosperities directly. Therefore, its
tal items of soft rock doesnt has obvious difference. However,
not especially important to judge the water- stability of mud-
one confusion is that the soft rock should be considered as hard
stone in project working after construction. Considering the
rock or soil and how to make choice of the test items. It is diffi-
water-stability and the engineering location of mudstone, we
cult to decide for engineers and technicians. Looked from the
can do experiment of mudstone and judge the water-stability
aspect of weathering class, how to experiment, it is relevant
according to the pattern in Figure 1.
with the weather degree of soft rock. However, the division of
We can choose collapses experiment as the division crite-
weathering class and weathering zone is still a puzzle for soft
rion of the soil and rock borderline. In the collapses exper-
rock in our country at present, moreover, it still lacks assess
iment, sample of mudstone is air-dried, weighted and put it
criterion. Therefore, the engineers often judge the weather-
in water-ware, record the time of collapses completely and
ing class according to their subjective experience when it is
determine dry-saturated aquiferous ratio. In order to reflect
still unclear or cant be judged, so the first question engineers
the dry-wet circulation and mechanical disturbance frequently
faced is the division of soil and rock borderline, namely the
that the mudstone expands, shrinks, collapses, softens, weath-
division of rock and soil experiment borderline.
ers and disintegrates in the natural environment, we air-dry and
immerse the mudstone with several circulation experiments
for describing the disintegration characteristic of mudstone.
3 SOLUTION OF LABORATORY TEST
Sensitive mechanical properties of mudstone subjecting to
water had been tested, which conclusion is consistent with
3.1 Division criterion of geotechnical borderline
results of collapse experiment, therefore it is feasible to
The engineering location soft rock locates: firstly, it is taken take applicative collapse experiment as division criterion of
as the subgrade, mainly involves the bearing capacity problem mudstone geotechnical boundary:I. the method of collapse
of the shallow and the deep foundation; secondly, it is taken experiment can reflect the ingredient of mudstone, the nature

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of cementation, the structure and diagenesis. II. It can facilitate
the engineers and technicians to judge.
3.2 Design for the inchoative condition of test in lab
Mechanical disturbance and water have influence on the mud-
stone in the process of drilling borehole. Due to the existence
of disturbance, it make the mudstone stress to be released,
the natural structure to be destroyed, the strength to be attenu-
ated. Furthermore the mudstone natural water content changes
under subjecting to the water, interaction of the water and
mudstone have a series of physical chemistry reaction: the
mudstone ingredient and the structure are changed, state of the
structure and the stress causes variation, finally lead the rock
mechanics property to be deteriorated. Mudstone experimen-
tal parameter in lab show a big difference to the anticipated
result, parameter is too low, so that mudstone cant be used
as engineering subgrade. In order to solve this engineering
question, design a series of test methods in lab, for example
methods of recover the original stress condition of mudstone
and recover its real engineering property, so that we may look
for some methods for the reliability analysis of mudstone
parameter.
3.3 Restoration of the stress The consolidation and
the shearing test
Because the obtain of soft rock sample experienced distur-
bance and unloading. unloadrebound play a outstanding
function in this process, just like a sponge, when unloading,
it will rebound, deformation occur in vertical and horizon-
tal direction, the draw water of mudstone sample is like this
sponge, due to this behavior, it bring mudstone structure
variably, void ratio is enlarged, so the strength is reduced. In
order to eliminate the effect caused by this part of rebounce
deformation, pre-press is adopted in the test, be called as
pre-press consolidation test. In the shearing test, use triaxial
compressive test to consolidate the sample via exert surround
press, eliminate all kind of influence caused by the unloading,
recover the initial stress state.
3.4 Restoration of water disturbance- Non-loading
expansive rate test
In drilling borehole, water is another main factor besides the
mechanical disturbance. There is such kind of fact in the
borehole: water function and especially the expansive mud-
stone will produce deformation, while unload reboundance
will produce deformation too. Generally we dont consider its
influence in the lab test, and such deformation will have a
remarkable influence on the result of test. We can imitate the
process of drilling and deformation to be produced, analyses
the relation between the deformation to be produced by water
function and original stress after restoration. For example, we
can simulate reboundance quantity in mechanical disturbance
and the deformation quantity in water function.
3.5 Basic experimental principles
I. First principle: recover the initial structure state of mud-
stone; II. The second principle: considerate the main factor
which cause the destruction of mudstone initial structure.
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2007 Taylor & Francis Group, London, UK
Study the contribution made by primary and secondary fac-
tors, then discuss it systematically; III. The third principle:
the recover of structure damage should rely on vertical total
stress, over-compensation of stress will cause damages once
again; if mudstone is be in over-consolidated state, we will
make pre-consolidation pressure as the criterion of the restora-
tion of stress; IV. The fourth principle: try our best to make
use of national code and existing instrument adopted by
engineering company; V. The fifth principle: testing method
should be suitable for the operation, and dont increase the
experimental cost.
4 CONCLUSION
I. Due to the particularity and complexity of mudstone
composition, engineering characteristic and mechanical
property as well as various existing uncertain factor, the
reliability of mudstones parameter has always been ques-
tioned by engineer. Thus, the research on reliability of
mudstones parameter should integrate theory with testing
method, gain the key factor from the analysis of intrinsic
factor which including mudstone mechanics characteris-
tic, structural strength, material composition, etc., as well
as the external factor caused by environment, use the exist-
ing test means to recover the mudstones original structure
and gain the correlative parameter, then use probability
statistics theory to carry on the reliability analysis.
II. When formerly we carried on analysis on the geotechni-
cal engineering reliability, we often did statistic analysis
of the data, scarcely did comprehensive advanced analysis
of various factors such as experimental method and testing
means, the methods just only deals with data are unilateral.
All disturbed factors such as mechanical and waters func-
tion in drilling borehole, will bring important influence on
the mudstone mechanical property, structure, stress, energy
factor, etc., it is very important to improve experimental
method and instrumentation, thus these methods enhances
the reliability of mudstones parameter.
REFERENCES
Liu Chun-guang. The Development Characteristics of the Sedimen-
tary System in the Beihu Sag of the Nanning, Yunnan Geology,
1999, 18(3), 266274
Deng De-gui.Tertiary Sedimentary Phase in Nanning Basin, Guangxi
Geology, 1992, 5(2): 3034
Zhang Xin-gui, Yi Nian-ping. Research on the Bearing Properties of
Mudstone in Nanning Basin, Chinese Journal of Rock Mechanics
and Engineering, 2000, 19(3): 357360
Yi Nian-ping, Cai Shi-gan, Zhang Xin-gui. Basic Experimental
Model of Mudstone on Nanning District, Journal of Guili Techno-
logical Institute, 2002, 22(1): 3639
Qian Wei-wen, Deng Zhong-xin, Zhang Xin-gui. Problem of Mud-
stone Rock Ground, Journal of Guangxi University, 2003, 28(2),
155157
QuYong-xin. Activation and Cementing Function of Mudstone, Rock
Mass Engineering Geological Mechanical Question [M], Beijing:
Science Press, 1988
Ma Fu-rong, Zhang Xin-gui. Relationship Between Physical Charac-
ter and Strength of Mudstone of Tertiary in Nanning Basin, Rock
and Soil Mechanics, 2005, 26(S2): 123125
 Propagation of large, twinned fractures in shear a numerical investigation

Hossein Hakami
Itasca Geomekanik AB, Stockholm, Sweden

ABSTRACT: Large isolated fractures may happen to occur aligned or roughly so, separated by a portion of the host rock
often called a rock bridge. Depending on how failure is defined, a bridge as such may fail as a result of the change in the state
of in situ stress. Distinct Element program, 3DEC, was used to study the behaviour of the system fracture-bridge-fracture.
Fractures in question were circular in shape and were conditioned to propagate past their periphery, also into the rock bridge.
Clearly the size of a bridge is decisive whether or not it fails. However, even if a bridge did not fail; it remained mechanically
intact; the excessive loading would lead to the interconnectivity of the fractures, separated by a bridge, from a geohydrological
standpoint.

1 INTRODUCTION 2 CONDITIONS FOR PROPAGATION

A familiar two-dimensional picture from mapping of an
exposed surface of a rock mass at different scales almost
always shows a number of finite rock fractures together with
presumably intact rock parties in between, see, e.g., Shen
(1993). When groups of finite fractures tend to be aligned
or nearly so, the segments of intact rock that separate the frac-
tures are often called rock bridges. How intact rock bridges are
is a matter of definition. In reality they are less intact than what
one believes. This is simply because there exist quite a number
of minor fractures that are hidden, and a conventional surface
mapping cannot reveal those. In a real three-dimensional sit-
uation it may be somehow difficult to describe the geometry
of a rock bridge and therefore major simplifications would
normally be needed in a numerical study incorporating a rock
bridge.
The fracture mechanics of the system fracture bridge
fracture has been investigated by a number of investigators;
see for example Petit & Barquins (1988) and Shen, (1993). In
the context of repository design for final storage of radioac-
tive waste, a question that arises in relation to the safety of a
canister hole may tentatively be formulated as follows: could a
new episode of tectonic activity exert forces on rock bridges,
found at a candidate site, of such magnitudes that some of
those bridges fail?
Basically, the failure of a bridge in between two roughly
aligned finite fractures could mean that, at least, one new
fracture would propagate between the nearest tips of the
two fractures in question. Should this occur, the two newly
connected fractures may mechanically act as a larger single
fracture and, as a result, larger shear displacement may occur.
Assume a fracture with an approximate trace length of 100
meters, neighboring a canister hole, was looked upon as safe
from the view point of the mechanical integrity of a canis-
ter hole/canister. If the fracture were connected to a second
fracture of roughly the same size by tectonic forces, would
the newly-formed fracture endanger the safety of the canis-
ter/canister hole by a comparatively larger shear displacement
that it would be expected to undergo?
The set of conditions that allows propagation of a fracture tip
into the rock is not always met within a natural rock mass.
In a typical situation, the shear displacement of a fracture is
accompanied by the deformation of the two opposite frac-
ture surfaces and the resultant displacement-deformation is
accommodated within the fixed boundaries of the fracture. No
enlargement beyond the fracture outline takes place. The set of
conditions, however, may happen to allow propagation. This
certainly calls for a closer look at the propagated part. Propa-
gation of larger geological structures has usually been studied
under predominantly in plane Mode II of loading , see Segall
& Pollard (1980), Petit & Barquins (1988) and Li (1991).
In a previous study that included the use of the three
dimensional Distinct Element code 3DEC, Itasca (2003), the
conditions that would allow the propagation of a large, circu-
lar fracture periphery into the surrounding rock was studied,
see Hakami (2006). The virtual rock and the large fracture
contained in the numerical model were, pre-conditioned such
that the extension of the fracture would be possible.
The pre-conditioning of the surrounding rock was made
based on the following premises
The propagation of the circular fracture was bound to take
place in the plane of the fracture.
The formation of a Propagation Bed, much larger than
the fracture limits, preceded the emergence of the circular
fracture.
The strength of the Propagation Bed, which, compared with
the rock mass, is reduced by a larger number of cracks and
micro cracks, may be described by its inherent cohesion.
In contrast to the apparent cohesion, the inherent cohesion
is the true cohesion that a rock, here the rock contained in the
Propagation Bed, is able to secure, before a fully localized
shear fracture emerges out of that rock.
Upon the encroachment of the driving force, prevailing at
the tip of the circular fracture, onto the surrounding rock, the
inherent cohesion of the Propagation Bed is lost. The loss
of inherent cohesion is immediately followed by frictional

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 Figure 3. Sketch showing two circular fractures , bridge in between
and the definition of the bridge width.

Figure 1. An illustration of the conditions for the localisation of a

fracture and its subsequent propagation: (a) Propagation Bed, (b) Cre-
ation of the fracture and (c) Propagation of the fracture. Simplified
sketches at the lower half of the figure show how the process was
incorporated into the numerical model.

Inherent
cohesion

Figure 4. The shear displacement contours across the plane includ-

ing the two fractures with a diameter of 100 m each. Maximum shear
displacement of around 20 mm occurred at the central area of the
Tensile strength fractures.

included two circular fractures, both belonging to the same

oblique plane with a dip of 40 degrees and striking at right
Uniaxial compressive strength angle to the direction of the major principal stress 1 .As shown
in Figure 3, the distance between the two nearest tips of the
two fractures, here may be called the Bridge Width, enters the
Figure 2. A tentative definition of the inherent cohesion. From the
range shown, selected values entered the numerical computations.
computations as an input parameter.
Assume that the two circular fractures have a diameter of
forces being mobilized, and the newly-extended portion of 100 meters each. After some introductory analyses, a Bridge
the circular fracture behaves thereupon following the Mohr- Width of 60 meters was chosen to lie between the two fractures
Coulomb criterion. in the numerical model.
The input parameters selected were as follows:
Figure 1 is an illustration of the progress in the formation of (a) Rock Mass
a fracture and its subsequent extension. Simplifications were ERock mass = 40 GPa
made to include the process in the numerical model. (b) Fracture properties and size
Inherent cohesion, which indeed is the adhesion between Fracture Diameter = 100 m
the grains of, e.g. a rock, is difficult to measure. Yet standard Kn = 1 GPa/m
tests such as uniaxial compressive strength and uniaxial tensile Ks = 0.3 GPa/m
strength (may also be obtained indirectly by Brazilian test) = 20
yield values that may be considered as measures of the inherent (c) Bridge
cohesion of a rock. Kn = 10 GPa/m
Figure 2 shows the range of values for the inherent cohe- Ks = 3 GPa/m
sion, a selection of which may be made in order to enter the = 25
numerical computations.
The expressions defining the in-situ stress field, valid for a
depth range of 350650 m, were borrowed from SKB, 2005:
3 THIS STUDY

In this study, a simple geometry was incorporated into a 3DEC,

Itasca (2003) numerical simulation. The geometry chosen

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A hydrostatic pore pressure was included in the numeri-
cal model. The centre of the model block had a depth of
500 m; a depth relevant for the placement of a repository in
Sweden.
Figure 4 shows the contours of the shear displacements
across the plane containing the extended fractures. It is clear
from the displacement contours that the two fractures are being
sheared independently; larger shear displacements of around
20 mm occur at and around the centre of each fracture. The
bridge, even though suffering from some damage (see later),
does not fail mechanically.
In the next analysis performed the Bridge Width was
reduced to 30 meters. The results showed that the bridge failed (a)
in the sense that the two fractures involved became inter-
connected through a newly formed fracture and proceeded
to behave as a single fracture. Figure 5 shows how the inter-
connection went on. To some extent, the two fractures behaved
independently, but further shearing forced the two fractures to
join and behave as if only one fracture existed.

4 DISCUSSION

It is informative to make comparisons between the maximum

shear displacement a single, propagating fracture undergoes
and the case where the same fracture is a member of the sys-
tem fracture-bridge-fracture. Choosing one circular fracture
with a diameter of 100 m which was set to propagate under
an identical set of parameters as for the case of two fractures (b)
separated by a bridge with a width of 60 m it was noted
that the maximum shear displacement was nearly 25 mm.
This is to compare with a maximum shear displacement of
nearly 19 mm, where the fracture was a member of the system
fracture-bridge-fracture (Figure 4). It should be evident that
the discrepancy has to do with the fact that the same reserve of
energy stored in two identical model blocks, containing one
and two fractures was expended on propagating/displacing
one and two fractures respectively.
Despite the fact that the analysis incorporating a bridge with
a width of 60 meters shows that the bridge does not fail; i.e.
the two fractures involved remain to behave independently,
it is informative to look for how far from the initial outlines
the propagations associated with the two fractures may have
reached.
Figure 6 shows the shear displacement contours taken
from the same analysis but plotted in the narrow range of (c)
0.00.85 mm. It is interesting to note that the propagation has
indeed proceeded in form of patches sheared not more than
on average about 0.15 mm and that the two fractures have
been interconnected by two of those patches. This connec-
tivity, which was noticed had no effect on the mechanical
integrity of the bridge, could result in hydraulic connectiv-
ity. One would perhaps become concern about the role such
hydraulic inter-connectivity may play as regards the safety of
a canister hole/canister.
Trying to translate the above finding which so far is just
a product of the numerical investigation reported to the
sphere of natural rock fractures, one may speculate that a nat-
ural fracture that evidently has extended beyond its outermost
boundary may even have propagated to a much larger area,
without the propagation being detected by the naked eye. One
should then make a distinction between visible and invisible (d)
parts of a propagated fracture in order to draw conclusions out
of a wider perspective. Figure 5. (a), (b), (c) and (d). Sequential stages in failure of a bridge.
The bridge had a width of 30 meters.

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2007 Taylor & Francis Group, London, UK

 REFERENCES

Hakami, H. 2006. 4th Asian Rock Mechanics Symposium, ed.

C. F. Leung & Y. X. Zhou, Singapore. Published by Word
Scientific.
Itasca. 2003. 3DEC manuals, Itasca Consulting Group Inc. Min-
neapolis, USA.
Li, V. C. 1991. Mechanics of shear rupture applied to earthquake
zones. In Atkinson, K. B (ed). Fracture mechanics of rock.
Academic Press, London. : 351428.
Petit, J-P, Barquins, M. 1988. Can natural faults propagate under
mode ii conditions? Tectonics, 7(6), 12431256.
Segall, P. & Pollard, D.D. 1980. Mechanics of discontinuous faults.
J. geophys. Res 85, 43374350.
Shen, B. 1993. Mechanics of fractures and intervening bridges in hard
rock. Doctoral thesis, Royal Institute of Technology, Stockholm,
Sweden.
Figure 6. Shear displacement contours of the same two fractures
SKB. 2005. preliminary site description, Forsmark area version
as shown on Figure 4. Because of the very small range of shear
1.2. Swedish Nuclear Fuel and Waste Management Co, Report
displacements deliberately chosen (less than one mm), the contours
R-05-18, Stockholm, Sweden.
of the much larger displacements occurring at the central parts of
the fractures (larger than few mm) are plotted erroneously and were
removed from the figure.

ACKNOWLEDGEMENT

This work was financed by the Swedish Nuclear Waste

Management Co (SKB), contract 10008.

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 Real-time CT testing of rock damage evolution mechanism under triaxial compression

Xiurun Ge
Key Laboratory of Rock and Soil Mechanics, Institute of Rock and Soil Mechanincs, CAS, Wuhan, Hubei, China
Institutive of Geotechical Mechanics and Engineering, Shanghai Jiaotong University, Shanghai, China

Jianxi Ren
School of Architecture and Civil Engineering, Xian University of Science and Technology, Xian, Shaanxi, China

ABSTRACT: In this paper, specified triaxial loading equipment corresponding to the X-ray computerized tomography (CT)
machine has been developed. It can be used to accomplish meso-damage evolution CT real in time testing of rock, soil, frozen
rock, frozen soil and ice under triaxial compression loading, unloading, fatigue and creep stress state. The real-time CT testing
of the meso-damage propagation law of the whole sandstone failure process under triaxial compression has been completed
using the above equipment. Through the CT scanning, the clear CT images, which include from the microcracks compressed
stage to growth stage, bifurcation stage, development stage, crack fracture stage, the rock sample failure until to unloading
stage in the different stress states were obtained. The CT values, CT images and the other data have been analyzed. Based on
the results of the CT testing of meso-damage evolution law of rock, the stress threshold value of meso-damage of rock is given,
and the stress-strain complete process curve of rock is divided into 5 segments. The initial rock damage propagation law is
given in this paper.

1 INTRODUCTION 1 2 3 4 5 6

The study of rock damage mechanics is, at present, one

of the important topics in rock mechanics (Dragon and
Mroz, 1979). Meso-testing provides an experimental basis
for macro-damage theory and helps in the understanding of
the rock damage mechanism when using either the scanned
electronic microscope or the optical microscope; the com-
puterized tomography(CT) technique has many advantages in
non-destructive scanning,designation of multiple planes, and
introduction of international standard specimens.
Yang et al. (1998) and Kawakata et al. (1997) conducted
studies on the initial meso-damage properties of rocks by using
CT scanning and discussed the characters of damage propa-
gation. It should be noted that the experimental studies were
performed on specimens that were pre-damaged by using a
MTS testing machine. Obviously, such a CT scanning pro-
cedure is not carried out under real-time and the unloading
procedure used has considerable effects on CT examination
results.
It is the purpose of the present technical note to develop a
real-time CT scanning equipment to be used for studying the
damage evolution law of rocks during triaxial compression
tests. No reports have been published on the subject so far
and the testing method described is to be considered highly
innovative in rock mechanics.
2 SPECIAL TRIAXIAL LOADING EQUIPMENT
2.1 Principle
The main parts of CT testing system consist of cold bathing
control sub-system, displacement and loading control sub-
system, triaxial chamber and image processing sub-system
(Figure 1). It allows one to perform a real-time examination
7
8
9
10
12 11
13
14
15
1. cold bathing control sub-system 2. displacement and loading con-
trol sub-system 3. scan frame of CT machine 4. X-ray source 5.
sample installing tank 6. loading sensor 7. CT mold/data convertor
8. sample 9. scan section 10. pressure head 11. triaxial chamber 12.
detector 13. image processing sub-system 14. displacement sensor
15. testing platform
Figure 1. Principle of special triaxial loading testing equipment.
of rock or soil specimens subjected to triaxial compres-
sion in normal or below-zero temperature environments. A
tomograph is employed to perform a multi-plane damage
examination by CT images of a given special cross-section
at different stress levels. A real 3-D image is made to describe
the damage configuration of a rock specimen by using a re-
building technique of images. The cylinders used for testing
are 50 mm in diameter and 100 mm in length.
The triaxial testing chamber is 240 mm in diameter and
1000 mm in height. It was designed for 400 kN axial com-
pression load and a 20 MPa confining pressure. The chamber
is placed in the scanning area of the tomograph in order to
reduce the effect of chamber material on the scanning results.

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2007 Taylor & Francis Group, London, UK

Table 1. Kinds of CT testing of special triaxial loading testing
equipment.
Media Rock, soil, frozen rock, frozen soil, ice
Temperature Normal atmospheric temperature,
negative temperature
Loading method Successive compression loading,
unloading, fatigue loading, creep loading
Confining pressure Triaxial, uniaxial
Figure 2. Photo of real-time CT testing scene.
It is made of top-quality light metal of LY12a kind of
carbide for aeroplane manufacture. The triaxial testing cham-
ber is designed by the CT unit of the State Key Laboratory of
China Frozen Soil Engineering.
A X-ray spiral tomograph of SIEMENS SOMATOM plus
type, having a spatial resolution of 0.35 mm 0.35 mm, capa-
ble of identifying a minimum volume of 0.12 mm3 (1 mm in
layer thickness) with the resolution of density contrast being
0.3%(3Hu), is used for the CT equipment. The above resolu-
tion meets the requirement of lower size limit(104 m)that is
necessary for meso mechanics experiments.
2.2 Function
The above special triaxial loading testing equipment can be
used to accomplished many kinds of CT testing (Table 1).
2.3 Testing method
The testing chamber is placed horizontally on a bed and the
rock specimen is positioned within the scanning limits of the
CT unit (Figure 2). The difference section can be scanned in
difference stress-strain state in the processing of loading of
sample. The change law of CT images and CT number of
sample can be researched.
It is advisable to carry out a series of tests in a stiff testing
machine before performing the meso CT tests, given the cost
of CT examination.
Comparing to the CT testing in normal atmospheric tem-
perature, the difference point of CT testing in negative tem-
perature is that it is needed negative temperature condition by
the cold bathing control sub-system.
2.4 Testing results
Using the above equipment, the large CT real-time testing of
meso-damage evolution of rock,soil,frozen rock,frozen soil
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2007 Taylor & Francis Group, London, UK
Figure 3. Scan section position with the rock sample.
and ice have been accomplished (Ge et al ,2004). The damage
variable based on CT number is given. The concept of CT
number reduction rate is defined. The estimate formula of
width of CT crack is given. The equation of rock damage
evolution and constitutive is created (Ge et al, 1999, 2004).
The results of the meso-damage propagation mechanism of
sandstone under triaxial loading compression will be showed
in the following fragment.
3 REAL-TIME EXPERIMENTS OF ROCK
DAMAGE PROPAGATION
3.1 Procedure and method
In order to increase reliability and allow for appropriate com-
parison of data, all the specimens to be tested should be as
far as possible homogeneous in nature. For this reason, both
sampling and specimen preparation need to be performed in
strictly controlled conditions by overcoving from a large size
rock block and by avoiding any possible disturbance.
The sandstone blocks used in this work were sampled from
the Nanqiao Coal Mine of Pubai Mining Bureau, Shanxi
Province. The real-time CT scanning experiments were per-
formed on sandstone specimens under triaxial compression
testing conditions. Four tomographic planes were selected for
each specimen, as shown in Figure 3, where numbers 1, 2, 3
and 4 indicate these planes. During loading, the real-time CT
scanning was performed on the tomographic planes for vari-
ous loading levels; the variation in image during the complete
loading process (fracture initiation, branching development
and failure) of each tomographic plane has been carefully
observed, in order study the damage mechanism from the point
of meso scale.
3.2 Interpretation of testing results
Taking as an example the sandstone specimen No. 5, the results
obtained with be illustrated in the following. The test was car-
ried out in closely controlled conditions with a static rate of
2.75 105 /s and 55 minutes duration. The fifth generation of
spiral CT unit was employed for testing. This tomograph has a
stronger parallel processing capacity, so that the scanning on a
certain tomographic plane starts when the scanning on the pre-
vious plane has not been completed.Accordingly, the scanning
of all the four cross-sections can be performed almost simul-
taneously within a short time. If the old CT unit had been used,
the scanning work would have required a couple of minutes; in
Table 2. Stress state corresponding to each scanning on specimen
No.5 (2 = 3 = 10 MPa).

Sequence of
scanning 1 /MPa 1 3 /MPa 1 / Remarks

1 11.88 1.88 0.63

2 22.63 12.63 2.5 a. 1 = 35.92 MPa b. 1 = 45.66 MPa c. 1 = 48.85 MPa
3 35.92 25.92 5.0 Threshold
value
4 45.66 35.66 6.9
5 48.85 38.85 7.6
6 49.47 39.47 7.9
7 51.71 41.71 8.5
8 40.79 30.79 11.6 Unloading
d. 1 = 49.47MPa e. 1 = 5171MPa f. 1 = 40.79 MPa
Note: 1 :axial stress, 2 , 3 : confining pressure, 1 : axial strain.
Figure 4. CT images of section 1 after threshold value.

Table 3. Testing results (1).

50.00
1/MPa
Sequence of 1st scan section 2nd scan section
scanning CT number/variance CT number/variance 40.00 7
56
1 1625.6/98.95 1630.0/102.07 4

axial stress
30.00 8
2 1626.6/104.52 1633.6/104.51
3 1627.6/105.50 1634.3/104.74 3
4 1626.6/105.63 1634.2/102.19 20.00
5 1625.9/104.35 1632.0/101.07
6 1624.5/101.54 1627.4/100.71 2
7 1622.9/97.53 1621.5/99.87 10.00
8 1609.9/91.56 1604.3/113.37
1
0.00
0.00 4.00 8.00 12.00
axial strain (1/)
Table 4. Testing results (2).
Figure 5. Stress state corresponding to each scanning condition.
Sequence of 3rd scan section 4th scan section
scanning CT number/variance CT number/variance
1620.00
1 1592.6/105.01 1582.3/172.03 3 4
2 1598.2/105.10 1583.5/172.86 2 5
1610.00 1 B
3 1601.1/104.94 1584.5/166.57 A 6
axial stress

4 1602.3/104.07 1585.2/166.76 O C
7
5 1601.9/101.05 1584.8/166.67 D
1600.00
6 1596.7/97.11 1581.5/165.44
7 1591.0/98.84 1578.7/165.74
8 1576.9/115.51 1565.4/183.29 1590.00 8
E

other words, the continuous evolution of rock damage within
this time internal would have had serious effects on both qual-
ity and realism of CT images (corresponding to a given state
of stress). The stress conditions corresponding to an 8-time
scanning sequence on sandstone specimen No.5 are shown in
Table 2. The CT testing results can be found in Tables 3, 4.
The CT images can be found in Figure 4. The complete stress-
strain curve obtained during testing of the same specimen is
illustrated in Figure 5,where also shown are the numbers 1 to 8
which give the scanning sequence. In the meantime, the num-
bers 1 to 8 which denote the scanning sequence of specimen
No.5 is shown in Figure 5. Figure 6 is the change law of CT
number of specimen No.5. It is observed that the stress-strain
complete process curve of rock can be divided into 5 segments
based on CT number change law (Figure 7).
The first stage (OA segment in Figures 6 and 7) is inter-
preted as damage weakening. In this stage, axial stress 1
increases from 11.88 MPa to 22.63 MPa; the CT number of
1580.00
0.00 4.00 8.00 12.00
axial strain (1/)
Figure 6. Relationship between scanning condition and change law
of CT number.
four tomographic sections or the CT number of the rock
specimens (mean value of four tomographic CT numbers)
increases, initial micro-cracks and void (primary damage)
close, to cause closing-up and increment of density (the image
is omitted owing to limited space).
During the second stage (AB segment in Figures 6 and 7),
1 increases from 22.63 MPa to 35.92 MPa. We can see that
both the CT number and its variance keep nearly constant as
the rock is in elastic deformation. As shown in Figure 4a, the
initiation and branching of a small number of cracks appear
just when 1 = 35.92 MPa. It is the stress threshold values of
specimen No. 5.

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2007 Taylor & Francis Group, London, UK


D
1/MPa
C The specified triaxial loading equipment used to study meso-
B
E have been successful developed. The measurement of real-
A time CT testing does provide an innovative testing method for
O
1/
Figure 7. Segment of stress-strain whole process curve.
The third stage (BC segment in Figures 6 and 7) starts
after stage 2 and ends when the threshold value increases
to 49.47 MPa,i.e., it is the stress value where damage evolu-
tion starts and develops in a stable manner. When 1 reaches
45.66 MPa, the CT number of the first and second tomo-
graphic sections decreases and extension and branching of
original cracks take place accompanied by initiation of new
cracks, as shown in Figure 4b. This is interpreted as an indica-
tion of crack initiation, as shown in the last scanningbright
points (lower density areas) arise locally on the scanned sec-
tion. In the meantime, the CT number of the third and fourth
scanned sections increases a little, accompanied by crack
initiation, which results in inhomogeneity in damage evo-
lution as obtained from meso experimental results. When
1 = 48.85 MPa (Figure 4c), the cracks initiating in the pre-
vious stage start extending, with a number of new cracks
initiating simultaneously when the CT number of all scanned
sections starts to decrease. Besides, variance of CT number
has somewhat increased and micro cracks initiate and develop
in the rock specimen.
In the fourth stage (CD segment in Figures 6 and 7) damage
develops rapidly. As shown in Figure 4e with an increment of
1 from 49.47 MPa to 51.71 MPa, a great number of micro-
cracks in each tomographic section penetrate into each other,
showing an indication of failure. In this stage, the damage
of rock specimen develops rapidly. When 1 = 53.12 MPa,
i.e. when the peak axial strength is reached, the cracks pene-
trate through the specimen completely and the CT scanning
fails due to rapid decrease of stress. In this stage, the CT
number decreases at a higher velocity, the increment in vari-
ance increases, the micro-cracks go through the specimen and
micro joints appear, and the rock specimen quickly reaches its
peak strength.
In the fifth or final stage (DE segment in Figures 6 and
7), post damage (after peak value) develops rapidly. When
1 is unloaded from c1 (peak value) to 40.79 MPa, several
major thoroughgoing joints are widened, as shown in Figure
4f. We have observed at this stage a sudden decrease in the
CT number, with a variance increase up to ten times. The
2007 Taylor & Francis Group, London, UK
resultant macro joints open rapidly and the rock specimen
dilates abruptly in volume.
4 DISCUSSION AND CONCLUSIONS
damage evolution law of geotechnical media under different
loading conditions corresponding to the X-ray CT machine
study of the damage mechanism of rock and soil at a meso-
size level. Experiments have shown that it is an advanced and
feasible testing method and it will strongly enhance the devel-
opment of testing techniques for damage mechanics of rock
and soil. Furthermore, the development of advanced meso-
testing technique provides an important experimental basis
for study of macro-damage theory of rock and soil.
The above triaxial CT testing gave clear images of the
micro voids development of rock material in such steps as
closing-up of voids, fracture initiation, branching, develop-
ment of micro-cracks, rupture, failure and unloading. The
results showed that the damage evolution of rock is a non-
linear dynamic process. In the fact, rock is a typical material
that has been damaged originally and its damage evolution
manifests itself in localization and inhomogeneity. The test
results are satisfactory.
According to the results obtained from the meso-testing for
rock damage evolution, the threshold value of stress damage
of rock has been given and the stress-strain curve of rocks has
been divided into five stages. This quantitative division is very
important to the establishment of a stage-wise constitutive
model and damage evolution of rocks.
ACKNOWLEDGEMENT
Financial support from the National Natural Science Founda-
tion of China under grant No.10172057 and No.10202019 is
gratefully acknowledged.
REFERENCES
Dragon, A. & Mroz, Z. 1979. A continuum model for plastic brittle
behavior of rock and concrete. Int. J. Eng. Sci., 17(1): 121137.
Ge, X.R., Ren, J.X., Pu, Y.B., Ma, W., Zhu, Y.L., 1999. A real in
time CT triaxial testing study of meso damage evolution law of
coal, Chinese Journal of Rock Mechanics and Engineering, 18(5),
497502.
Ge, X.R., Ren, J.X., Pu, Y.B., Ma, W., Sun, H., 2004. Macro and
meso testing study on damage mechanics of geotechnical media.
Beijing:Science Press.
KawaKata, H., Cho, A. T.,Yanagidani, M.S., et al. 1997.:The observa-
tions of faulting in Westerly granite under triaxial compression by
X-ray CT scan. Int. Journal. Rock Mechanics and Mining Science.
34 (34), 151162.
Yang, G.S. & Zhang, C.Q. 1998: Rock masses damage and identifi-
cation, Xian: Shaanxi Science and Technology Press.
406
 Recent developments for automatic identification of rock discontinuity sets

R. Jimenez-Rodriguez
ETS Caminos, C. y P. Universidad Politecnica de Madrid, Spain

C.D. Klose
Lamont-Doherty Earth Observatory at Columbia University, USA

ABSTRACT: We discuss recent developments for automatic identification of rock discontinuity sets based on their orientation.
In particular, two methods are compared: a fast and mathematically self-consistent vector quantization approach, and a spectral
clustering approach that performs a transformation into a space where clustering is more easily performed using fuzzy K-
means. Both methods minimize human interaction and do not require calculation of contour density plots. Performance is
studied using artificial and real-world data sets commonly employed as benchmarks for clustering algorithms of orientation
data. Results show that both algorithms provide very similar clustering parameters both for cluster mean values and assignments
of discontinuities to each cluster.

1 INTRODUCTION Table 1. Clustering results of the synthetic data set: Direction of

mean vectors for each discontinuity set.
The analysis of directional data of discontinuity orientations
to identify discontinuity sets is a fundamental problem in the Vector Fuzzy Fuzzy
Set Generation quantization spectral K-means
characterization of rock masses for engineering applications
and in other geological disciplines (see e.g., Priest 1993a, 1 () 110/45 113/44 110/44 110/45
Klose et al. 2005). 2 () 000/45 002/45 000/44 000/44
A wide variety of methods have been proposed to clus- 3 () 200/10 196/10 195/12 196/10
ter discontinuities based on their orientations. Stereographic 4 (+) 110/01 114/02 109/02 110/03
plots obtained using techniques for hemispherical projection
of discontinuity poles (i.e., unit vectors normal to rock discon-
Grouping is achieved by minimizing the average distance
tinuities), have been commonly used for visual identification
between the data points and the average values which charac-
of discontinuity sets; visual identification is performed on
terize the cluster to which the data points belong. No heuristics
density contour plots computed by counting the number of
is being used because the grouping of data points, the binary
poles that fall inside a reference circle (see e.g., Schmidt 1925,
assignment of new data points to clusters, and the calcula-
Priest 1985, 1993b). However, counting methods are cumber-
tion of the average cluster values are based on the same cost
some due to sampling biases (see e.g., Terzaghi 1965, Priest
function.
1993b), to variability of contouring results with the size of the
The vector quantization approach assumes that each data
counting circle (Harrison 1992), and to the influence of the
point xk , k = 1, . . . , N , belongs to only one discontinuity
observers subjectivity.
set w l , l = 1, . . . , M . The distance measure d(x,w)
 between
More recently, there have been efforts for the develop-
two pole vectors x and w  must then satisfy the following
ment of methods for automatic identification of discon-
conditions:
tinuity sets that overcome the aforementioned difficulties
of the contour plot counting methods: the vector quantiza-  = min , x and w
1. d(x, w)  are equally directed parallel
tion approach developed by Klose et al. (2005) (see also vectors, i.e., xT w = 1.
Klose 2004) and the spectral clustering approach discussed  = max , x and w
2. d(x, w)  are orthogonal vectors, i.e.,
by Jimenez-Rodriguez & Sitar (2006) (see also Ng et al. xT w
 = 0.
2002, Jimenez-Rodriguez 2006). To illustrate the performance  1 ) = d(x, w
3. d(x, w  2 ) if w
 1 and w 2 are antiparallel vectors,
of these clustering algorithms, we work with a randomly  2 = w
i.e., w  1.
generated toy data set with four isotropic clusters of poles
The arc-length between poles on the unit sphere is proposed
employed by Klose et al. (2005). Mean orientations of fami-
as the distance measure, i.e.,
lies used for generation of the synthetic data set are listed in
Table 1. Furthermore, we also work with discontinuity orienta-
tions corresponding to three discontinuity sets at San Manual
copper mine in Arizona, USA (Shanley & Mahtab 1976). where |.| denotes the absolute value. The average dissimilarity
between the data points and the pole vectors of the directional
2 THE VECTOR QUANTIZATION APPROACH data they belong to is given by

In the vector quantization algorithm (Klose et al. 2005),

directional data are grouped into disjoint isotropic clusters.

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2007 Taylor & Francis Group, London, UK

Figure 1. Discontinuity sets computed with different clustering methods for the synthetic data set in Klose et al. (2005).
from which we calculate the optimal partition by minimizing
the cost function E, i.e.,
Minimization is performed iteratively in two steps. In the
first step, the cost function E is minimized with respect to the
assignment variables {mlk } using
In the second step, cost E is minimized with respect to the
angles   l = (l , l )T which describe the average pole vectors
 l . This is done by evaluating E/
w  where 0 is a zero
 l = 0,

vector with respect to 1 = (l , l ) . This iterative procedure
T
is called batch learning and converges to a minimum of the
cost, because E can never increase and is bounded from below.
3 THE SPECTRAL CLUSTERING APPROACH
The algorithm for spectral clustering of rock discontinu-
ity orientations groups discontinuities using eigenvectors of
similarity matrices derived from the data. We use the sine
of the acute angle between discontinuity poles as a mea-
sure of their similarity. Such sine-based distance results in
d 2 (x1, x2) = 1 (xT1 x2 )2 (Hammah & Curran 1999).
Here, we present a short description of the spectral cluster-
ing approach for clustering of rock discontinuity sets. (For
further details of why the algorithm works, see Ng et al.
(2002).) Assuming N observed rock discontinuity orienta-
tions to be clustered into K sets, the spectral clustering
algorithm performs an initial transformation of observations
to a K-dimensional space where the transformed points are
expected to cluster around K well separated points. The
partitions in the transformed space correspond to the par-
titions in the original space (Ng et al. 2002); therefore, it
is easier to perform clustering in the transformed space and
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2007 Taylor & Francis Group, London, UK
then assign the computed partition labels to the correspond-
ing discontinuity measurements in the original space. (The
algorithm has been shown to provide good clustering results
even in non-standard cases; see Jimenez-Rodriguez & Sitar
(2006).) Clustering can be performed in the transformed space
by any algorithm that partitions the data into K groups, such
as K-means (Jimenez-Rodriguez & Sitar 2006) or fuzzy K-
means (Jimenez-Rodriguez 2006). The advantage of using
fuzzy K-means is that we can compute estimates of the uncer-
tainty of the assignments i.e., degrees of membership to
each discontinuity set that can be regarded as probabilities
to be exploited in simulations using Monte Carlo sampling
(Munier 2006).
4 RESULTS
Figures 1(a) and 1(b) show clustering results of the synthetic
data set of four discontinuity sets (i.e., K = 4). Figure 1(c)
illustrates the partitions computed using fuzzy K-means (in
the original space of discontinuity orientations) with the Kent-
based distance metric (Hammah & Curran 1998). Similarly,
Figures 2(a) and 2(b) present the partitions of San Manual
mine data set into three discontinuity sets (i.e., K = 3) per-
formed with the same algorithms. Estimates of the uncertainty
of the fuzzy assignments are represented in Figures 1 and 2
by means of the gray scale shown in Figure 3.
Tables 1 and 2 list the average directions (in trend/plunge
notation) and numbers of assigned data points of each discon-
tinuity set identified in the synthetic data set. The average
directions used for numerical generation of the data sets
are indicated as well. Tables 3 and 4 show the computed
average directions and numbers of assigned data points for
the San Manual mine data set. The fuzzy spectral method
allows degrees of membership of observations to discontinu-
ity sets, whereas, the vector quantization algorithm considers
clear (crisp) assignments of observations to discontinuity
sets. When available, average directions are computed con-
sidering information about degrees of membership of fuzzy
assignments.
Figure 2. Discontinuity sets computed with different clustering methods for the San Manual Mine data set.

5 DISCUSSION AND CONCLUSIONS

Some recent developments of methods for automatic cluster-

ing of rock discontinuity sets that minimize human interaction
and do not require calculation of contour density plots are
Figure 3. Gray-scale representation of degrees of membership of
presented. Particular emphasis is made to the comparison
discontinuities to each set.
of the vector quantization algorithm (Klose et al. 2005) and
the spectral clustering algorithm (Jimenez-Rodriguez & Sitar
2006).
Table 2. Clustering results of the synthetic data set: Number of The performance of the algorithms is studied using two data
assigned data points for each discontinuity set.
sets commonly employed as a benchmark for discontinuity
Vector Fuzzy Fuzzy clustering algorithms. Results show that both algorithms pro-
Set Generation quantization spectral K-means vide very similar clustering parameters both for cluster mean
values and assignments of discontinuities to each cluster. The
1 () 100 101 100 101 mean directions show higher variabilities. (Note that mean
2 () 100 100 100 100 directions have been computed using information regarding
3 () 20 19 20 19 degrees of memberships of fuzzy assignments, when avail-
4 (+) 20 20 20 20 able.) However, these difference are not considered to be
significant in most engineering applications.
The vector quantization algorithm is fast and based on a
new and mathematically self-consistent approach. No heuris-
Table 3. Clustering results of the San Manual mine data set: tics is being used, because the grouping of data points, the
Direction of mean vectors for each discontinuity set. binary assignment of new data points to clusters, and the cal-
culation of the average cluster values are based on the same
Shanley Vector Fuzzy Fuzzy cost function.
Set & Mahtab quantization spectral K-means The spectral clustering algorithm can be coded easily and
1 () 072/14 068/15 073/12 070/10
efficiently using common software for numerical analysis.
2 () 163/14 171/10 167/08 166/09 Spectral clustering performs a transformation into a space
3 () 303/81 310/73 305/75 308/73 where clustering is more easily performed. The algorithm can
be employed in conjunction with fuzzy K-means to perform
clustering (in the transformed space) that provides crispier
partitions (i.e., lower uncertainties in the assignments) than
those computed using fuzzy K-means in the original space of
Table 4. Clustering results of the San Manual mine data set: Number
discontinuity orientations.
of assigned data points for each discontinuity set.

Shanley Vector Fuzzy Fuzzy

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Terzaghi, R. D. 1965. Sources of errors in joint surveys. Geotech-
nique, 15: 287304.
 Sensitivity analysis of the Hoek-Diederichs rock mass deformation
modulus estimating formula

P. Vn
Department of Theoretical Physics, Research Institute for Particle and Nuclear Physics, HAS, Budapest, Hungary
Bergen Computational Physics Laboratory, BCCS, Bergen, Norway

B. Vsrhelyi
Dept. Engng. Mat. & Engng. Geol., Budapest University of Technology and Economics, Budapest, Hungary

ABSTRACT: There are several empirical formulas in the literature to determine the rock mass modulus (Erm ) from rock
mass classification (ie. from RMR, Q, GSI or RMi values). Recently, Hoek and Diederichs (2006) examined a large set of
field measurement data and suggested new formulas to estimate the deformation modulus of the rock mass (Erm ), using the
Geological Strength Index (GSI ) and the disturbance factor (D).Their formula is based on the observation that a sigmoid function
can be fitted well, both for the usual test data of empirical estimation formulas and for the larger data set of measurements.
Determination both the GSI and the disturbance factor (D) are mostly subjective, thus it is important to know how sensitive
Erm measurements using the published Hoek-Diederichs equations are as a consequence of this subjectivity. The goal of this
paper is to determine the sensitivity of these equations.

1 INTRODUCTION modulus empirical equations (summarized and analyzed them

All in situ deformation tests are expensive, often difficult to
measure and time-consuming. Because of this, the modulus
of deformation is often estimated indirectly from observa-
tions of relevant rock mass classification systems such as
Rock Mass Rate (RMR, introduced by Bieniawski, 1973),
Tunneling Quality Index (Q, see Barton et al. 1974), Rock
Mass index (RMi, developed by Palmstrm, 1995) and Geo-
logical Strength Index (GSI, published firstly Hoek et al.
1995). Palmstrm and Singh (2001) compared these empirical
relationships, determining the validity of them.
Recently, Hoek and Diederichs (2006) examined a large
set of field measurement data and suggested new formulas
to estimate the deformation modulus of the rock mass (Erm ),
using the Geological Strength Index (GSI ) and the disturbance
factor (D). Their formula is based on the observation that a
sigmoid function can be fitted well, both for the usual test
data of empirical estimation formulas (Serafim & Pereira,
1983; Bieniawski, 1978; and Stephens & Banks, 1989) and for
the larger data set of Chinese and Taiwanese measurements
(Hoek & Brown, 1997). Sigmoid functions are common in
several areas of technology and physics (e.g. the Fermi-Dirac
distributions in quantum ideal gases).
Determination both the Geological Strength Index (GSI )
and the disturbance factor (D) are very subjective. Recently,
Edelbro et al. (2007) published their results, determining the
different rock mass values by 11 independent participants, get-
ting high differences between the minimum and the maximum
values. The disturbance factor can be more difficult to deter-
mine exactly up to now it is not standardized. This is why so
important to know how sensitive Erm measurements using the
published Hoek-Diederichs equations are as a consequence of
this subjectivity (Hoek & Diederichs, 2006).
The published analysis method can be used to determine
the sensitivity for the other applied rock mass deformation
e.g. Palmstrm & Singh 2001), as well.
2 HOEK-DIEDERICHS FORMULAS
The Hoek-Diederichs formulas (Hoek & Diederichs, 2006)
are based on the value of the Geological Strength Index (GSI )
and the disturbance factor (D), which factor was firstly intro-
duced by Hoek et al. (2002). Hoek et al (2002) and Hoek and
Diederichs (2006) give several examples to estimate the dis-
turbance in particular practical situations, however it is very
subjective: it is assigned a value between 0 (undisturbed) and
1 (fully disturbed).
The introduced formula of Hoek and Diederichs (2006) cal-
culates the deformation modulus from the GSI value and D
factor as:
or if the deformation modulus of the intact rock (Ei ) is known,
equation (1) can be modified to:
The simplified (Eq. 1) and the more comprehensive Hoek-
Diederichs equation (2), are shown in Figures 1 and 2,
respectively.
Using the two formulas the estimated deformation moduli
are not the same, they depend on the deformation modulus
of the intact rock the ratio of the two results in case of
low GSI values can be large. For different disturbance factors
(D = 0, 0.5 and 1), these differences are plotted on Figures 35,
respectively.

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 Figure 3. The ratio of Eq. (2) and Eq. (1) as a function of deforma-
tion modulus of intact rock in case of different GSI values (D = 0).
GSI = (10, 20, 40, 60, 80, 100) from above, respectively.

Eq(2)/Eq(1) D=0.5
Figure 1. Simplified Hoek-Diederichs equation (1) for empirical 10
estimates of rock mass deformation modulus based on GSI and D
only. 8

Ei
20 40 60 80 100

Figure 4. The ratio of Eq. (2) and Eq. (1) as a function of deforma-
tion modulus of intact rock in case of different GSI values (D = 0.5)
GSI = (10, 20, 40, 60, 80, 100) from above, respectively.

Eq(2)/Eq(1) D=1
10

Figure 2. Hoek-Diederichs equation (2) for empirical estimates of

4
rock mass deformation modulus based on GSI, D and intact rock
modulus Ei .
2

3 APPLIED SENSITIVITY ANALYSIS Ei

20 40 60 80 100
The sensitivity of a function f regarding the uncertainties of Figure 5. The ratio of Eq. (2) and Eq. (1) as a function of deforma-
the variables can be characterized by the formula commonly tion modulus of intact rock in case of different GSI values (D = 1),
known as propagation of error (Bronstein & Semendjajew, GSI = (10, 20, 40, 60, 80, 100) from above, respectively.
2004).
Let us suppose that f is a real function which depends
on n variables x1 , x2 , . . . xn and the uncertainty of each we
can calculate the uncertainty f of f that results from the 4 SENSITIVITY OF THE H-D EQUATIONS
uncertainties of the variables:
The sensitivity of different empirical formulas to parameter
uncertainty is an important factor for a designer. To estab-
lish good empirical formulas one should have some sense on
the effect of variations in the input parameters to judge the
acceptability of the design. In this note we analyze the above

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 Erm Erm
Erm Erm
0.4 0.25

0.2
0.3

0.15
0.2
0.1

0.1
0.05

GSI GSI
20 40 60 80 100 20 40 60 80 100

Figure 6. Relative sensitivity of the simple Hoek-Diederichs func- Figure 8. Relative sensitivity of the modified Hoek-Diederichs
tion (Eq. 1) as a function GSI, in case D = 0.05, GSI /GSI = 0.05 equation (Eq.2) as a function GSI, in case D = 0.1 and GSI = 0
if D = 0, 0.5 and 1 (from below). if D = 0, 0.5 and 1 (from below at left).

Erm
100

80

60

40

20

GSI
20 40 60 80 100

Figure 7. Absolute sensitivity of the simple Hoek-Diederichs func- Figure 9. Absolute sensitivity of the modified Hoek-Diederichs
tion (Eq. 1) as a function GSI, in case D = 0.05, GSI /GSI = 0.05 equation (Eq. 2) as a function GSI, in case D = 0.05,
if D = 0, 0.5 and 1 (from below). The dashed lines around the solid GSI /GSI = 0.05 if D = 0, 0.5 and 1 (from below). The dashed
ones denote the sensitivity bar levels. lines around the solid ones denote the sensitivity bar levels.

sensitivity according to equation (4). The law of Gauss applied

to the modified Hoek-Diederichs criteria (Eq. 2) gives
formulas from this point of view, giving some practical tools
to enable rapid sensitivity analyses.
In estimating the sensitivity, it was assumed that the vari-
ables are uncorrelated, therefore, one can apply equation (3)
(Bronstein & Semendjajew, 2004). Assuming that the sensi-
tivity in the disturbance factor D is D and in the GSI it is
GSI, one can get:

where A = e(GSI 6015 D)/11

where A = e(GSI 7525 D)/11
The relative sensitivity for the simple Hoek-Diederichs cri-
teria of equation (1) is plotted in the case of D = 0.05 and
GSI /GSI = 0.05 in Figure 6 for disturbance values of D = 0,
0.5 and 1. One can see that the sensitivity in the rock mass
modulus is between 1535% and strongly depends on the
GSI value. There is a peak in the sensitivity between GSI val-
ues of 60 and 80. Figure 7 shows the corresponding absolute
The relative sensitivity estimated by equation (4) is plotted
for D = 0.05 and GSI /GSI = 0.05 in Figure 8 for values of
D = 0.0, 0.5 and 1.0. The sensitivity in the rock mass modulus
is between 0.522 % and again, it strongly depends on the
GSI value. The peaked property is even more apparent in this
case, with the greatest sensitivity occurring for GSI values
between 40 and 60. Figure 9 shows the corresponding absolute
sensitivity according to equation (5).
5 CONCLUSIONS
Using the Hoek-Diederichs equations, the rock mass defor-
mation modulus can be determined if the Geological Strength

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2007 Taylor & Francis Group, London, UK

Index (GSI) and the disturbance factor (D) are known. The
determination of each parameter is subjective, and thus, to
know the sensitivity of these equations is very important.
Using the formula of Gauss, the sensitivity of the equations
was analyzed for D = 0.05 and  GSI/GSI = 0.05 for D = 0,
0.5 and 1. It was shown, that in case of simple H-D equation
the sensitivity in the rock mass modulus is between 1535 %
and for the modified H-D equation it is between 0.522 %. In
both cases the sensitivity strongly depends on the GSI value.
ACKNOWLEDGMENT
The authors are acknowledge the financial support for the
Bolyai Scolarship and the Hungarian National Research Foun-
dation (OTKA T048489, K60768 and D48645) and by the
EU-I3HP project.
REFERENCES
Barton, N., Lien, R. & Lunde, J. 1974. Engineering classification of
rock masses for design of rock support. Rock Mech. 6: 189236.
Bieniawski, Z.T. 1973. Engineering classification of jointed rock
masses. Trans. S. African Inst. Civ. Engrs., 15: 335344.
Bieniawski, Z.T. 1978. Determining rock mass deformability expe-
rience from case study. Int. J. Rock Mech. Min. Sci. Geomech.Abst.,
15: 237247.
414
2007 Taylor & Francis Group, London, UK
Bronstein, I.N. & Semendjajew, K.A. 2004. Handbook of Mathemat-
ics, Springer, Berlin (4th edition).
Edelbro, C., Sjberg, J. & Nordlund, E. 2007. A quantitative com-
parison of strength criteria for hard rock masses. Tunneling &
Underground Space Techn. 22: 5768.
Hoek, E. & Brown, E.T. 1997. Practical estimates or rock mass
strength. Int. J. Rock Mech. Min. Sci. Geomech. Abst., 34:
11651186.
Hoek, E. & Diederichs, M.S. 2006. Empirical estimation of rock
mass modulus. Int. J. Rock Mech. Min. Sci. 43: 203215.
Hoek, E., Carranza-Torres, C. & Corkum, B. 2002. Hoek-Brown
failure criterion 2002 Edition. Proc. 5. North American Rock
Mech. Conf. 1: 267271.
Hoek, E., Kaiser, P.K. & Bawden, W.F. 1995. Support of underground
excavations in hard rock. Balkema.
Palmstm, A. 1995. RMi a rock mass characterization system for
rock engineering purposes. PhD These. (www.rockmass.net)
Palmstrm, A. & Singh, R. 2001. The deformation modulus of rock
masses comparisons between in situ tests and indirect estimates.
Tunneling & Underground Space Techn. 16: 115131.
Serafim, J.L. & Pereira, J.P. 1983. Consideration of the geome-
chanical classification of Bieniawski. Int. Symp. Engng Geol. &
Underground Constructions. 1/II: 3344
Sonmez, H. & Gokeceoglu, C. 2006. Discussion of the paper by E.
Hoek and M.S. Diederichs Empirical estimation of rock mass
modulus. Int. J. Rock Mech. Min. Sci. 43: 671676.
Stephens, R.E. & Banks, D.C. 1989. Moduli for deformation studies
of the foundation and abutments of Portugues Dam Puerto Rico.
Proc. 30th US Symp. 3138.
 Setting up a new direct shear testing apparatus

G. Barla, M. Barla, M. Camusso & M.E. Martinotti

Department of Structural and Geotechnical Engineering, Politecnico di Torino, Torino, Italy

ABSTRACT: A new direct shear testing apparatus with unique features has been designed and developed by Politecnico di
Torino and G.D.S. Instruments Ltd. In the apparatus shear tests can be performed by applying a given back pressure to the
specimen. Also shear testing may be conducted on a rock joint with a given fluid pressure acting within it. The apparatus is
designed to work under high loading conditions with intact specimens of hard soils/soft rocks or with natural/artificial rock
joints. The construction of the apparatus stems from the interest to carry out tests on specimens taken from a deep shear zone,
along which the movements of a Deep-Seated Gravitational Slope Deformation interact with an arch gravity dam in North Italy.
In this paper, the specific features of the apparatus are described, together with the results of some preliminary calibration tests
performed on artificial joints.

1 INTRODUCTION

Rock masses are not continuous and their mechanical

behaviour is significantly affected by discontinuities such
as bedding planes, joints, faults and fractures. In the case
of Deep-Seated Gravitational Slope Deformations (DSGSD)
in the Alps, slope movements may be governed by a major,
deep-seated shear zone which may have a thickness of several
meters.
Laboratory direct shear tests generally are used to charac-
terize the behaviour of joints and discontinuities. Joints may
be artificially created from rock samples or retrieved directly
from the site and tested. When dealing with a shear zone,
such as defined above, there is not a definite joint surface to
be tested but intact specimens of the sheared material can be
tested.
Therefore, the objective is to determine the shear strength
and deformability characteristics, including creep behaviour,
of such material under the desired effective in situ state of
stress. These testing boundary conditions may not be com-
pletely reproduced in a traditional direct shear apparatus.
A new direct shear apparatus with unique characteristics was
therefore designed and developed during the last year by
Politecnico di Torino and G.D.S. Instruments Ltd.
Tests will be conducted on rock materials obtained from a
230 m deep shear zone characterised by slow sliding move-
ments of a DSGSD affecting the stability of a dam in North
Italy. In this paper, the specific features of the apparatus will
be described in detail together with the results of preliminary
calibration tests.
2 BACKGROUND
The case study is concerned with the Beauregard dam (Italy)
and its left slope. The Beauregard dam is a 132 m high concrete
arch-gravity dam on the Dora di Valgrisenche river (Figure 1).
The rock mass foundation is comprised of gneiss and mica
schist with prasinite intercalations.The two slopes of the valley
have different characteristics: on the right slope the rock mass
is of good to excellent quality, on the left slope it is heavily
fractured, cataclastic and mylonitic.
Figure 1. Aerial view of the Beauregard dam (2005).
Detailed site investigations of the left slope carried out
between 2003 and 2006 (Barla et al., 2006) have allowed one
to gain insights into the underlying rock mass conditions and
to identify a through-going shear zone, that acts as a shear
surface for the active portion of the DSGSD depicted in Fig-
ure 2. Essential in this interpretation have been the results of
both seismic refraction and seismic reflection surveys, and the
drilling of two boreholes, which both crossed the shear zone
characterised by the presence of sheared and crushed rock,
locally reduced to a soil-like material with silt and clay.
Installation of an extensive instrumentation system
occurred between the time of the completion of the dam to
2006, including instruments installed both in the dam and
in the left slope. The most accurate record of the left slope
movements extends from 1967 to the present and consists of
geodetic measurements of a number of surface targets (since
1996 a computer-based theodolite, total station was used) and
displacement measurements along three plumb lines installed
in the lower portion of the slope.
Monitoring of the slope through the years has revealed
that the rate of displacement (46 mm/year with the reservoir
level at 1705 m asl approximately) is correlated to the water
level in the reservoir and is undergoing a displacement cycle,

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2007 Taylor & Francis Group, London, UK

Figure 2. Cross section of the left slope with P-wave tomographic
interpretation and shear surface (Barla et al., 2006).
with displacement occurring during the spring (May-June) to
late summer-early autumn (September-October) period, when
snow melt takes place along the slope. Limited or no dis-
placements are observed during the late autumn to late winter
period. Continuous piezometric monitoring since 2003 indi-
cates that following snow melt, piezometric levels increase as
much as 15 m in the slope and that these elevated levels are
strictly correlated with accelerated displacements triggered in
the slope.
Ongoing research activities on the case study are aimed at
developing numerical models that can be used as predictive
tools for both the slope and dam behaviour. Integration of
monitoring and numerical modelling will allow a continuous
assessment of the stability conditions of both the slope and the
dam and will form the basis for risk management at the site.
Essential in this work is the appropriate representation of the
behaviour of the material in the shear zone. The development
of the new direct shear apparatus described in this paper is
aimed at deriving parameters for the constitutive models to be
used.
3 DESCRIPTION OF THE SHEAR APPARATUS
3.1 General overview
A new servo controlled direct shear apparatus (High Pressure
Back Pressure System HPBPS) was designed and developed
by Politecnico di Torino and G.D.S. Instruments Ltd (Fig-
ure 3). It has been specifically built for testing soil and rock
specimens collected at great depth.
The apparatus allows tests to be performed under closely
controlled conditions in terms of axial load and back pressure
applied to the specimen. In addition, tests can be performed on
rock joints/interfaces with fluid pressure imposed. The appa-
ratus is specifically designed to operate with undisturbed and
remoulded specimens of weak rock such as cataclastic rocks
and material resulting from sheared and faulted zones.
The shear box can host specimens of 50 or 100 mm in diam-
eter. If a test is to be conducted on a joint, different gaps (up
to a maximum of 10 mm) may be set between the two parts of
the shear box, due to the presence or absence of a metal plate
with a given thickness located below it. This allows tests to be
run on rough or filled discontinuities.
A schematic view of the apparatus is shown in Figure 4.
The system comprises a shear box which is inserted into a
pressure chamber. Loading actuators and a pressure controller
allow the operator to apply appropriate loading conditions to
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2007 Taylor & Francis Group, London, UK
Figure 3. Photograph of the shear apparatus.
Serial Pad
Vertical potenziometer
Back Pressure Controller
Horizontal
potenziometer
Pressure chamber
Shear
Axial
Personal
Computer
Water Reservoir
Loading Actuators
Figure 4. Schematic view of the shear apparatus.
the specimen. A measuring and acquisition system is directly
connected to a control unit based on a PC.
Figure 5 shows a sketch of the shear box placed inside the
pressure chamber. It consists of a lower and an upper part.
The upper part of the box is rigidly connected to the top of the
pressure chamber by four bolts. Shearing of the specimen is
achieved by moving the lower part of the box in the horizontal
direction.
The axial load is applied to the specimen by a transverse
steel bar joined both to the loading ram and to two uprights.
A servo-controlled electrical motor allows the transverse bar
to shift downwards applying load to the specimen. The hori-
zontal load also is applied by a servo-controlled loading ram
connected to the pedestal of the shear box. The maximum
loading capacity both in the axial and the horizontal direction
is 100 kN.
The back pressure is applied by an hydraulic servo-
controlled actuator. A piston gives pressure to the fluid
contained in a steel cylinder, which is directly connected to
the pressure chamber by tempered steel circuits. The piston is
moved by an electrical motor and a worm screw. The rotation
of the motor is not continuous but it follows constant angular
increments; each increment allows a fixed volume of fluid to
be moved. The maximum back pressure that can be achieved
is 10 MPa.
A water reservoir is available for filling both the pressure
chamber and the hydraulic actuator. The reservoir is connected
to a vacuum pump so that water can be de-aerated before being
introduced into the drainage circuit.

Transverse bar
Axial
potenziometer
Axial loading ram
Bolt
Axial load cell
Specimen Shear box
LVDT
Horizontal
potenziometer
Membrane
Shear load cell
Shear
loading ram
Figure 5. Cross section of the shear box and the pressure chamber.
3.2 Measuring system
The apparatus is equipped with a number of measuring trans-
ducers that allow for testing to be performed in closely
controlled conditions (Figure 5). The axial load is measured by
a load cell integrated into the loading ram. The axial stress is
computed from the measured axial load by taking into account
the influence of the pore pressure.
The shear load is measured by a different load cell con-
nected to the pedestal of the shear box and to the horizontal
loading ram. While shearing, the horizontal load is measured
by the bending of the cell. To prevent the cell from any dam-
age, it is submerged in silicon oil, separated from the water in
the pressure chamber by a rubber membrane. The membrane
allows the load cell to slide and, at the same time, it main-
tains the oil at the same pressure of the water in the pressure
chamber.
The pore pressure is measured by a pressure transducer in
the hydraulic actuator. The short steel circuit and the high
tightness taps justify the assumption that the pressure in the
pressure chamber is the same as that in the actuator.
With reference to displacement monitoring, a number of
displacement transducers, both external and internal, are avail-
able. The vertical displacement is measured at two external
locations. One measurement is given by the rotation of the
driving system of the electrical motor that moves the loading
ram. Since this may be affected by mechanical clearance, a
potentiometric transducer directly connected to the loading
ram is positioned over the pressure chamber.
The horizontal displacements are monitored at three differ-
ent positions. Again, two external measurements are due to
the loading system and to a potentiometric transducer directly
connected to the shear loading ram. An additional shear dis-
placement measurement is taken inside the pressure chamber
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2007 Taylor & Francis Group, London, UK
by means of an LVDT assembly. The LVDT is rigidly con-
nected to the lower and the upper parts of the shear box. By
measuring the displacement at this location, the deformabil-
ity of the loading ram is not affecting the measurement. The
maximum relative displacement that can be measured with the
LVDT is 5 mm while the potentiometric transducers can reach
50 mm.
3.3 Data acquisition and test control
A data acquisition system and control software were specif-
ically designed and developed by G.D.S. Instruments Ltd.
for this apparatus. The software, which runs in a Windows
environment, is user friendly and allows for easily managing
typical aspects of the test, such as data saving procedures and
storing specimen specifications. Data are saved in a log file
that can be managed with Excel. The software allows user con-
trol of the test procedure by defining different testing phases,
governing actuators, setting limits and specify end conditions.
3.4 Types of tests
Direct shear tests can be conducted on either soils or soft
rocks. Hard rock can be tested only if sheared along a planar
discontinuity. Due to the gap between the lower and the upper
part of the shear box, either filled or unfilled joints can be
tested.
The apparatus can operate as a traditional direct shear device
for rock joints if no back pressure is applied and only axial
and shear loads are applied to dry specimens. Alternatively, in
situ stress conditions may be simulated by its loading systems
to model saturated specimens and water pressure action.
When testing a rock joint, the back pressure may also be
applied directly to the joint surface by making a small hole
in the lower half of the specimen. In this case, the sample is
within a membrane so that the back pressure is applied only
to the joint while the pressure chamber is empty.
Normally, shear tests are conducted under constant normal
load (CNL) boundary conditions. Also, tests can be per-
formed under constant normal stiffness (CNS) conditions. In
the specific case of the testing programme envisaged for the
Beauregard case study described above, the material to be
tested by the new apparatus is the cataclastic rock of the shear
zone as shown in Figure 2. In this context, the objective will
be to conduct shear-creep tests under different back pressures
in the pressure chamber to simulate the influence of the snow
melt pore pressure variations on the mechanical behaviour of
the material in the shear zone.
4 CALIBRATION TESTS
In order to help calibrate the apparatus, some preliminary tests
have been completed on artificial joints obtained by cutting a
gneiss sample retrieved by borehole drilling in the Susa Valley,
near Torino. The gneiss rock under study is characterised by
a schistosity plane, and the artificial joints are obtained by
sawing parallel to the schistosity. Figure 6 shows a photograph
of a typical sample (GN_01) before shearing.
The tests were performed to estimate the base friction angle
b for the joint and to investigate the influence of a constant
back pressure acting in the chamber. A total of four cyclic
direct shear tests have been performed with a constant normal
 16
~ 37 []
14

12

10

[MPa]
8

2 With Back Pressure

Without Back Pressure
0
Figure 6. Top (a) and bottom (b) surfaces of sample GN_01. 0 5 10 15 20 25
n [MPa]

Table 1. Typical tests performed. Figure 8. Shear stress versus normal stress plot.

Back
Effective axial pressure Shear displacement The plots refer to the effective normal and shear stresses con-
Test stress [MPa] [MPa] velocity [mm/min] sidered for the first cycle of each test. The open dots show
the results of tests without back pressure while the filled dots
GN_01 10 0 0.15 refer to the other case. The base friction angle estimated for
GN_02 15 0 0.15
gneiss is 37 .
GN_BP_01 10 1 0.15
GN_BP_02 15 1 0.15
5 CONCLUDING REMARKS
10.0
External device
An innovative servo-controlled direct shear testing apparatus
Potenziometer
7.5
LVDT has been developed. Some preliminary calibration tests have
5.0
been conducted on saw-cut gneiss samples .
The innovative features of the apparatus can be summarized
2.5 as follows:
[MPa]

0.0 1 a back pressure can be applied in the shear box (up to

-10 -8 -6 -4 -2 0 2 4 6 8 10
-2.5
10 MPa), to simulate the behaviour of saturated soils and
soft rocks under high effective stress conditions;
-5.0
2 both rough and filled discontinuities with different aper-
-7.5 tures can be tested;
3 tests can be run either under loading or stiffness control
-10.0
h [%]
conditions.
The above features allow for the apparatus to be used to
Figure 7. Shear stress versus horizontal strain plot (external study the behaviour of shear zones at considerable depth,
measurements) during the cyclic shearing stage. typical of DSGSD in the Alps.

stress being applied (either 10 or 15 MPa), two with the pres-
sure chamber empty and two with a back pressure of 1 MPa,
as given in Table 1.
All tests were performed in two stages. At first, the nor-
mal load, and eventually the back pressure, was applied to the
specimen, then a cyclic shearing phase was imposed, with an
amplitude of 5mm and a period of 240 minutes. The results
of the tests performed are shown in Figures 7 and 8. Figure 7
shows a typical plot of the shear stress versus the horizontal
strain during cyclic shearing for test GN_02. The difference
between the external and the internal measurements clearly
are shown. It is to be noted that the LVDT goes out of scale
during the negative part of the cycles. Figure 8 shows the fail-
ure envelope in terms of the Mohr-Coulomb strength criterion.
ACKNOWLEDGEMENT
The authors thankfully acknowledge the permission of CVA
SpA to publish the photograph of the Beauregard dam (Fig-
ure 1), the help of MS studentsAldo Boffa and Diana Lombana
and review comments from S.M. Miller.
REFERENCE
Barla G., Ballatore S., ChiapponeA., FrigerioA., Mazz G. 2006. The
Beauregard dam (Italy) and the deep-seated gravitational deforma-
tion on the left slope. Hydropower 2006, Kunming, 2325 October
2006.

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2007 Taylor & Francis Group, London, UK

 Shear behavior of rock joints under CNS conditions

Yongjun Kim, Sunki Kim & Juhwa Kim

Department of Civil Projects, Daelim Industrial Co. Ltd., Seoul, Korea

ABSTRACT: The shear characteristics of rock mass are subjected to not only to the shear force but also to the boundary
conditions given by neighboring rock mass. The boundary conditions of the rock mass can be classified into four categories
according to the stress state of the rock joint. The constant normal load (CNL) is the most widely used for shear test and
produces the lowest shear strength and different behavior. In this study, the shear behavior under constant normal stiffness
(CNS) condition is replicated by graphic method normalizing the test results under constant normal load (CNL) condition.

1 INTRODUCTION
The discontinuities in the rock mass reduce their resistance
capacity to shear loading and provoke the displacement of the
rock mass. In order to understand the behavior and stability of
rock structures, such conditions highlight the importance for
the engineer to apply analysis and test methods that comply
with circumstances of the field subjected to discontinuities.
Leichnitz (1985) studied and stressed the importance of the
boundary conditions in underground openings which is con-
strained by the surrounding rock masses using numerical
approach. Ohnishi (1990) attempted to simulate rock joints
conditions by installing a spring with stiffness at the top of
the rock joints, and Mouchaorab et al. (1994) developed an
experimental device which is able to simulate the rock joint
behavior using a hydraulic servo control system.
This study investigates a predictive method for the behavior
of rock joints under constant normal stiffness (CNS) using the
results of shear test that is performed under constant normal
load (CNL). The study processed by performing a series of
tests on saw-toothed specimens with constant angle, and then
predicting the shear behavior of CNS from the prior CNL test
results using partially modified graphic method of Saeb &
Amadei (1990).
2 BOUNDARY CONDITIONS
Apart from the structural features of the rock joints, the shear
characteristics of rock mass are subjected not only to the shear
force but also to the boundary conditions in the neighboring
the rock mass. For example, the boundary conditions of masses
of behaving freely in a slope differ from that in an under-
ground opening constrained by the surrounding rock masses.
Mouchaorab et al. (1994) classified the two boundary con-
ditions of rock masses into CNL and CNS conditions, as
illustrated in Figure 1.
As shown in the figure 1, the rock is not constrained under
CNL conditions and normal load acting on the rock joint
is constant, while CNS conditions stand for underground
openings, rock-socketed piles or grouted rock anchors where
normal load acting on the rock joint increases due to the
stiffness (K) of the surrounding rock mass when normal
displacement develops at the rock joint. The latter exhibits
larger shear strength than CNL conditions since normal load
increases due to the stiffness of the surrounding rock mass.
Numerous researchers made efforts to examine the behavior
of rock joints regarding the boundary conditions. According
to their results, the boundary conditions of rock masses can be
classified into 4 categories as follows with respect the stress
state developed in the rock joints.
Constant Normal Load (K = 0): Normal load acts on the
joint surface is constant. In this case, the shear behavior
can be expressed in terms of the geometric conditions of
the rock joint and the initial normal load level.
Constant Normal Stiffness (K = constant): Normal load
varies constantly during sliding. The variation of the nor-
mal load is governed by the size of the stiffness and the
characteristics of the normal displacement induced by the
roughness and strength of the rock joint.

Figure 1. Example of boundary conditions. (Mouchaorab & Benmokrane, 1994).

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2007 Taylor & Francis Group, London, UK


Figure 2. Ratio of required support force F to block weight W for
different boundary conditions. (a) Free body diagram. (b) F/W
vertical displacement.
Variable Normal Stiffness (K  = constant): Stiffness of the
rock mass is variable. As rock joint is closed, normal
load increase more than normal displacement in normal
compression test. In reality, stiffness of rock mass is
nonlinearity.
Constant (Zero) Normal Displacement (K = ): In the
case of asperity strength of rock joint is low or normal load
level is very high, dilatancy is zero. Shear strength is devel-
oped by the asperity strength and surface of contact of the
rock joint instead of the dilation due to roughness. The shear
strength grows higher as the surface of contact and asperity
strength of the rock joint is larger.
Saeb & Amadei(1990) proposed a calculation method for
the support force according to the displacement of the block
in the underground opening. Figure 2 represents the varia-
tions of the support force with respect to boundary conditions.
Figure 2(a) illustrates a symmetric wedge block generated at
the top of an opening. Assuming that the displacement of the
wedge block which is generated by two discontinuities occurs
to the vertical direction, material properties of two discon-
tinuities is identical, and variations of the normal stress are
equal in both discontinuities. The sum of horizontal forces is
zero and the equilibrium of the whole block is defined by the
normal components as expressed in Equation 1.
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2007 Taylor & Francis Group, London, UK
Figure 3. Joint response curves for constant normal stress condi-
tions. (a) Joint closure curve. (b) Shear stress vs. shear displacement.
(c) Normal displacement vs. shear displacement.
Where F is the support force, W is the weight of the block, h
is the height of the wedge, is the specific weight of the rock
mass, and 2 is the angle between the two discontinuities.
Figure 2(b) plots the relationship of the support force
required to achieve equilibrium of the wedge block according
to the shear displacement for each type of boundary condi-
tions. These curves are similar to the ground reaction curves
used to calculate the support time and quantities of timbering
in tunnels. In Figure 2, it can be observed that the required
support force obtained under CNL conditions is excessive
compared to that under CNS conditions.
3 GRAPHIC METHOD
Saeb & Amadei(1990) suggested a graphic method that the
behavior of rock joints is accorded to the boundary conditions
and using the shear behavior which is obtained from normal
compression tests and CNL tests, of which results are plotted
in Figure 3. Figure 3(a) represents the relationship between the
normal stress and joint closure in the normal compression test,
where A is an arbitrary constant. Figure 3(b) represents shear
stress shear displacement curves by means of a constant
peak shear displacement model. Figure 3(c) plots the normal
displacement of the joint by level of normal stress which is
accorded to the shear displacements of Figure 3(a).
The peak shear stress occurs at shear displacement U4
regardless of the normal stress levels, and the normal dis-
placement is assumed to be constant after U4.
Figure 4 represents the relationship between normal stress
and normal displacement according to the shear displacement,
using the results of Figure 3. The values of the normal stress
Figure 4. Normal stress vs. normal displacement curves at different
shear displacement levels. (Saeb & Amadei, 1990)
Figure 5. View of direct shear test apparatus for rock joint.
(n ) and normal displacement (v) are the ones corresponding
to that of each of the shear displacements U0 , U1 , U2 , U3 ,
U4 , . . . represented in Figure 3(c). Observing Figure 4 gives
information on the variations of the normal stress and displace-
ment according to the shear displacement when the stiffness
(K) varies linearly from 0 to for an arbitrary normal stress
level or when the stiffness is not constant.
4 EXPERIMENTAL SETUP
In order to perform shear tests considering the boundary con-
ditions of the rock joint, a device has been developed to achieve
variations of the stiffness under the 4 categories of boundary
conditions (K = 0, K = constant, K  = constant, K = ). The
new direct shear test apparatus is constituted by an hydraulic
pump to produce compression, an actuator to apply normal
load and shear load, a load frame to support the loads devel-
oped by the actuator, a special shear box to remove undesirable
frictions occurring in the specimens, a controller to control
input and output signals from the measuring devices installed
in the apparatus, and a computer to control the apparatus and to
store data. Two LM guide bearings with very small coefficient
of friction below 0.0001 are disposed between the loading sys-
tem and the top of the shear box in order to control and prevent
the eccentric load and movement of the shear box during the
shear test.
Shear box is also fixed between the two roller bearings
installed at the end point of the shear boxes, and cyclic test is
possible. In addition, two load amplifiers are equipped in the
controller controlling the input and output of the apparatus in
order to ease control, and four servo-amplifiers are installed to
control displacement and loading in each direction. The setup
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2007 Taylor & Francis Group, London, UK
Figure 6. Test results normalized by graphic method. (a) Joint
closure curve. (b) Shear stress vs. shear displacement (c) Normal
displacement vs. shear displacement.
of the developed direct shear test apparatus is illustrated in
Figure 5.
5 PREDICTION OF THE SHEAR BEHAVIOR
OF ROCK JOINTS
Numerous researchers attempted to develop theoretical as
well as experimental approaches to identify systematically
the characteristics of the shear behavior under CNS condi-
tions. Among these researches, Dight et al. (1983), Skinas
et al. (1990) and Saeb & Amadei (1990) tried to predict the
shear behavior according to the stiffness (K) of the rock mass
subjected to CNS conditions using the results of the widely
performed CNL test. The common opinion of these researches
is that the variation of the normal stress and shear stress
obtained from the stress paths in the CNS test is equal to
the corresponding with the peak shear strength obtained under
CNL conditions or its slight lower values due to the roughness
reduction of the rock joint.
In addition, Ohnishi(1990) demonstrated experimentally
that the peak shear strength obtained under CNL conditions
appear in the stress path obtained from CNS test, regardless
of the initial normal stress (ni ) and variation of stiffness (K).
This study performs a series of shear test under CNL con-
ditions to predict the shear behavior under CNS conditions
using the graphic method proposed by Saeb & Amadei (1990).
The rock specimens used in the tests are rock-like specimens
of saw tooth shapes (i = 15 , amplitude 10 mm). Figure 6(a)
plots the normal compression test results. Figures 6(b) and
(c) present the results of CNL test performed at normal stress
(n ) levels of 1, 3, 5, and 10 kg/cm2 . Figure 7 displays the nor-
mal stress(n )-normal displacement(v) relationship regarding
the shear displacement(u) at intervals of 0.25 mm. Saeb &
Amadei (1990) normalized the normal stress-normal displace-
ment curves developed with respect to shear displacement as

Figure 7. Normal stress vs. normal disp. curves with respect to the
shear displacement Levels.
Figure 8. Shear behavior predicted by the modified graphic method.
(a) Normal displacement vs. shear displacement. (b) Shear stress vs.
shear displacement.
shown in Figure 4, assuming convergence to the constant nor-
mal compression curve for the specimen with matching joints.
The experimental results were normalized by means of their
proposed method and the predicted behaviors were compared
with results of CNS test. A little differences can be observed.
The differences may be attributed to the different normal com-
pression between matching joints and non-matching joints
during shear. Instead of applying convergence of the normal
stress-normal displacement curves developed during shear to
the normal compression curves, this study performed fitting of
each of the curves so as to normalize the normal stress-normal
displacement relationships regarding the shear displacement,
as shown in Figure 7. Accordingly, Figure 7 plots the normal
stress-normal displacement curves with respect to the shear
displacement for stiffness (K) of 20, 50, and 120 kg/cm3 under
an initial normal stress (ni ) of 1 kg/cm2 . The behavior under
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2007 Taylor & Francis Group, London, UK
CNS conditions was then predicted using the method pro-
posed by Saeb & Amadei (1990). The results were seemed to
be in good accuracy with experimental values as illustrated in
Figure 8.
6 CONCLUSIONS
It was shown that another approach can be applied to evalu-
ate shear behavior in rock structures with different boundary
conditions. In this study, the shear behavior under constant
normal stiffness condition was able to replicate by modified
graphic method normalized by the test results under constant
normal stress condition. The conclusions are as follows.
(1) The boundary conditions of the rock mass can be classified
into 4 categories according to the stress state of the rock
joint. Among them CNL condition is the most widely used
for shear test and produces the lowest shear strength.
(2) Using the results obtained from CNL test, the shear behav-
ior of CNS conditions has been predicted applying the
existing graphic method. But a little difference appears.
The differences maybe attributed to the different normal
displacement between matching joints and non-matching
joints during shear.
(3) Instead of applying convergence of curves obtained from
normal compression test of matching joint, this study per-
formed to fit the normal stress-normal displacement curves
of non-matching joint obtained from CNL test. The results
show a good agreement with behaviour predicted from
CNL test and behavior obtained from CNS test.
REFERENCES
Dight, P.M. & Chiu H.K. 1981. Prediction of shear behaviour of joints
using profiles, Int. J. Rock Mech. Min Sci. & Geom. Abstr., Vol.
18, 386396.
Mouchaorab, K.S. & Benmokrane, B. 1994. A new combined servo-
controlled loading frame/direct-shear apparatus for the study of
concrete or rock joint behavior under different boundary and load-
ing conditions, Geotechnical Testing Journal, GTJODJ, Vol. 17,
No. 2, 233242.
Leichnitz, W. 1985. Mechanical properties of rock joints, Int. Rock
Mech. Sci. & Geomech. Abstr. Vol. 22. No. 5, 313321.
Ohnishi, Y. 1990. Shear behaviour of physical models of rock joints
under constant normal stiffness conditions, Proc. Int. Conf. on rock
joints, Leon, Norway, 267273.
Saeb, S. & Amadei, B. 1990. Modelling joint response under constant
or variable normal stiffness boundary conditions, Int. Rock Mech.
Sci. & Geomech. Abstr., Vol. 27. No. 3, 213217.
Skinas, C.A., Bandis, S.C. & Demiris, C.A. 1990. Experimental
investigations and modelling of rock joint behaviour under con-
stant stiffness, Proc. Int. Conf. on rock joints, Leon, Norway,
301308.
 Simulation and visualisation of the installation of cable bolt anchors

A.G. Thompson
CRCMining / WA School of Mines, Kalgoorlie, Western Australia

ABSTRACT: A computer program has been developed to simulate the installation of cable bolt anchors. The simulation
is based on mechanisms that have been investigated both theoretically and experimentally. The experimental results have
demonstrated the applicability of the results predicted by the theory. An important component of the computer program is the
visualisation of the processes involved in the installation of cable bolt anchors. It is anticipated this visualisation capability will
allow the important features of cable anchor installation to be more clearly understood by engineers, supervisors and the miners
ultimately responsible for anchor installation. It is hoped that this will lead to an improvement in the quality and effectiveness
of cable bolts, particularly those that rely solely on the anchor at the collar of the borehole to transfer load from the rock mass
to the strand.

1 INTRODUCTION Barrel and

Fixed Anchor Free Wedge
Length Length Anchor
Cable bolts are widely used for both temporary and perma-
nent reinforcement of the rock mass surrounding large surface
and underground excavations in both civil and mining appli-
cations. A cable bolt comprises multiple wire, high strength
steel strand that is installed in boreholes drilled in the rock
mass, The strand is usually coupled with cement grout to the
Borehole Strand Cement Decoupliing
rock. A barrel and wedge anchor is used at the collar of the Sleeve
Grout Steel
borehole to restrain a plate and other surface hardware such Plate
as steel wire mesh or shotcrete.
Theoretical investigations by the writer (Thompson, 1992; Figure 1. Schematic representation of a cable bolt.
Thompson and Windsor, 1995; Thompson, 2004 and Hassell
et al., 2006) and other authors (e.g. Chacos, 1993, Marceau
et al., 2001 and Marceau et al., 2003) have resulted in excel-
lent models for quantifying the performance of cable bolt
anchors. The writers investigations have particularly concen-
trated on the installation of barrel and wedge anchors using the
equipment and procedures adopted by the mining industry in
Australia (Thompson et al., 1987). These theoretical, labora-
tory and field investigations have demonstrated that the cable
bolt may have a wide range of tension after installation. The
tension has been shown to depend mainly on the cable bolt Figure 2. Schematic representation of barrel and wedge anchors
free length, the barrel and wedge geometry and its relation to with two- and three-part wedges.
the equipment used for installation.
Despite the results from these systematic investigations,
many poorly installed cable bolts are observed in operating schematically in Figure 1. The major differences between
mines. The reasons for this are several fold. One of the main cable bolt configurations is the length of the decoupling sleeve
reasons is a lack of understanding of the complex mechanics between the fixed anchor and the anchor at the collar.
of the many interactions between the various components of a The fixed anchor most usually is formed using cement grout
cable bolt during anchor installation and subsequent removal to fill the annulus between the strand and the borehole. The
of the anchor installation equipment. external fixture is most usually a barrel and wedge anchor
A computer program has been developed to simulate and shown in Figure 2. The physical and mechanical properties of
display both the installation of a barrel and wedge anchor and the barrel and wedge anchor and the equipment used have the
the behaviour of the overall cable bolt system after removal of most influence on the outcome from the installation process.
the anchor installation equipment. The computer simulation
can be used to show visually how the various components
behave during installation. 3 THEORETICAL BACKGROUND

3.1 Anchor installation

2 CABLE BOLT CONFIGURATIONS
In general, two stages are involved in the stressing process:
The various arrangements of cable bolt systems currently Stage 1: Tensioning. This involves the application of a
in popular use can be considered to be generally as shown tensioning force to the strand to establish an initial tension.

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2007 Taylor & Francis Group, London, UK

During tensioning, the surface hardware is pushed, and held 1.2
tightly, against the rock face. Pw/Pi
Stage 2: Relaxation. This involves securing the external
fixture to the strand and removal of the tensioning force. A 1.0 0
10%
reduction of strand tension usually accompanies this second 20%

Initial Tension Factor (Ki)

stage to leave a residual tension in the cable bolt. 30%

The initial tension that can be produced in the strand and 0.8 40%
50%
the residual tension depend on the cable bolt system config- 60%
uration, the installation procedures, the stressing equipment 70%
0.6
and the values of several critical parameters. 80%
90%
a 100%

3.2 Stressing equipment 0.4

= 7.5 (measured)
c = 45 (measured)
The stressing equipment for cable bolts consists essentially of
a hollow hydraulic cylinder, an anchor to grip the strand and 0.2
an auxiliary assembly to push on the anchor. These assem-
blies result in the tensioning force being distributed differently
between the barrel and the wedge of the external fixture. The 0.0
design of the assembly influences the initial tension produced 5 15 25 35 45
during tensioning and the residual tension after relaxation. Barrel/Wedge Friction Angle(a)
Relaxation is due mainly to the displacements between the
strand and the barrel of the anchor due to draw-in of the wedge. Figure 3. Variation of initial tension factor (Ki ) for different
In general, the design of the nose assembly results in one magnitudes of wedge force during tensioning.
of the three following conditions during anchor installation:
= wedge taper angle
Full tensioning force applied to the barrel. B = friction angle between barrel and wedge
Full tensioning force applied to the wedge. C = friction between cable and wedge
Tensioning force distributed between the barrel and the PW = force applied to the wedge
wedge. PB = force applied to barrel = P PW
In addition, a force may be applied to the wedge before The value of Ki for various values of PW /Pi and barrel/wedge
release of the tensioning force. There are two methods: friction angles are given in Figure 3. It can be seen that any force
applied to the wedge results in the strand tension being less than
Application of a force to the wedge by a secondary hydraulic the applied tensioning force.
cylinder. The force-displacement responses of the strand, internal fix-
Application of the tensioning force to a shear ring on the ture and draw of the wedge into the barrel all have an effect on
barrel. At a predetermined load, the ring shears, simultane- the behaviour after removal of the tensioning equipment. The
ously causing the jack nose to firmly drive the wedge home. main parameters that influence these responses are:
(Amalgamated Reinforcing 1996).
Strand free length.
All of these conditions that occur during installation may Force applied to the wedge before removal of the tensioning
be simulated by the software. force.
Figure 4 shows the load relaxation due to wedge draw-in for
3.3 Parameters influencing behaviour a relatively long strand free length of 5 m. Load relaxation can
be unacceptably high when there is a short strand free length
There following parameters have been found to influence the combined with a small force applied to the wedge.
behaviour during application of the tensioning force:
Barrel/wedge taper angle. 4 SIMULATION AND VISUALISATION SOFTWARE
Barrel/wedge friction.
Wedge/cable friction. Simulation and visualisation software has been developed to
Distribution of the force applied to the barrel and to the quantify and display various results from the application of the
wedge. theory associated with the installation of cable bolt anchors. The
simulation software has been developed using the Microsoft
For example, the strand tension (T) is given by: Visual Basic 6 and OpenGL has been used for the visualisation.

4.1 Simulation
where: The first stage of simulation is the specification of the cable bolt
Pi = force supplied by the hydraulic cylinder system and the equipment used. The data are defined using the
Ki = tension reduction factor given by: interface shown in Figure 5. The variables that are specified
include:
Type and diameter of strand.
Strand free length.
Barrel/wedge interface taper angle.

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 120
Strand
Unloading
100
Equilibrium
Condition
Strand Force (kN)

80

60
Wedge
Draw-In
40

Initial
20 Wedge
Condition

0
0 2 4 6 8 10 12 14 16 18
Strand Displacement (mm)
Figure 6. Details of component forces and displacements during
Figure 4. Theoretical prediction of strand tension loss due to wedge tensioning.
draw-in for a 5 m free strand length. Anchor installed with 100 kN
pre-tensioning equipment (estimated 10 kN applied to the wedge
90 kN to barrel and 95 kN in strand free length).

Figure 7. Display of cable bolt components.

Figure 5. User interface for input data specification.
Internal fixture (cement grout) between the borehole and
Condition of the barrel/wedge and wedge/strand interfaces strand.
(from which friction angles are derived). Rock borehole and surface.
The type of hydraulic cylinder (either maximum pressure Plate.
or maximum force to be used during installation may be Barrel.
specified). Wedge.
The type of nose assembly
An estimate of the distribution of the total tensioning force The visualisation utility allows the user to rotate the scene
applied to the barrel and to the wedge and to zoom in to examine any components in finer detail.
When the wedge force is applied (i.e. during or after The following components of the installation equipment are
reaching the maximum force). simulated and displayed as shown in Figure 8:
The residual strand tension after removal of the tension- Hydraulic jack body.
ing equipment is displayed on the user interface immediately Hydraulic jack piston.
after the calculations are completed. More details of the cable Nose assembly.
bolt system forces and displacements may be displayed during Strand grip (not shown).
tensioning as shown in Figure 6. Other equipment such as the hydraulic pump and pressure
gauge can also be displayed.
4.2 Visualisation utility In addition, the values for the following variables are
The following components of the cable bolt system are simu- displayed during application of the tensioning force.
lated and displayed as shown in Figure 7: Tensioning force.
Strand. Barrel force.
Decoupling sleeve. Wedge force and displacement.

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2007 Taylor & Francis Group, London, UK


Figure 8. Display of installation equipment components.
Figure 9. Display of variable values after removal of the tensioning
force and subsequent load relaxation.
Strand force and elongation.
Internal fixture displacement.
Plate displacement.
Tensioning may be paused at any stage and feedback on these
variables may be obtained by selecting any one of the com-
ponents of the cable bolt system. The following variables are
displayed during load relaxation:
Strand force and displacement.
Wedge force and displacement.
The detailed results at the completion of load relaxation can
be displayed as shown in Figure 9.
5 CONCLUDING REMARKS
Software has been developed for the simulation and visualisa-
tion of the behaviour of cable bolt anchors during and after
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2007 Taylor & Francis Group, London, UK
anchor installation. The software has been developed as an
education tool for students and as a practical training tool for
engineers and mining operators. The need for the software tool
was prompted by the frequent observations of poorly installed
anchors caused by the lack of understanding of the processes
and mechanisms of interactions between the various compo-
nents of the cable bolt system and the equipment used for the
installation of anchors.
It is anticipated that the quality and consistency of anchor
installations can be improved as a result of using the simulation
and visualisation tool to identify best practices appropriate to
particular cable bolt system configurations and the associated
installation equipment.These best practices can then be detailed
in tender specification documents and the work procedures that
mine sites use as part of their ground control management plans.
ACKNOWLEDGEMENTS
Long term colleagues Glynn Cadby, Chris Windsor and Ernesto
Villaescusa are gratefully acknowledged for their assistance
and support over many years. The writer is also grateful to
CRCMining and the many other organisations that have pro-
vided financial supported for the research outcomes that have
been presented.
REFERENCES
Amalgamated Reinforcing 1996. SurelockTM Anchor Locking
Device. Company brochure, 8p.
Chacos, G P, 1993. Wedge forces on post-tensioning strand anchors.
PTI Technical Note 2, Post-Tensioning Institute:Phoenix, 4p.
Hassell, R C., Villaescusa, E. and Thompson, A.G. 2006. Testing
and evaluation of corrosion on cable bolt anchors. GoldenRocks,
Proc 50th US Symposium on Rock Mechanics, Paper 996, 11p.
ARMA:Washington DC.
Marceau, D, Bastien, J and Fatard, M, 2001. Experimental and numer-
ical studies of mono-strand anchorage. Structural Engineering and
Mechanics, 12(1), 119134.
Marceau, D, Fatard, M and Bastien, J, 2003. Constitutive law for
wedge-tendon gripping interface in anchorage device numerical
modelling and parameters identification. Structural Engineering
and Mechanics, 15(6), 609-628.
Thompson,A.G., 1992.Tensioning reinforcing cables. Proc. Int. Sym-
posium. on Rock Support, (Eds. Kaiser & McCreath), Sudbury,
285-291, Balkema:Rotterdam.
Thompson, A.G. 2004. Performance of cable bolt anchors An
Update. MassMin2004 (Eds. A. Karzulovic and M.A. Alfaro),
317323, Instituto de Ingenerios de Chile:Santiago.
Thompson, A.G., Matthews, S.M., Windsor, C.R., Bywater, S. and
Tillmann V.H. 1987. Innovations in rock reinforcement technology
in the Australian mining industry. Proc. 6th Int. Congress on Rock
Mechanics, Sudbury, V2, 12751278, Balkema:Rotterdam.
Thompson, A.G. and Windsor, C.R. 1995. Tensioned cable bolt rein-
forcement an integrated case study. Proc. 8th Int. Congress on
Rock Mechanics, Tokyo, V2, 679683, Balkema:Rotterdam.
 Strain softening behaviour and constitutive modeling of schist

Rakesh Kumar
NTPC Ltd., EOC, Noida, India

K.G. Sharma & A. Varadarajan

Department of Civil Engineering, Indian Institute of Technology, Delhi, India

ABSTRACT: Many engineering structures like tunnels, caverns, slopes and dams are often constructed in/on the rock
formations. The behaviour of rocks is very complex and the characterisation of their behaviour forms an important step
in the rational design of structures. Many rocks exhibit strain softening behaviour both in tension and compression. Therefore,
inclusion of strain softening behaviour in the constitutive models is very essential for the realistic prediction of the behaviour
of structures in/on rock by powerful numerical method such as finite element method. The present paper deals with the testing
and characterization of the behaviour of biotite schist using closed-loop servo-controlled testing machine in the laboratory.
The testing on the biotite schist is performed using strain controlled loading under confining pressures of 0, 7, 10, 20, 30
and 40 MPa. The behaviour of biotite schist is predicted with strain softening Mohr-Coulomb model available in FLAC soft-
ware package. The material parameters for the models are determined from the experimental results. The stress-strain-volume
change response of the biotite schist is then predicted using the material parameters and is compared with the observed
results.

1 INTRODUCTION Table 1. Index properties of biotite schist.

Various civil engineering projects such as dam foundations, Property Value

slopes, underground structures including powerhouse cav-
erns, traffic and transportation tunnels, storage spaces and
mining tunnels are increasingly located in/on rock mass. The
heterogeneity and anisotropy in the rock dominates its engi-
neering behaviour. Many rocks exhibit the phenomenon of
strain softening under loads. The onset of inhomogeneous
deformation in rocks is responsible for the phenomenon of
strain softening. The strain softening behaviour is charac-
terised by the progressive loss of strength when the material
is compressed beyond the failure (Karstunen et al. 1997).
The use of strain softening behaviour is of paramount impor-
tance in arriving at rational design of the structures con-
structed on the rocks. The behaviour is elastoplastic in nature
(Bazant et al. 1984). The rock behaviour is normally obtained
by testing the rock samples in the laboratory under vari-
ous loading conditions. With conventional equipments, the
stress-strain behaviour can be obtained upto peak only and
it is not possible to capture strain softening behaviour of
rocks. These results are useful to get strength parameters
for conventional design purpose. The strain softening can
be obtained only by using stiff testing machine or closed-
loop servo-controlled testing machine (Hudson et al. 1971 &
1972). The constitutive models used to characterize the strain
softening behaviour are elastoplastic (Shang & Yao 1999),
elasto-viscoplastic (Nemes & Speciel 1996). The paper deals
with triaxial testing of biotite schist in the laboratory under
confining pressures of 0, 7, 10, 20, 30 and 40 MPa, using
closed-loop servo-controlled testing machine. The paper also
presents the constitutive modeling of biotite schist using strain
softening Mohr-Coulomb model available in FLAC software
package.
Dry density (kN/m3 ) 28.00
Saturated density (kN/m3 ) 28.10
Void Ratio 0.0036
Porosity (%) 0.356
Water absorption (%) 2.18
Tensile strength (MPa) 9.15
2 ROCK USED
The rock used for testing is biotite schist. The rock is fine
grained and light green in colour. The specific gravity of the
rock is 2.83. The index properties of the rock as per ISRM are
determined in the laboratory and are presented in Table 1.
3 EXPERIMENTAL PROGRAMME
The strain controlled compression tests were conducted on
biotite schist under the confining pressures of 0, 7, 10, 20,
30 and 40 MPa using a closed-loop servo-controlled testing
machine. The machine used for testing has a loading capac-
ity of 1000 kN and has loading rate capability in the range of
0.001 mm/s to 10 mm/s. High pressure triaxial cell, which has
the capability to withstand 0-140 MPa confining pressure and
has sufficient space to accommodate extensometers inside, is
used for the testing. The samples were prepared with 54 mm
diameter and 108 mm height as per ISRM guidelines. The
strains were measured with the help of the strain gauges and
extensometers. The axial and lateral extensometers having a

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2007 Taylor & Francis Group, London, UK

 Table 2. Elastic parameters for biotite schist.

Confining Bulk modulus Shear modulus

pressure (GPa) (GPa)

0 37.53 15.36
7 MPa 34.00 16.45
10 MPa 32.53 16.85
20 MPa 31.10 17.92
30 MPa 30.77 18.46
40 MPa 27.44 18.96

Table 3. Strength parameters for biotite schist.

Plastic shear strain Cohesion (MPa)

0 35.00
0.000275 31.00
0.000720 26.00
0.001430 6.86
Figure 1. Details of test equipments. 0.002900 1.10

gauge length of 82 mm and 25.4 mm respectively, were placed

on the centre of the specimen and held in position with the help where is the friction angle; c the cohesion; t the tensile
of springs. The tests were conducted at a constant axial strain strength and
rate of 9.259 106 /s. The servo-control-testing machine, tri-
axial cell, sample with extensometers and data acquisition
system are shown in Fig. 1.

Plastic shear strain is measured by the shear harden-

4 CONSTITUTIVE MODELING
The material behaviour can be characterized by various con-
stitutive models such as local models (Chambon et al. 2001),
continuum damage mechanics models (Williams et al. 2003),
smeared crack models (de Borst 2002), Cosserat continuum
models (Suker et al. 2001), visco-plastic models (Cazacu
1997) and models based on the disturbed state concept (Desai
2001 & Varadarajan et al. 2001).
In the present paper, strain softening Mohr-Coulomb model
incorporated in FLAC software package has been used to
model the behaviour of biotite schist. The salient features of
the model are briefly presented herein. The non-associated
shear and associated tension flow rules are used. The differ-
ence, however, lies in the possibility that the cohesion, friction,
dilation and tensile strength may harden or soften after the
onset of plastic yield. In the conventional Mohr-Coulomb
model, the properties are assumed to remain constant. Here,
the user can define the cohesion, friction and dilation as
piecewise-linear functions of a hardening parameter measur-
ing the plastic shear strain. The yield and potential functions,
plastic flow rules and stress corrections are identical to those
of the Mohr-Coulomb model.
The failure envelope for shear is defined by the Mohr-
Coulomb yield function
ing/softening parameter eps , whose incremental form is
defined as
where,
ps
and ej , j = 1, 3 are the major and minor principal plastic
shear strain increments, respectively.
The details of the model are given in FLAC Version 4.0
manual (2002).
5 DETERMINATION OF PARAMETERS
The material parameters i.e elastic and strength parameters
for biotite schist were determined from experimental results.
The parameters are presented in Tables 2 & 3. The parameters
in Table 2 are determined for each confining pressure. The
strength parameters for biotite schist are given in Table 3. The
friction angle for biotite schist is 80 .

6 PREDICTIONS

The stress-strain-volume change response of the biotite schist

and tension yield function of the form was predicted by the strain softening Mohr-Coulumb model
using FLAC package. The results of the analysis were obtained
in terms of deviatoric stress, and axial, lateral strains, and
volumetric strains.

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2007 Taylor & Francis Group, London, UK

 100 2.00E-03

90
1.50E-03
80
Predicted (UCS)
Deviatoric stress (MPa)

70 Predicted (UCS) 1.00E-03

Volumetric Strain
60 Observed (UCS)
Predicted (10 MPa)
Observed UCS) 5.00E-04
50 Observed (10 MPa)
Predicted (7 MPa)
Predicted (20 MPa)
40 Predicted (7 MPa) 0.00E+00
Observed (20 MPa)
30
Observed (7 MPa) 0.00E 1. 2. 3. 4. 5. 6.
Observed (7 MPa)
+00 00E- 00E- 00E- 00E- 00E- 00E-
-5.00E-04 03 03 03 03 03 03
20

10
-1.00E-03
0
-0.003 -0.002 -0.001 0 0.001 0.002 0.003 0.004 0.005 -1.50E-03
Axial Strain
Figure 2. Stress-strain behaviour for 3 = 0 & 7 MPa.
Figure 5. Volume change response for 3 = 10 & 20 MPa.
0.002
1.60E+02

1.40E+02
0.0015

1.20E+02

Deviatoric Stress (MPa)

Predicted (30 MPa)
Predicted (30 MPa)
0.001 100E+02.
Volumetric Strain

Observed (30 MPa)

Observed (30 MPa)
Predicted (UCS) 8.00E+01
Predicted (40 MPa)
Observed (UCS)
0.0005 Predicted (40 MPa)
Predicted (7 MPa) 6.00E+01
Observed (40 MPa)
Observed (7 MPa)
4.00E+01 Observed (40 MPa)

0
0 0.001 0.002 0.003 0.004 2.00E+01

0.00E+00
-0.0005 -5.00E-03 0.00E+00 5.00E-03 1.00E-02

Lateral Strain Axial Strain

-0.001
Axial Strain
Figure 6. Stress-strain behaviour for 3 = 30 & 40 MPa.
Figure 3. Volume change response for 3 = 0 & 7 MPa.
2.00E-03

1.20E+02 1.50E-03

1.00E-03

1.00E+02
5.00E-04
Volumetric Strain

Predicted (30 MPa)

Deviatoric Stress (MPa)

Predicted (10 MPa)

0.00E+00
8.00E+01 Observed (30 MPa)
Predicted (10 MPa) 0.00E+00 2.00E-03 4.00E-03 6.00E-03 8.00E-03
Predicted (40 MPa)
Observed (10 MPa) -5.00E-04
Observed (40 MPa)
Observed (10 MPa)
6.00E+01 -1.00E-03
Predicted (20 MPa)
Predicted (20 MPa) -1.50E-03
400E+01. Observed (20 MPa)
-2.00E-03
Observed (20 MPa)

-2.50E-03
2.00E+01
Axial Strain
Lateral Strain Axial Strain
0.00E+00 Figure 7. Volume change response for 3 = 30 & 40 MPa.
-4.00E- -2.00E- 0.00E+0 2.00E- 4.00E- 6.00E-
03 03 0 03 03 03

predicted results of biotite schist in terms of stress-strain-

Lateral Strain
Figure 4. Stress-strain behaviour for 3 = 10 & 20 MPa.
7 RESULTS AND DISCUSSION
The experimental results of biotite schist in terms of stress-
strain-volume change response are presented in Figs. 27. The
Axial Strain volume change response using FLAC are also presented in
Figs. 27. The effect of confining pressure is clearly noticed
from Figs. 4 & 6. With increase in confining pressure, there is
marked increase in residual strength and eventually at confin-
ing pressure of 40 MPa the rock behaviour changes from brittle
to ductile. Brittle to ductile transition behaviour is also seen
from the Fig. 6. The observed and predicted failure envelopes
are shown in Fig. 8. The prediction is found to be generally
satisfactory and comparable with experimental results.

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2007 Taylor & Francis Group, London, UK

 200 Chambon, R., Caillerie, D. and Matsuchima, T. 2001. Plastic con-
180
tinuum with microstructure, Local second gradient theories for
geomaterials: Localization studies. Int. J. of Solids and Structures,
160
38: 85038527.
140 de Borst. 2002. Fracture in quasi-brittle materials: A review of con-
120 tinuum damage based approaches. Engg. Fracture Mechanics, 69:
Axial Stress (MPa)

100
80
60
40
20
0 Hudson, J.A., Crouch, S.L. and Fairhurst, C. 1972. Review-soft, stiff
0 10 20 30
Confining Pressure (MPa)
Figure 8. Observed and predicted failure envelopes for biotite
schist.
8 CONCLUSIONS
The strain controlled triaxial compression tests have been con-
ducted on biotite schist under confining pressures of 0, 7,
10, 20, 30 and 40 MPa in the laboratory using closed-loop
servo-controlled testing machine at a constant axial strain
rate of 9.259 106 /s. The strain softening Mohr-Coulumb
model in FLAC package has been used to predict the rock
behvaiour. The predicted behaviour and observed behaviour
for biotite schist were found to be in satisfactory agreement. It
is observed that with increase in confining pressure, the resid-
ual strength of rock increases. The brittle to ductile transition
occurs at a confining pressure of 40 MPa. The observed and
predicted failure envelopes for biotite schist are also matching
satisfactorily.
Observed 95112.
Predicted Desai, C.S. 2001. Mechanics of materials and interfaces: The
disturbed state concept. Boca Raton FL, USA: CRC Press.
FLAC (version 4.0). 2002. Theory and background manual.
Hudson, J.A., Brown, E.T. and Fairhurst, C. 1971. Shape of the com-
plete stress-strain curve for rock; Proc. 13th US Symp. Rock Mech.,
Univ. Illinois, Urbana, Illinois, U.S.A.
40 50 and servo-controlled testing machines: A review with reference to
rock failure. Engg. Geology, 6: 155189.
Karstunen, M., Pande, G.N. and Desures, J. 1997. Strain localisa-
tion and rotation of principal stress axis in biaxial test; Proc.
9th Int. Conf. Comput. Meth. Adv. Geomech., Wuhan, China:
J.X. Yuan (Ed).
Nemes, J.A. and Speciel, E. 1996. Use of a rate-dependent con-
tinuum damage model to describe strain softening in laminated
composites. Comput. Struct., 58(6): 10831092.
Shang, D.G. and Yao, W.X. 1999. A non-linear cumulative model for
uniaxial fatigue. Int. J. Fatigue, 21: 187194.
Suiker, A.S.J., Metrikine, A.V. and de Borst. 2001. Comparison of
wave propagation characteristics of the Cosserat continuum model
and corresponding discrete lattice models. Int. J. of Solids and
Structures, 38(9): 15631583.
Varadarajan, A., Sharma, K.G., Desai, C.S. and Hashemi, M. 2001.
Constitutive modeling of a schsitose rock in the Himalaya. Int. J.
of Geomechanics, 1(1): 83107.
Williams, K.V., Vaziri, R. and Poursartip, A. 2003. A physically based
continuum damage mechanics model for thin laminated composite
structures. Int. J. of Solids and Structures, 40(9): 22672300.

REFERENCES

Bazant, Z.P. and Belytschko, T.B. 1984. Continuum theory for strain
softening. J. Engg. Mech. ASCE, 110(12): 16661692.
Cazacu, O., Jin, J. and Cristescu, N.D. 1997.A new constitutive model
for alumina powder compaction. KONA Powder and Particle, 15:
103112.

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2007 Taylor & Francis Group, London, UK

 Stress paths in laboratory rock joint shear tests

Jos Muralha
Laboratrio Nacional de Engenharia Civil (LNEC), Lisbon, Portugal

ABSTRACT: Laboratory shear tests of rock joints are the common tool to evaluate the shear strength. Their results are
fundamental to assess the safety conditions of Rock Engineering projects. This paper will present the different types of tests
that can be carried out, with a special focus in what concerns the stress paths applied through out the tests. The advantages
and disadvantages of using the same joint sample to perform several slidings will be discussed, along with other issues related
to the joint re-positioning and surface wear. The importance of the stress path of the normal stress prior to each sliding is an
important factor to assure that all slidings are performed under conditions as approximate as possible.

1 INTRODUCTION 10) can be misleading and turn up to be very dangerous; it

Since early days of Rock Mechanics, the shear strength of rock
discontinuities has been a major topic and some well known
papers are frequently quoted (Barton & Choubey 1977, Bandis
et al. 1983). Its relevance arises in Rock Engineering works
where stresses are low in comparison with the strength of intact
rock. In these cases, the rock mass stability and the safety con-
ditions are controlled by block movements defined along or
by discontinuities (joints, bedding planes, shear zones, faults,
and cleavage or foliation planes). Safety evaluation of blocky
systems requires the estimation of the shear strength of the
rock discontinuities, which can be determined by shear tests
(Goodman 1989, Hoek 2007). Due to their duration and cost,
it is common practice to perform laboratory shear tests on rel-
atively small samples of rock joints, instead of in situ direct
shear tests.
As in Soil Mechanics, the basic principle of common rock
joint direct shear tests is to subject a joint sample to various
normal stresses and in each case to determine the shear stresses
required to produce a certain shear displacement (ISRM 1974,
ASTM 1995). This paper discusses the different possibilities
to perform these tests.
2 SHEAR TESTS
Rock joint shear tests are often included in the geomechanical
characterization of rock masses for large and relevant projects.
These studies also include the assessment of the main joint
sets and the shear tests should also direct their attention to
the evaluation of the mechanical characteristics of such sets.
The analysis of several groups of joint shear tests from dif-
ferent types of rocks showed that the variability of the results
is quite important. Coefficients of variation higher than 30%
are very common, and smaller values around 10% are only
found for particular joint sets with very low roughness, such
as schistosity or foliation planes (Muralha 1995). If possible,
a statistically significant number of laboratory tests should
be performed to estimate the shear parameters for a given
joint set. A number around 20 usually offers a satisfactory
compromise between statistical significance, sampling diffi-
culties and costs. It has to be stressed that trying to estimate
shear parameters from the results of very few tests (less than
only possible in very particular situations when carried out by
experienced consultants with previous site knowledge.
Several types of equipments can be used to perform such
tests and different procedures can be followed. Since Rock
Mechanics early times, several types of laboratory equip-
ments have been design and built to perform direct shear tests
devised to evaluate the shear strength of joints (e.g. Natau
1980, Franklin 1985, Skinas et al. 1990, Wibowo et al. 1992,
Esaki et al. 1995, Souley 1995, Kerstins 1999).
In most of these equipments the rock joint sample is placed
horizontally in a shear box after being encapsulated with
cement mortar or a synthetic resin, so that it can be tightly
fastened inside the box. Generally, it is the upper half of the
shear box (and of the rock joint) that slides while the lower half
is fixed. The shear box can hold joint samples with sheared
areas ranging from 200 to 400 cm2 , though in some cases
larger samples can be tested.
The normal and shear forces are usually provided by a cou-
ple of hydraulic jacks that can be actuated by an electrical
pump with or without some kind of servo regulation. In some
cases, a cantilever system is used to apply the normal force
as a dead-weight and a mechanical gear drive system is used
to provide the shear force in others. The jacks are mounted in
a reaction structure or frame that also holds the fixed part of
the shear box.
The normal and shear forces are directly measured by load
cells or indirectly by pressure gauges or transducers. Displace-
ment transducers are used to measure the displacements. It is
common practice to perform almost continuous measurements
of these parameters using computer based data acquisition
equipments.
Boundary conditions are also relevant in these tests, since
as shear displacement (sliding) develops, dilation (normal dis-
placement with joint aperture increase) also has to occur due
to joint roughness that forces one of the halves of the joint to
override the other. It is common to perform tests under con-
stant normal stress, which is maintained during sliding by the
servo-control of the hydraulic equipment or by actuators. The
equipments that use a cantilever and a dead-weight to apply
the normal stress are particularly suited to the analysis of slope
stability, since they reproduce in the laboratory the natural
joint conditions with a constant normal stress and no normal
stiffness (completely unconstrained joint displacement in the

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2007 Taylor & Francis Group, London, UK

normal direction).The servo-controlled equipments also allow 2.5
to perform tests under particular boundary conditions such as
constant normal stiffness and constant normal displacement (8)
2.0
(Johnston et al. 1987, Indraratna et al. 1998). However, these
are not common tests and are usually carried out in research (7)

Normal stress (MPa)

programs. 1.5
(6)
It is well known that the principle factors affecting the shear
(5)
strength of rock joints are the roughness (at a laboratory scale)
(4)
and the waviness (at a natural scale), and the strength of the 1.0
joint walls in comparison with the normal stress (Patton 1966, (3)
Barton 1973). The type of rock is not so important, and the (2)
0.5
presence of fillings is not considered in this paper. When joints
shear, the shear strength is the sum of a basic friction angle, (1)
a geometric component due to surface roughness and a rock 0.0
shearing part. This last component wears the rock walls, pro- 0.0 1.0 2.0 3.0 4.0 5.0 6.0
duces small pieces and debris of rock, and is recognizably Shear displacement (mm)
more important when the normal stress is larger.
Direct shear tests procedures are described in the ISRM 2.5
Suggested Method (1974) and in the ASTM standards
D-5607-95 (1995). Though some differences between the pro- 2.0
cedures can be found, both standards define the following
basic mechanism for rock joint shear tests: an external shear (8)
force is increased, while maintaining a normal force constant. Shear stress (MPa)
1.5
The forces, the corresponding displacements, and the nominal (6)
shear area should be recorded for calculating the results. The (7)
standards pay particular attention to the care to be taken with 1.0 (4)
the sampling, transport and storage of the discontinuity sam- (5)
(2)
ples, since they can be damage the joint surfaces or change 0.5 (3)
their natural water content.
The purpose of shearing is to establish values for the peak
(1)
and residual shear strength. So, the shear force should be 0.0
applied as continuously as possible to control the rate of 0.0 1.0 2.0 3.0 4.0 5.0 6.0
shear displacement. Using current data acquisition systems Shear displacement (mm)
and servo-controlled equipments it is possible to define a con-
stant displacement rate and to take enough readings to define Figure 1. Test procedure without repositioning.
an almost continuous graph. Hence, the reading rates defined
in the Suggested Method and in the ASTM standards should
be revised. is followed for a normal stress of 1.5 MPa (5) and (6) and for
Frequently, prior to a set of shear tests, rock joints undergo the last normal stress of 2.0 MPa (7) and (8).
normal closure tests, consisting of a series of loading- This type of multi-stage enables to perform several shear-
unloading normal stress cycles with measurement of the joint ings or slidings with the same joint sample, allowing to
aperture (normal displacement) to determine the joint normal determine a failure envelope. However, only the first sliding
stiffness. This particular part of joint testing is beyond the starts with the joint placed in its natural and mated position,
subject of this paper. and all the following slidings start at different values of the
shear displacement. It is not possible to pre-define the value
of shear displacement required to reach the shear strength and
3 TEST PROCEDURES AND STRESS PATHS sometimes it is difficult to define precisely the value of the
shear strength.
Since the purpose of these tests is to evaluate the relations Another type of multi-stage shear test is currently per-
between the shear and the normal stresses at failure, several formed at LNEC. The procedure is an adaptation of both ISRM
different normal stresses have to be applied to define a failure and ASTM procedures. The shear test of a joint sample con-
envelope. If each joint could only be tested under a single sists of a series of 4 or 5 slidings at different normal stresses.
normal stress, a large amount of joint specimens would have to The first sliding takes place under the lowest normal stress
be sampled. So, generally particular multistage test procedures and the following slidings are performed under different nor-
are followed to evaluate the shear envelope from each single mal stresses, each one being carried out under a normal stress
joint. One of the possible procedures for performing several larger than the previous, so that the last sliding will be done
shear tests under different normal stresses using the same rock under the highest normal stress. This normal stress sequence
joint is presented in Figure 1. This figure shows that the starts was also followed in the procedure presented above. The main
with an increase of the normal stress up to the 0.5 MPa (1), difference is that all slidings start with the two joint halves
followed by the shearing of the joint displayed by the increase placed or reset in their mated or natural position. This practice
of the shear stress and corresponding shear displacement (2); tries to minimize the influence of each repetition that wears
when the shear stress appears to reach a constant value, it is the joint surface and breaks the roughness and asperities. To
taken back to 0 and the normal stress is increased to 1.0 MPa further reduce this inconvenient, a special care is put on the
(3) and a second shearing is applied (4); the same procedure careful removal of all debris from the joint surfaces when it is

432

2007 Taylor & Francis Group, London, UK

 4.0 4,0

3,0

Normal stress (MPa)

3.0
Normal stress (MPa)

2,0
2.0

1,0
1.0

0,0
0 0,05 0,1 0,15 0,2 0,25
0.0
Normal displacement (mm)
0.00 0.10 0.20 0.30 0.40 0.50
Normal displacement(mm) Figure 3. Pre-loading curves of a joint with common normal closure
behaviour.
Figure 2. Pre-loading of a joint before a shearing under a normal
stress of 1.0 MPa.
4,0

positioned in its initial mated position previously to each slid-

ing. To further minimize this effect, the normal stresses are not
chosen covering equally the range of stresses that are expected
to be found in the project (e.g. 0.5, 1.0, 1.5 and 2.0 MPa).
Instead, a geometric progression is used; for instance, for tests
up to a normal stress around 3 MPa, the following normal
stresses would be used: 0.4, 0.8, 1.6 and 3.2 MPa. Bartons
law that that includes a log relation between the JCS and the
normal stress supports this principle of doubling the normal
stress for the next sliding.
Moreover, the wear of the joint roughness will tend to reduce
the shear strength and to render conservative values for the
shear strength. Since the shear strength reduction due to rough-
ness wearing does not take effect for the first sliding (under
the lowest normal stress), if a Coulomb linear envelope is con-
sidered, the friction angle is reduced but the apparent cohesion
can display a small increase.
ISRM and ASTM procedures state that the normal load is to
be continuously increased at a constant rate until the selected
normal stress is attained. In order to reach conditions as similar
as possible before all slidings, a loading-unloading cycle up
to a high normal stress is performed prior to the increase of
the normal stress up to the selected value. Figure 2 presents
an example of a normal stress vs normal displacement graph
performed before a joint shearing under a normal stress of
1.0 MPa.
The steps of this type of joint shear test procedure can be
described as follows:
(1) Loading-unloading cycles up to a high normal stress;
(2) Loading of the joint up to the first (lower) normal stress;
(3) Shearing of the joint under this normal stress maintained
constant through out;
(4) Removal of all wear debris and cleaning of the joint
surfaces;
(5) Placing of the joint in its initial and mated position;
(6) Repetition of steps (1) to (5) but with the second normal
stress;
(7) Repetition of steps (1) to (5) but with the third normal
stress;
(8) Repetition of steps (1) to (5) but with the last normal stress.
Beyond providing regular and similar conditions for the suc-
cessive shearings at different normal stresses, plotting just the
Normal stress (MPa) 3,0
2,0
1,0
0,0
0 0,05 0,1 0,15 0,2 0,25
Normal displacement (mm)
Figure 4. Pre-loading curves of a joint with an unusual normal
closure behaviour.
last loading cycles displayed an important feature: they all fol-
lowed the same plot, revealing that this pre-loading procedure
proved to be very effective in establishing similar conditions
for each sliding. Figure 3 presents an example with a joint
displaying the usual hyperbolic type of curves for its closure.
Figure 4 shows an example with a joint showing an unusual
behaviour. The normal closure graphs of this joint begin with
a decrease of the normal stiffness and display an inflexion
point, and due to the pre-loading they are quite similar though
between each one of them was obtained a shearing was made.
Finally, Figure 5 presents the results of a rock joint shear test
with all shear displacements starting at the same (in this case
initial, mated relative position of the joint), and the normal
stresses with in a geometric progression. If shear strength val-
ues were estimated from each graph and plotted against their
respective normal stresses an almost linear relation would be
found.
4 CONCLUDING REMARKS
The determination of rock joint shear strength involves a sig-
nificant number of laboratory shear tests. It is not practical to
use a joint sample to perform a single shearing under a con-
stant normal stress. Instead, several shearings under different
normal stresses are performed on the same joint, enabling the

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2007 Taylor & Francis Group, London, UK

 3,0
2,5
Shear stress (MPa)
2,0
1,5
1,0
0,5
0,0
0,0 1,0 2,0 3,0
Shear displacement (mm)
0,5 MPa 1,0 MPa 2,0 MPa
Figure 5. Rock joint shear test with re-positioning and pre-loading.
assessment of its failure envelope. These multi-stage types
of tests can be carried out according to different procedures
concerning the respective stress paths. In this paper some pro-
cedures were presented and the advantages of repositioning
the joint in the initial position prior to every shearing were
pointed out. It was also shown the relevance of performing
a pre-loading cycle up to a high normal stress before each
shearing to assure that all shearings are performed under the
most similar conditions.
Regarding the stress paths followed by the normal and shear
stresses during the tests, it should be pointed out that they don
not act in accordance with real field conditions. For instance,
in the case of rock slopes what can happen is that the normal
stress decreases while the shear stress is approximately con-
stant, thus producing failure following a quite different stress
path from that of common shear tests (increase of the shear
stress under constant normal stress).
REFERENCES
ASTM 1995. Standard test method for performing laboratory direct
shear strength test of rock specimens under constant normal
force, Designation D5607-95, Annual book of ASTM standards:
384392.
Barton, N. R., and Choubey, V. 1977. The shear strength of rock joints
in theory and practice. Rock Mechanics, 10, 154.
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Barton, N. 1973. Review of a new shear strength criterion for rock
joints, Engineering Geology, 7, 287332.
Bandis, S., Lumsden, A. C., and Barton, N. R. 1983. Fundamentals
of rock joint deformation. Int. J. Rock Mech. Min. Sci. Geomech.
Abstr., 206, 249268.
Esaki, T., Nakahara, K., Jiang, Y. and Mitani, Y. 1995. Effects of pre-
ceding history on shear-flow coupling properties of rock joints.
Symp. Mechanics of Jointed and Faulted Rock, Viena, Austria.
Balkema, Rotterdam.
Franklin, J.A. 1985. A direct shear machine for testing rock joints.
Geotechnical Testing Journal, 8 1: 2529.
Goodman, R.E. 1989. Introduction to Rock Mechanics. 2nd ed. John
Willey & Sons.
Hoek, E. 2002. Practical Rock Engineering. Available on
4,0 5,0 http://www.rocscience.com.
ISRM 1974. Suggested methods for determining shear strength,
Commission on Standardization of Laboratory and Field Tests,
4,0 MPa
Committee on field tests, Final draft, February 1974, Pergamon,
Oxford.
Indraratna, B., Haque, A., and Aziz, N. 1998 Laboratory modelling
of shear behaviour of soft joints under constant normal stiffness
conditions. Geotechnical and Geological Engineering,Volume 16,
Number 1/March, pp. 1744.
Johnston, I. W., Lam, T. S. K., and Williams, A. F. 1987. Constant
normal stiffness direct shear testing for socketed pile design in
weak rock. Geotechnique, 37, 8389.
Kerstins, C.M.D. 1999. A generic UDEC model for rock joint shear
tests, including roughness characterisation, Memoirs Centre Eng.
Geology, No. 182, Faculty Civil Engineering Geosciences, TU
Delft, Netherlands.
Muralha, J. 1995. Statistical description of shear parameters of
rock joints. 8th Congress of the ISRM, Tokyo, Japan. Balkema,
Rotterdam.
Natau, O. Leichnitz, W., and Balthasar, K. 1980. Construction of
a computer-controlled direct shear testing machine for investiga-
tions in rock discontinuities, 4th Congress of the ISRM, Vol. 3,
Montreux, Switzerland. Balkema, Rotterdam.
Patton, F. D. 1966. Multiple modes of shear failure in rock. 1st
Congress of thr ISRM, Vol. 1, 509513, Lisbon, Portugal.
Skinas, C.A., Bandis, S.C., and Demiris, C.A. 1990. Experimental
investigations and modelling of rock joint behaviour under con-
stant stiffness shearing, Int. Symp. on Rock Joints, Loen, Norway.
Balkema, Rotterdam.
Souley, M., Homand, F., and Amadei, B. 1995. An extension of the
Saeb and Amadei constitutive model for rock joints to include
cyclic loading paths. Int. J. Rock Mechanics Min. Sci. Geomech.
Abst., 32 2: 101109.
Wibowo, J.T., Amadei, B., Sture, S., Robertson, A.B., and Price, R.
1992. Shear response of a rock joint under different conditions:
an experimental study, Conf. Fractured and Jointed Rock Masses,
Lake Tahoe, California.
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 Stress recovery procedure for discontinuous deformation analysis

Z.Y. Zhao, J. Gu & H.R. Bao

School of Civil and Environmental Engineering, Nanyang Technological University, Singapore

ABSTRACT: The Discontinuous deformation analysis (DDA) has been widely used to model the motions of blocky masses.
A linear polynomial function often used in the DDA can ease the complex contact determination between the blocks. However,
this linear displacement function generates constant stress field within a block, which can not effectively model the stress
variation within a block or across the block interface. In this paper, a stress recovery procedure is proposed for those DDA
blocks which are glutted together as continuous objects. Such a procedure can improve the stress accuracy along the block
interfaces and can be used for more accurate contact determination in the future. Two numerical examples are presented to
study the stress accuracy of the proposed method, and the results verify that the proposed stress recovery method provides
better accuracy than the direct DDA and the averaging method.

1 INTRODUCTION In the present paper, the concept of glutting the blocks as

continua is adopted to simulate stress field before the blocks
The basic frame work of the discontinuous deformation analy- separate and slide. A stress recovery procedure is developed
sis (DDA) was proposed and implemented by Dr. Shi in 1988 for improving inter-block stress evaluation. Two numerical
(Shi, 1988). Due to its special feature in modeling the dis- examples are presented. The recovered stress tensors and inter-
continuous rock mass, many studies on the DDA have been block forces are compared with that from the traditional stress
carried out over the last decade, and its applications haven average smoothing method and the theoretical solutions.
been extended to many rock engineering areas (MacLaughlin
et al., 2003).
A linear polynomial function is often used in the standard 2 CONCEPT OF GLUTTING BLOCKS AS
DDA as it can ease the complex contact determination between CONTINUA
the blocks. However, this linear displacement function gen-
erates constant stress field within a block, which can not The Discontinuous Deformation Analysis (DDA) is formu-
effectively model the stress variation within a block or across lated based on block theory where each block can move and
the block interface (Hatzor et al., 2003). Various developments deform independently, and the interaction between blocks
have been proposed to improve the displacement/stress accu- is idealized by contact springs. For the two-dimensional
racy, such as the introduction of finite element mesh within problems, the displacement (u, v) at any point (x, y) of
the blocks, the coupling of DDA with FEM, or using a higher a block can be represented by six displacement variables
order DDA. In general, those improvements need either sub- (u0 , v0 , r0 , x , y , xy ) by the following equation:
stantial more computing time or extra compatibility along the
FEM/DDA interface.
Many natural materials (like rock mass) contains weak
layers (such as joints), one method in fracture propagation
simulation is to consider each mesh line as a potential crack,
and evaluate inter-element forces/stresses along the mesh
line, and determine the crack opening or sliding based on
appropriate strength criteria. As DDAs blocks are all indepen-
dent with each other, the nodes on the interface of the blocks
are originally assigned double nodes. There is no need to insert
zero-thickness interface elements with double nodes along
each line of the block system as commonly used in the FEM. where u0 , v0 are the rigid body translation of a specific point
Therefore, the DDA is ideal to use the block boundary as a (x0 , y0 ) within the block; r0 is the rotation angle of the block
potential crack. These interfaces are assigned a relative elastic with the rotation center at (x0 , y0 ). x , y , xy are the normal
stiffness which may be interpreted as the penalty coefficient and shear strains of the block. Individual blocks form a system
necessary to evaluate stress traction transmitted across their of blocks through contacts among blocks and displacement
surface. Thus, an accurate stress evaluation for these inter- constraints on individual blocks. For a block system, the simul-
blocks will become essential in the crack propagation analysis. taneous equilibrium equations are the same as that of the FEM
As this inter-block stress is not as accurate as the stress field which is called the global stiffness matrix:
inside the block, it is preferable to use some post-processing
techniques to recover the stress along the inter-block
boundary.

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2007 Taylor & Francis Group, London, UK

Eq. (2) is generated from the differentiations of the total
potential energy  of the block system: f
(4)

r(4) r(3)
4 -r
(3) f (3)
g(4) 3
(2)
g(3) -r
r(2)
2

(2)
g(2) -r(1)

f
r(1)
(N) 1
(N-1)N r
-r -r(N-1)
g(N) g(1) (1)
f
(N)
fi
DDAs block displacement function is proved to be equivalent
to the first order approximation of the displacement in the i

FEM, but the blocks used in the DDA can assume any given
geometry as opposed to the simple geometry of the FEM ele- Figure 1. Forces equilibrium at nodes with gravity load.
ments. The choice of the linear displacement function in the
DDA is because it can ease the complex contact determina- corner nodes, will require some additional equations or prin-
tion between the blocks, so that the DDA can model the object ciples. We can write the equilibrium equations at each node
material as a system of individually deformable blocks that in vector notation as:
move independently without any interpenetration.
The whole block system can be considered as a continuous
field before block separation appears. All blocks are glutted
together during the analysis when the inter-block stress is less
than the joint strength. Block relative movements start to occur
when the inter-block stress exceeds the joint property (i.e.
opening when the normal stress exceeds the tensile strength,
and sliding when the shear stress exceeds the shear strength
based on Coulombs friction law). With strong joint prop- Here we choose r (1) as the arbitrary 2-component vector and
erties (large friction angle, cohesion, and tensile strength), assume r = r (1) as a known values, the remaining unknowns
the glutted blocks just behave like the continuous finite ele- from Eq. (5) can be written in the expanded form as:
ments. Therefore, an accurate inter-block stress evaluation is
the first important step towards to block separation analysis
in the DDA.
However, the linear displacement function in the DDA gen-
erates constant stress field within a block, which can not
effectively model the stress variation within a block or across
The inter-block stress is defined as the stress that acts along
the block interface. One way to improve the stress accuracy
the surface shared by two blocks. It uses the simple concept
over the block-interface is the use of small blocks glutting
of spreading the inter-block forces over the contributing area,
together for the area with large stress concentration, but too
leading to a constant stress distribution. These areas can be
many blocks lead to a high computing cost. In the following
determined using the principle of virtual work in a way similar
section, a stress recovery procedure is developed for better
to the standard procedure to calculate nodal forces equivalent
interface stress evaluation which follows a recent paper on
to external distributed forces.
the FEM stress recovery (Ciancio, et al. 2006), with revised
If we use rx and ry as the forces in the global coordinate,
formulas suitable for DDA implementation.
we can get the relationship of force and stress as:

3 STRESS RECOVERY PROCEDURE

3.1 Inter-block forces and stresses

Nodal force vector for a block may be expressed as:
where B is the strain matrix, is the stress field in the block
and A is the block area.
The DDA program gives the value of nodal force f in
each block. For a generic node (see Figure 1), these inter-
block forces are the sum of the nodal force contributions from
each surrounding block, but they are not uniquely defined.
The corresponding f at node N does not lead to a distribu-
tion of this force between the inter-block forces r and gravity
load of block g. This suggests that evaluation of such inter-
block forces at (and, subsequently, the stress tractions near) the
where  is the block side relative area. For linear functions
(two-node edge) in DDA analysis, the nodal area is equal to
half of the total surface of the interface. Q is the rotation matrix
from the global to the local system. The components of the
local reference system for the normal and tangential stress
along the oblique face can be defined as n = (cos , sin ) and
t = ( sin , cos ).
3.2 Stress recovery
The value of the traction vector (k) for each plane k can be
computed as a function of r. But due to the arbitrary value of
r, the coordinates of (k) on Mohrs space will be representa-
tive of points that in general do not belong to any single circle.
To find the value of r, an intrinsic error between the projection
of T onto the plane k and the stress vector (k) {r} (which means

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2007 Taylor & Francis Group, London, UK

expressed by the variables) should be measured. Borrowing
the concepts from micro-plane model, a global equation for
that error may be expressed in the following form (Ciancio
9
et al., 2006): 10
8 A
11
5 6
4 7
B
3
1
where n(k)Tn(k)T and t (k)Tn(k)T
represent the normal and shear
2
components of the projection vector T on plane k.
In Equation 8, the only unknown variables are the compo-
nents of the stress tensor T (x , y , xy )T , if the value of (k) {r} Figure 2. Squared plate specimen under gravity load.
is assumed known. Then minimization of  with respect
to T (/x = 0, /y = 0 and /xy = 0), leads to the
Table 1. Stress result comparison.
following matrix form:
7 Points (Node A) 4 Points (Node B)

y Error y Error
where
Average 4.82 3.6% 7.83 2.1%
Recovered 5.09 1.8% 8.07 0.9%
Analytical 5.0 8.0

After the stress tensor T (x , y , xy ) is obtained form Eq. (9),

we can set free r, and minimize it again with respect to r
(/rx = 0 and /ry = 0), to obtain the unknown vari-
ables rx and ry. Once r is obtained, the inter-block forces,
inter-block traction and the stress tensor T can be computed
expediently. The equations for the recovery procedure are
derived by the software Mathematica.

4 APPLICATION EXAMPLES
4.1 A squared plate problem
A square domain of 1 1 m dimension with elastic modu-
lus E = 10 GPa, and Poisson ratio = 0.2, is shown in Fig. 2.
Each node of the triangle block is subjected to one third gravity
load of that block. The simulation is performed in static anal-
ysis and plane strain condition. The specific mass is 1 kg/m2
and the gravity acceleration is 10 N/kg. An irregular block
system which consists of 12 arbitrary blocks is used in the
DDA model. The corner node A (0.5 m below the top free sur-
face) has 7 blocks around it and the node B (0.8 m below the
top free surface) connects 4 surrounding blocks. The bottom
side is fixed at y direction while the other three sides are free
surfaces.
The stress at y direction for nodes A and B is calculated
using the new recovered procedure and are represented in
Table 1.
Theoretically, it is known that the stress state in y direction
at nodes A and B should be y = 5.0 and 8.0 Pa, while x
and xy are close to zero. From Table 1, it can be observed
that the proposed recovery procedure has improved the stress
accuracy substantially, and the relative error for both nodes has
been reduced by about 50%. This shows that for the irregular
finite block system, the recovered method is better than the
average smoothing method.
Figure 3. Block system of a circular tunnel.
4.2 A circular tunnel in an infinite elastic medium
In this case, the application of the DDA is presented for an
infinite elastic medium. A circular tunnel exists in an isotropic
infinite medium that is subjected to uniform uniaxial far-field
stress . Due to symmetry, only one quadrant of the problem
needs to be modeled as shown in Figure 3, and the problem
domain is selected as 10R by 10R where R is the radius of the
tunnel.
The analytical solution by theory of elasticity gives the
stress state in vertical direction as:
where r is the distance of the measured point to the center of
the hole, which gives the maximum stress ymax = 3 .
From the above description, the input data used in DDA
analysis are as below: The domain size is 10 m 10 m with a
1 m 1 m hole. The far-field stress in y direction is modeled
as a normal tensile traction 1 MPa loaded on the upper sur-
face. The material is isotropic with E = 200 GPa and = 0.3.
The model contains 384 triangular blocks as shown in Fig. 3.

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2007 Taylor & Francis Group, London, UK

 Measured Node 2

20 1
Analytical
16
0,8 Original
12 17 (5) 19
(4) 15 0,6 Recovered
8 13
4 9 (3) 11
7 0,4
1 (1) 3 5 (2) 14 18
2 6 10
0,2
0
-0 -0 0 0,2 0,4 0,6 0,8 1 1,2 1,4 1,6 1,8 2 2,2 2,4
, -0,,2
Figure 4. Area of measured points (Enlarged domain A). 4 2
-0,4

Stress in the y direction -0,6

2,6 -0,8
Theoretical
2,4 Average -1
Recovereda
2,2
Figure 6. Mohrs circle of Measured Node 2.
2,0

y 1,8

1,6
1,4
1,2
1,0
1,0 1,5 2,0 2,5 3,0 3,5
r procedure in the DDA formulation has been presented. With
Figure 5. Comparison of y at different distance from the hole.
Rolling boundaries are set on the symmetrical axes, and the
upper and right boundaries are free surfaces.
5 measured nodes are selected in the model. 4 irregular
blocks are selected for the node 2, while the block areas
around other nodes are proportionally almost the same (regular
blocks), as shown in Fig. 4.
Figure 5 shows the recovered results of the measured nodes
from the average smoothing method and the recovered proce-
dure. Both are in good agreement with the analytical solution.
For the nodes surrounded by the regular blocks, the value of
y by the recovered method is slightly closer to the analytical
results than the average method. For the node surrounded by
the irregular blocks (node 2), the recovered method has an
evident advantage. The relative error for this node has been
reduced from 3.7% (the average method) to 1.5%, a nearly
60% reduction. It also can be observed in Fig. 6 that the recov-
ered traction tensors in the Mohrs circle are much closer to
the analytical results at node 2.
From this example, it shows that the recovered method can
provide a more accurate stress state at the node than the aver-
age method, especially for the irregular blocks or coarse block
system. This is very useful for the rock mass which need to be
arbitrarily blocked to model its heterogeneous material prop-
erties. When a node is surrounded by a large number of regular
blocks, the results from both the average smoothing method
and the recovery method are accurate.
5 CONCLUSIONS
This paper presents the concept of glutting the blocks as con-
tinua in DDA simulation. The formulation of a minimization
procedure for the calculation of inter-block forces and trac-
4,0 4,5 5,0 tions as well as stress state at nodes as a post-processing
the new concept to partition the domain into blocks and cong-
lutinate them together with a strong joint strength, it is possible
to use the DDA for continuous as well as discontinuous anal-
yses. The proposed recovered method can provide an accurate
stress state at the node than the average method. This method
is suitable and convenient to use for both regular and irreg-
ular block shapes and permits any number of blocks around
one corner node. It is easily implementable and not affected
by the size of the block. The proposed recovery method may
construct a good foundation for future work on the fracture
propagation analysis.
REFERENCES
Ciancio D., Carol I., Cuomo M., 2006. On inter-element forces in
the FEM-displacement formulation, and implications for stress
recovery. Int. J. Numer Meth Eng. 66, 502528.
Hatzor Y.H., M. Tsesarsky, 2003. Deformation and kinematics of
vertically jointed rock layers in underground openings. In: Pro-
ceedings of the Sixth International Conference on Analysis of
Discontinuous Deformation, Norway. pp. 93101.
Mary M. MacLaughlin, Elizabeth A. Berger, David M. Doolin, 2003.
A decade of DDA validation. In: Proceedings of the Sixth Inter-
national Conference on Analysis of Discontinuous Deformation,
Norway. pp. 1331.
Shi G.H., 1988. Discontinuous deformation analysis: a new numer-
ical model for the statics, dynamics of block system. Doctoral
Thesis, Berkeley, University of California, USA.

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2007 Taylor & Francis Group, London, UK

 Study on the numerical modeling of crack propagation in rock by the distinct
element method

T. Funatsu, M. Ishikawa, Q. Li & N. Shimizu

Department of Civil and Environmental Engineering, Yamaguchi University, Ube, Yamaguchi, Japan

M. Seto
National Institute of Advanced Industrial Science and Technology, Tsukuba, Ibaraki, Japan

ABSTRACT: In order to investigate the behavior of crack propagation in a rock material, a numerical modeling by DEM and
fracture toughness testing are carried out. The paper firstly describes the numerical modeling, using the Particle Flow Code
(PFC2D) for biaxial compression tests and Brazilian tests, to clarify the relationship between the micro-scopic parameters,
which are the input parameters for PFC2D, and the mechanical properties of the rock. The relationships between each micro-
scopic parameter and the mechanical properties of the rock are established. Using these relationships, proper input parameters
can be selected for the modeling. Then, fracture toughness testing is conducted using SENRBB (Single-Edge Notched Round
Bar in Bending) specimens. From the results, a value for fracture toughness is determined. In addition, the progressive crack
propagation during the testing is evaluated. This information will be extremely useful when carrying out a numerical modeling
for fracture toughness testing in future research works.

1 INTRODUCTION between the microscopic parameters and fracture toughness

Fracture toughness is a parameter which indicates crack initi-
ation or the propagation of a material. Fracture mechanics is
becoming increasingly important in mining and civil engineer-
ing for problems related to rock strength. For example, fracture
mechanics is utilized in the analysis of surface and under-
ground mine structures. The determination of the strength and
the stability of mine structures is particularly important for
nuclear waste containment in proposed underground repos-
itories. For the long-term use of an underground rock mass
structure, the design must satisfy a high degree of structural
integrity. A number of research works have been conducted
in order to determine values for the fracture toughness of
various types of rock (i.e. Funatsu et. al. 2004). However,
fracture toughness is not commonly used for numerical mod-
eling. This is because numerical modeling, which is based
on continuum mechanics, is basically unable to express sep-
aration. Therefore, the authors of the present paper focus on
the distinct element method, because it is based on discon-
tinuum mechanics. In this method, a material is expressed
as an assemblage of rigid circular particles, and the input
parameters are not the mechanical properties of the material,
such as Youngs modulus and Poissons ratio, but microscopic
parameters related to each particle. As a result, the value for
fracture toughness is not directly input either. It is possible,
however, to indirectly input the value for fracture toughness
when the relationships between fracture toughness and each
input parameter are clarified.
This paper firstly describes the numerical modeling using
the Particle Flow Code (PFC2D) for biaxial compressive tests
and Brazilian tests so that the relationships between the micro-
scopic parameters and the mechanical properties of rock, such
as Youngs modulus, Poissons ratio, and the tensile strength,
can be understood. The fracture toughness testing is simu-
lated for the parametric studies in order for the relationships
to be understood. Then, the results of the simulation are
compared with the results of the experiments conducted in
a laboratory. In the laboratory testing, single-edge notched
round bar in bending (SENRBB) specimens are adopted as the
specimens, and sandstone is used. Crack propagation in the
specimens during testing is also evaluated by the simulation
for fracture toughness.
2 DETERMINATION OF THE MICRO-PARAMETERS
CORRESPONDING TO KIMACHI SANDSTONE
In general, analytical methods based on continuum mechanics
are used for numerical modeling of rock mass structures, such
as mountain tunnels, underground mines and so on. However,
it is difficult to simulate the different types of failure, such as
the separation of materials, slips, and so on, with these meth-
ods. In particular, initiation and propagation of pre-existing
crack affect on the stability of the rock mass structures.
In this research, therefore, the distinct element method
(DEM) (Candall & Strack 1979) is used, with the two-
dimensional discontinuum program called PFC2D, to simulate
the crack propagation in rock. PFC2D simulates the mechani-
cal behavior of a material by representing it as an assemblage
of circular particles that can be bonded to one another. The
most basic mechanical properties, for example, Youngs mod-
ulus and Poissons ratio, are derived from laboratory tests. In
a continuum model, such elastic properties can be directly
inputted. In PFC2D, however, the mechanical behavior of the
assemblage is dominated by the micro-properties of the par-
ticles and the bonds between them. These micro-properties
cannot be obtained from laboratory tests. Thus, the relation-
ship between the micro-properties and the macro-properties
should be determined prior to the simulation of mode I fracture
toughness.

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Table 1. Mechanical properties of Kimachi sandstone (c : Uniax- Table 2. Input parameters for the biaxial tests.
ial compressive strength, t : Tensile strength, E50 : Tangent Youngs
modulus at a half of compressive strength, n: Poissons ratio, VP : Input parameters Value
Velocity of P-wave).
Minimum Ball Radius (mm) 1
C t E50 VP Ball Density (kg/m3 ) 2630
(MPa) (MPa) (GPa) (km/sec) Contact Modulus (GPa) 235
Normal/Shear Stiffness Ratio 40
59.0 2.5 4.82 0.12 8.23 1.43 0.22 0.10 2.910.02 Friction Coefficient 0.5
Contact Bond Normal Strength (MPa) 55
Contact Bond Shear Strength (MPa) 500

60

50

Deviatoric stress (MPa)

40

30

20

10

Figure 1. Model of (a) biaxial test specimen, and (b) Brazilian test 0
specimen. 0 0.2 0.4 0.6 0.8 1
Axial strain (%)
2.1 Test material
Figure 2. Deviatoric stress versus axial strain curve.
The material used for the tests is Kimachi sandstone which
is produced in Japan. The properties of this rock are given in Table 3. Input parameters for the Brazilian tests.
Table 1.
Input parameters Value
2.2 Biaxial tests to determine the micro-parameters for the
compressive strength Minimum Ball Radius (mm) 1
Ball Density (kg/m3 ) 2630
As mentioned in the previous section, the input parameters Contact Modulus (GPa) 245
used for the PFC2D code are micro-parameters that have to Normal/Shear Stiffness Ratio 43
be identified through biaxial tests before the simulation is Friction Coefficient 0.5
modeled. For the biaxial tests, the top and the bottom walls, Contact Bond Normal Strength (MPa) 15
as loading platens, and the velocities of the lateral walls are Contact Bond Shear Strength (MPa) 500
controlled by a servo mechanism which maintains a specific
confining pressure. Under a confining pressure of 0.1 MPa, a
set of biaxial compressive tests is conducted with the associ-
ated stress-strain behavior. The model for the biaxial tests is A mismatch could arise due to different grain shapes.
shown in Figure 1(a). Potyondy and Cundall (2004) reported that the ratio of the
The input parameters corresponding to the experimental Brazilian tensile strength to the uniaxial compressive strength
results for the biaxial tests are listed in Table 2. The stress was too high for PFC2D. They also mentioned that using grain
versus strain curve is shown in Figure 2. shapes which more closely resemble the complex-shaped and
highly interlocked crystalline grains in granite might reduce
2.3 Brazilian tests to determine the micro-parameters for the the discrepancy in the ratio. In this study, we do not consider
tensile strength the grain shape, but we adopt parameters which correspond to
the tensile strength for the modeling of the fracture toughness
A numerical modeling for the Brazilian tests is conducted in
testing, since there is a linear relationship between fracture
order to clarify the relationship between the micro-parameters
toughness and tensile strength (Zhang 2000).
and the tensile strength of the Kimachi sandstone. A model of
the Brazilian test specimen is shown in Figure 1(b). The input
parameters corresponding to the experimental results for the 3 NUMERICAL MODELING OF MODE I FRACTURE
Brazilian tests are listed in Table 3. TOUGHNESS TESTING

2.4 Summary of the relationship between the micro-
parameters and the mechanical properties of Kimachi
sandstone
By modeling both the biaxial tests and the Brazilian
tests, two different sets of micro-parameters are obtained.
3.1 Mode I fracture toughness experiments
Specimens are prepared by slicing rock cores while noting the
direction of the bedding. Lastly, a straight notch is introduced
using a circular diamond saw. A circular saw, with a blade
thickness of 0.3 mm, is used to cut the notch during the test

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Figure 3. Testing machine configuration.
Figure 4. Photo of the SENRBB specimen.
Figure 5. Load versus load point displacement curve.
program. Very little machining is required as only a straight-
edge notch is introduced. The specimens are oven dried at
60 C for five days and all the dimensions are recorded prior
to the testing.
The testing machine is custom manufactured to facilitate
specimens under three-point bending. The configuration of
the testing machine is shown in Figure 3.
SENRBB specimens, 30 mm in diameter and 110 mm in
length, are used for these tests (see Figure 4). The specimens
are then tested to failure under load-point displacement con-
trol.The loading rate for each of the tests is 0.075 mm/min.The
load, the load-point and displacement are recorded as func-
tions of time during each test. An example of a load versus
load-point displacement curve is shown in Figure 5.
The fracture toughness, KIC , is determined using the peak
load, the non-dimensional stress intensity factor, and the
specimen dimensions (Ouchtelony 1981). For the SENRBB
specimens, KIC is given as
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2007 Taylor & Francis Group, London, UK
Figure 6. Model of the SC3PB specimen.
Figure 7. Displacement distribution.
where YI is the non-dimensional stress intensity factor, Fmax
is the maximum load, S is the span length between two support
rollers, and D is the specimen diameter. The non-dimensional
stress intensity factor, YI , is given by
where = (S/D)/3.33 and a is the notch length. Using equa-
tions (1) and (2), the fracture toughness of the Kimachi
sandstone is evaluated as KIC = 0.46 MPam0.5 .
3.2 Numerical modeling of the mode I fracture toughness
As a 2-dimensional simulation is adopted here, it is not pos-
sible to model the core-based SENRBB specimens. Thus,
a single-edge straight-through cracked rectangular plane in
three-point bending (SC3PB) specimens is adopted for the
modeling instead of the SENRBB specimens used for the
experiments. The shape of a SC3PB specimen is shown in
Figure 6.
The stress intensity factor for this specimen is given by the
following equation (3)(ASTM 1990):
where F is the applied load, S is the span between the support
rollers, B is the thickness of the specimen, W is the height
of the specimen, a is the notch length, and = a/W . The
non-dimensional stress intensity factor, f (), is given by the
following equation (4):
To evaluate the fracture toughness with equation (3), max-
imum applied force Fmax is used. The input parameters are
shown in Table 3. Figures 7 and 8 show the displacement
distribution and the contact force distribution for the SC3PB
specimens just before the peak load. As shown in these fig-
ures, there is an opening in the notch mouth and the high
tensile force is concentrated at the tip of the notch.
 (a) in Figure 9). Thus, the KIC evaluated from the simulation
is slightly higher than the KIC determined by the experiments.
This difference comes from the complete elastic behavior of
the material in the simulation, whereas real rock behaves as
an elasto-plastic material near the maximum load due to the
formation of a fracture process zone.
The crack propagation which occurs during loading is
shown in Figure 10. In this figure, points (a), (b), and (c)
Figure 8. Contact force distribution. are the loading stages corresponding to points (a), (b), and
(c) in Figure 9. As shown in this figure, the crack initiates
25 from the notch when the load reaches the maximum value,
and then starts to propagate due to further loading in the post
(a) peak region.
20
(b)

4 CONCLUSION
15
Load (kN)

(c) In order to model the crack propagation in a rock material,

10 a numerical modeling of fracture toughness testing, using
PFC2D, and experiments are carried out. The main results
obtained from this work are summarized as follows:
5
1. The distinct element method can model Kimachi sandstone
by giving the appropriate micro-parameters, but it is dif-
0
0 0.01 0.02 0.03 0.04 ficult to match the properties of compressive strength and
tensile strength at the same time.
Load line displacement (mm)
2. The fracture toughness obtained by the numerical modeling
Figure 9. Load versus load-line displacement curve for the is higher than that obtained by the experiments.
simulation. 3. This difference occurs due to a discrepancy in the behav-
ior during loading. In the experiments, the rock initially
behaves as an elastic material, but then behaves as an elasto-
plastic material near the maximum load. On the other hand,
the rock material in the simulation behaves as a completely
elastic material before the load reaches the maximum value.

ACKNOWLEDGEMENT

The authors would like to acknowledge valuable discussion

with Prof. K. Matsui and Prof. H. Shimada at Kyushu Univer-
sity.They are also grateful to Ms. H. Griswold for proofreading
this paper.

REFERENCES

ASTM. 1990. Standard test method for plain-strain fracture tough-

Figure 10. Crack propagations during loading.
Figure 9 shows the load versus load-line displacement
curve. As seen in this figure, the relationship between the
load and the displacement is linear, and the material behav-
ior is elastic before the load reaches the maximum value.
KIC = 0.89 MPam0.5 is calculated from the peak load (point
ness of metallic material. E-399, Annual book of ASTM standard,
Part 10.
Cundall, P.A. & Strack, O.D.L. 1979. A discrete numerical model for
granular assemblies, Geotechnique, 29(1): 4765.
Funatsu, T., Seto, M., Shimada, H., Matsui, K. & Kuruppu, M.D.
2004. Combined effect of increasing temperature and confining
pressure on fracture toughness of clay bearing rocks. Int. J. of Rock
Mech. & Mining Sci., 41: 927938.
Ouchterlony, F. 1981 Extension of the compliance and stress intensity
formulas for the single edge crack round bar in bending,ASTM STP
745: 237256.
Potyondy, D.O. & Cundall, P.A. 2004. A bonded-particle model for
rock, Int. J. of Rock Mech. & Mining Sci., 41: 13291364.
Zhang, Z.X. 2002. An empirical relation between mode I fracture
toughness and the tensile strength of rock, Int. J. of Rock Mech. &
Mining Sci., 39: 401406.

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 Swelling pressure of mudstone under cyclic wetting and drying

R. Doostmohammadi & M. Moosavi

School of Mining Engineering, Faculty of Engineering, University of Tehran, Iran

Th. Mutschler & C. Osan

Institute of Soil Mechanics and Rock Mechanics, Universitaet Karlsruhe, Germany

ABSTRACT: The strains of swellable rocks under cyclic wetting and drying (cyclic swelling) were investigated by few authors
in recent years. But there is a lack of research concerning the swelling pressure in confined conditions under repeated wetting
and drying. The paper describes the testing procedure and gives first results. Mudstone samples from Aghajari formation of the
Masjed-Soleiman region in south of Iran were selected to do the tests. Under oedometric conditions the samples are subjected
to cyclic wetting and drying. The swelling pressure of the samples was measured in axial direction over the time. The rate
of swelling pressure development and the maximum swelling pressure increased with each cycle. After five cycles it finally
reached to an almost steady state. The air breakage phenomenon, opening of new crack inside the structure of the mudstone
and reaching the water to interlamella clays and the stress relief in edges of the new cracks cause this behavior. In cases were
changing water supply can cause a cyclic swelling, it is not sufficient to estimate swelling pressures from single stage tests,
especially if these tests had to be carried out under limited duration.

1 INTRODUCTION water) and pore radii.

Mudstone is a general term for sediments composed mainly of

silt (4 to 62 m) and clay (<4 m) sized particles. Mudstone
is mainly composed of clay minerals and silt-grade quartz
grains; other minerals may also present. Organic materials
may also reach several percent and higher. Nodules com-
monly develop in mudstone, usually of calcite, dolomite,
siderite or pyrite (Tucker, 2003). Because of clay minerals
in mudstones, they absorb water easily and in large amounts
(Blatt, 1982).
Mudstone experiences periodic swelling and shrinking
behavior during alternate wetting and drying cycles over
time. Such cyclic swell-shrink behavior of rock masses causes
considerable damage to the structures constructed in them.
Consequently, determining the behavior of swelling rocks has
been the topic of numerous investigations in recent years.
In focus of expansive clays, some researchers (Popesco
(1980), Chen et al. (1985), Chen and Ma (1987), Subba Rao
and Satyadas (1987), Osipov et al. (1987), Dif and Bluemel
(1991), Day (1994) and Basma et al. (1996)) have addressed
the problem of cyclic swelling and shrinkage of expansive
clays.
Complications in describing the swelling behavior of weak
rocks (i.e. mudstone) have led to a few researches for describ-
ing the observed behavior of these rocks. Among impor-
tant contributions is the work of Seedsman (1993), which
described the mechanism of swelling. When moisture in
soil or rock decreases, air enters the pores and when mois-
ture returns by capillarity, air is captured and its pressure
increases in internal pores. This phenomenon can be an
important disaggregation mechanism since pressure develop-
ment can breakdown the integrity of sedimentary rocks. This
phenomenon is referred to as air breakage. According to
Seedsman, induced air pressure as a result of capillary pres-
sure is related to the surface tension of the fluid (generally
where P = capillary pressure, s = surface tension of water,
r = radius of the pore, (p/p0 ) = relative humidity, R = gas con-
stant, T = absolute temperature, and V = molar volume of
water.
Huang et al. (1995) performed some cyclic wetting and dry-
ing tests on shales and approximated the relation of swelling
potential (i.e. pressure and strain) of shales between the first
and the second cyclic tests using regression analysis. Max-
imum swelling pressure measured in the second cycle test
decreased significantly. Pejon and Zuquette (2002) focused on
the impact of cyclic wetting and drying on swelling behavior
of mudstones. They demonstrated that accumulated maximum
axial swelling strain of different mudstones varied according
to number of wetting and drying cycles. They fit a straight line
to maximum axial swelling strain versus number of cycles.The
rate of swell is related to the behavior of different argillaceous
sedimentary rocks in the presence of water. It appears that
texture, structure, clay content, bulk density, specific gravity,
dry density, initial moisture content, initial void ratio, poros-
ity, degree of saturation, blue of methylene value (vb), cataion
exchange capacity (CEC), clay activity index (Acb), carbonate
content and mercury porosity are effective parameters.
In this paper swelling pressure of mudstone in confined
conditions under repeated wetting and drying is investigated.
2 TESTING PROCEDURE
2.1 Apparatus
The apparatus (Fig. 1) consists of a stiff four-columned load
frame (1) with a screw-driven plunger (2). The thrust is

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Figure 1. Swelling test apparatus.

manually controlled by a strongly reduced gear (3). The dis-

placement is measured by a high precision mechanical gauge
(4) with resolution of 0.001 mm. The force is measured with
an electronic 40 kN-load cell (5) at the bottom of the load
frame.
The sample (7) is mounted in a watering unit which is
installed between the plunger and the load cell. The water-
ing unit consists in a massive ring of brass (6) with an internal
diameter of 60 to 80 mm and a height of 20 to 40 mm and a
wall thickness of 10 mm. The sample is prepared on a lathe
using air flushing and fits exactly in the ring which prohibits
lateral strain. The end faces of the sample are prepared on
the lathe as well. The sample height is 1 to 2 mm less than
the height of the ring. The arising deepening is used to place
5 mm thick filter slabs (8) on both end faces. The diameter of
the filter slabs is 0.2 to 0.4 mm less than the internal diam-
eter of the ring. A load distribution slab (9) is placed on the
upper filter slab. The load is transmitted through a steel ball
(10) to allow slight rotations of the filter slabs. The water-
ing unit is set in a water basin which consists of a plexiglass
tube (11) with a diameter of 150 mm and a 20 mm thick base
plate.
The whole apparatus is placed in a climate chamber where
temperature and air moisture can be controlled.

2.2 Testing procedure

The sample with the watering unit is installed in the load
frame and an initial load of 0.1 kN is applied. After 24 hours
water is filled in up to a level just under the top of the ring.
Water enters the sample from the bottom and air in the sample
can escape over the top. Later the sample is fully set under
water. In a swelling pressure test the axial strain a is kept
equal to zero and the swelling pressure a is measured over
time. When the swelling pressure has reached an almost con-
stant value, the water is removed and the sample is dried by
raising the temperature up to 50 C. The swelling pressure
decreases down to zero. This procedure is repeated in each
cycle.
Figure 2. Disintegration of the mudstone in 3 cycles of wetting and
drying.
3 RESULTS AND INTERPRETATION
3.1 Results of characterization tests
The material investigated is a mudstone from Aghajari for-
mation of the Masjed-Soleiman region in south of Iran.
Granulometrically seen it is a clayey siltstone with a clay con-
tents in the range of 30 to 40%. The silt grains consist mainly
of rounded carbonate particles. About 15% of the minerals

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 0.80 Table 1. Results of swelling pressure tests of the samples.
0.70
Swelling pressure (MPa)

Samples M.1 M.2 M.3

0.60
Maximum swelling pressure 0.55 0.85 0.65
0.50 in ordinary test (MPa)
0.40
Maximum swelling pressure 0.47 0.74 0.54
in 1st cycle (MPa)
0.30 Maximum swelling pressure 0.64 0.84 0.76
in 2nd cycle (MPa)
0.20
Maximum swelling pressure 0.70 0.95 1.04
0.10 in 3rd cycle (MPa)
Maximum swelling pressure 0.76 1.01 1.11
0.00
0 5 10 15 20 25 30 35 40 45 50 in 4th cycle (MPa)
Maximum swelling pressure 0.76 1.01 1.24
Time (Day)
in 5th cycle (MPa)
Maximum swelling pressure 1.24
Figure 3. Cyclic swelling pressure test with five cycles (M.1).
in 6th cycle (MPa)
Increase of maximum 38 19 90
0.8
swelling pressure in final
1st cycle cycle with respect to the
0.7 2nd cycle ordinary test (%)
3rd cycle Number of required cycles 5 5 6
Swelling pressure (MPa)

0.6 4th cycle

to reach the equilibrium
5th cycle
0.5

0.4

0.3 content is swellable clay. The dry density ranges from 2.50 to
0.2 2.55 g/cm3 , porosity is about 15%.
Figure 2 shows the disintegration of a 100 mm sample in 3
0.1 cycles of wetting and drying. In each cycle the sample disin-
(a)
0 tegrates to the fracture pattern shown in the pictures shortly
0 1 2 3 4 5 6 7 8 9 after filling the pot with water. The disintegration did not pro-
Time (Day) ceed in the same cycle over a time of several days. Only after
complete drying and a repeated wetting a new fracture pattern
1.2 with a higher degree of fragmentation occurred. This means
1st cycle
2nd cycle that the pathway of water to the swellable clay minerals was
1
Swelling pressure (MPa)

3rd cycle improved.

4th cycle
0.8 5th cycle

0.6 3.2 Results of swelling tests

Figure 3 shows the result of swelling pressure test with
0.4
five cycles of wetting and drying for sample M.1 (as a
0.2
representative of other samples).
The primary swell pressure tests show that samples will
(b)
0 reach to near the maximum swelling pressure in 7 days. There-
0 2 4 6 8 fore swelling time was kept constant in each cycle as 7 days
Time (Day) to be able to compare the results.
1.40
The time dependent swelling pressure of the tested samples
1st cycle (M.1, M.2 and M.3) under cyclic wetting and drying are shown
1.20 2nd cycle in Figure 4. The results show that swelling pressure of mud-
3rd cycle stone at each cycle is increased in comparison with previous
Swelling pressure (MPa)

1.00 4th cycle cycle but the rate of increase is reduced gradually.
0.80
5th cycle Table 1 shows the results of swelling pressure tests under
6th cycle wetting and drying cycles in comparison with ordinary single
0.60 stage tests.
0.40 All the samples presented increasing swelling pressure after
each cycle of drying and wetting according to Table 1.
0.20 The maximum swelling pressure of final cycle is consid-
(c) erably more than the maximum swelling pressure in ordinary
0.00
0 1 2 3 4 5 6 7 8 9 10 test.
Time (Day) Figure 5 shows the trend of maximum swelling pressure for
studied samples under cyclic wetting and drying.
Figure 4. Swelling pressure of sample M.1 (a) , M.2 (b), M.3 (c) in According to Table 1 and Figure 5, it has appeared that
each cycle. maximum swelling pressure increases with cycles but it has a
bound. The stable condition is usually reached after 5 cycles.

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 1.4 (0.4690.354 = 0.115 MPa) is much higher in comparison
Maximum swelling pressure (MPa)

M.1
with 5th cycle (0.7610.736 = 0.025 MPa).
1.2 M.2
M.3
Therefore, increasing the number of wetting and drying
1 cycles will reduce the time of testing procedure and it is possi-
ble to reach the maximum swelling pressure sooner by wetting
0.8
and drying the sample repeatedly at the laboratory.
0.6

0.4 4 SUMMARY AND CONCLUSIONS

0.2
(a) Swelling potential of weak rocks is quite different when
0 the water content of the sample changes periodically as
0 1 2 3 4 5 6 7 apposed to the case where the sample is under constant
Cycle number water content.
(b) The maximum swelling pressure of mudstone at a new
Figure 5. The trend of maximum swelling pressure of samples in
wetting period is more than that of in the previous cycle
cycles.
and it reaches to almost steady state after 5 cycles. The
0.8
air breakage phenomenon, opening of new crack inside
15Minutes the structure of the mudstone and reaching the water to
1Hour
3Hours
interlamella clays and the stress relief in edges of the new
0.7 5Hours
cracks cause this behavior.
12Hours (c) For determining the real maximum swelling pressure of
1Day weak rocks (i.e. mudstone) on structures especially in arid
0.6
2Days
weathering, it is necessary to do cyclic wetting and drying.
3Days
4Days
(d) For decreasing the time of swelling pressure test on weak
5Days rocks in laboratory, doing the test under cyclic wetting
and drying is recommended.
Swelling pressure (MPa)

0.5 6Days
7Days (e) Further research should look into the determination of
swelling strains and stresses under cyclic wetting and
0.4 drying conditions and also methods of controlling the
swelling pressure.

0.3
REFERENCES

Basma, A.A., Al-Homoud, A.S., Malkawi, A.I.H. and

0.2
0.1
0 Eng., San Francisco, CA, pp. 23892392.
0 1 2 3 4 5
Cycle
Figure 6. The trend of swelling pressure in equal times of cycles
(Sample M.1).
Figure 6 shows the trend of swelling pressure in equal times
of each cycle for sample M. 1 as a representative of other
samples.
It shows that swelling pressure will always increase with
cycles for a specific time; therefore, all of the graphs have a
positive slope. The increase of swelling pressure at the first
hours of final cycles is high and it decreases at last hours in
comparison with first cycles. The sudden decrease in swelling
pressure at the forth cycle (for readings below 12 hours) is
believed to be due to entrapment of air between the sample
and the filters. The air is escaped after 12 hours and water is
reached to the sample and drop is recovered.
The change of swelling pressure for the same time inter-
vals (from Day1 to Day7) in the initial cycles is more
than the change of swelling pressure in last cycles. In
other words, the distance between these curves in 1st cycle
AL-Bashabsheh, M.H., 1996. Swelling-shrinkage behavior of
natural expansive clays. Appl. Clay Sci. 11, 211227.
Blatt, H., 1982. Sedimentary petrology. The Maple-Vail Book
Manufacturing Group. 563pp.
Chen, X.Q., Lu, Z.W. and He, X.F., 1985. Moisture movement and
deformation of expansive soils. 11th Int. Conf. Soil Mech. Found.
6 7 8 Chen, F.H. and Ma, G.S., 1987. Swelling and shrinkage behavior of
expansive clays. 6th Int. Conf. Expansive Soils, J, New Delhi, pp.
127129.
Day, RW., 1994. Swell-shrink behavior of compacted clay. ASCE J.
Geotech. Eng. Div. 120(3), 618623.
Dif, A.E. and Bluemel, W.F., 1991. Expansive soils under cyclic
drying and wetting. Geotechn. Test. J. 14(1), 96102.
Huang, S.L., Speck, R.C. and Wang, Z., 1995. The temperature effect
on swelling of shales under cyclic wetting and drying. Int. J. Rock
Mech. Min. Sci. & Geomech. Abstr. 32, 227236.
Osipov, V.I, Bik, N.N. and Rumjantseva, N.A., 1987. Cyclic swelling
of clays. Appl. Clay Sci., 2(7), 363374.
Pejon, O.J. and Zuquette, L.V., 2002. Analysis of cyclic swelling of
mudrocks. J. Engineering Geology. 67, 97108.
Popesco, M., 1980. Behavior of expansive soils with crumb structure.
4th Int. Conf. Expansive Soils, I, Denver, CO., 158171.
Seedsman, R.W., 1993. Comprehensive rock engineering charac-
terizing clay shales, Vol. 3. John A. Hudson, Australia, chap.7,
151164.
Subba Rao, K.S. and Satyadas, G.G., 1987. Swelling potential with
cycles of swelling and partial shrinkage. 6th Int. Conf. Expansive
Soils, New Delhi, pp. 137142.
Tucker, M.E., 2003. Sedimentary rocks in the field. John Wiley press.
153 pp.

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 Synergetic effect and visible simulation of AE in rock mass failure process

Yu Guangming, Xu Yuanyuan & Zhang Mingping

Qingdao Technological University, Qingdao, Shandong, China

Tang Chunan
Dalian University of Technology, Dalian, Liaoning, China

Pan Yongzhan
School Henan University of Science and Technology, Luoyang, Henan, China

ABSTRACT: The AE phenomenon can disclose the laws of rock mass break well. Synergetics is used to study the AE laws in
the rock mass fracture process. The laws of rock mass break are further studied through the relationship between AE and damage
evolvement. The AE count rate is taken as the order parameter to study the rock mass failure process. Firstly, the evolvement
equation of AE order parameter is established according to the relationship of AE and damage. Secondly, solutions of stationary
state and nonstationary state are obtained and analyzed. The synergetic characteristics of AE are described generally. At last,
the AE phenomena of rock mass break are simulated with the software of RFPA. The synergetic effects of rock mass AE
are verified through numerical simulation firstly. The feasibility of AE technique applied in rock damage process was further
demonstrated.

1 INTRODUCTION 2 SYNERGETICS DESCRIPTION OF ROCK MASS AE

AE, which is shortened from Acoustic Emission, is a natural
phenomenon describing the release of part strain energy with
elastic wave when deformation or damage occurs in materials
or structure (Ji, 2004). AE technology is applied success-
fully in many fields such as material engineering, pressure
container evaluation and structural integrity evaluation.
AE technique is used as a nondestructive, non-contact and
real-time technique to study the progressive damage processes
and failure mechanism of rock mass subjected to given load
since 1959. Experimental studies showed that AE phenom-
ena might be generated from crystals dislocation, crystals
slipping, generation and expansion of cracks. AE signals are
affected by many dynamic and static factors such as material
feature, deformation characteristic and damage propagation,
etc. So AE signals are very complicated and difficult to recog-
nition and quantization. Now application of AE technique in
rock mass failure progress are restricted and limited. New the-
ories and methods are needed to be introduced to study AE
laws of rock mass.
Modern nonlinear science offers more points of view to
study the rock mass AE. Hirata (1987) pointed out the fractal
characteristics and dimension of AE changed with the stress
and deformation during the rock failure progress, Xie (1997)
analyzed the mutation phenomenon during rock mass damage,
Yu (2004) studied the chaos effect of cracks evolution in rock
mass, etc.
In this paper, synergetics is used to exploring study the
rock mass AE laws. At the same time AE laws of rock mass is
simulated visibly with RFPA to verify the theoretical results.
2.1 Relationship between AE parameter and
damage evolvement of rock mass
Qin (1992) pointed out that sum of AE counts in the plastic
deformation is:
Where A is a constant; m is a parameter about material charac-
teristic and experiment condition; K is stress intensity factor;
and Kc is the critical stress intensity factor.
From equation (1), when material characteristic and experi-
ment condition are fixed, more cracks means more AE counts,
and most AE counts occur during the cracks expansion.
Qin (1993) pointed out that in the course of microcracks
generation and propagation, the relationship between AE
counts and the expansion of crack is as follows:
Where d/dt is AE rate, is a parameter decided by material
characteristic and experiment condition, and dl/dt is crack
expansion speed.
As mentioned above, most AE signals generate from the
dehiscence and expansion of microcracks. AE parameters
change with the evolution of damage in the rock mass.

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2.2 Evolvement equation of AE order 2.2.3 Analysis of main equation of order parameters
parameter of rock mass evolution
2.2.3.1 Steady-state solutions and stability
2.2.1 Selection of order parameters
analysis
There are many parameters describing rock mass AE. Two
In Eq. (7), supposing
main kinds of change rates are used to study AE signals
changes in the rock mass failure process. One is AE count
rate N0 , which means the sum of AE signals in a stated time.
The other is AE count rate of large-scale Nb , which means
the sum of AE signals of large-scale in a stated time. N0 is
corresponding with crack enlarging and Nb is corresponding Two steady-state solutions can be obtained as follows:
with large-scale cracks enlarging. It is obvious that AE signals
changes with the expansion of cracks. So N0 and Nb can be as
order parameters describing the damage process of rock mass.

2.2.2 Deduction of main equation of order

parameters evolution
Harkris (1963) pointed out that the increment rate of bifurca-
tion counts of crack expansion is proportional to the square
of original large-scale counts. So the equation of large-scale
counts can be showed as follows:
N01 is the AE counts of rock mass without loads, so it
is a steady-state solution about the equilibrium condition
obviously.
The linear stability of N02 can be analyzed with pertura-
tion method, supposing (3) is the infinitesimal disturbance,
namely

Where r0 is attenuation coefficient of N0 , i0 is increment

coefficient of N0 . Both of them are positive numbers. And and
a0 is relevant coefficient associated with the influence of
large-scale AE signals.
Evolvement equation of Nb in view of the influence of N0
can be shown as follows:

Substitute Eq. (11) into Eq. (7) and omit the differential
quadratic term of ,

The meaning of every coefficient is just as above. Supposing

that large-scale AE signals increment rate is proportional to
the AE counts.
Its solution is:
Based on the two equations and using method of thermal
insulation elimination, the main equation of order parameter
N0 can be obtained.
Supposing
Where (0) is initial disturbance.
It is known from Eq. (7) that stability of N02 depends on
notation of m. If m is positive number, steady state solutions of
equation (14) are stable. Namely, when rate of increase of AE
event is over its decrement, the order of AE signals is stable.
As the same way, if m is negative number, the steady state
Substituting it into Eq. (4), we can get
solutions are unstable, and the order of AE signals is stable.
2.2.3.2 Nonstationary state solutions and stability analysis
Nonstationary-state solution of Eq. (7) is:

Substituting Eq. (6) into Eq. (3), we can get main equation of
the order parameter as follows:
Where k1 = mn , k2 = No1(0) + mn , N0 (0) is the initial value of
order parameter under certain condition.
When m is positive number, namely i0 is over r0 , increment
coefficient of AE event is over its decrement coefficient. It
happens during the cracks progressive expansion in the early
o 2b stage of load. In this course,AE counts rate increases gradually
Where m = i0 r0 ; and n = (i 2.
b rb ) with the load growth.

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 When m is equal to zero, the AE counts rate keeps relative 80
stable and the AE change rate is at the critical condition. And 70
main equation of order parameters is: B
60
50

AE counts
40
30
nonstationary state solution is: 20
10
0
-10
0 10 20 30 40 50 60
Where N0 (t) is the initial value of the AE counts rate corre-
sponding to the critical condition. During this stage, if n is Load steps
less than zero, namely o is less than zero, the order parame-
Figure 1. The changing AE counts of step 160.
ter of N0 (t) will decrease as time increase. For the system of
rock mass, the inner stresses redistribute with the frequent big
break events, and AE counts in the unit time decrease. If n is 100
over zero, the order parameter of N0 (t) will increase gradually B
with time increment. Once the value of N0 (0)nt decreased to 80
1, AE counts in the unit time will approach to infinite, and the

AE counts
system catastrophe will happen. 60
When m is less than zero, namely i0 is less than r0 , increment
coefficient of AE event is less than its decrement coefficient. 40
From Eq. (16) we see that AE counts rate decreases gradually
with the load growth. 20

0
3 SYNERGETICS DESCRIPTION TO AE OF
ROCK MASS FRACTURE PROCESS 60 65 70 75 80 85 90 95 100
Load steps
AE phenomena of rock mass can be described as follows: in
the early stage of loading, original and new cracks extend Figure 2. The changing AE counts of step 6197.
gradually, and AE counts increase steadily with time increas-
ing. When load increased to certain value, all kinds of cracks 4000 B
extend rapidly and AE counts increase fast. During the stage, 3500
rock mass catastrophe will happen with the discontinuous
3000
damage. After this failure process, stresses in rock mass redis-
2500
tribute and the speed of cracks expansion decrease to another
AE counts

stable value. The AE counts decrease correspondingly. Then 2000

with load increasing, a new cycle begins as above. So, the 1500
AE counts change laws can be generalized to the cycle of rel- 1000
atively steady increasing, catastrophe, attenuation, relatively 500
steady increasing and catastrophe. It is found that AE counts 0
are mainly increasing before the yield strength of rock mass
-500
and AE counts are mainly decreasing after the yield strength -50 0 50 100 150 200 250 300 350 400
of rock mass.
Load steps

4 NUMERICAL SIMULATION OF ROCK MASS AE Figure 3. The changing AE counts of the entire course.

Damage processes of rock mass are simulated with the soft-
ware of RFPA. The loading is controlled by displacement. The
sizes of sample is 150 mm 150 mm. Poissons ratio is 0.2.
The compression strength is 30 MPa and Youngs modulus is
30000 MPa, every step of loading is 0.001 mm. The results of
simulation are shown as Fig. 1 to Fig. 6.
Fig. 1 shows the AE counts change trend of step 159.
AE counts are zero at the beginning of loading. Before the
critical value, the fracture intensity factor of original cracks
increase progressively along with load increasing. Then with
the load increasing, existing cracks extended rapidly and the
AE counts are mainly increasing. Along with every big frac-
ture, the stresses redistributed and the AE counts decreased in
the following short stage.
Fig. 2 shows the AE counts change trend of step 6197.
The sample fractured at step 60. From step 61 to step 65,
the cracks extended rapidly and AE counts fluctuated in wide
range. With the load increasing, the sample fractured again
at step 73. AE counts decreased fast in large range. Then AE
counts are mainly decreasing till the load end.
Fig. 3 show the changing AE counts of the entire course.
The catastrophe characteristic in the damage process is that
the AE rate maximum at the failure is bigger than others
in large scale. When the load approached to maximum, AE
counts increase rapidly and reached the maximum in very
short time. AE counts decreased fast along with the sample
catastrophe. Then the AE rate began to increase progressively
till next catastrophe.

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 B
Fig. 5 and Fig. 6 are stress maps of steps before and after
3000 the sample catastrophe respectively. Although the strain differ-
2500
ence of both steps is less than 7 106 , the catastrophe took
place. The simulated results are accordant with the theoretical
solutions with synergetics. From Fig. 4 and Fig. 5, we can see
AE counts

2000
that AE rate change law of every little fracture is similar to the
1500 one of catastrophe. Also, the AE rate scale is invariant at the
critical point of catastrophe.
1000

500 5 SUMMARY
0
As a nondestructive, non-contact and real-time technique, AE
0 20 40 60 80 100 technique will be used broadly in the rock and soil engineering.
Load steps For the first time, synergetics is used to study the rock mass
AE regulations. AE laws of rock mass is simulated with RFPA
Figure 4. AE counts of step 60 (magnified 100 times). to verify the theoretical results. The research results are not
only theoretical meaningful for understanding the AE law of
rock mass damage process, but also practical meaningful for
application of AE technique in rock and soil engineering.

ACKNOWLEDGEMENT

The authors are very thanks for sustain from Natural Sci-
ence Key Fund of China (No.50434020), Natural Science
Fund of China (No.50274044), Natural Science Key Fund
of Shandong Province (No.Z2003F02) and Item of Science
and Technology Studing Project of Constructure Ministry
(No.03-2-030).

REFERENCES

Figure 5. Stress map of step 59. Harkris. T. E. 1963. The theory of branching process. New York:
Springer.
Ji Hongguang. 2004. Study and application of AE of rock mass
meterial. Beijing: Coal Industry Press. 132.
Qin Siqing. 1992. Study and application of AE of rock. Shenyang:
Northeast University.
Qin Siqing. 1993. Basis of rock AE. Chengdu: Press of Southwest
Traffic University.
Takayuki Hirata. 1987. Fractal structure of spatial distribution of
microfracturing in rock. Geophysics J.R. Austr. 90:2329.
Tan Yunliang, Wang Yongjia and Zhu Fusheng. 1997. Study of self-
organization of overburden activity. Transaction of rock mechanics
and engineering 16(3):258265.
Xie Heping. 1997. Fractal rock mechanics. Beijing: science press.
Yu Guangming, Dong Chunsheng and Pan Yongzhan. 2004. Fractal
characteristic and chaos effect of rock mass cracks. Transaction of
Qingdao Institute of architecture and engineering. (1): 16.

Figure 6. Stress map of step 60.

Fig. 4 is AE counts of step 60 magnified by 100 times. It

has the same characteristic with Fig. 3 obviously.

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 The Baixo Alentejo (Portugal) flysch rocks: Physical properties and correlations

A.B. Pinho & I.M.R. Duarte

Minerais Industriais e Argilas Research Centre, Department of Geosciences, University of vora, vora, Portugal

J.A. Rodrigues-Carvalho
Centro de Estudos Geolgicos Research Centre, Department of Earth Sciences, New University of Lisbon, Lisbon, Portugal

ABSTRACT: This paper is intended as a contribution to the knowledge of the mineralogical and physical characteristics as
well as their variations with the state of weathering for the rock materials belonging to the Baixo Alentejo Flysch Group, in the
south of Portugal. The study was made by using both shales and greywackes that constitute these flysch-type deposits. Samples
of these two rock materials, with different states of weathering, were collected during a planned fieldwork survey. A laboratory
tests programme was then carried out, which included mineralogical analysis by X-ray diffraction and physical tests namely
dry density, porosity, quick absorption, slake-durability and methylene blue adsorption tests. Considerations are drawn in the
paper about the results of the study and some correlations are established between the different physical parameter values and
also between some of these and the mineralogical characteristics of the shales and greywackes.

1 INTRODUCTION

The establishment of correlations between different parame-

ters within the scope of the study of rock materials seems to be
very important task because it emphasizes the tendencies on
the behaviour of the rock materials and allows the assessment
of the most suitable parameters for their characterization.

2 GEOLOGICAL SETTING

The rock material selected for this study belongs to the Baixo
Alentejo Flysch Group (BAF), a stratigraphic unit with an
approximate area of 8000 Km2 , which extends across more
than a half of the South Portuguese Zone depositional area
(Figure 1).
This group comprises gravity flow sediments that form
a continuous turbiditic succession (Oliveira, 1990). Sedi-
mentological and stratigraphic characteristics indicate three
basin-wide formations: the Mrtola Formation of late Visean
age, the Mira Formation of latest Visean to Namurian age and
the Brejeira Formation of mid Namurian to early Westphalian
age (Oliveira, Horn & Paproth, 1979; Oliveira, 1983). These
lithostratigraphic units of the BAF are constituted, as a rule, by
thick sequences of turbidites where greywackes beds, usually
of few tens of centimetres thick but sometimes reaching some Figure 1. Site location.
metres thick, with lenses or pockets of fine grained conglom-
erates, are intercalated with thin, black / dark-grey shale beds.
The mineralogical composition of shales and greywackes
is similar, with the relative proportion of the occurring min-
erals varying. Both rock types are formed by quartz, feldspar
3 TESTING PROGRAMME AND RESULTS (mainly calcium feldspars), micas and clay minerals, particu-
larly kaolinite, illite and chlorite. In some samples, carbonates
A set of samples of shale and greywacke which represent dif- (mainly calcite, and siderite), pyrite and haematite occur in
ferent states of weathering, belonging to the Mrtola, Mira smaller percentages.
and Brejeira formations of BAF, was collected in excavation The greywackes are formed mainly by quartz and calcium
slopes of some main roads and from exploratory boreholes, feldspar that were involved by a cemented material mainly
in the Alentejo region in the South of Portugal (Figure 1). The composed of phyllosilicates, but also of calcite, siderite and
samples are fully described in Pinho (2003). pyrite.

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Table 1. Physical parameters in shale samples. 4.2 Dry density and void index
Slake- Methylene As shown in Figure 2 the relationship between dry density
Dry Void durability blue (d ), and void index (Iv ), with a significant linear correlations
density Porosity index index adsorption (r = 0.86 for shales and r = 0.89 for greywackes), is very simi-
(kg/m3 ) (%) (%) (%) (g/100 g) lar to that one that is verified between dry density and porosity
because this index is nothing but a measure of porosity of the
19682631 4.429.6 0.416.7 6599 0.41.32 rock.
This relationship indicate that the quick absorption tech-
nique method used in this study to determine the void index,
is a good way to predict dry density and also the porosity of
Table 2. Physical parameters in greywackes samples.
the rock materials under study because it has the advantage of
Slake- Methylene being a very simple and rapid test.
Dry Void durability blue Sabatakakis, Tsiambaos & Koukis (1993), have obtained
density Porosity index index adsorption similar linear relationships between dry density and void index
(kg/m3 ) (%) (%) (%) (g/100 g) for Neogene soft marly rocks of Athens basin.
Some scatter of the data, mainly in greywackes, may corre-
20512719 1.325.5 0.110.3 8899 0.11.33 spond to cases where the voids between mineral grains might
not be continuous due to partial filling of cementing material
that leads to closing of voids.
The shales, on the contrary, are mainly constituted by phyl-
losilicates, namely micas and clay minerals, with smaller 4.3 Slake-durability index and porosity
amounts of quartz and feldspar. In smaller percentages, As shown in Figure 2 the slake-durability index (Id2 ), corre-
calcite, siderite and haematite were identified. spondent to the second cycle of slaking, show a decrease of its
Laboratory testing was carried out to determine the fun- values with the increasing of porosity (n), more emphasized
damental physical properties and index parameters of the in the greywackes than in the shales.
rock material (dry density, porosity, void index and slake- The relationship between these two physical parameters
durability index) according with the methods suggested by with a significant linear correlations (r = 0.85 for shales and
ISRM (1979), and the methylene blue adsorption by means of r = 0.86 for greywackes), is very similar to that one that can be
the stain test according with the method suggested by AFNOR expected between the slake-durability index and void index.
(1993), which are described in detail by Pinho, (2003). The
results obtained in the physical tests showing the range of
values, are summarized in Table 1 for shales and Table 2 for 4.4 Slake-durability index and methylene blue adsorption
greywackes.
The methylene blue adsorption was carried out by the stain test
because it is a very simple technique. As the methylene blue is
only adsorbed by the clay minerals, it allows to measuring its
4 CORRELATIONS OBTAINED
hydrophilic capacity and in this way to characterize the clay
fraction activity and quantity of the rock materials without
Statistical analyses were applied for shale samples and
being necessary to isolate it of the rest of the material. The
greywacke samples in order to evaluate the physical tests
methylene blue adsorption is appropriate to assess the degra-
results and obtain the best correlations between the physical
dations of the rock such as decrease of strength, increase of
properties and related index parameters.
the volume by expansion, retraction by drying and decrease
In the Figure 2 the more significant correlations obtained
of its durability.
are presented, showing the linear correlation coefficient for
The relationship between slake durability index (Id2 ) and
each relationship between the physical properties.
the methylene blue adsorption value (Vam ) were analysed for
the set of samples of shale and greywacke.
4.1 Dry density and porosity As shown in Figure 2 for both shales and greywackes, the
samples with high clay minerals content or those ones more
The relationship between dry density (d ), and porosity (n), weathered in which the clay minerals are more deteriorated
for the rock materials under study is expected, as the greater due to the weathering process, present low values of durability.
the porosity of the rock the lower should be its density. How- The linear relashionship between slake-durability index and
ever, the distinct geotechnical behaviours of the shales and methylene blue adsorption value showing a decrease of the
greywackes of BAF justify this correlation attempt. former with the increase of the latter presents a correlation
It is verified a very significant relationship between dry coefficient value of 0.90 for greywackes and 0.73 for shales.
density and porosity for shales and for greywackes with high The scatter observed in shales may be attributed the durability
linear correlation coefficient (r = 0.97) for both rock materi- of shales is not dependent only to their mineralogical com-
als. As shown in Figures 2 such correlations follow a similar position mainly constituted by water sensitive materials like
tendency for both rock types, although the shales present a micas and clay minerals but also to their foliated texture.
little more scatter of the data than the greywackes due to its
more heterogeneity.
Sabatakakis, Tsiambaos & Koukis (1993) and Kanji & 5 CONCLUSIONS
Galvn (1998), have obtained similar linear relationships
between these two physical properties for different types of With the aim of contributing to the knowledge of the physical
rock materials. characteristics of the shales and greywackes that constitute

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 Shales Greywackes
Dry density (d) - Porosity (n) Dry density (d) - Porosity (n)
2800 2800

d(Kg/m3) 2600 2600

d(Kg/m3)
2400 2400

2200 2200
d = 2753,9 - 27,46 n d = 2700 - 25,89 n
2000 r = 0,97 2000 r = 0,97

1800 1800
0 5 10 15 20 25 30 0 5 10 15 20 25 30
n(%) n(%)

Shales Greywackes
Dry density (d) - Void index (Iv) Dry density (d) - Void index (Iv)
2800 2800
d = 2516,8 - 41,97 Iv
2600 2600 d = 2612,5 - 65,15 Iv

d(Kg/m3)
d(Kg/m3)

r = 0,86 2400
2400 r = 0,89

2200 2200

2000 2000

1800 1800
0 2 4 6 8 10 12 14 16 18 0 2 4 6 8 10 12 14 16 18
Iv (%) Iv(%)

Shales Greywackes
Slake-durability index (Id2) - Porosity (n) Slake-durability index (Id2) - Porosity (n)
110 110

100 100
Id2 (%)

Id2 (%)

90 90
Id2 = 101,68 - 0,397 n Id2 = 105,22 - 0,899 n
80 80 r = 0,86
r = 0,85
70 70
0 5 10 15 20 25 30 0 5 10 15 20 25 30
n (%) n (%)

Shales Greywackes
Slake-durab. index (Id2) - Methylene blue ads. (Vam) Slake-durab. index (Id2 ) - Methylene blue ads.(Vam)
105 110
100
95 100
Id2 (%)
Id2 (%)

90
90
85 Id2 = 100,66 - 7,097 Vam
80 Id2 = 99,999 - 9,158 Vam
r = 0,73 80
75 r = 0,90
70 70
0,0 0,2 0,4 0,6 0,8 1,0 1,2 1,4 0,0 0,2 0,4 0,6 0,8 1,0 1,2 1,4
Vam (g/100g fines) Vam (g/100g fines)

Figure 2. Correlations between physical properties for shales and greywackes.

the flysch-type deposits of the Baixo Alentejo in the south of
Portugal, as well as their variations with the state of weather-
ing, some statistical relationships are presented between the
different physical parameters and also between some of these
parameters and the mineralogical features of these two rock
materials.
The mineralogical composition of shales and greywackes
is similar, but the relative proportion of the occurring miner-
als varying. In relation to the clay minerals, kaolinite is the
predominant mineral in both rock materials. Illite is more
abundant than chlorite for the shales, and, on the contrary,
chlorite is predominant relatively to illite for the greywackes.
Physical properties such as dry density, porosity and void
index show a very significant correlation between them and
are according to the theoretical and expected relationships. In
this way, the quick absorption technique used in this study for
void index determination seems to be a good index test for the
estimation of the dry density and the porosity and therefore,
for the preliminary evaluation of rock quality.
The wide range of values for dry density and porosity show
rock materials with different compactness as result of distinct
states of weathering given that the weathering leads to the
increase of the volume of voids and therefore, an increase of
porosity. It is verified that for a given state of weathering

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the values for dry density is bigger for greywackes than
for shales showing that the compactness is biggest for the
greywackes.
The relationships presented in this paper between slake-
durabitity index and others parameters like porosity and
methylene blue adsorption, for the rock materials under study,
mainly for shales, show some scatter of the data that may
be explained by the fact that the durability of these materi-
als depends so much from the type and quantity of the clay
minerals as from the texture of the rock.
REFERENCES
AFNOR 1993. Measuring the argillaceous fraction activity and quan-
tity. Determination of the methylene blue value of a soil by means
of the stain test. French Standard, NF P 94068, Nov. 1993, 8p.
AFNOR. Paris.
ISRM 1979. Suggested methods for determining water content,
porosity, density, absorption and related properties and swelling
and slake durability index properties. International Journal of
Rock Mechanics Mining Sciences and Geomechanics Abstracts,
16, (2), 141156.
454
2007 Taylor & Francis Group, London, UK
Kanji, M.A. & Galvn, V.R. 1998. Correlation of properties of soft
rocks. The Geotechnics of Hard Soils Soft Rocks. Proc. 2nd
Int. Symp. Hard Soils Soft Rocks, Naples, Italy, 1998, vol.1,
pp. 239244.
Oliveira, J.T 1983. The marine Carboniferous of South Portugal: a
stratigraphic and sedimentological approach. In Sousa, M.J.L &
Oliveira, J.T. (eds), The Carboniferous of Portugal. Memrias dos
Servios Geolgicos de Portugal, 29, Lisboa, 337.
Oliveira, J.T. 1990. South Portuguese Zone. Stratigraphy and Synsed-
imentary Tectonism. In R.D. Dallmeyer & E. Martinez Garcia
(eds), Pre-Mesozoic Geology of Iberia, Springer-Verlag, 334347.
Oliveira, J.T, Horn, M. & Paproth, E. 1979. Preliminary note on the
stratigraphy of the Baixo Alentejo Flysch Group, Carboniferous
of Portugal, and on the palaeogeographic development compared
to corresponding units in northwest Germany. Comunicaes dos
Servios Geolgicos de Portugal, 65, 151168.
Pinho,A.B. 2003. Geotechnical characterization of weak rock masses
- the Baixo Alentejo Flysch Group. PhD. Thesis. University of
vora, 272p. (in Portuguese).
Sabatakakis, N., Tsiambaos, G. & Koukis, G. 1998. Index proper-
ties of marly rocks of the Athens basin, Greece. Geotechnical
Engineering of Hard Soils Soft Rocks. Proc. Int. Symp. Proc.
Int. Symp. ISSMFE / IAEG / ISRM, Athens, Greece, 1993, vol. 1,
pp. 275279.
 The dilation potential of rough rock joints under CNL and CNS conditions

M. Ptsch & M. Blmel

Institute for Rock Mechanics and Tunnelling, Graz University of Technology, Austria

T. Schieg
ILF Consulting Engineers, Innsbruck, Austria

C. Seywald
Consulting Engineers Laabmayr & Partner ZT GmbH, Salzburg, Austria

ABSTRACT: Since rock joints play an important role for the determination of the rock mass behaviour, the proper estimation of
the joints shear strength and behaviour is critical. The dilation of rough rock joints significantly influences the shear behaviour,
especially if a change of the boundary condition takes place. This paper outlines the basic stages of the shear process and
focuses on the particularities of confined shearing. A normal stiffness model is established which allows determining the total
dilation of a rough joint under confined conditions and, in consequence, separating dilational and frictional contributions from
the shear resistance. The dilation potential is introduced as a measure for the potential normal displacement of a joint under
applied normal stress and stiffness. A series of direct shear tests of joint replicas under varying normal stiffness, initial normal
stress and shear directions shows the influence of these parameters on the peak dilation angle and the dilation potential.

1 INTRODUCTION directions. In order to properly analyse the shear tests, a

Natural rock joints usually show significant displacements
perpendicular to the shear plane in direct shear due to the
irregularity of the surface. This phenomenon is referred to
as joint dilation. The dilation influences the behaviour of the
joint along the shear displacement and contributes to the joint
shear resistance (Patton 1966, Ladanyi & Archambault 1970).
Dilation obviously depends on the morphology of the joint sur-
face, on the asperity strength and on the stress condition on
the joint. Joints in a rock mass are exposed to different bound-
ary conditions. Shear displacements of unsupported blocks
at the surface typically result in an unconfined normal dis-
placement in which the normal loads are not affected by the
normal displacement. On the other hand, joints around under-
ground excavations are confined by the surrounding rock
mass. Hence, shear displacements along these joints cause
normal displacements which affect the normal load on the
joint due to the confinement (Saeb & Amadei 1992, Seidel
& Haberfield 1995, Indraratna & Haque 2000). Due to the
variation of the stresses the dilation develops differently from
the unconfined situation.
The consideration of joint confinement in a mechanical
model is simulated by a spring which is usually referred to as
the joint normal stiffness. Conditions with stiffness boundary
conditions are denoted as constant normal stiffness conditions
(CNS) while unconfined conditions are constant normal load
conditions (CNL). It will be shown that the assumption of a
purely constant external normal stiffness in the mechanical
analysis, e.g. Dong & Pan (1996), is not capable to describe
the joint shear behaviour properly.
This paper shows the results of a series of direct shear tests
of joint replicas with the focus on the dilational character-
istics. The tests have been performed with varying external
normal stiffness, initial normal stress and different shear
multi-spring model is used to account for the normal stiffness
characteristics.
2 THE DILATION AS AN INTEGRAL PART OF THE
SHEAR BEHAVIOUR
2.1 The unconfined shear process
The shear process is initiated after loading the joint sample
with a normal stress. From a general point of view, it can be dis-
tinguished into three stages. First of all, the sample shows an
elastic behaviour. Deformation includes predominantly shear
strains while slip on the joint does not take place. The shear
stress mobilises with shear displacement leading to a rotation
of the resultant force towards the shear direction.
The second stage starts once the inclination of the resul-
tant force exceeds the basic friction angle of the joint (The
basic friction angle is the friction angle of a flat surface).
In this stage the dominating deformation takes place on the
joint. Slip occurs on flat portions of the irregular joint sur-
face. With increasing shear stress the portions on which slip
occurs become gradually steeper. Kinematically, normal dis-
placements have to take place at the slip surfaces. In this stage
the dilation increases steadily. Due to the joint slip the stress
concentrates at steep asperities. If they cannot sustain the stress
any more, they are sheared off. The resistance of individual
asperities against shearing depends apart from the material
properties on the geometry of the asperities. Due to the fric-
tional properties of the joint surface there is an upper limit of
asperity angles on which sliding can occur. Asperities steeper
than this limit are sheared off even though there is no nor-
mal stress in the shear plane. In this stage the shear stress
approaches its maximum.

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 The sliding process on the asperities causes both a stress
concentration and a reduction of the contact area on the asper-
ities. Hence, with increasing shear displacement more and
more asperities fail. After a certain shear displacement a max-
imum dilation rate has been reached, which corresponds to
the maximum shear stress. Beyond this limit the joint surface
starts degrading with a simultaneous decrease of the dila-
tion rate. The surface becomes smoother due to the failure
of the asperities and filling of the void with crushed and com-
pacted material. The average normal stress remains constant
throughout the entire shear displacement.

2.2 Confined shearing

Under confined conditions normal displacements affect the
normal stress. The joint dilation leads to an increase of nor-
mal stress while contraction causes a normal stress decrease. Figure 1. Triple spring model of a joint. K ext is the external normal
In consequence, a variation of the normal stress affects the stiffness while k2 and k 3 are the internal normal stiffnesses with
behaviour and failure modes of the asperities. On the one possibly different characteristics. For instance, k 2 describes a linear
hand, higher normal stresses ease the elastic deformations of behaviour and k 3 a hyperbolic (Bandis et al. 1985).
the asperities (Seidel & Haberfield 1995) and increase the
joint contact area (Gentier et al. 2000). On the other hand,
increased normal stresses rotate the resultant towards the joint
normal, thus impeding slip on the asperities. The increased
stresses finally cause a higher portion of asperities to be
sheared off.
Modern shear test systems, as described in chapter K tot is the total normal stiffness and considers several stiff-
4.1.3, allow complex test procedures. They are usually nesses and characteristics. For a triple spring model it can be
servo-controlled and facilitate computer-controlled interac- obtained by expression (3).
tion between displacement sensors and load pistons (Blmel
et al. 2002). A CNS procedure includes a variation of the
normal load depending on the sensor feedback of the normal
displacements. The normal load increases proportionally to
the measured displacement increment according to expression
eq(1) for constant normal stiffness.
3 THE DILATION POTENTIAL

It has been shown in the previous chapter that the normal

v is the measured normal displacement increment (sensor
feedback). K ext is referred to as the external normal stiffness
and can be zero, finite and infinite. A zero normal stiffness
does not affect the normal load and such test procedure is
referred to as constant normal load. In the case of an infinite
external normal stiffness the normal load variation does not
allow any normal displacement. Nevertheless, the variation
of the normal load is finite. In the test apparatus the normal
displacement is measured outside the shear box in which the
sample is installed. The variation of the normal load causes
also displacements of the sample and the joint. These displace-
ments are controlled by the internal normal stiffness k i which
is physically the deformability of the sample. They cannot be
measured by displacement sensors, since they are suppressed
by the internal normal stiffness.
The shear behaviour is governed by the total dilation which
occurs on the joint. In order to account for the total dilation
a multi spring model has to be considered (Figure 1). Since
the normal stiffness usually shows a nonlinear behaviour, the
multi-spring model allows the mathematical treatment of this
phenomenon. It also eases the combination of the external and
internal normal stiffness.
Figure 1 shows that the increment of the total normal dis-
placement taking place directly in the joint can be obtained by
expression (2).
stiffness of the joint as well as the confinement influence the
mechanisms involved with joint dilation. In order to objec-
tively compare the influence of the normal stiffness and initial
normal load on the joint dilation it is required to combine
both effects into one representative parameter. The dilation
potential has been introduced to describe the joints capabil-
ity for normal displacement. For CNL conditions the dilation
potential is identical with the measured final normal displace-
ment. For CNS conditions it contains both, measured normal
displacements and those compensated by joint and sample
deformation.
The dilation rate of rock joints is usually related to the dila-
tion angle i at a certain shear displacement. Expressing the
dilation rate by means of an angle eases the combination of
frictional and dilational components of the shear resistance
(Bandis et al. 1985). The dilation potential can be obtained
by integration of the dilation rate over the shear displacement.
Expression (4) represents the general form.
I dil is the dilation potential of a rough joint. It is a measure for
the maximum normal displacements which can be achieved

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Figure 2. The shear behaviour of a confined shear test. The upper
diagram includes the total shear resistance, the frictional contribu-
tion, and the measured and total dilation rate in terms of an angle.
The shaded area is the dilation potential. The lower diagram includes
the corresponding normal and shear stress.
during shearing a joint under certain boundary conditions. Its
unit is [m].
Figure 2 shows the general relationships between the joint
shear behaviour and the dilation potential for a confined shear
test. It is an example with an external normal stiffness of
5000 MPa/m. The upper diagram shows the shear resistance
in terms of friction and dilation angle throughout the shear
displacement. The upper black line is the shear resistance
containing frictional and dilational parts ( + i). It is derived
from the shear and normal stress lines in the lower diagram
in Figure 2. The upper grey line represents the contribution of
friction to the shear resistance (basic ). The difference between
both lines, the grey shaded area, is the effect of dilation
on the shear behaviour. The lower grey line is the dilation
angle determined from measured normal and shear displace-
ments (i measured ). The black line is the dilation angle which
considers the measured displacements and the internal dis-
placements (i total ). It can be clearly seen, that the difference
between the two lines is approximately 5 at the peak dilation
angle.
Expression 4) suggests integrating from a shear displace-
ment of zero to infinity. In a shear test the upper limit is
obviously the maximum shear displacement which can be
performed by the test apparatus. Figure 2 indicates joint
contraction starting from approximately 12 mm of the shear
displacement. The behaviour change also poses an integra-
tion limit for two reasons: On the one hand, the contraction
decreases the dilation potential (which should represent the
maximum possible dilation). On the other hand, this contrac-
tive behaviour is a result of a change in the failure mechanism
of the sample. In this case the lateral parts of the sample break
away and form a slope on which the sample can contract.
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2007 Taylor & Francis Group, London, UK
Table 1. Mechanical parameters of the sample material.
Parameter Mean Standard deviation
UCS [MPa] 54.2 5.9
t [MPa] 2.0 0.1
E reload [MPa] 21500 1340
E unload [MPa] 22440 1230
[-] 0.13
basic [ ] 39
4 SHEAR TESTS
4.1 Shear test series
For this study 31 individual direct shear tests on samples with
the same joint roughness have been performed under different
initial normal stresses and normal stiffnesses.Additionally, the
samples have been sheared in four different directions with an
initial normal stress of 0.5 MPa.
4.1.1 Sample material
All test samples consist of a prefabricated mixture of anchor
mortar with a maximum grain size of 1 mm. It shows a low
potential for shrinkage. Table 1 highlights the mechanical
properties of the sample material with an age of 17 days deter-
mined from unconfined compression tests, Brazilian tests,
indirect tension tests, and multi-stage shear tests.
4.1.2 Joint surface
The joint surface is a replica from an anisotropic Stainzer
Plattengneis which is a mylonitic gneiss with a distinct pla-
nar syn-metomorphic fabric. The characteristic features of
this gneiss are a near-perfect tabular possility parallel to the
tectono-metamorphic layering and mineral alignment, and a
penetrative stretching lineation (Brosch et al. 2000).
The surface has been characterised using the JRC and a 3D
surface description (Grasselli et al. 2002) parallel to the shear
directions. The shear directions are shown in Figure 3 in which
the arrows indicate the direction of the top piece. The JRC has
been determined in two orthogonal directions (02 and 13)
by 20 people by visual comparison following the procedure
after Beer et al. (2002). For direction 02 the mean of the
JRC has been assessed with 6.6 with a standard deviation of
1.8, while for direction 13 it is 7.9 with a standard deviation
of 1.9.
Grassellis method suggests the characterisation of the sur-
face morphology by the relationship between the potential
contact area and an apparent threshold dip angle. It is a fully 3D
approach, thus it is possible to consider different shear direc-
tions. The function describing this relationship requires three
parameters: the maximum potential contact area A0 , the maxi-
mum apparent dip angle max and the roughness coefficient C.
The parameters are derived from a digital surface model which
can be obtained from mechanical or laser profilometers, laser
scanners or 3D imaging systems. In this study the image-based
3D measurement and assessment system ShapeMetriX3D
(Gaich et al. 2006) has been applied. The surface parameters
have been determined for the shear directions indicated in Fig-
ure 3 and are summarised in Table 2. Figure 3 also shows the
surface irregularity in terms of apparent asperity dip relative
to shear direction 1. The grey scale corresponds to the appar-
ent dip angles (see grey scale chart). The roughness amplitude
is 7 mm.
Table 2. Surface parameters of the tested joint after Grasselli
determined by Schieg (2006).
A0 max C Initial normal stress
Shear direction [-] [ ] [-]
0 0.51 58 2.23
1 0.52 47 1.77
2 0.48 57 2.34
3 0.47 70 2.87
Figure 3. Shear directions and surface irregularity. The arrows
indicate the shear directions of the top piece. The grey shading
corresponds to the asperity dip relative to shear direction 1.
4.1.3 Direct shear system
The used shear test system provides a maximum normal force
of 500 kN and maximum shear force of +250/160 kN. Spec-
imens up to 200 mm in dimension can be tested in direct
shear, with the capability to run tests with different boundary
conditions, programmable control processes, as well as high
accuracy measurements of displacements and forces. Besides
the displacement measurements in both pistons, 4 vertical and
2 horizontal linear variable differential transducers (LVDTs)
are used to record the displacements.They are positioned at the
shear box in the initial specimen joint shear plane in multiple
locations. Horizontal motion is guided by a precision linear
bearing, which is designed for low friction and a single degree
of freedom (translation only). The long wheelbase of the lin-
ear guide bearing provides resistance to overturning moments
that might be induced by joint asperities. The maximum shear
displacement is 25 mm (Blmel & Bezat 1998).
4.1.4 Test procedures
In this study the test procedure consists of normal loading
loops, the shear test and a controlled unloading of the sample.
The normal loading loops are primarily used for the determi-
nation of the internal normal stiffness and to ensure a robust
load transfer from the load unit to the sample. The controlled
unloading of the sample provides information about the varia-
tion of the internal normal stiffness of unsheared and sheared
samples.
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2007 Taylor & Francis Group, London, UK
Table 3. Varied parameters of the shear procedure for shear
direction 1.
0.25 0.50 1.0
ni [MPa] 2.50 5.00
External normal stiffness 0 500 5000
K ext [MPa/m] (no dilation allowed)
Figure 4. Direct shear system showing the shear box, loading seat,
and LVDTs.
Schieg (2006) performed two normal loading loops between
0.4 and 1 MPa. A linear characteristic of the internal nor-
mal stiffness could be derived from these loops. Seywald
(2006) performed several normal loading loops with a step-
wise increase of the normal load after every second loop. The
last loop has been performed three times. The lower limit of
the normal load has been 0.23 MPa while the steps of the
upper limit have been 1, 4, 7 and 15 MPa (1, 4, 10 and 20 MPa
for tests with ni = 5 MPa). These loops allowed the determi-
nation of the nonlinear characteristic of the internal normal
stiffness.
The shear tests have been conducted with several combi-
nations of initial normal stress, external normal stiffness and
shear direction. Shear tests in the shear directions from Fig-
ure 3 have been performed with ni = 0.5 MPa and with all
external normal stiffnesses from Table 3. Another test series
in direction 1 combined the parameters from table 3. The shear
rate has been 0.4 mm/min for all tests with a maximum shear
displacement of 25 mm.
4.2 Results
The shear tests have been evaluated with respect to the influ-
ence of the shear direction, the initial normal stress and the
external normal stiffness on the dilational behaviour of the
joint. As shown in chapter 3 dilation varies with the shear
displacement. Therefore, two characteristic values for the dila-
tion are presented: the peak dilation rate in terms of the peak
dilation angle, and the dilation potential.
4.2.1 Peak dilation angle
The peak dilation angle corresponds to the maximum shear
stress relative to the current normal stress. It decreases with
increasing initial normal stress and normal stiffness. This
decrease can be predominantly explained by the failure of
larger asperities under higher stresses. Figure 5 shows the peak
dilation angle versus the corresponding normal stress for the
tests in direction 1. Grey dots are values from Schieg (2006),
while black dots are values from Seywald (2006). No sig-
nificant discrepancy between both data sets can be observed,
even though the normal loading loops prior to shearing have
been different. With increasing normal stress the peak dilation
angle decreases from 21 to 5 . Expression (5) represents
Figure 5. Stiffness-corrected peak dilation angles vs. correspond-
ing normal stress. The solid line is a regression line using expression
(5) with varying JRC while the dashed line has been predicted using
a JRC determined from visual comparison.

the dilational part of the shear strength criterion after

Barton & Choubey (1977). The solid line in Figure 5 is the
result of a regression with the data set using a JCS of 54.2 MPa.
It gives the least error with a JRC of 8.8. The average deviation
is 1.3 . The dashed line is the prediction of the peak dilation
angle using a JCS of 54.2 MPa and a JRC of 7.9 (see 4.1.2).
Figure 6. Dilation potential for varying initial normal stress and
external normal stiffness. Values from black bars consider a nonlinear
and grey bars a linear normal stiffness characteristic.

Although expression (5) has been derived from CNL tests, it

shows good agreement with the data obtained from CNS tests,
if the peak dilation angle considers the total normal stiffness.
In this example the prediction of the dilation angle using a
JRC determined by visual comparison shows a good accuracy.
However, it should be kept in mind that the determined JRC is
a mean value of 20 individual estimations with a considerable
spread. It is also derived from a linear profile and does not
account for the 3D properties of the surface. Thus, a more
objective assessment of the roughness properties would be
desirable.
4.2.2 Dilation potential
The dilation potential is a measure for the final normal dis-
placements due to shearing under applied normal stress and
stiffness. Figure 6 show the determined dilation potential from
shear tests. The data considers the total normal stiffness of
the sample. The grey bars are data from Schieg (2006) while
Figure 7. Typical nonlinear and linear normal stiffness character-
the black bars are from Seywald (2006). Each value is the
istics determined from normal loading loops. 9 loops preceded the
result of a combination of ni and K ext . The dilation potential nonlinear and 2 loops the linear data set. The data sets show unloading
decreases from 2.76 mm to 0.3 mm with increasing initial nor- branches.
mal stress and external normal stiffness. For comparison, the
difference in elevation of the asperieties in the joint surface is
approximately 7 mm. Figure 8 shows the dilation potential for shearing in the
The grey bars show a different behaviour from the black directions indicated in Figure 3 ( ni = 0.5 MPa). For the CNS
ones. The shear test with ni = 0.5 MPa with zero normal stiff- tests it shows only slight variations except for direction 0.
ness has been performed as a multi-stage shear test. Several Since the CNL tests have been performed as multi-stage tests,
discrete increases of the normal stress led to a change of the they cannot be directly compared due to discrete variation of
boundary conditions and caused a significant decrease of the the normal stress.
dilation potential.
The CNS shear tests with ni = 0.5 MPa have been per-
formed with different normal loading loops. For higher 5 CONCLUSION
external normal stiffness the normal stresses during shear-
ing exceeded the normal stress level from the normal loading This paper shows the influence of different normal stresses
loops. Hence, the sample behaved softer (first loading vs. and stiffnesses on the dilational behaviour of rough rock joints.
reloading) than in the other cases. Additionally, the normal The dilation has been studied in a series of direct shear tests on
stiffness has been linearly considered (Figure 7). The tests joint replicas under varying normal stress and stiffness, and
show the strong influence of the normal stiffness on the for different shear directions as well. The behaviour of char-
dilation potential. acteristic parameters for dilation, such as the peak dilation

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Figure 8. Dilation potential for shearing in four orthogonal direc-
tions. ni = 0.5 MPa. The CNL tests have been performed as
multi-stage tests.
angle and the introduced dilation potential, has been evalu-
ated. For the investigated joint a decrease of the peak dilation
angle from 21 to 5 and the dilation potential from 2.76 mm
to 0.3 mm has been observed for increasing normal stress and
stiffness. It should be noted that the conclusions refer to labo-
ratory tests. For engineering applications the scale effect has
to be considered which was out of the scope of the paper.
Direct shear tests are used for the determination of shear
parameters of joints. Suitable parameters can only be obtained
if the applied test boundary conditions meet the boundary
conditions in the rock mass. Stiffness controlled shear proce-
dures together with the determination of the samples normal
stiffness characteristic are used to provide shear parameters
under realistic boundary conditions. The characterisation of
the joint surface allows relating the shear behaviour with joint
roughness and boundary conditions.
ACKNOWLEDGEMENT
This work has been funded by 3G Software & Measurement
GmbH and the FFG Austrian Industrial Research Promotion
Agency Ltd.
REFERENCES
Bandis, S. C., Barton, N. R. & Christianson, M. 1985. Application
of a new numerical model of joint behaviour to rock mechanics
problems. In Stephansson (ed.), Proc. Int. Symp. Fundamentals of
Rock Joints. Bjrkliden, 1520 September 1985, 345355.
460
2007 Taylor & Francis Group, London, UK
Barton, N. & Choubey, V. 1977. The shear strength of rock joints in
theory and practice. Rock Mechanics 10(12): 154.
Beer, A. J., Stead, D. & Coggan, J. S. 2002. Estimation of the
Joint Roughness Coefficient (JRC) by Visual Comparison. Rock
Mechanics and Rock Engineering 35(1): 6574.
Blmel, M. & Bezat, F. A. 1998. Advanced control techniques for
direct shear testing of jointed rock specimens. In Marr & Fairhurst
(eds.), Nondestructive and Automated Testing for Soil and Rock
Properties. ASTM STP 1350, Am. Soc. Test. Mat., 276289.
Blmel, M., Button, E. A. & Ptsch, M. 2002. Steifigkeits-
abhngigies Scherverhalten von Fels. Felsbau Rock and Soil
Engineering 20(3): 2232.
Brosch, F. J., Schachner, K., Blmel, M., Fasching, A. & Fritz,
H. 2000. Preliminary investigation results on fabrics and related
physical properties of an anisotropic gneiss. Journal of Structural
Geology 22(1112): 17731787.
Dong, J.-J. & Pan, Y.-W. 1996. A Hierarchical Model of Rough Rock
Joints Based on Micromechanics. Int. J. Rock Mech. Min. Sci.
Geomech. Abstr. 33(2): 111123.
Gaich, A., Ptsch, M. & Schubert, W. 2006. Basics, principles
and application of 3D imaging systems with conventional and
high-resolution cameras. In Tonon & Kottenstette (eds.), ARMA
Workshop on Laser and Photogrammetric Methods for Rock Face
Characterization, Golden, Colorado, 1718 June 2006, under
preparation.
Gentier, S., Riss, J. Archambault, G., Flamand, R. & Hopkins, D.
2000. Influence of fracture geometry on shear behaviour. Int. J.
Rock Mech. Min. Sci. 37: 161174.
Grasselli, G., Wirth, J. & Egger, P. 2002. Quantitative three-
dimensional description of a rough surface and parameter evo-
lution with shearing. Int. J. Rock Mech. Min. Sci. 39, 789800.
Indraratna, B. & Haque, A. 2000. Shear Behaviour of Rock Joints.
Balkema: Rotterdam, Brookfield.
Ladanyi, B. & Archambault, G. 1970. Simulation of shear behavior
of a jointed rock mass. In Proc. 11th Symp. on Rock Mechanics:
Theory and Practice, AIME, 105125: New York.
Patton, F. D. 1966. Multiple modes of shear failure in rock. In Proc.
1st Congr. Int. Soc. Rock Mech., Vol. 1, 509513: Lisboa.
Saeb, S. & Amadei, B. 1992. Modelling rock Joints under Shear and
Normal Loading. Int. J. Rock Mech. Min. Sci. Geomech. Abstr.
29(3): 267278.
Seidel, J. P. & Haberfield, C. M. 1995. The Application of Energy
Principles to the Determination of the Sliding Resistance of Rock
Joints. Rock Mechanics and Rock Engineering 28(4): 211226.
Seywald, C. 2006. Investigations on the relationship between surface
roughness and dilation of rock joints in direct shear. Diploma The-
sis, Institute for Rock Mechanics and Tunnelling, Graz University
of Technology, Austria.
Schieg, T. 2006. Investigations on the shear behaviour of artificial
rock joints. Diploma Thesis, Institute for Rock Mechanics and
Tunnelling, Graz University of Technology, Austria.
 The effect of scale on the surface damage and asperity degradation of rock joint

N. Fardin
Department of Mining Engineering, Faculty of Engineering, University of Tehran, Tehran, Iran

ABSTRACT: During the shear sliding under normal and shear load, the both surfaces of a rock fracture are subjected to
damage when the yield strength of fracture is reached. Laboratory shear tests on samples with different sizes showed that the
real contact area is only a small portion of the total area and the contact areas for the same rough surface vary when changing
applied normal load. The common characteristic among all those contact areas is that they are located in the steepest zones
facing the shear direction. The results also show that the structural non-stationarity of roughness controls the damage zones
and asperities degradation of the fracture surfaces and the contact areas of the fracture largely depend to the sample size. It is
concluded that for accurate characterization of the morphological and mechanical properties of rock joints in the laboratory
and field scales, samples with size equal to or larger than stationarity threshold are required and samples of smaller size are
not representative for the natural rock joints at the field scales.

1 INTRODUCTION

It is well-known that surface roughness of rock fractures is

structurally non-stationary at small scales and the structural
non-stationarity of surface roughness mainly affects accurate
characterization of the morphological properties of rock joints
(Fardin et al., 2001). Non-stationarity of natural fracture sur- (a) (c) (c) (d)
faces means that the roughness features change with respect
to their position and mostly occur over a broad range of scales. Figure 1. The upper part of the concrete fracture replicas
This paper investigates the effect of scale on the surface of different sizes. a: 50 mm 50 mm, b: 100 mm 100 mm, c:
150 mm 150 mm and d: 200 mm 200 mm (Fardin, 2003b).
damage and asperity degradation of rock joint by performing
several mechanical shear tests on samples having different
sizes.
Table 1. Mean values and standard deviations of the mechanical
parameters for dry Densitop T2 used for replicas (after Olsson, 1998).

2 EXPERIMENTAL PROCEDURE Parameter Unit Dry samples

2.1 Sample preparation Youngs modulus,E GPa 57 3

Poissons ratio, 0.25
A pair of silicon-rubber moulds was made from surfaces of a Uniaxial compressive MPa 21513
parent joint sample (Lindfors, 1996) consisting of both lower strength, c
and upper surface parts. High-strength concrete replicas of Tensile strength, t MPa 9.1 1.1
the parent joint sample having different sizes were then made. Density, Kg/m3 26002650
The concrete used to produce the replicas is a premixture high Basic friction angle, b Degree 32.5 2.5
strength concrete, Densitop ST, which is normally used for
very high strength industrial floors.
The water cement ratio is between 0.20.5, according to
the manufacturer, which is rather low compared with nor-
2.2 Mechanical tests
mal concrete. The concrete samples were casted carefully to
avoid entrapment of air near the joint surface and conditioned The experimental study of the scale effect on the surface
with moisture of 100%. Figure 1 shows the method of sample damage and asperity degradation of rock joint was based
preparation. on direct shear tests under constant normal load conditions,
The mechanical properties of the replicas, determined by using servo-hydraulic direct shear test equipment at the TEST-
Olsson (1998) through different uniaxial and Brazilian tests LAB of Lule University ofTechnology (Olsson, 1996; Fardin,
on dry core material with a diameter of 42 mm and direct shear 2003b).
tests on saw-cut dry surfaces are listed in Table 1. After conducting the normal loading tests, the shear tests
The upper parts of concrete fracture replicas of differ- were performed on the samples under four different normal
ent sizes, shown in Figure 1, are coded as a, b, c and d stresses 1, 2.5, 5 and 10 MPa for each sample size. The
for sample with a size 50 mm 50 mm, 100 mm 100 mm, shear velocity was kept constant at about 1 mm/min during
150 mm 150 mm and 200 mm 200 mm, respectively. In shear test. The shear tests were performed after a total shear
total, 16 concrete fracture replicas were casted and tested displacement of about 20 mm, the shear force was halted and
(Fardin et al., 2003b). the normal load was removed from the samples.

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2007 Taylor & Francis Group, London, UK


Figure 2. Identification of the damages zones during shearing of
the all samples (Fardin, 2006).
The results obtained from direct shear tests on the samples
are presented in Fardin et al., (2003a). The upper parts of the
samples were broken at a shear displacement of about 10 mm
(see Figure 2).
It was found that the breaking of the samples were due
to the structural non-stationarity of the fracture surfaces. The
structural non-stationarity of the fracture surface plays a major
role in their roughness characterization.
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2007 Taylor & Francis Group, London, UK
Figure 3. 3D-laser measuring of the concrete replica at the
Laboratory before and after opening using relocation technique
(Fardin et al., 2003a).
3 SCALE EFFECT ON THE SURFACE DAMAGE AND
ASPERITY DEGRADATION OF THE JOINT
SAMPLES
The method of predicting the contact areas developed by
Grasseli (2002) is modified and applied to recognize the pos-
sible damaged areas before performing the direct shear tests
(Fardin, 2006).
First, A 3D-laser scanner with an accuracy of 20 m and
a resolution of 10 m was used to measure the topography
of the replicas. The concrete fracture replicas were digitized
with a high accuracy of 0.2 mm using the 3D-laser scanner, as
shown in Figure 3.
The scanned surfaces were divided to square windows of
1 mm length and then their best fitting plane were found using
least-squares regression analysis (as shown in Figure 4 for the
lower part of sample a).
After finding the best fitting planes, their dip direction and
dip angle, defined as 3D-co-latitude (, ), were calculated
with respect to the shear direction. Since the shear is in +x and
x directions for lower and upper parts of the samples, respec-
tively, the fitting planes with a dip direction facing to shear
direction, i.e. x for the lower and +x for the upper block,
were in contact during shearing process. The fitting planes
facing to the shear direction with an apparent dip angle rang-
(with 5 interval) were plotted to determine
ing from 0 to max
the damaged areas. Under low normal stress, the squares with
a higher dip angle will take part in the shearing process while
other ones with lower dip angle will participate in shearing
under higher normal stress.
Grasselli (2002) has found following relation to predict the
total potential contact area, A :
where, A0 is the maximum possible contact area, max is the
maximum apparent dip angle in the shear direction and C is
a roughness parameter.
The predicted damaged areas of both lower and upper blocks
as well as the damaged surfaces of the samples after shear
tests under 10 MPa of applied normal stress are also plotted
 0.6
Lower
0.58 Upper

0.56

A0
0.54

0.52

0.5
0 50 100 150 200
Sample size, mm
4.5
Lower
Figure 4. The fit planes of square sampling windows of size 1 mm, Upper
determined for the lower part of sample A (Fardin, 2006).
4

0.6

C
Sample A
0.5 Sample B 3.5
Sample C
0.4
Sample D
A*

0.3 3
0.2 0 50 100 150 200
Sample size, mm
0.1
0 Figure 6. Maximum possible contact area, A0 , and roughness
0 10 20 30 40 50 60 parameter, C, of the both surfaces of the concrete fracture replicas
*, deg as a function of the sample size (Fardin, 2006).
0.6
Sample A concentrated in the contact parts. As a result, the blocks are
0.5 Sample B
Sample C
broken to the several pieces.
0.4 It should be noted that, due to the breakage of the upper
Sample D
A*

0.3
0.2
0.1
0 surfaces of all samples were calculated and plotted in Figure 5,
0 10 20 30 40 50
*, deg
Figure 5. Relation between the total contact area, A , and the appar-
ent dip angle, , for lower and upper surfaces of the concrete fracture
replicas of different sizes (Fardin, 2006).
together in figure 2. The squares facing to the shear direction
with a minimum apparent dip of 25, 20, 15 and 10 degrees
were taken into account to predict the damaged areas of the
samples tested under 1, 2.5, 5 and 10 MPa of applied normal
stresses, respectively.
It should be noted that the darkest squares correspond to
the steepest fitting planes. The visual comparison between
the computed damaged area map and the image of the joint
surface after shearing shows that the prediction agrees well
with the experimental observations.
It is clear from the figures that under lower normal stress,
the areas with steepest fitting planes are in contact and under
higher amount of normal stress the fitting planes with lower
dip angle will participate in shearing process. As can be seen
from these figures, the lower block of the sample D as well
as upper parts of the samples A, B and C under the applied
normal stresses were broken during shearing.
This was due to the structural non-stationarity of the sur-
face roughness, where under normal stress, both blocks of the
joint sample are interlocked and a high amount of stress is
blocks, the blocks are slightly tilted and as a result, new contact
areas are generated that is not predicted before performing the
shear tests (Fardin, 2003).
The total potential contact area, A , of the lower and upper
60 as functions of the apparent dip angle. Figure 5 shows that the
concavity of the fitted curves generally increase with increas-
ing the sample size. As a result, the maximum possible contact
area decreases with the increasing the sample size, which in
turn mainly controls the shear strength of the joint samples.
The maximum possible contact area, A0 , and the rough-
ness parameter, C, of each fracture surface were then cal-
culated using the above-mentioned method and plotted in
Figure 6 as a function of the sample size.
The result shows that the maximum possible contact area
decreases with increasing the sample size. This means that
under the same applied normal stress, sample with smaller size
have larger contact area with respect to the shear direction.
Figure 6 shows that the roughness parameter, C, increases
with increasing the sample size.According to Grasselli (2002),
relatively high values of C correspond to surfaces with a
relatively low degree of roughness. Therefore, the surface
roughness of the fracture, studied in this paper, decreases
with increasing the scale, which agrees well with the back-
calculated JRC values (Fardin, 2006).
After each shear tests, the joint surfaces were also gently
cleaned from gouge material using a vacuum cleaner. The
collected gouge materials were weighted and their weights
were plotted as a function of the applied load in Figure 7.
Figure 7 shows that with increasing the normal stress, the
obtained gouge materials increase and it has larger values for
sample with larger size.

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Sample A Sample B Sample C
14
Gouge material, gr
12
10
8
6
4 ACKNOWLEDGEMENTS
2
0 Special thanks to Prof. O. Stephansson and Dr. L. Jing for
0 2 4 6 8 10
Normal stress, MPa
Figure 7. The gouge materials of the concrete fracture repli-
cas of different sizes as a function of the applied normal stress
(Fardin, 2006).
However, due to the high strength of the concrete fracture
replicas, asperities damage was extremely low compared to
the one obtained for the soft rock joint at the laboratory by
other researchers.
4 CONCLUSIONS
The effect of structurally non-stationarity of surface roughness
on the morphological and mechanical properties of a rough
rock fracture was investigated at different scales.
The mechanical tests on the concrete fracture replicas of
different size, showed that mechanical properties of the joint
samples are all scale dependent and their values decrease
with increasing the sample size and/or decreasing the applied
normal stress.
The results also show that the structural non-stationarity of
roughness controls the damages zones and asperities degra-
dation of the fracture surfaces and the contact areas of the
fracture largely depend to the sample size as well as direction
of the shearing.
It is concluded that for accurate characterization of the mor-
phological and mechanical properties of rock joints in the
laboratory and field scales, samples with size equal to or larger
than stationarity threshlod are required and samples of smaller
size are not representative for the natural rock joints at the field
scales.
2007 Taylor & Francis Group, London, UK
This stationarity threshold may be different for different
Sample D
types of rock joints with respect to their morphological and
mechanical properties and must be considered in characteri-
zation of the hydro-mechanical behaviour of rock joints for
either theoretical models or experimental investigations.
12 the fruitful discussions during this study. The author would
also like to thank Dr. Bjrn Lagerblad and his colleagues
at the Swedish Cement and Concrete Reasearch Institute
(CBI), and the staff of the TESTLAB at Lule University of
Technology for their great help during sample preparation and
performing the mechanical tests, respectively.
REFERENCES
Fardin, N., Stephansson, O., Jing, L. 2001a. The scale dependence of
rock joint surface roughness. Int. J. of Rock Mech. & Min. Sci 38:
659669.
Fardin, N., Stephansson, O., Jing, L. 2003a. Scale effect on the geo-
metrical and mechanical properties of rock joints. 10th Congress of
the ISRM, South Africa, Technology Roadmap for Rock Mechan-
ics, 319324.
Fardin, N. 2003b. The effect of scale on the morphology, mechan-
ics and transmissivity of single rock fractures. PhD thesis, Royal
Institute of Technology (KTH), Stockholm, Sweden, P. 155.
Fardin, N. 2006. Influence of Structural Non-Stationarity of Surface
Roughness on Morphological Characterization and Mechanical
Deformation of Rock Joints, Manuscript submitted to Rock Mech.
Rock Eng.
Grasselli, G., Wirth, J., Egger, R. 2002. Quantitative three-
dimensional description of a rough surface and parameter evo-
lution with shearing. Int. J. Rock Mech. & Min. Sci 39: 789800.
Lindfors, U. 1996. Experimental study of the mechanics of rock
joints. Licentiate Thesis, Division of Rock Mechanics, Lule
University of Technology, 01L, Lule, Sweden.
Olsson, R. 1998. Mechanical and hydromechanical behaviour of hard
rock joints a laboratory study. Ph.D. Thesis, Chalmers University
of Technology, Gothenburg, Sweden, P. 197.
464
 The effect of stone consolidation on the physical properties of porous limestone: A rock
mechanical approach

Z. Ppay & . Trk

Dept. Const. Mat. & Engineering Geology, Budapest University of Technology and Economics, Budapest, Hungary

ABSTRACT: Cylindrical specimens of two types of porous oolitic and fine-grained limestones of Miocene age were used for
consolidation tests. These stone types are common in the monuments of Hungary, and are often treated by stone consolidants on
site during restoration works. Two types of silica acid esters were tested under laboratory conditions by using vacuum impreg-
nation. Density, porosity, ultrasonic sound velocity and strength parameters of untreated and treated limestones were recorded.
Although both consolidants increase the strength of the limestones significant variations in rock mechanical parameters were
recorded. The increase of densities and tensile strength are closely related to pore-size distribution and pre-treatment properties
of limestones. These experiments have shown that rock mechanical tests provide valuable information for selecting proper
consolidants.

1 INTRODUCTION

Weathering processes and human activity often cause irre-

versible changes in stone monuments. These changes affect
not only the aesthetic appearance of stones but also cause
structural damage. Air pollution and related chemical and
physical changes are the ones that results in rapid stone
deterioration Stone consolidation is aimed to slow down
these adverse processes and/or strengthen the already weath-
ered stones during repair works. The selection of the proper
consolidant is one of the key challenges of restoration works.
Silica-acid-ester is used for consolidating of various stone
types especially sandstones (Malaga et al. 2004, ), volcanic
tuffs (Wendler et al. 1996) and limestones (Lukaszewicz
2004). The present study is focused on a silica acid ester
consolidant that has been applied for two types of porous
limestone in two different concentrations. The limestone
specimens were treated with the consolidants and physi-
cal parameters such as density, strength, porosity, ultrasonic
sound velocity were measured before and after the consoli- Figure 1. Fabric and microscopic image of medium-grained (a, b)
dation tests. The performance of consolidants was evaluated and fine-grained (c, d) limestone.
based on the mechanical parameters of non-consolidated and
consolidated test specimens. The Hungarian limestones used
in these tests are very similar to other porous limestones and Vienna were also constructed from the Austrian counterparts
the applied consolidants are used worldwide thus the test of this porous Miocene limestone.
results can be applied for the pre selection of consolidants A medium-grained oolitic type and a fine grained more
for other porous limestones. micritic variety was chosen for the tests. Both limestones are
white to pale yellow and have high interconnected porosity.
The first type is oolitic grainstone with average porosity of
more than 23% while the fine-grained one is a packstone with
2 MATERIALS AND METHODS average porosity of over 37% (Figure 1).
According to mercury porosimetry the pore-size distribu-
Two types of porous Miocene limestones (from Sskt quarry) tion of the two types is different since in the medium-grained
were used for the tests. These limestones were commonly limestone pores below 10 m are dominant while in fine-
used in Hungarian monuments, and now show severe signs of grained limestone pores larger than 10 m are the most
decay (Trk 2002). Emblematic buildings of Budapest such common (Figure 2 and Figure 3). The amount of micro-pores
as House of Parliament, Opera House and Mathias Church is very similar in both types.
were made of the porous limestone. This type of limestone X-ray diffraction analyses (Philips diffactometer, Cu-anode
was also a very popular stone in other parts of the Austro- and monochromator, 40 kV, 20 mA, measuring range was
Hungarian Monarchy during the 19th and 20th century (Trk between 5 70 ) have shown that calcite is the main mineral
et al. 2004). Similarly to Budapest numerous monuments in in both limestones. The quartz is an accessory mineral in both

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2007 Taylor & Francis Group, London, UK

Figure 2. Pore-size distribution of fine-grained limestone.
Figure 3. Pore-size distribution of medium-grained limestone.
type but medium-grained limestone contains more quartz than
fine-grained one.
For consolidation tests cylindrical specimens of 5cm in
diameter and 5 cm of height were drilled from blocks of
Sskt quarry.
Prior to consolidation tests specimens were divided into
analytical groups by using physical parameters and non-
destructive tests such as apparent density and ultrasonic sound
velocity.The groping aimed to minimize the minor lithological
differences to obtain samples with similar range of properties.
For the tests one type of commercially available and commonly
applied silica-acid-ester was used in two different concentra-
tions (to simplify from here onward A and B). Type A consists
of 100 m% of silica-acid-ester, while type B consists of 20 m%
of silica-acid-ester which solved in aliphatic carbo-hydrates.
The silica-acid-esters are compounds of quartz (SiO2 ) and ety-
lalcohol (C2 H5 OH). The binding mechanism is related to an
evaporation process and water vapor. While the alcohol evap-
orates silica-dioxide is formed in the presence of water vapor.
The reaction product is a silica gel that is formed in the pores
providing additional bond between the particles. The consol-
idation tests were performed in a vacuum chamber to obtain
a full saturation of pores. Ultrasonic sound velocity, appar-
ent density, open porosity and linear thermal expansion were
measured before and after the treatment of specimens to detect
physical changes.
Density, apparent porosity, ultrasonic sound velocities and
linear expansion coefficient were measured according to
European standards (EN 14579:2005, EN 1936:2000) on both
non-treated and treated specimens. The consolidating effect
was compared by measuring indirect strength tests (Brazil-
ian tests) of silica-acid-ester treated and non treated test
specimens.
2007 Taylor & Francis Group, London, UK
Figure 4. Ultrasonic sound velocity changes of untreated and
treated limestones.
Figure 5. Tensile strength of untreated and treated fine-grained and
medium-grained limestones.
3 RESULTS
According to weight measurements the amount of silica gel
formed in the pores of the two limestones are very simi-
lar. In medium-grained type 3,75 V% (Type A) and 3,23 V%
(Type B) were formed, while in fine-grained type 5,19 V%
and 4,03 V%, respectively. Thus the apparent densities of both
limestones have increased when consolidants were applied.
The increase in density is more in fine-grained type where
the concentrated type (A) caused an 8.7% increase while the
dilute agent (type B) increased the density by nearly 6.3%.
The density increase in medium-grained limestone is 3.8%
and 2.6%, respectively. The ultrasonic sound velocities show
similar trends which is in accordance with the observation
that fine-grained type absorbed more consolidant than the
medium-grained one. The decrease in porosity is more sig-
nificant for the more porous fine-grained one, than for the
less porous medium-grained one. This also corresponds to the
differences in pore-size distribution. Although the decease in
porosity is 4% (type A) and 5,2 % (type B) in fine-grained
limestone and it is 3.2% (type A) and 3.8% (type B) for
medium-grained limestone, the ratio in porosity decrease is
more significant for medium-grained limestone.
Comparison of ultrasonic sound velocities of treated and
non treated limestones clearly shows that dilute consolidant
(Type B) increased the sound velocity more than that of con-
centrated one (Type A) (Figure 4). Similar trend was observed
when tensile strength values were compared (Figure 5).
An increase of 36.9% in tensile strength of Type B consol-
idant treated medium-grained limestone is compared to the
increase of 22.5% of Type A consolidant treated specimens.
By contrast, fine-grained varieties show a tensile strength
466

Figure 6. Tensile strength changes of untreated and treated lime-
stones.
Figure 7. Correlation between tensile strength and ultrasonic sound
velocities of treated and untreated limestones.
increase of 19.7% (Type A) and 25.8% (Type B), respectively
(Figure 6). Thus it seems that dilute consolidant caused a larger
increase in strength for both limestones.
Fairly good correlation was found between the ultrasonic
sound velocities and tensile strength of treated and non-treated
porous limestones (Figure 7).
Strength values seems to be less predictable based on den-
sities since no such correlation was found when these two
parameters were compared.
4 DISCUSSIONS
The largest documented tensile strength increase (+36.89%)
was recorded in medium-grained limestones which were
treated with Type B, while the smallest change (+19,70%)
was observed in fine-grained limestones which were saturated
with Type A consolidant (Figure 6). Type B consolidant caused
a higher increase in tensile strengths than Type A despite the
fact that more silica acid ester was found in Type A treated
specimens. When the affectivity of various consolidants is
compared the densities are often considered as good indica-
tors of consolidant penetration and strengthening. In this study
it has been proved that the concentrated (Type A) consolidant
caused a slightly larger increase in density for both fine-and
medium-grained limestone than that of its dilute counterpart
(Type B). This increase in density seems to be not propor-
tional with the increase in strength. To the contrary, Type
B consolidant which indeed formed fewer amounts of silica
compounds in both limestones augmented more the ultrasonic
sound velocities and the tensile strengths. The better perfor-
mance of dilute silica acid ester consolidant (Type B) might
be related to better penetration into smaller pores. This could
467
2007 Taylor & Francis Group, London, UK
also explain why it has a stronger binding capacity than the
concentrated one (Type B) despite the fact that in both lime-
stones larger amount of silica-acid-ester was found after Type
A treatment, than after Type B treatment.
This raised strength values seems to be largely controlled
by the concentration of consolidant. Additionally pore-size
distribution can also play a key role (Fitzner and Basten, 1992).
A good example of it is that medium-grained limestone has
a smaller pores and dilute consolidant could penetrate more
readily into these pores. As a consequence the increase in
tensile strength of Type A vs. Type B treated specimens is
nearly 60% for medium-grained limestone, while it is only
31% for fine-grained limestone, respectively.
5 CONCLUSIONS
The consolidation by silica acid ester increased the appar-
ent density, the ultrasonic sound velocity and decreased the
porosity of the medium-and the fine-grained limestone types.
The less porous medium-grained limestone shows a bigger
increase in strength than the more porous fine-grained type.
Our experiments have shown that pore structure has a signifi-
cant effect on the behavior of the stone. It is more difficult to
consolidate the highly porous fine-grained type (37,14 V%),
which has slightly larger pores than the medium-grained less
porous type (23,12 V%), which has smaller pores.
When the two consolidating agents are compared the
reduced silica acid ester containing one (Type B) increased the
tensile strength more effectively than concentrated one (Type
A). Consequently it seems that it has a better performance on
porous limestones, although to find the best diluting agent
and consolidants further experiments are needed. The tensile
strength of the consolidated porous limestones can be esti-
mated by using non-destructive tests such as ultrasonic sound
velocity, thus it can be applied in monument conservation.
ACKNOWLEDGEMENTS
The support of Bolyai Jnos Research Grant (BO/233/04)
(.T.) and the Hungarian Science Found (OTKA, K63399)
(.T.) are acknowledged. The funding by the MB (Hungar-
ian Scholarship Board) - DAAD (German Science Found) is
also appreciated.
REFERENCES
Fitzner B., Basten D. 1992. Gesteinporositt Klassifizierung,
metechnische Erfassung und Bewertung ihrer Verwitterungsrel-
evanz, Ernst & Sohn GmbH. Verlag, 1932.
Lukaszewicz, J.W. 2004. The efficiency of the application of
tetraethoxysilane in the conservation of stone monuments. In:
Kwiatkowski, D. & Lfvendal, R. (Eds.): Proceedings of the
10th International Congress on Deterioration and Conservation
of Stone. ICOMOS Sweden, Stockholm, Vol. I, 479486.
Malaga, K., Myrin, M., Lindqvist, J.E. 2004. Consolidation of Got-
land sandstone. In: Kwiatkowski, D. & Lfvendal, R. (Eds.):
Proceedings of the 10th International Congress on Deterioration
and Conservation of Stone. ICOMOS Sweden, Stockholm, Vol. I,
447454.
Wendler, E., Charola, A.E. & Fitzner, B. 1996. Easter Island Tuff:
Laboratory studies for its consolidation. In: Riederer, J. (ed)
Proceedings of the 8th International Congress on Deteriora-
tion and Conservation of Stone, Berlin, 30.9.4.10.1996, Vol. 2,
11591170.
 The local degradation approach applied to the modelling of brittle fracture of
anisotropic heterogeneous rock

S.C. Yuan & J.P. Harrison

Imperial College London, UK

ABSTRACT: This work presents a stochastic local degradation model to simulate brittle failure and directionally-dependent
behaviour of heterogeneous rocks with anisotropic microstructures such as bedding, cleavage, and foliation. Using an auto-
correlation function and geostatistical techniques, this model generates spatially correlated mechanical heterogeneity at the
element scale, and allows numerical simulation of damage initiation and propagation resulting from progressive elemental
mechanical breakdown. Deformation and fracturing of a typical laboratory specimen-scale rock sample subjected to uniax-
ial compression is simulated and compared with published data. The modelling results qualitatively capture the fracturing
mechanisms of rock containing preferentially oriented microstructures, and shows the models potential in the analysis of rock
engineering problems in layered rock materials.

1 INTRODUCTION 2 STOCHASTIC LOCAL DEGRADATION

Mechanical anisotropy resulting from preferably oriented
microstructures, such as bedding planes in sedimentary for-
mations, or foliation and cleavage in metamorphic rocks,
gives rise to directional mechanical behaviour of rocks,
and has considerable influence on overall ground response
and performance of rock engineering structures. Numer-
ous laboratory-scale experimental data show the significant
directionally-dependent behaviour of such materials, with
planes of anisotropy inclined at about 60 to the minor princi-
pal stress exhibiting the lowest peak strength (Donath, 1964;
McLamore and Gray, 1967; Gottschalk et al, 1990; Rawling
et al, 2002).
Jaegers Single Plane of Weakness model, which uses the
linear Mohr-Coulomb criterion to examine both shear along
weakness planes and fracturing of intact rock, is arguably
the best known approach to assessing strength anisotropy.
Whilst it is intrinsically not correct to use this criterion for
assessing strength anisotropy of intact rock, a number of ana-
lytical and empirical approaches have been developed in a
similar vein: McLamore and Gray (1967) used directionally-
dependent cohesion; Tien and Kuo (2001) and Colak and
Unlu (2004) introduced directional material parameters into
the Hoek-Brown failure criterion; and Rawling et al. (2002)
applied fracture mechanics to a medium containing both ran-
domly oriented pre-existing microcracks and cleavage cracks
preferentially oriented with the foliation.
The main focus of these approaches has generally been to fit
the directional strength locus to the orientation of the planes of
anisotropy. Little attention has been paid to damage initiation
and propagation as failure is approached, despite the fact that
this is recognised to be the principal micromechanical failure
mechanism.
In this work, we extend the stochastic local degradation
approach (Fang and Harrison, 2002) through the use of spa-
tially correlated elemental heterogeneity, with the aim of
examining the damage initiation and propagation that occurs
when such materials are subjected to uniaxial compression,
thereby showing how anisotropic behaviour emerges as a
result of this particular form of heterogeneity.
2.1 Local degradation approach
The local degradation approach is based on degradation
and dilatancy models that simplify typical mechanical
response curves obtained from triaxial compression tests
in the laboratory into suites of idealized, piece-wise linear,
pressure-sensitive elastoplastic constitutive relations (Fang
and Harrison, 2002;Yuan and Harrison, 2004). With elemental
scale material heterogeneity, and a suitable failure criterion,
the local degradation approach is capable of simulating dam-
age evolution that ultimately leads to failure of the material
(Fang and Harrison, 2002; Yuan and Harrison, 2005).
2.2 Generation of spatially correlated random variables
Here, we extend the local degradation approach by incorporat-
ing spatial correlation of elemental properties.This correlation
is generated using the exponential auto-correlation function
where x and y are the characteristic correlation distances,
and lx and ly are the distances from the reference point in the
x- and y-directions, respectively. The auto-correlation function
reduces to zero outside the characteristic correlation distances,
thus allowing specification of the correlation lengths in both
x and y directions. The ratio of the spatial correlation values
in the x-
 and y-directions is termed the anisotropy ratio, i.e.
= x y .
To aid subsequent determination of material properties, we
generate sets of random variables in the range of [0,1] using
Equation 1. By controlling the anisotropy ratio and the cor-
relation lengths, realizations featuring different anisotropic
structures can be stochastically produced, as shown in Fig 1.
The case of x = y = 0 refers to uncorrelated heterogene-
ity (statistically independent elemental values). As the figure
shows, increasing correlation lengths lead to more distinct

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2007 Taylor & Francis Group, London, UK


Figure 1. Stochastic realizations (4096 elements) with (a)
x = y = 0; (b) x = y = 2; (c)x = 2, y = 4; (d) x = 4, y = 2;
(e) x = 8, y = 2; and (f) x = 8, y = 4.
0 30 45 60 90
Figure 2. Spatially correlated random variables ( = 20) having
different orientations relative to the principal stress state (upper dia-
gram), and the practically equivalent of taking cores from a block of
anisotropic rock (lower diagram).
microstructures, with values of anisotropy ratio depart-
ing from unity resulting in preferentially oriented planar
microstructures of similar values.
To focus on progressive failure of rock containing an
anisotropic micro-structure at various orientations relative to
the applied principal stress state, we have used x = 1, = 20
in a Cartesian (x, y) coordinate system, and then rotated the
generated values into a (x , y ) system using the transformation
matrix
where is the angle of rotation with respect to (x, y), coun-
terclockwise positive. Finally, simple kriging (Deutsch and
Journel, 1998) is used to interpolate the data on to a regular
and equally spaced grid. Example realizations with planes of
anisotropy at different orientations are shown in Fig 2, along
with the analogous practical case of taking rock cores from
anisotropic rock.
2.3 Assigning geomechanical properties
Following previous work (Fang and Harrison, 2002; Yuan and
Harrison, 2005), we use the Weibull distribution (Weibull,
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2007 Taylor & Francis Group, London, UK
2.0 f(x)
mw=5
1.5 m w=4
m w=3
1.0
mw=2
0.5
mw=1 x
0
0 1 2 3 4 5
Figure 3. Examples of the Weibull distribution.
1951) to transform random values in the range [0,1] into
mechanical parameters. The 2-parameter probability density
function (PDF) of the Weibull distribution is given by
where mw is a shape parameter describing the scatter of x, and
x0 is scale parameter that is proportional to the mean of x. This
PDF has the advantage that different forms of distribution can
be easily achieved by varying the single shape parameter mw ,
as shown in Fig 3 (where x0 = 1).
Here, elemental stiffness and strength both follow the
Weibull distribution, and are positively correlated. This means
that elements of lower stiffness have lower strength, as is gen-
erally the case with planar structures such as discontinuities.
3 RESULTS
For this work, the degradation model with spatial correlation
was implemented in plane strain using the explicit finite dif-
ference continuum simulator FLAC. To model progressive
fracture, we numerically apply axial strain whilst comput-
ing the overall axial stress, in a fashion directly analogous to
the uniaxial compression laboratory testing procedure. The
implementation procedure is described in Fang and Harri-
son (2002). For each of the models with planes of anisotropy
inclined at 0 , 30 , 45 , 60 , and 90 to the minor principal
stress, five realizations were generated and analysed to obtain
complete stress-strain and deformation responses in uniaxial
compression. Here, we present results for orientations 0 , 60 ,
and 90 in order to show how the model predicts fracturing
mechanisms comparable with those occurring in real rocks.
3.1 Damage and fracturing mechanisms
For the case of = 0 , the planar structures are perpendicular
to the major principal stress, and damage initiates in those
layers comprising elements of weaker material (as expected),
propagating axially in the form of tensile cracks (Fig 4(a)).
The damaged zones seem to be bounded by layers of stronger
material, and are later subsumed by shear nucleation (Fig 4(c))
that commences close to the free surface. The final macro-
fracture seems to be the result of coalescence of these damaged
zones, as the material is loaded to post-peak (Fig 4(e)).
For the case of = 90 , the direction of greatest correlation
is generally parallel to the axis of the specimen, and the initial
 40 abcd e -80 80 abcd e -100
Volumetric
strain Volumetric
-60 strain

Volumetric strain (millistrain)

Volumetric strain (millistrain)

30
60 -80
Axial stress (MPa)

Axial stress (MPa)

-40

20

-20 40 -40

10 Axial stress
0

20 0
0 20
Axial stress
0 2 4 6
Axial strain (millistrain)
0 40
a b c d e 4
0 2 6
Axial strain (millistrain)
a b c d e

Degrading rock element Degraded rock element Undegraded rock element

Figure 4. Simulated stress-strain and volumetric responses, and

Degrading rock element Degraded rock element Undegraded rock element
damage evolution for Realization 4, angle between normal to
structure and major principal stress = 0 .
Figure 5. Simulated stress-strain and volumetric responses, and
damage evolution for Realization 1, angle between normal to
structure and major principal stress = 90 .
damage takes the shape of long, thin, axially oriented damage
zones extending over almost the entire length of the sample
(Fig 5(a)). The formation of these slender zones parallel to the
40 abc d e -60
major principal stress gives rise to spalling that grows from
the free surface into the core (Fig 5(b), (c), (d)), with axial Volumetric
splitting being the eventual failure mode. strain

Volumetric strain (millistrain)

As with the two previous cases, when = 60 the damage 30 -40
develops along the direction of greatest correlation as the axial
Axial stress (MPa)

stress increases. Fig 6(a) shows en echelon crack arrays tend-

ing to initiate along weaker zones, growing into shear fractures 20 -20
with axial tensile damage propagating away from their tips,
and eventually forming through-going shear bands along the
Axial stress
anisotropy planes (Fig 6(e)).
10 0

3.2 Strength and deformability

0 20
Figure 7 presents modelling results from a single realization 0 2 4 6
across a range of orientations, and shows that the stress-strain Axial strain (millistrain)
curves and volumetric responses of the material are signifi- a b c d e
cantly influenced by the orientation of the planar structures
relative to the major principal stress. Of the five different
orientations, that with planes of anisotropy parallel to the
major principal stress shows the highest peak strength, stiff-
ness, and dilatancy, with a damage pattern characterized by
spalling parallel to the direction of the major principal stress
(cf. Fig 5). In the case of planes of anisotropy perpendic-
ular to the major principal stress, the model exhibits lower
stiffness, with distributed tensile splitting initiating in weaker
layers and confined by the stronger layers (cf. Fig 4). The
model with planes of anisotropy inclined at about 30 to the
Degrading rock element Degraded rock element Undegraded rock element

minor principal stress has the lowest peak strength, and fails Figure 6. Simulated stress-strain and volumetric responses, and
by a combination of dislocation along weak planes and axial damage evolution for Realization 1, angle between normal to
splitting (cf. Fig. 6). structure and major principal stress = 60 .

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2007 Taylor & Francis Group, London, UK

 80
90
60
Axial stress (MPa)
45
0 30
40
60
20
30
-100
-80
Volumetric strain (millistrain)
-40
0
40
0 2
Axial strain (millistrain)
Figure 7. Stress-strain curves and volumetric responses of simu-
lated rock samples of realization 1 in terms of angle between normal
to structure and the major principal stress.
4 DISCUSSION AND CONCLUSION
The approach presented in this paper is essentially general,
and the results are not intended to be representative of any
particular rock. The method is clearly capable of capturing
the essence of the progressive failure process of anisotropic
rock materials as observed in the laboratory.
As noted in the Introduction, it is well known from published
experimental triaxial compression data on various intrinsically
anisotropic rocks that strength is a function of the orienta-
tion of the plane of anisotropy relative to the major principal
state. The general trend of the peak strength locus obtained
from the average of five realizations (Fig 8(a)) demonstrates
qualitative agreement with this finding. Although some rocks
(Green River Shale, Blue Penrhyn slate, Tournemire shale)
show almost the same magnitude of peak strength at both
= 0 and = 90 , our results predict higher strength when
the planes of anisotropy are parallel to the major principal
stress ( = 90 ) than when they are perpendicular to it ( = 0 ).
These results agree with those obtained for the Austin slate
(McLamore and Gray, 1967), Four-mile gneiss (Rawling et al,
2002) and artificial layered rocks (Tien and Kuo, 2001).
Fig 8(b) shows that Youngs modulus is not as sensitive to
loading direction as peak strength, but material with = 90
seems to be generally stiffer than that with = 0 . This fea-
ture is consistent with results obtained using Four-mile gneiss
(Rawling et al, 2002).
2007 Taylor & Francis Group, London, UK
70
60
Peak strength (MPa)
50
40
20
10
0
Youngs modulus (GPa)
90
45
0 Realization 1
30
Realization 2
60 Realization 3
Realization 4
Realization 5
Mean
0 30 60 90
(degree)
Figure 8. Variation of peak strength andYoungs modulus with angle
4 6
between normal to structure and major principal stress
It is generally recognised that fracture of anisotropic rocks
falls into three principal groups: failure through intact rock,
shearing along planes of weakness, and both. The simulated
damage patterns shown in Fig 4, 5 & 6 qualitatively resemble
these. To date, little attempt has been made to numerically
reproduce the micro-mechanisms associated with the failure
process of anisotropic rocks, despite the importance of this for
rock engineering. For example, it has been suggested that the
absence of the third of these mechanisms from the Single Plane
of Weakness model is why it fails to model strength reduction
at some orientations of anisotropy (Hoek and Brown, 1980).
On the basis of our work, we further suggest that the spatial
disposition of damage development is also significant.
Although this work clearly shows that the local degradation
approach provides enlightenment on the progressive fracture
of anisotropic rocks, its application brings other benefits.
Firstly, anisotropic properties are modelled by introducing
spatially correlated heterogeneity, which has better physical
justification than methods using parameters such as variable
cohesion and uniaxial compressive strength (usually cast as a
function of loading orientation). Such parameters often bear
no physical meaning in terms of fundamental rock properties
(Donath, 1964). Secondly, the approach is able to reproduce
both the directional mechanical responses and correspond-
ing distinctive damage patterns that emerge at the macroscale
as a result of elemental interaction. As a result, we would
expect this model to also have applications in structural geol-
ogy, where it could be used to model the geologicallyinduced
progressive failure of anisotropic rocks.
In addition to planar structures simulated through con-
trol of correlation length within an autocorrelation function,
472
the methodology presented here could be extended further
to model the behaviour of real rocks with arbitrary micro-
structures. This will require comprehensive characterization
of rock structures in conjunction with advanced geostatistical
techniques.
In conclusion, we have demonstrated the potential of this
approach to both analyse engineering problems and model
geological processes in layered rocks, a material that is
essentially ubiquitous in nature.
REFERENCES
Colak, K.,T. Unlu. 2004. Effect of transverse anisotropy on the Hoek
Brown strength parameter mi for intact rocks. Int. J. Rock Mech.
Min. Sci., 41, 10451052.
Deutsch, C.V., A.G. Journel. 1998. GSLIB: Geostatistical Software
Library and users guide. New York, Oxford University Press.
Donath, F.A. 1964. Strength variation and deformational behaviour in
anisotropic rock. In: State of Stress in the Earths Crust, W.R. Judd
editor, 281297.
Fang, Z., J.P. Harrison. 2002. Application of a local degradation
model to the analysis of brittle fracture of laboratory scale rock
specimens under triaxial conditions. Int. J. Rock Mech. Min. Sci.,
39, 459476.
2007 Taylor & Francis Group, London, UK
Gottschalk, R.R., A.K. Kronenberg, J.E. Russell, J. Handin. 1990.
Mechanical anisotropy of Gneiss: Failure criterion and textu-
ral sources of directional behaviour. J. Geophys. Res. 95(B13):
2161321634.
Hoek, E., E.T. Brown. 1980. Undergound Excavations in Rock.
Institution of Mining and Metallurgy.
McLamore, R., K.E. Gray. 1967. The mechanical behaviour of
anisotropic sedimentary rocks. Trans. ASME, 6274.
Rawling, G.C., P. Baud, T.-F. Wong. 2002. Dilatancy, brittle strength,
and anisotropy of foliated rocks: experimental deformation and
micromechanical modeling. J. Geophys. Res. 107(B10): 2234.
Tien, Y.M., M.C. Kuo. 2001. A failure criterion for transversely
isotropic rock. Int. J. Rock Mech. Min. Sci., 38, 399412.
Weibull, W. 1951. A statistical distribution function of wide applica-
bility. J. Appl. Mech. 18: 293297.
Yuan, S.C., J.P. Harrison. 2004. An empirical dilatancy index for the
dilatant deformation of rock. Int. J. Rock Mech. Min. Sci., 41,
679686.
Yuan, S.C., J.P. Harrison. 2005. Development of a Hydro-Mechanical
local degradation approach and its application to modelling fluid
flow in progressively fracturing heterogeneous rocks. Int. J. Rock
Mech. Min. Sci., 42, 961984.
473
 The Mogi-Coulomb true-triaxial failure criterion and some implications
for Rock Engineering

Adel M. Al-Ajmi
Department of Petroleum & Chemical Engineering, Sultan Qaboos University, Muscat, Oman

Robert W. Zimmerman
Division of Engineering Geology, KTH, Stockholm, Sweden

ABSTRACT: Most analyses of rock mechanics problems that involve failure or potential failure utilize Mohrs assumption that
failure is controlled only by the minimum and maximum principal stresses, 1 and 3 . However, evidence has been accumulating
for several decades that the intermediate stress has a strengthening effect, in the sense that, for a given value of 3 , the value
of 1 required to cause failure will be higher if 2 > 3 than it would be if 2 = 3 . Mogi proposed that the failure criterion
should be of the form oct = f (m,2 ), where oct is the octahedral shear stress, and m,2 = (1 + 3)/2. Analysis of many sets of
data from the literature shows that most can be fit reasonably well with a linearized form of Mogis criterion, oct = a + bm,2 .
This criterion has several advantages: it accounts for the strengthening effect of 2 , the coefficients a and b can be expressed
in terms of the cohesion and coefficient of internal friction that appear in the Mohr-Coulomb criterion, and its linear form
allows it to be used in analyzing engineering problems. For the specific problem of the stability of a vertical borehole, this
criterion leads to substantially different predictions for the minimum required mud weight, as compared to those found using
the Mohr-Coulomb criterion.

1 INTRODUCTION 600
Westerly granite
Among the large number of shear failure criteria that have been 500
proposed for rocks, the Mohr-Coulomb criterion is the most
commonly used in practice. There are two major components 400
of this criterion. The first is the assumption that, at failure, the
(MPa)

major principal stress 1 is a linearly increasing function of the

300
minor principal stress, 3 . The second aspect is the assumption
1

that the value of the intermediate principal stress, 2 , has no

influence on the rock strength.
Neither of these assumptions is precisely true for most
rocks. Failure data for most rocks shows a nonlinear fail-
ure envelope with a negative second derivative, although the
degree of nonlinearity varies from rock to rock. Much effort
has been expended over recent years on deriving nonlinear
failure criteria. These are typically fit to traditional failure
data in which 2 = 3 , and are then used under the implicit
assumption that, if 2 > 3 , failure will not depend on the
actual numerical of 2 .
However, evidence has been accumulating over the past
several decades to suggest that the intermediate principal
stress does have an influence on rock strength (Handin 1967,
Hoskins 1969, Mogi 1971, Haimson 2002). Many sets of such
data have recently been collected by Colmenares & Zoback
(2002), and in the monograph by Mogi (2006). A striking
example of the extent to which real rock failure data may not
comply with the assumption that failure depends only on 1
and 3 is shown in Figure 1, replotted from Haimson & Song
(1995). The data from borehole breakouts, which occur under
a true-triaxial stress state, clearly do not fall near the curve
obtained from traditional (2 = 3 ) triaxial compression tests.
Nevertheless, the use of true-triaxial failure criteria for anal-
ysis or design purposes has progressed very slowly. Three
reasons may be hypothesised for this: (a) a reluctance to
accept that the influence of 2 is a real attribute of rock rather
200
triaxial compression
100 1 = 192 + 11.33
borehole breakout
0
0 10 20 30 40
3 (MPa)
Figure 1. Failure data from Haimson & Song (1995) on Westerly
granite, obtained under traditional triaxial compression (2 = 3 ) and
true-triaxial (2 > 3 ) stress conditions.
than an experimental artifact, (b) the lack of well-validated
true-triaxial failure criteria, and (c) the additional mathemat-
ical complexity that results when analyzing problems using
a true-triaxial failure criterion. In this paper, and more so
in some other recent papers that we summarize below, each
of these three issues is addressed. First, by examining data
from the literature, it is found that the influence of 2 on fail-
ure is the rule, rather than the exception. Next, a simple but
relatively accurate true-triaxial failure law whose parameters
can be obtained from traditional 2 = 3 data is proposed and
validated. Finally, it is shown that it is indeed practical to
use this new true-triaxial criterion in rock mechanics analy-
sis, specifically using it to examine the stability of vertical
boreholes.

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2 REVIEW OF VARIOUS FAILURE CRITERIA
Coulomb suggested that failure in compression takes place
when the shear stress, , on any plane reaches a value that is
sufficient to overcome both the natural cohesion of the rock
plus the frictional force that opposes motion along that plane.
The criterion can be written as
where n is the normal stress on the failure plane, c is the
cohesion, and is the angle of internal friction. Since criteria
(1) will always first be satisfied on a plane that lies in the
direction of 2 , the value of 2 will not influence n or ,
and so this failure criterion implicitly assumes that 2 has no
effect on failure. The Coulomb criterion can also be expressed
in terms of the maximum shear stress, max , and the effective
mean stress, m,2 (Jaeger et al. 2007):
where
From this form of the Coulomb criterion, it is seen that the
stress that resists the creation of a failure plane is m,2 .
Mohr generalized the Coulomb criterion by suggesting that,
at failure, the normal and shear stresses across the failure plane
are related by
A linear form for the function f is equivalent to the Coulomb
criterion. Consequently, the failure criterion (1) is often known
as the Mohr-Coulomb criterion.
Incorporation of the effect of 2 into failure criteria
occurred earlier in soil mechanics than in rock mechanics.
Drucker & Prager (1952) proposed a criterion of the form
where oct and oct are the octahedral shear stress and
octahedral normal stress, respectively, defined by
where k and m are material constants. Although there seems to
be little experimental evidence that this criterion is applicable
to rocks, it continues to be occasionally used in petroleum
geomechanics analysis.
Mogi (1971) verified experimentally that brittle fracture
always occurs along a plane striking in the 2 direction. He
also found that the intermediate principal stress indeed has a
strengthening effect. Mogi concluded that the mean normal
stress that opposes the creation of the fracture plane is m,2 ,
rather than the octahedral normal stress, oct , since the fracture
plane strikes in the 2 direction. Subsequently, Mogi suggested
a new failure criterion of the form
The function f is usually taken to be a power-law. Such a
criterion has been criticized because its parameters cannot be
2007 Taylor & Francis Group, London, UK
easily related to the Coulomb parameters, c and (Colmenares
& Zoback 2002). To circumvent this problem, and to simplify
borehole stability analysis, Al-Ajmi & Zim-merman (2005)
proposed taking f to be a linear function,
For conventional triaxial tests, 2 = 3 , and we have
The linear Mogi criterion, Equation (9), then reduces to
Comparison with Equations (2,3) shows that for traditional
triaxial data, the linear Mogi criterion coincides with the
Coulomb criterion, if we make the following identification:
Hence, for triaxial stress states (2 = 3 ) the linear Mogi
criterion given by Equation (9) is exactly equivalent to the
Coulomb criterion.
Al-Ajmi & Zimmerman (2005) searched the literature for
polyaxial failure data, and located eight data sets: Dunham
dolomite, Solenhofen limestone, Mizuho trachyte, coarse-
grained dense marble, Shirahama sandstone, Yuubari shale,
KTB amphibolite, and Westerly granite. The original sources
of these data can be found in Al-Ajmi & Zimmerman (2005)
and Colmenares & Zoback (2002). In each case, the data
fall more nearly on a single curve if plotted in the Mogi
plane, (oct , m,2 ), than if plotted in either the Mohr plane,
(max , m,2 ), or the Drucker-Prager plane, (oct , oct ). Figure 2
shows the KTB amphibolite tested by Chang & Haimson
(2000). The traditional triaxial data are shown as large black
circles, along with the best-fitting straight line; the true-
triaxial data are plotted as empty circles. The data fall most
nearly on a single curve when plotted using Mogis variables.
This conclusion is not tied to the use of a linear failure crite-
rion: when using the Drucker-Prager variables, the data show
much scatter, and no curve, linear or not, can give a good fit.
3 STRESSES AROUND A VERTICAL BOREHOLE
Drilling a borehole will alter the in situ principal stresses,
which usually are the vertical stress (v ) and the maximum
and minimum horizontal stresses (H and h ). This leads to
a stress concentration around the borehole. In a linear elastic
material, the largest stress concentration occurs at the borehole
wall. Therefore, borehole failure is expected to initiate there.
According to the Kirsch solution, the stresses at a vertical
borehole wall are given by (Jaeger et al. 2007)
where r is the radial stress, is the tangential stress, z is the
axial stress, Pw is the internal borehole pressure, and is the
Poisson ratio of the rock. The angle is measured clockwise
476
 600 Table 1. Collapse pressure in vertical boreholes (Mohr-Coulomb).

500 Case 1 2 3 Minimum required Pwb

400 1 z r Pwb1 = (B C)/q

oct (MPa)

2 z r Pwb2 = (A C)/(1 + q)
300 3 r z Pwb2 = A C qB
200

100
where
0
0 100 200 300 400 500 600 700
oct (MPa)
4 MOHR-COULOMB BOREHOLE ANALYSIS
600
Using the effective stress concept to account for the pore
500 pressure, P0 , the Mohr-Coulomb criterion becomes
400
oct (MPa)

300
Equation (18) can be rearranged into the form
200

100

0
Consider now the case where z r . Applying the
0 100 200 300 400 500 600 700 Mohr-Coulomb failure criterion as expressed by Equation (2),
and introducing Equation (19), the lower limit of the mud
m,2 (MPa) pressure corresponding to case 1,Pwb1 , is given by

Figure 2. Failure criteria based on traditional triaxial test data (black

circles), compared with true-triaxial test data (empty circles) for KTB
amphibolite: (top) Drucker-Prager, (bottom) Mogi-Coulomb.
from the H direction. Since there are no shear stresses, r ,
and z are the principal stresses.
Inspection of Equations (14,15) reveals that the tangential
and axial stresses reach a maximum at = /2, and a min-
imum at = 0 or . These critical positions remain the same
for any values of the in situ stresses. Hence, we know a priori
that failure can occur only at these points.
The tangential and radial stresses in Equations (13,14),
and r , are functions of the mud pressure, Pw , but the verti-
cal stress z is not. Hence, any changes in the mud pressure
will only affect and r . There consequently are two pos-
sible cases: either r , or r , which are associated
with borehole collapse or hydraulic fracturing, respectively.
The case of fracturing is discussed by Al-Ajmi & Zimmerman
(2006a), and due to space limitations will not be repeated here,
where we focus on borehole collapse. When Pw decreases,
increases towards the compressive strength of the rock.
Thus, the lower limit of the mud pressure, Pwb , is associated
with borehole collapse, in which should be greater than
r . Bearing in mind this constraint, there are three permuta-
tions of the three principal stresses that need to be investigated
in order to determine the minimum allowable mud pressure:
(1) z r , (2) z r , and (3) r z . The
compressive strength of the rock will first be exceeded at the
position associated with the maximum value of or z (i.e.,
= /2), and so the principal stresses at the borehole wall
become
Following the same procedure, the minimum allowable mud
pressures corresponding to the other two cases are shown in
Table 1.
As the mud pressure decreases, the principal stresses will
alternate from one case to another. Therefore, the collapse
pressures given in Table 1, should be used to recalculate the
principal stresses (r , , z ) by applying Equations (1315),
where Pw = Pwb . For each case, the principal stresses are then
substituted into Equation (20). The lower limit of mud pressure
is associated with the case in which the principal stresses have
satisfied the Mohr-Coulomb criterion.
In the field, generally, borehole collapse corresponds to case
1 or case 2, where the radial stress is the minimum principal
stress. It would be advantageous if the mud pressure related
to these two common cases could be determined from one
single equation. After some mathematical manipulation, the
lower limit of the mud pressure corresponding to these cases
becomes
where S and R are given by
5 MOGI-COULOMB BOREHOLE ANALYSIS
In terms of the first and second stress invariants, I1 and I2 ,
defined by

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Table 2. Collapse pressure in vertical boreholes (Mogi-Coulomb).
Case Minimum required mud pressure, Pwb
z r {3A + 2b K [H + 12(K 2 + b AK)]1/2 }/(6 2b2 )
z r A/2 {12[a + b (A 2P0 )]2 [3(A 2B)2 ]}1/2 /6
r z {3A 2b G [H + 12(G 2 b AG)]1/2 }/(6 2b2 )
and utilizing the effective stress concept, the Mogi-Coulomb
criterion can be expressed as
where
There are six permutations of the principal stresses (r , , z )
that needed to be investigated. Since the first and second stress
invariants have the same form in all the cases, only the inter-
mediate principal stress will vary from one case to another,
as per Equation (25). Consequently, the six permutations of
the principal stresses can be represented by three scenarios in
which 2 can be , z , or r .
The principal stresses at the borehole wall given by Equa-
tion (16) represent the highest stress concentration that may
result in compressive failure. By introducing Equation (16)
into Equation (24), the stress invariants are given by
Consider the scenario of borehole collapse, where 2 = =
APw and Pw = Pwb1 . Implementing the Mogi-Coulomb fail-
ure criterion as formulated by Equation (25), and introducing
Equation (27), gives
where
Solving this equation for Pwb1 will give two roots. Since we
are concerned with borehole collapse, the smaller root is the
lower limit of the mud pressure, that is,
Similarly, the minimum allowable mud pressures correspond-
ing to the other stress states are listed in Table 2, where G =
K+b A, and all other parameters are as defined previously.
However, borehole collapse will usually be related to case
1 and case 2. For case 1 to occur, it must be the case that
Introducing Equations (16,17) into Equation (32) gives
Considering the practical range of Poissons ratio (00.5),
and the facts that the ratio of maximum horizontal stress to
2007 Taylor & Francis Group, London, UK
minimum horizontal stress (H /h ) typically ranges from 1 to
2, and that the collapse pressure will not exceed the minimum
in situ stress in Equation (33), it follows that the vertical stress
must be greater than the maximum horizontal stress for case 1
to develop.Therefore, case 1 is only associated with the normal
faulting stress regime (i.e., v H h ), whereas case 2 may
develop in any stress regime. In the field, consequently, case
2 (i.e., z r ) will be the most commonly encountered
stress state corresponding to borehole collapse for all stress
regimes.
6 COLLAPSE PRESSURE EVALUATIONS IN
TYPICAL FIELD CONDITIONS
Al-Ajmi & Zimmerman (2005, 2006a, 2006b) performed
borehole stability analysis for vertical, deviated and horizon-
tal boreholes, in various stress regimes. They also examined
some oilfield data from the North Sea and Indonesia in light
of the Mohr-Coulomb and Mogi-Coulomb criteria. Here we
summarize one of these cases.
Consider a vertical borehole drilled in a sandstone for-
mation from the Cyrus reservoir in the UK continental
shelf, at a depth of about 2600 m (McLean & Addis
1990). The sandstone has a cohesion of 6 MPa and a fric-
tion angle of 43.8 . The vertical stress and the formation
pore pressure gradients are taken to be v = 22.6 kPa/m and
P0 = 10.2 kPa/m. The in situ horizontal stresses were assumed
to be isotropic, with a gradient of 17 kPa/m. At the depth
of interest, using the Mohr-Coulomb borehole failure cri-
terion, Table 1 gives Pwb = Pwb2 = 27,632 kPa. Hence, the
minimum overbalance pressure (Pwell Ppore ) is 1112 kPa. At
the same depth, the Mogi-Coulomb borehole failure criterion
gives Pwb = Pwb2 = 27,015 kPa, and the minimum overbal-
ance pressure becomes 495 kPa. The two borehole failure
criteria lead to quite different values for the collapse pressure.
7 CONCLUSIONS
The Mogi-Coulomb failure criterion, which incorporates the
effect of the intermediate principle stress, is able to fit true-
triaxial failure date for many rocks. When incorporated into
borehole stability analysis, it leads to much less conserva-
tive predictions of the required mud pressure than would be
obtained using the Mohr-Coulomb criterion. Other engineer-
ing implications of this true-triaxial failure criterion remain
to be investigated.
REFERENCES
Al-Ajmi, A.M. & Zimmerman, R.W. 2005. Relation between the
Mogi and Coulomb failure criteria. International Journal of Rock
Mechanics 42:431439.
Al-Ajmi, A.M. & Zimmerman, R.W. 2006a. Stability analysis of
vertical boreholes using the Mogi-Coulomb failure criterion,
International Journal of Rock Mechanics 43:12001211.
Al-Ajmi, A.M. & Zimmerman, R.W. 2006b. Stability analysis of
deviated boreholes using the Mogi-Coulomb failure criterion, with
applications to some oil and gas reservoirs. In Proc. SPE Asia-
Pacific Drilling Tech. Conf., Bangkok, 1315 November 2006,
paper SPE 104035.
Chang, C. & Haimson, B. 2000. True triaxial strength and deforma-
bility of the German Continental deep drilling program (KTB)
478
 deep hole amphibolite. Journal of Geophysical Research 105:
18,99919,013.
Colmenares, L.B. & Zoback, M.D. 2002. A statistical evaluation of
intact rock failure criteria constrained by polyaxial test data for
five different rocks. International Journal of Rock Mechanics 39:
695729.
Drucker, D.C. & Prager, W. 1952. Soil mechanics and plastic analysis
or limit design. Quarterly Journal of Applied Mathematics 10:
157165.
Haimson, B.C. & Chang, C. 2002. True triaxial strength of the KTB
amphibolite under borehole wall conditions and its use to estimate
the maximum horizontal in situ stress. Journal of Geophysical
Research Solid Earth 107(B10): art. no. 2257.
Haimson, B.C. & Song, I.S. 1995. A new borehole failure criterion
for estimating in situ stress from breakout span. In T. Fujii (ed.),
Proc. 8th Int. Cong. Rock Mech., vol. 1, Rotterdam: Balkema,
pp. 341346.
479
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Handin J., Heard, H.C. & Magouirk, J.N. Effect of the intermediate
principal stress on the failure of limestone, dolomite, and glass
at different temperature and strain rate. Journal of Geophysical
Research 72:611640.
Hoskins, E.R. 1969. The failure of thick-walled hollow cylinders of
isotropic rock. International Journal of Rock Mechanics 6:99116.
Jaeger, J.C., Cook, N.G.W. & Zimmerman, R.W. 2007. Fundamentals
of Rock Mechanics, 4th ed. Oxford: Blackwell.
McLean, M. & Addis, M. 1990. Wellbore stability: The effect of
strength criteria on mud weight recommendations. In Proc. 65th
Ann. Tech. Conf. Exh. SPE, New Orleans, 2326 Sept. 1990, paper
SPE 20405.
Mogi, K. Fracture and flow of rocks under high triaxial compression.
Journal of Geophysical Research 1971;76(5):12551269.
 The strength of rock defects numerical analysis of scale effects

Z.H.F. Lai & K.J. Douglas

School of Civil and Environmental Engineering, University of New South Wales, Australia

G. Mostyn
Pells Sullivan Meynink Pty Ltd, Sydney, NSW, Australia

ABSTRACT: Although a seemingly simple problem, there is still a large degree of conjecture as to how to estimate the strength
of a rock defect. At the laboratory scale (approximately 100 mm) there are numerous models available most notably the Barton
criterion and what is generally defined as the Patton criterion. These models, developed on the basis of curve fitting to laboratory
results, perform reasonably well at this small scale. Issues arise where these criteria or the results from the laboratory testing
are used to predict the strength of critical defects encountered in the field. Current models in use require an estimate of a basic
friction angle, small roughness component and a field roughness or dilation angle that represents the friction the defect sees
in the field. In this paper, the authors have performed numerical analyses on rock defects of varying scales using PFC 2D . The
results are presented with a comparison with the Bandis scale effect equations.

1 INTRODUCTION
Most shear strength criteria were developed predominately
from laboratory samples. Larger specimens require field tests
which are costly and yet, even the largest test may not be
able to simulate the behaviour of defects of hundreds of
square metres. The most practical method is then to carry out
small-scale tests, and extrapolate from these the properties of
full-scale defects. The issue of how to achieve this remains a
continual topic of research and discussion.
The authors are currently assessing the effect of defect
length or area on strength using published data, back-analysis
and numerical methods. Cundall (2000) used the microme-
chanical model PFC 2D (Particle Flow Code in two Dimen-
sions) to simulate the behaviour of rock defects in a direct
shear test. In this paper, the work by Cundall is extended to
investigate the effects of scale on the shear strength of rock
defects. This study extends this work by modelling a similar
defect at different scales. The results are compared with those
obtained by Bandis et al. (1981).
2 PREDICTING DEFECT STRENGTHS
Barton and his co-workers (Barton and Choubey, 1977 and
Barton and Bandis, 1982) developed a shear strength crite-
rion that attempted to account for the effect of normal stress
(relative to defect compressive strength) and roughness on a
100 mm defect. The equation takes the form:
where, JRC = Joint roughness coefficient; and JCS = Joint
compressive strength. Note i is a field roughness component
used where there is a change in roughness wavelength from
that of the 100 mm sample.
Bandis and his co-workers undertook a study of scale effects
using plaster models of real joints (Bandis, 1980; Bandis et al.,
1981). Their results showed a scale effect where shear strength
decreased with increasing length. They attributed this to a
reduced dilation angle, i, and asperity failure component with
increasing sample length. Empirical relationships were devel-
oped and are given below. A scale effect size limit of the in-situ
block size was suggested.

Patton (1966) showed a bi-linear equation, Equation 1, could

be used to estimate the shear strength of defects.

The issue with this equation is that the dilation angle, i, is

stress and scale dependent.
There is, at present, no definitive way of measuring the
dilation angle, i, for field scale defects. The approach by
McMahon (1985) or similar, where asperities are measured
for a certain wavelength (or interlimb angle) of the defect and
used to predict i, is probably the best current approach.
Stacey and Page (1986) suggest an additional increase in
friction angle of up to 14 could be made to a field scale defect
based on the 100 mm scale roughness contribution.
where, JRCn , JRC0 = JRC for joint lengths Ln and L0 respec-
tively; JCSn , JRC0 = JCS for lengths Ln and L0 respectively.
These equations are now widely used to predict the shear
strength of defects in the field. However, Douglas (2002)
argues that Equation 3 is only appropriate for defect lengths
less than 1 m (the scale at which the equations were devel-
oped). The general trend of the equation implies that two long
defects (say 100 m) that are identical except for small-scale
roughness would have reversed larger scale JRC. This has

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important implications where at least part of a failure surface
is controlled by long defects.
3 NUMERICAL MODELLING OF A ROCK DEFECT
Cundall (2000) described a process by which a 100 mm rock
defect could be modelled and tested in shear using the Distinct
Element Method as incorporated in the model PFC 2D . The
results from Cundalls numerical experiments corresponded
well to the Barton-Bandis model for 100 mm long rock joints.
The authors have extended this work to investigate the effects
of scale on defect shear strength.
3.1 Simulation of rock with bonded particles in PFC 2D
Rock may be considered a heterogeneous material that can
develop numerous microcracks during the loading process.
Cundall (2000) modelled a rock sample as a collection of par-
ticles bonded together at their contact points. The simulated
material developed microcracks as individual bonds broke as
the sample was loaded. Larger scale cracks developed natu-
rally as individual bonds broke progressively and microcracks
combined into bands or linked up with others. Although par-
ticles were assumed to be rigid in PFC 2D , the assembly still
deformed as normal and shear springs were used to repre-
sent compliant contacts between particles. Each spring had a
strength that represented intact bonding. When a tensile, nor-
mal or shear force limit was exceeded, the bond broke and
carried no further tension.
3.2 Material genesis procedure
A rectangular vessel, of length w and height h, consisting of
four planar frictionless walls was created. An assembly of
arbitrarily placed particles was generated to fill the vessel. A
uniform particle-size distribution bounded by 0.025 and 0.040
units was used. The number of particles was determined such
that overall porosity in the vessel was 17% ensuring a tight ini-
tial packing. The particles, at half their final size, were placed
randomly such that no particles overlapped. The particle radii
were then increased to their final values and the system was
allowed to rearrange under a low friction coefficient of 0.05.
The radii of all particles were reduced uniformly to achieve
a specified isotropic stress, 0 , defined as the average of the
direct stresses. The stress was set equal to approximately 1%
of the UCS, to reduce the magnitude of the locked-in forces
that would develop after contact bonds were added and the
specimen was removed from the material vessel and allowed
to relax.
The radii of unbonded particles were iteratively modi-
fied using a floater elimination procedure which produced
a bonded assembly for which nearly all particles away from
the specimen boundaries had at least three contacts. This pro-
duced a densely packed and well-connected assembly which
mimicked a highly interlocked collection of grains.
3.3 Formation of the rough defect
Once any floaters were eliminated the confining walls were
removed. The system was then allowed to step to equilibrium
and the set of boundary particles was identified. This set was
divided into two groups, separated by the horizontal centreline
of the assembly, to form the top and bottom containers of a
simple shear box. In this study, three samples with lengths,
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Figure 1. Defect set up with close-up of sample.
w, of 20, 100 and 200 units were prepared (these represented
100 mm, 500 mm and 1000 mm respectively). Sample height
remained constant at 2 units.
All normal and shear contact bond strengths corresponding
to the defect were assigned a value of zero prior to testing.
The defect roughness profile used consisted of the sum of two
periodic waves, given in Equation 5.
where y is the deviation from the horizontal centreline and x
is the distance from the left side of the shear box.
The defect amplitude decayed linearly to zero within four
units from the ends of the shear box to ensure smooth entry
and exit conditions. Contacts within a distance of 0.08 units
of the defect track were given bond strengths of zero. All other
contacts were given equal shear and normal bond strengths of
106 units. Contacts within a distance of 0.5 units from the top
and bottom edges of the shear box were given strengths of 107
units to prevent spurious failures at the boundaries. Shear and
normal contact stiffnesses were linear, with spring constants
equal to 0.7 109 units.
A general view of the shear box is shown in Figure 1, show-
ing unbonded particles (representing the defect). A close up
of the right-hand end is also included. The contact bonds are
shown as black lines connecting particle centres. Unbonded
defect material can be identified as the area of particles
without bonds.
3.4 Preliminary tests
Preliminary tests were performed to determine two parame-
ters, the unconfined compressive strength (UCS) and basic
friction angle, required for comparing the numerical results
with Bartons JRC/JCS shear strength criterion.
The UCS was determined by numerically modelling a uni-
axial compressive test in the manner suggested by Cundall
(2000). The sample was bonded with the same contact bond
strength of 106 units throughout and divided equally into
eight square sub-samples with lengths of 2 units. Rigid ver-
tical motion was applied to both ends of all the sub-samples
simultaneously by assigning a constant vertical velocity to the
top and bottom walls. By averaging the vertical reaction forces
on the two walls, the peak stress (i.e. UCS) was determined to
be 1.965 107 units.
The basic friction was obtained by modelling samples with
their roughness set to zero (i.e. planar smooth defect). It was
observed that the basic friction angle was 33.5 .

3.5 Direct shear test procedure

The two groups of boundary particles comprising the bottom
and top halves of the shear box were controlled to perform
the direct shear test. The bottom half of the box was held
fixed throughout the test, while the top half was translated as
one rigid unit with constant velocity in the horizontal direction
until a shear displacement of about 0.5% of the sample length,
w, was reached. By summing the vertical and horizontal out- Figure 2. Shear strength versus normalised normal stress for a
of-balance forces of the particles comprising the two halves 100 mm sample.
and dividing them by two, both the vertical and horizontal
reaction forces on the top half were evaluated and recorded
continuously.
The vertical motion was controlled by a numerical servo-
mechanism which aimed to keep the vertical reaction force
constant at some specified value. Six vertical stresses (nor-
malised to UCS) were applied: 0.153, 0.382, 0.509, 0.662,
0.891 and 1.170. In each test, the vertical force required was
determined by multiplying the vertical stress to be applied by
w. A corresponding vertical velocity was then imposed on all
particles comprising the top half by comparing the measured
reaction with the force required.

4 PFC2D MODELLING EXPERIMENTAL RESULTS

AND DISCUSSION

Six direct shear tests for each of the sample lengths (20, 100 Figure 3. Shear stress shear displacement for a normalised normal
stress of 0.509 for the three samples.
and 200 units) were performed. These represented 100 mm,
0.5 m and 1.0 m lengths of defect respectively. The 0.5 m
and 1.0 m samples contained defects with exactly the same
roughness profile as that for the 100 mm sample. They can
be visualised as being prepared by placing five and ten
100 mm samples side by side respectively (the decay of defect
amplitude only occurred at the ends of all samples).

4.1 Behaviour and conformity to the JRC/JCS criterion

Figure 2 shows the shear strength results for the six 100 mm
shear tests compared with predictions by the JRC/JCS crite-
rion. Numerical results are denoted by solid dots and the dotted
line gives the JRC/JCS prediction (JRC = 20, b = 33.5 and
JCS = UCS). The numerical results do not conform very well
to those predicted by Bartons equation. However, slightly
reducing the basic friction angle to 30 gives a much bet-
ter result. This is shown as a solid line in Figure 2. These Figure 4. Dilation shear displacement curves for a normalised
results for the 100 mm sample are similar to those reported by normal stress of 0.509 for the three samples.
Cundall (2000). Similar plots for the 500 mm and 1000 mm
samples were also produced and showed good agreement with
strength, peak dilation and ultimate vertical displacement.
Bartons criterion (Lai, 2006).
This similarity is also evident for other values of normal stress
4.2 Scale effects in the shear strength of rock defects (Lai, 2006). These results differ significantly from the scale
effects documented in Bandis et al. (1981), where there was an
4.2.1 Variation in general shear and dilation behaviour obvious decrease in peak strength and dilation angle with scale
The shear strength vs shear displacement curves and dilation and an apparent transition from brittle to plastic failure.
vs shear displacement curves for a normalised normal stress Bandis et al. (1981) investigated scale effects using plaster
of 0.509 for the three scales are superimposed in Figures 3 models of real joints. They divided a full length joint into
and 4 respectively. The curves show similarities in their gen- smaller sub samples, tested them individually and averaged
eral trends and they all reach similar peak and ultimate shear the results to obtain cumulative mean curves. Since the smaller

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Table 1. Variation in normalised shear strengths, and correspond-
ing percentage change with scale.
Normalised Sample length Change
normal stress 100 mm 500 mm 1000 mm %
0.153 0.176 0.182 0.193 10
0.382 0.303 0.326 0.335 11
0.509 0.354 0.384 0.390 10
0.662 0.431 0.432 0.443 3
0.891 0.511 0.503 0.509 0.4
samples contain different portions of the full length joint (and
hence different critical asperities), there is high variability
in their shear behaviour. Hencher et al. (1993), who attempted
to repeat the work of Bandis, noted that: despite considerable
care in their construction, model halves would never match
precisely and this is a contributing factor in the variability
of shear behaviour.
However, in this study, the 500 mm and 1000 mm samples
are exact duplications of the 100 mm sample and hence the
defect profile and location of asperities are exactly the same
for all three samples. The critical asperities controlling the
shear behaviour of the 100 mm sample may control that of
the larger samples as well and this may explain why their
behaviour are so similar.
4.2.2 Scale effects on peak shear strength
The variations in normalised shear strength with scale for the
different normalised normal stresses and the corresponding
percentage change in strength from the 100 mm to 1000 mm
samples are tabulated in Table 1.
With the exception of the 0.891 normal stress, all show some
increase in shear strength with scale. However, this increase
is insignificant when compared to the amount of decrease
predicted by Bartons scaling equations which ranges from
41% for a stress of 0.153 to 20% for 0.891.
As discussed in the previous section, samples of different
scales in this study behave in a similar fashion and this increase
in shear strength with scale may well be due to experimen-
tal variability, rather than an actual change in the shearing
mechanism with increasing scale. This argument is further
supported by examination of the peak shear displacement and
peak dilation angle data.
Bandis et al. (1981) believed that peak shear displace-
ment was a measure of the distance a defect has to travel
before effective contact is made between critical asperities
that control peak resistance. For these experiments, the dis-
tance remains fairly constant and no real trend is evident when
sample lengths increase. This is consistent with the observa-
tion that all samples behave similarly and that they contain the
similar critical asperities, hence exhibiting peak shear stress
at roughly the same shear displacement.
Peak dilation angles determined in this study, were calcu-
lated from the portions of the vertical shear displacement
curves around which peak shear stress occurred. The peak
dilation angles varied only slightly with scale with most
decreasing with increasing sample length.
2007 Taylor & Francis Group, London, UK
It appears from the results that the slight variability in shear
and dilation behaviour with scale are indeed due to experimen-
tal variability, rather an actual change in shearing and failure
mechanism with scale.
5 DISCUSSION AND CONCLUSION
PFC 2D was used to numerically assess the effect of scale on
the shear strength of rock defects. The results show that the
defects behave similarly at all scales and exhibit minimal scale
effects. It is hypothesized that this is due to the defects being
tight, perfectly matched and having the same critical asper-
ities. Other authors (e.g. Barton and Bandis) have observed
significant scale effects for laboratory samples that are related
to differing critical asperities governing at different scales.
The implication of this is that the scale effect will be governed
by the nature of the roughness and how it varies with scale.
Therefore it is unlikely that one equation could be capable of
characterising the scale effect for all defects and roughness
profiles.
In practice, the extrapolation of 100 mm roughness values
to the field can have serious implications particularly for large
scale rough defects at low normal stresses (e.g. large defect
controlled rock slopes). The method of determining the scale
effect can have a large effect on the shear strengths used and
should be considered carefully.
ACKNOWLEDGEMENTS
The assistance of Dr Peter Cundall with access to his earlier
work on modelling defects is gratefully acknowledged.
REFERENCES
Bandis, S.C. 1980. Experimental Studies of Scale Effects on Shear
Strength, and Deformation of Rock Joints, PhD Thesis, Depart-
ment of Earth Sciences, The University of Leeds.
Bandis, S., Lumsden, A. & Barton, N. 1981. Experimental studies
of scale effects on the shear behaviour of rock joints. Int. J. Rock
Mech. & Min Sci & Geom. Abs. 18:121.
Barton, N. & Choubey, V. 1977. The shear strength of rock joints in
theory and practice. Rock Mechanics 1/2:154.
Barton, N. & Bandis, S. 1982. Effects of block size on the shear
behaviour of jointed rock. Proc. 23rd Symp. Rock Mechanics,
Berkeley, California: 739760.
Cundall, P.A. 2000. Numerical experiments on rough joints in shear
using a bonded particle model. In G. Mandl et al (eds) Aspects of
Tectonic Faulting: 1-Springer: New York.
Douglas, K.J. 2002. The Shear Strength of Rock Masses, PhD Thesis,
University of New South Wales.
Hencher, S.R., Toy, J.P. & Lumsden, A.C. 1993. Scale Dependent
Shear Strength of Rock Joints, In A.P. Cunha (ed) Scale Effects in
Rock Masses 93: Proc. Second Int. Workshop On Scale Effects In
Rock Masses, Lisbon, Portugal.
Lai, Z.H.F. 2006. Scale Effects in the Shear Strength of Rock Defects,
MEngSc Thesis, University of New South Wales.
McMahon, B.K. 1985. Some practical considerations for the estima-
tion of shear strength of joints and other discontinuities. Proc. of
the Int. Symp. Fundamentals of Rock Joints: 475485.
484
 The Synthetic Rock Mass approach A step forward in the characterization of
jointed rock masses

D. Mas Ivars
Itasca Geomekanik AB, Solna, Sweden

N. Deisman
Department of Civil & Environmental Engineering, University of Alberta, Edmonton, Canada

M. Pierce
Itasca Consulting Group, Inc. Minneapolis, MN, USA

C. Fairhurst
Department of Civil Engineering, University of Minnesota, MN, USA
Itasca Consulting Group, Inc. Minneapolis, MN, USA

ABSTRACT: The Synthetic Rock Mass approach to jointed rock mass characterization (Pierce et al. 2007) is reviewed relative
to existing empirical approaches and current understanding of jointed rock mass behaviour. The review illustrates how the key
factors affecting the mechanical behaviour of jointed rock masses may be considered and demonstrates that the SRM approach
constitutes a significant step forward in this field. This technique, based on two well-established methods, Bonded Particle
Modelling in PFC3D (Potyondy and Cundall, 2004) and Discrete Fracture Network simulation, employs a new sliding joint
model that allows for large rock volumes containing thousands of pre-existing joints to be subjected to any non-trivial stress
path. Output from SRM testing includes rock mass brittleness and strength, evolution of the full compliance matrix and primary
fragmentation.

1 INTRODUCTION strength anisotropy (resulting form the joint network) and

We dont know the rock mass strength. That is why we need an
International Society, was the response of Professor Leopold
Mller, when asked, in Salzburg in May 24, 1962, why he had
just established the ISRM.
Given the obvious difficulty of direct full-scale testing of a
rock mass, progress in estimating the strength and general con-
stitutive behavior of rock masses has been slow, and reliance
has been placed on empirical classification rules and systems
derived from practical observations.
We do know that rock mass stiffness and strength typically
decrease with increase in the scale of both size of the structure
and duration of loading. This is usually attributed to the pres-
ence of joints and similar planar discontinuities in the rock
mass that are weaker than the intact rock. Reduction of strength
with time of loading tends to be attributed to weakeningof the
bridges of intact rock between the larger planar discontinu-
ities (Einstein and Meyer, 1999) or, equivalently, sub-critical
crack growth (Kemeny, 2003) or stress corrosion at the tips
of discontinuities.
Rock Mass Classification (RMC) systems were devel-
oped for use in Civil and Mining Engineering in response
to the need for ways to rank a specific rock mass, based
in large part upon the joints and their weakening effect on
the rock. By compiling histories of rock mass ranking rela-
tive to performance, it has been possible to develop relations
for quantitative prediction of rock mass strength and mod-
ulus. Despite the fact that RMC systems and relations are in
widespread use in engineering design, their ability to consider
strain softening/weakening remains limited. Another impor-
tant limitation of such systems is the inherent uncertainty of
extrapolation beyond the limits of the experience from which
the rules have been derived. A comprehensive discussion on
this matter can be found in Mas Ivars (2007).
Continuum mechanics is also applied to great benefit
in rock mechanics and rock engineering, but it too has
limitations. Trollope (1968), for example, has commented as
follows:
In the field of geomechanics, granular media and block-
jointed rock masses are obvious examples where the concept
of the ideal physical continuum- one in which no gaps are
formed cannot be expected to apply.Indeed, it is the
writers view that only with clastic models or some fur-
ther development thereof can the problem of predicting the
complete load-deformation behaviour of solids be tackled
optimistically.
There are important problems where progress in under-
standing requires that the heterogeneous and discrete micro-
structure of rock and, on a larger scale, jointed or blocky
masses, be analyzed by discontinuum mechanics. This is par-
ticularly the case when the rock deforms inelastically and
progresses to disintegration, as in controlled collapse mining
operations, such as block caving.
Although loads in rock engineering problems are often
dominantly compressive, the heterogeneous structure of
rock at all scales results in localized tensions and ten-
sile fracturing that conditions the subsequent deformation.
Shear fracture is often the final stage of extensive tensile

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2007 Taylor & Francis Group, London, UK

microfracturing. On the larger scale, the processes of discon-
tinuous slip on joints and fracture development through intact
bridge regions between the joints is complex (Fairhurst et
al. 2007) and difficult to represent in continuum terms. In
such cases, it is necessary to use discontinuum and particle
mechanics modeling if the essential nature of the fracturing
and disintegration behaviour is to be captured. In some cases,
the behaviour exhibited in the discontinuum model can assist
post facto in developing a useful continuum representation.
This approach is used in the caving analysis described in this
paper.
The relatively recent development of numerical models
based on particle mechanics and the remarkable advances in
computer power now allow detailed examination of the inter-
action between rock discontinuities and the bridges of intact
rock for a variety of cases and scales. It is now possible to
simulate a rock mass and conduct numerical experiments,
analogous in some respects to physical experiments, and to
obtain considerable insight into the nature of both size and
time effects on the strength and constitutive behavior of rock
masses.
This paper describes a recent significant step forward, the
Synthetic Rock Mass (SRM) approach (Pierce at al. 2007),
and presents results from its application on a caveability study.
Predictions are checked against observation of the stress redis-
tribution and caving process using a 3D microseismic array
installed around the cave region. Results to date are very
encouraging.
Although the specific application is in mining, the SRM
approach is of general interest for rock mechanics since defor-
mation and failure behaviour is followed on a large scale
(several hundreds of meters) to complete collapse. Clearly,
whether the aim be to promote or prevent collapse of the rock
mass, an understanding of the region of discontinuous slip,
rotation, disintegration and, eventually, collapse is important
to safe design in rock engineering.
Based on the Bonded Particle Model for rock (Potyondy and
Cundall, 2004), the SRM has the recently added capability of
embedding a three-dimensional fracture network of impersis-
tent disc-shaped joints. The SRM method has been developed
to apply to rock masses in the scale of 10100 m, therefore,
aspects affecting the rock mass behavior at the grain-scale such
as grain size, mineralogical composition, metal content, foli-
ation, porosity, pore structure, inter and intra-grain cleavage,
etc, are not addressed explicitly.
This paper describes some of the advantages of the SRM
approach relative to empirical approaches and with reference
to the literature on jointed rock mass behavior. Some possibil-
ities for further development are also discussed, particularly
with respect to time dependency.
2 SYNTHETIC ROCK MASS (SRM) APPROACH
The SRM technique is essentially used as a virtual laboratory
to complement empirical methods of property estimation.
This technique extends the approach of Park et al. (2004)
to 10100 m diameter spherical volumes of rock containing
thousands of impersistent joints, made possible by the devel-
opment of a new sliding joint model, and subjects these SRM
samples to site-specific stress paths. Estimates of rock mass
strength and brittleness are derived from these tests for direct
input to standard continuum large-scale models in a zone-by-
zone basis, which can incorporate other features such as major
structures, adjacent excavations and surface topography.
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2007 Taylor & Francis Group, London, UK
Figure 1. Stress paths, fitted peak-strength envelope and damage
threshold observed in SRM sample.
SRM samples are three-dimensional and simulate rock as
an assembly of bonded spheres (intact rock) with an embedded
discrete network of disc-shaped flaws (joints). The samples,
constructed in PFC3D (Itasca, 2003), are spherical in shape
to facilitate application and rotation of strains during testing.
An added advantage of using a spherical (rather than cylindri-
cal or cubic sample) is that the number of particles required
to achieve a given resolution is significantly reduced. The
size of the SRM sample to be generated for testing must be
large enough to be considered a representative volume but
small enough to ensure rapid solution times (Pierce et al.
2007).
An SRM sample is created and tested in three main steps:
1. Calibration of the intact rock material against laboratory
tests results (scaled to account for the average in situ rock
block size) and generation of the spherical intact rock
sample using the procedures outlined by Potyondy and
Cundall (2004) for creation and testing of a parallel-bonded
material.
2. Generation of a representative discrete fracture network
from the available joint data using 3FLO (ICSAS, 2006)
and incorporation into the SRM sample.
3. Subjecting the SRM sample to the desired stress path to
failure. This procedure is described in Pierce et al (2007).
Figure 1 shows an example of fitted peak strength envelope
to two different stress paths imposed on the same SRM sam-
ple (the total number of particles in this sample was around
255.000 with a uniform distribution in diameter from 12.4 to
20.6 cm. The sample has 12 m diameter and contains 20.000
joints approx.). The onset of damage occurs well before peak
strength is reached and it is indicated by the breakage of inter-
particle bonds (cracks).After approx. 1000 cracks, the samples
began to dilate and deviate from the desired stress path (due to
changes in compliance). As shown in Figure 1, there is good
correspondence between this point and the lower limit of the
empirical damage threshold criterion discussed by Diederichs
(1999).
The following sections outline some of the advantages of
the SRM approach in estimating strength (as demonstrated
 90
80
Rock Mass UCS (MPa)

70
60
50
40
30
20
10
0
Baseline DFN from Constant joint Reduced joint Reduced joint
different orientation friction (25 persistence
simulation degrees vs. 30) (75% of baseline
joint diameters)

Figure 2. Comparison of UCS values from sensitivity study SRM

samples (Mas Ivars, 2007).

above) and other mechanical properties of large masses of

in-situ discontinuous rock:
1. The in situ joint fabric is explicitly accounted for in three-
dimensions, including consideration of stiffness, strength
and dilation. In this way the anisotropy induced by the ini-
tial jointing is fully captured and its effect on strength,
brittleness and fragmentation considered. Despite the exis-
tence of well-established methods for the characterization
of joint networks and their mechanical properties (Barton,
1976,1993; Stephansson, 1985; Barton and Stephansson,
1990; Brown, 2003) the combined effect of these factors
remains poorly accounted for within empirical methods
for rock characterization. This may be due to the fact that
a large degree of uncertainty often exists due to the scarce
data gathered in comparison to the total study volume and
the scale effect on fracture properties (Pinto de Cunha,
1990; Fardin, 2003). In order to account for the joint fabric
within SRM samples, a Discrete Fracture Network (DFN)
is produced and calibrated to available measures of joint
frequency, trace length and strength. There are a number of
well-established tools available to generate DFN [e.g. Frac-
Works XP (www.fracman.com); 3FLO (ICSAS, 2006)].
The impact of uncertainties in the joint network or strength
can be quantified by conducting sensitivity studies on a
series of SRM samples. Figure 2 shows the derived UCS
value for SRM samples with different joint structure and
joint strength.
2. The full elastic/inelastic compliance matrix can be eas-
ily derived at any stage along the tress path. Empirical
approaches generally only estimate an isotropic modulus
or a directional modulus and do not directly account for
non-linear behaviour from the effects of stress, damage or
joint closure.
3. Application of any non-trivial full tensor stress path to
failure allowing rotation of stresses and the effect of con-
fining stress, including intermediate principal stress, to be
accounted for. Confining pressure is an important consider-
ation since it affects brittle fracture strength by suppressing
the growth of dilatant microcracks, a process which is gen-
erally enhanced by deviatoric stress and suppressed by
mean stress. The experiments of Hudson et al. (1972) and
many other researchers (e.g., Rummel and Fairhurst, 1970;
Ribacci, 2000) have revealed that the tendency of intact and
jointed rock samples to fail in a plastic or brittle manner
depends strongly on the confinement pressure behaving
like a brittle material in uniaxial compression and becom-
ing increasingly plastic with increased confining pressure.
Figure 3. Stereonet plots of poles to joints slipping at the onset of
damage in two SRM samples subjected to different stress paths.
In addition, the common assumption of neglecting the
effect of the intermediate principal stress on the failure
strength and failure mode cannot be sustained based on the
true triaxial measurements reported (Mogi 1967, 1971;
Haimson, 1978; Haimson and Chang, 2000; Colmenares
and Zoback, 2002).
4. Slip on joints. By plotting poles to slipping joints on a
stereonet at any desired stage along the stress path, it is
possible to see the impact of differing stress magnitudes
and orientations relative to the joint fabric within the SRM
sample (Figure 3).
5. Brittleness. The brittleness of the SRM samples is obtained
by tracking plastic shear strains relative to the evolving
cohesion as they soften from their peak strength to resid-
ual strength. Accumulated plastic shear strain is a common
metric for irreversible shear strains in geomaterials and, in
a more general sense, can be considered as a measure of
damage. The cohesion versus plastic shear strain obtained
from five different SRM samples in this manner are nor-
malized to cohesion for comparative purposes in Figure 4.
There is a significant variation in brittleness, which is a
direct results of variations in intact strength and stress path
between the samples. As discussed by Hajiabdolmajid and
Kaiser (2003) brittleness is known to be simultaneously
dependent on material properties, on the geometry and size
of test samples, and on the loading conditions. The SRM
methodology is capable of capturing the impact of all these
effects on brittleness.The ability to obtain the predictions of
rock mass brittleness in this manner is considered a signif-
icant step forward since there are no established guidelines

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2007 Taylor & Francis Group, London, UK

Figure 4. Estimates of brittleness obtained from testing of five
different SRM samples (Domain15). (Steep lines indicate high
brittleness i.e. less plastic strain required to lose cohesion.)
Figure 5. Evolution of fracturing in SRM sample on a vertical
cross-section through the centre. Solid colours denote contiguous
blocks of bonded material (i.e. isolated intact rock blocks).
for selection of values for use in modeling the behavior of
jointed rock masses on the scale of 10100 m.
6. Fragmentation. By examination of contiguous blocks
within the SRM material i.e. isolated blocks of intact
rock within the sample whose component particles can all
be reached via one another through bonded contacts it is
possible to see how the initially intact rock mass disinte-
grates and to visualize the fractures (in the form of block
defining features) that lead to this disintegration (Figure
5). The evolving fragment size distribution that accompa-
nies fracturing was estimated by converting the volume of
each continuous block to an equivalent spherical diameter,
as shown in Figure 6.
7. Nature of fracturing. The large number of competing
effects that influence the fracture process in jointed rock
has precluded the development of a universal law that can
be used in any practical way to predict the strength of an
arbitrary rock mass (Lockner, 1995). Rather than modelling
a generic rock mass, SRM samples aim to reproduce the
measurable features of a specific rock mass and to permit
testing of this rock mass under site specific stress paths. By
analysing breakage sequences in the assembly of bonded
particles representing intact rock, the SRM tests can be
used to understand the evolution of new fractures, either
as extensions of existing joints or as isolated new frac-
tures. The nature of the bonded particle model is such that
it mimics the heterogeneous nature of natural rock, giving
rise to various types of flaws or local stress concentrators
within the intact blocks that are known to act as sources
for growing microcracks in real rock (Kemeny and Cook,
1991). Slip on joints also produces tensile stresses at the
tips of pre-existing joints, which can lead to wing-crack
propagation, as observed in many experimental studies
(Dyskin et al. 1994a,b, 1999; Germanovich et al. 1994;
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2007 Taylor & Francis Group, London, UK
Figure 6. Evolution of isolated block size distribution within the
SRM sample as it passes from peak to residual strength.
Bobet, 1997; Bobet and Einstein 1998a; Sagong and Bobet
2002; Germanovich and Dyskin, 2000; Wong et al. 2001).
Other researchers have achieved the same effects by activat-
ing appropriate elements within a lattice array of regular or
randomly distributed crack elements (Lockner and Madden,
1991a,b; Sellers and Napier, 1997; Napier and Malan, 1997;
Chiaia et al. 1997) or by chaining successive displacement-
discontinuity boundary elements end to end in calculated
orientations (Scavia, 1992 and 1995); Napier and Hildyard,
1992; Bobet and Einstein, 1998b and Shen et al. 2004).
Other numerical procedures such as the so-called smoothed
particle hydrodynamics (SPH) method are representative
of a class of mesh-free methods that do not rely on the
problem region subdivision into explicit computational grids
(Monaghan, 2000; Gray et al. 2001; Jing, 2003). The advan-
tage of the bonded particle approach employing an embedded
joint network is that complex fracture patterns and mate-
rial behaviours result without having to employ elaborate
continuum constitutive models.
The fracture patterns observed within the SRM samples
can be correlated with observations of fracture geometries,
failure properties and growth evolution derived from high-
resolution microseismic data. As part of a caveability study
comparison of the SRM evolving fracturing pattern obtained
from SRM tests on different rock domains and the one derived
from the seismicity registered in-situ showed good agreement
(Reyes-Montes et al. 2007). The output obtained from the
application of the SRM method was employed within a
mine-scale caveability model that successfully simulated the
observed rate and extent of cave progression (Pierce et al.
2006).
3 POTENTIAL FOR FURTHER DEVELOPMENT
To date, no consideration has been given to time-dependency,
temperature or pore pressure within the SRM approach. The
importance of these factors and the potential for further devel-
oping the SRM approach to include these effects is discussed
briefly here.
Time dependence. Rock mechanics practitioners recognized
long ago that both of the components of a jointed rock mass
(intact rock and joints) exhibit time-dependent behaviour. It is
well established that the brittle fracturing process is dependent
on the time scale of load duration (Potyondy, 2006). The mech-
anism responsible for the time dependence of brittle creep
is thought to be stress corrosion (chemically assisted crack
growth), and creep rates are thought to be controlled by the
rate of slow growth of tensile cracks. The Parallel-bonded
Stress Corrosion model, developed by Potyondy (2006) within
PFC3D, offers a means to represent the time-dependent nature
of intact rock failure within the SRM methodology. Additional
development would be required to incorporate time-dependent
joint slip. Additional effects such as crack healing, cementa-
tion and densification are also worthy of investigation and
inclusion within the methodology.
Temperature. Since high temperatures are known to reduce
intact rock strength and fracture strength (Wong, 1982), it may
be useful in specific cases to employ the thermal logic already
available within PFC3D.
Pore pressure. The nature of fracturing can change due
to changes in pore pressure i.e. increase in pore fluid pres-
sure will diminish the effective stress and tensile fracturing
can occur due to low or zero effective minor stress. Further
increase in pore pressure will result in hydraulic fracturing
(Einstein and Dershowitz, 1990). Change in pore pressure
affects also the joint strength (Lockner, 1995; Secor 1965,
1968; Byerlee 1990, 1992). The SRM methodology could
readily adopt any pore pressure logic that is added to PFC3D.
Additional development would be required to handle fluid
pressure within the joints.
4 CONCLUSION
The Synthetic Rock Mass approach is proposed as an appeal-
ing way to better understand and predict jointed rock mass
behavior. The methodology, based on the bonded-particle
model for rock (Potyondy and Cundall, 2004) involves con-
struction of a synthetic sample of the rock mass in three
dimensions by bonding together thousands of spherical par-
ticles and embedding the fracture network of impersistent
pre-existing joints.
The SRM method allows the observation of deformation,
fracturing and damage of a given rock mass domain as a func-
tion of all the key factors involved in the process: non-trivial
stress path, intact rock stiffness and strength, and jointing
(including orientation, persistence, spacing, stiffness, strength
and shear dilation). Specific studies can be carried out with
models to evaluate the impact of the most critical aspects cur-
rently under-represented in empirical and continuum numer-
ical modelling approaches (joint structure, time-dependent
failure, etc). The full compliance matrix, nature of fractur-
ing and fragmentation can be evaluated at any stage while the
SRM sample is subjected to the desired stress-path to failure.
Additionally, the output on rock mass strength and brittleness
can be used as input in standard large-scale continuum models
which can incorporate the effect of adjacent excavations, large
faults and topography. Overall, the SRM approach should sig-
nificantly improve our understanding of the deformation and
failure process. It provides a basis for development of a ratio-
nal framework for estimation of rock mass deformation and
strength.
ACKNOWLEDGEMENT
The research reported has been funded by the Mass Mining
Technology project.
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2007 Taylor & Francis Group, London, UK
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 The use of a bonded-particle model for studying the mechanical
behavior of weak rock

Fu-Shu Jeng, Hung-Hui Li & Tsan-Hwei Huang

Department of Civil Engineering, National Taiwan University, Taipei, Taiwan

Yo-Ming Hsieh
Department of Construction Engineering, National Taiwan University of Science and Technology, Taipei, Taiwan

ABSTRACT: According to the studies of laboratory experiments and of petrographic analysis of weak rock in Taiwan, it was
found that the key parameters influencing unconfined compressive strength (UCS) are porosity and grain area ratio (GAR).
However, how the relative properties between grain and matrix affect the macro behavior is still uncertain. Therefore, this study
adopted a numerical method based on a distinct element method (DEM) to identify quantitatively the influence of porosity and
GAR. The numerical results were consistent with the empirical function and show that the strength and the deformability of
rock can be expressed in terms of porosity and GAR. Accordingly, the proposed model may help in research how the relative
properties between grain and matrix affect the strength and the deformational behavior.

1 INTRODUCTION As a result, empirical relation of UCS, expressed in terms

of porosity and GAR shown in equation (1) and Figure 2, was
Owing to a relatively short rock forming period, most of proposed by Jeng et al. (2002).
the rocks in western Taiwan, including sandstone, shale and
mudstone, are poorly cemented and porous. The typical
strength ranges from 10 to 80 MPa (Jeng and Huang, 1998);
these sandstones were often characterized as medium weak
rocks. Laboratory experiments were conducted to explore the
geotechnical characteristics of more than 13 Tertiary sand-
stones from northern Taiwan by Jeng et al. (2002). It was found
that the mechanical behavior of these sandstones differs from
that of many hard rocks in terms of having significant shear
dilation and wetting softening behavior.
In addition, since grains, matrix and porosity constitute
the whole sandstone; how this composition affects the macro
behavior is of interest. Through petrographic analysis, the
influences of microscopic parameters (or petrographic param-
eters) on the macroscopic mechanical behaviors had been
studied, and the porosity and the grain area ratio (GAR) are
found to be the key parameters. The GAR, defined by Eesoy
and Waller (1995), represents the percentage of grain within
rock as show in Figure 1.

Figure 1. The definition of GAR is the percentage of total grain

area Ag within a chosen area A of a thin section of rock. Figure 2. Influence of petrographic paremeters on UCS.

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 30 100
Experimental results (Jeng, 1999; Jeng et al., 2002) MS2

Percent finer by weight or area (%)

25 Regressive curve (GAR=75) PFC2D, GAR35
80 PFC2D, GAR55
Regressive curve (GAR=35)
20 PFC2D, GAR75
60
E (GPa)

15
40
10 Simulated GAR(%)
35
5 55
20
75
0 0
0 5 10 15 20 25 30 100 10 1 0.1 0.01
Porosity (%) Grain or particle size (mm)
(a) Youngs modulus difference versus porosity
30 Figure 4. Grain size distribution of the MS sandstone and the BPM.
Experimental results (Jeng, 1999; Jeng et al., 2002)
25 model, supported in PFC2D, and it can be used to model a
Simulated n(%)
brittle solid. Furthermore, to ensure all particles being well
10
20 Regressive curve (n=10%) 15 connected and low locked-in forces, a material-genesis pro-
cedure was proposed by Potyondy and Cundall (2004) to built
E (GPa)

20
15 Regressive curve (n=25%) 25 a bonded-particle model (BPM) for rock, and it includes the
following five-step process: (1) compact initial assembly; (2)
10 install specified isotropic stress; (3) reduce the number of
floating particles; (4) install parallel bonds; (5) remove from
5 material vessel.

0 2.2 Model size and the grain size distribution

0 20 40 60
GAR (%)
(b) Youngs modulus difference versus GAR
Figure 3. Influence of petrographic parameters on Youngs
modulus.
According to the same data and analysis procedure by Jeng
et al. (2002), another empirical relation of Youngs modulus is
shown in equation (2) and Figure 3.
However, the influences of relative mechanical properties
between grain and matrix, and the mechanism of the wetting
weakening are difficult to be studied either by the labora-
tory experiments or by the petrographic analysis. Accordingly,
this research employs a numerical method to analyze how
the macroscopic strength and stiffness were affected by the
above-mentioned petrographic factors.
2 METHODOLOGY
2.1 Description of bonded particle model
A two dimensional distinct element method software PFC2D
(Itasca, 2002) was adopted to model the influence of the
porosity and the GAR. The basic assumptions of PFC2D are:
(1) the particles are considered as homogenous rigid balls;
(2) the interaction between particles is described as a soft
contact, which occurs over an infinite small area; (3) the par-
ticles are allowed to overlap slightly at the contact points;
(4) the slip condition between particles is governed by Mohr-
Coulomb friction. In addition, there are two basic bonding
models, including a contact-bond model and a parallel-bond
80 100
In this study, the material-genesis procedure is followed and
further modified to build a BPM. The size of the numeri-
cal specimen is 55 mm in width and 130 mm in height. Due
to the 2D nature of the model, the thickness is considered
as the unit length. The upper and lower boundaries are con-
sidered as frictionless rigid plates, and lateral boundaries are
unconstrained. The uniaxial compression test is simulated by
moving vertically both upper and lower plates toward the cen-
ter of the specimen at a constant velocity of 102 m/s. This
loading rate, confirmed in this study and by Iverson (2003),
is the upper limit for which the loading rate poses little effect
on the resultant UCS.
The grain size distribution of the studied sandstone spec-
imen is up-scaled to determine the number of particles and
their sizes in the BPM, as shown in Figure 4. The parti-
cles with diameter less than 2 mm are defined as matrix
particles (MP) or porous matrix particles (PMP), and only
particles with diameter larger than 2 mm are considered as
grain particles (GP).
2.3 Control of the porosity and GAR
To achieve an adequate simulation, the porosity and GAR of
the BPM should be controlled first. It was set that the initial
porosity of the BPM is around 10%. In this study, some MP
is replaced by PMP by reducing the stiffness and the radius
multiplier of particle to simulate the variation of porosity
from 10% to 25%. In addition, three models were setup with
GAR 35%, 55%, and 75% by controlling the area ratio of MP
and GP, and these models contains 12113, 8487, and 7606
particles respectively in total.
2.4 Parameters of the studied model
According to Potyondy and Cundall (2004), The macro-
scopic behavior of BPM is governed by grain microproperties

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Table 1. Microproperties of grain, matrix and porous matrix
particles.

porous
Items (units) Grain Matrix Matrix

Particles
Density, (kg/m3 ) 2660 2660 2660
Modulus (GPa) Eg = 23.9 Em = 4.5 0.8Em
Normal/shear stiffness 2.4 2.4 2.4
Friction coefficient, 0.5 0.5 0.5
Parallel bond
Radius multiplier, 1 1 0.08
Modulus (GPa) E g = 23.9 E m = 4.56 0.8E m
Normal/shear stiffness 2.4 2.4 2.4
Normal strength (MPa) g = 35.8 m = 143.7 m
Shear strength (MPa) g = 35.8 m = 143.7 m Figure 6. The failure pattern of the MS sandstone and of the BPM.

80
45 70
40
60
35
50
Axial stress (MPa)

UCS (MPa)
30
40
25
30
20
15 20 simulated UCS
10 mean value
10 PFC2D simulation results
5 Experimental results 0
0 1 2 3 4 5 6 7 8 9 10
0.00 0.20 0.40 0.60 0.80 Packing No.
Axial strain (%) (a) Simulated UCS vs.packing no.

Figure 5. Experimental and simulated stress-strain curves in uni-

10
axial compression test. 9
8
7
(including kn, kn/ks and ) and cement microproperties
E (GPa)

6
(including , kn, kn/ks, and ), where kn and kn are nor-
5
mal stiffness of the grain and cement particles; ks and ks are
4
shear stiffness of the grain and cement particles, respectively;
is the grain friction coefficient; is the radius multiplier 3
used to set he parallel-bond radii; and and are the tensile 2 simulated Young's modulus
and shear strength, respectively. 1 mean value
In this study, the parallel-bond model is used as the inter- 0
particle bonding model to describe the constitutive behavior 1 2 3 4 5 6 7 8 9 10
of a finite-sized piece of cementitious material deposited
Packing No.
between two particles. The width of parallel bonds is defined
by 2 min (RA , RB ), and the radius multiplier controls both (b) Simulated Youngs modulus E vs.packing no.
the tensile and the bending strength of the parallel bond. All
Figure 7. PFC2D simulated results with different packing
parameters needed in BPM model are shown in Table 1, and arrangement: (a) UCS; (b) Youngs modulus.
these parameters are determined through a calibration process
by matching the observed material strength with the computed
strength by the adopted BPM model. In addition, 10 PFC2D models with different packing
arrangements were created to simulate the uniaxial com-
pression test. According to the simulated results, the mean
2.5 Model calibration
value and standard deviation of the UCS are 41.60 MPa
In order to verify the numerical model, the experimental and and 2,57 MPa, as shown in Figure 7(a); the mean value and
simulated stress-strain curves were compared as shown in standard deviation of the Youngs modulus are 8.4 GPa and
Figure 5. The UCS and theYoungs modulus of the experimen- 0.15 GPa, as shown in Figure 7(b). It indicates that the simu-
tal results are 39.62 MPa and 7.94 GPa, and the simulated UCS lated UCS andYoungs modulus are not affected by the packing
and Youngs modulus is 41.20 MPa and 9.64 GPa. The exper- arrangements in the adopted model. Consequently the influ-
imental and simulated failure pattern are brittle, as shown in ences of the packng arrangements are not considered in the
Figure 6. followed analysis.

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3 INFLUENCES OF PETROGRAPHIC PARAMETERS
ON NUMERICAL ANALYSIS

In this study, the influence of increasing porosity was sim-

ulated by decreasing the Youngs modulus Em and E m and
parallel bond radius multiplier , as shown in Table 1, on some
part matrix particles. It was set that the initial porosity of the
numerical model is around 10%. Later on, the modulus and
the radius multiplier of part of the particles will be reduced
to simulate the variation of porosity from 10% to 25%.
According to the simulated results, it can be found that
the UCS decreases with increasing porosity and with increas-
ing GAR, as shown in Figure 2; and the Youngs modulus
decreases with increasing porosity and with decreasing GAR,
as shown in Figure 3. The numerical results were consistent
with the empirical function showing that the strength and the
deformability of rock can be expressed in terms of porosity
and GAR, and it indicates that the adopted model and param-
eters can simulate the influence of the porosity and GAR on
the macroproperties of rock.
4 DISCUSSION
In this study, the BPM is capable of describing the macro-
scopic mechanical behaviors reasonably well. The parameters
of grain and the matrix particle were decided according to the
empirical function, and it shows that the grain particle has
stronger bonding strength and lower Youngs modulus then
the matrix particle. Besides, the proposed porous matrix can
reflect the decreasing tendency of UCS and Youngs modulus
of sandstone with the increasing porosity.
The model is then used to study the bonding strength
mg , which exists between grain particles and matrix parti-
cles. It was found that its range is between 35.83 MPa and
143.69 MPa. According to the simulated results with various
porosity, GAR and mg, the simulated UCS can be expressed
in terms of porosity, GAR and mg shown in equation (3).
When mg is 50 MPa, the three dimensional surface of UCS,
porosity and GAR shown in Figure 8 closely resemble results
obtained from laboratory experiments (Weng, 2002).
Figure 8. The simulated 3D UCS surface based on porosity
and GAR.
rock. This indicates that the BPM can serve as a useful tool for
studying the other influence of petrographic parameters on the
mechanical behavior of rocks. In addition, the influences of the
bonding strength and the contact stiffness between the matrix
particles and the grain particles can be studied by parameters
analysis. Furthermore, the mechanism of the strength reduc-
tion owning to wetting softening will be studied by the BPM
in the future research.
REFERENCES
Erosy, A. and Waller, M. D. 1995. Textural characterisation of rock.
Engineering Geology, 39, 123136.
Itasca Consulting Group Inc. 2002. PFC2D (Particle Flow Code in 2
Dimensions), Version 3.0. Minneapolis, MN: ICG.
Iverson, S. R. 2003. Investigation of bulk solids engineering prop-
erties and application of PFC2D to ore pass flow problems.
H. Konietzky (ed.), Numerical modeling in micromechanics via
particle methods; Proc. of the 1st Intern. PFC Symp., Balkema
Press, Netherlands, 251258.
Jeng, F. S., Ju, G. T., and Huang, T. H. 1994. Properties of some
weak rock in Taiwan. Proc. Of the 1994 Taiwan Rock Engineer-
ing Symposium, National Central University, Chungli, Taiwan,
259267.
Jeng, F. S., Weng, M. C., Lin, M. L. and Huang, T. H. 2004. Influence
of petrographic parameters on geotechnical properties of Tertiary
sandstones from Taiwan. Engineering Geology, 73, 7191.
Potyondy, D. O., and Cundall, P. A. 2004. A bonded-particle model
for rock. Int. J. Rock Mech. Min. Sci., 41, 132964.
Weng, M. C. Mechanical characteristics and the relations with
microstructure factors of foothill sandstones. Ph.D. thesis,
National Taiwan University, Taiwan, 2002.

5 CONCLUSION

According to the simulated results, the adopted BPM reveals

the influences of micro properties on the macro properties of

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 Thermal modeling using particle clusters in PFC

T.S. Wanne & R.P. Young

Lassonde Institute, University of Toronto, Toronto, ON, Canada

ABSTRACT: Particle cluster routines were tested using PFC software. The numerical specimens matched the mechanical
properties of Westerly granite. The results from PFC2D and PFC3D simulations were compared against the actual laboratory
data. After the mechanical tests the PFC3D cubic specimens were heated up to 450 C. During the heating cracking, AE activity
and temperature evolutions were monitored. P wave velocity measurements were conducted for each numerical specimen. The
responses were compared against similar thermal laboratory data. The results showed similar P wave velocity decrease due the
heating up to temperature of about 250 C.

1 INTRODUCTION 2.2 Acoustic emission and velocity measurements

The paper describes steps taken to implement and test
enhanced particle clustering routines in PFC (Itasca Consult-
ing Group, Inc., 2005). The study relates to the underground
storage of high-level nuclear waste and the concept of placing
fuel canisters in underground cavities. The canisters produce
heat due to fission. The thermal changes in rock could poten-
tially lead to the opening of existing cracks and the initiation
of new cracking. Such damage may have serious implica-
tions such as increasing the permeability of the rock designed
to function as a barrier to groundwater contamination for
example.
Measured macroscopic properties of rock tend to change
with changing temperature. (Mahmutoglu 1998, Jackson et al.
1999). Elastic velocity measurement is a way to monitor some
of the change, for example, David et al. (1999) used velocity
techniques to study La Peyratte granite. Davidge (1981) and
Homand-Etienne and Houpert (1989) among others studied
thermal cracking at the grain scale and concluded that it is due
to the mismatch in the thermal expansion coefficient between
adjacent minerals and produces intergranular cracking.
The work presented in the paper is part of the research
to better understand mechanical damage induced by thermal
loading. The numerical results are compared against results
from thermal laboratory experiments on Westerly granite.
The presented thermal modeling builds on the PFC2D ther-
mal numerical experiments reported by Wanne and Young
(2006).
2 MODELING METHOD
2.1 Particle Flow Code
Commercially available PFC was used in the particle clus-
ter development and thermal simulations. The numerical
approach models the movement and interaction of circu-
lar/spherical particles by the distinct element method. The
method represents solid rock by an assembly of particles
joined by breakable bonds. The damage occurs by bond break-
ages, thus the material can evolve from solid to granular. PFC
has been used to simulate hard rock in several studies. A
thorough description of the method is given in (Potyondy &
Cundall 2004).
PFC uses an explicit time-marching calculation scheme to
simulate material behavior. This allows dynamic simulations
to be performed in which seismic waves propagate across
material at a speed that depends on the material properties.
The approach permits realistic acoustic emission simulations
(Hazzard & Young 2002). The numerical seismic monitoring
technique has been used in studies reported by Young et al
(2000) and Hazzard and Young (2004).
Seismic velocities of the numerical specimens were mea-
sured by propagating pressure waves through them. Ricker
waveform was used as the transmitting wave (Hazzard &
Young 2004).
The dominant frequency of the wave was set depending on
the particle sizes in the specimen. It varied around 400 kHz.
The velocity was calculated from the time difference between
the first peaks of the source and received waves.
2.3 Clustering PFC particles
A particle cluster is defined as a set of particles that are in
contact to each other. The routine is controlled by one param-
eter, the maximum number of particles in a single cluster. The
contacts, and bonds, are distinguished as intracluster (between
particles inside a cluster) and intercluster (between particles
in different clusters). The cluster routine provided with PFC
is described by Potyondy and Cundall (2004).
The use of PFC particle clusters is a relatively new concept
which is becoming more feasible due to increasing computer
power and more popular due to the way it more closely matches
the microstructure of complex materials such as rock.
Few studies exist regarding the PFC clusters. (Boutt &
McPherson 2002) studied the effect of PFC2D cluster size and
strength on simulated failure envelopes and damage types in
sedimentary rocks. The clustered material seemed to increase
the slope of the compressive failure envelope. Potyondy and
Cundall (2004) showed similar observations using granitic
rock model.
Landry et al. (2006) used PFC3D to model manure products
in an agriculture related problem. Clusters were introduced
to better model the friable and clumpy nature of organic
fertilizers.
The new, developed routines allow grouping of clusters to
groups and assignment of different mechanical and thermal

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2007 Taylor & Francis Group, London, UK

properties to the different cluster groups. This enables stud-
ies like the thermal damage evolution with respect to grain
boundary cracking. It is believed that this method is more
realistic for representing rock containing more than one min-
eral type. The expansion contrast between adjacent clusters
allows simulation of the hypothesis regarding thermal damage
in the proposed PFC material. Heated laboratory experiments
provide the necessary data for comparison of the simulated
results.
The PFC3D specimens used in the heated experiments had
about 48000 particles, forming about 9500 clusters, divided
into three equally sized groups.
2.4 Thermal modeling routines
Thermal routines allow the simulations of heat conduction
and thermally induced strains. The thermal material is pre-
sented as a network of heat reservoirs (particles) and thermal
pipes (contacts). Heat flow occurs via conduction in the
pipes. A description of the thermal routines is given by Itasca
Consulting Group, Inc (2004).
Temperature changes produce thermal strains via thermal
expansion. This is accounted for by changing particle radii and
modifying bond forces. Particle radii are modified based on
the linear thermal expansion coefficient of each particle. Each
bond between two particles carries components of the force.
Thermal expansion is accounted for in the normal component
of the force vector by effectively changing the bond length.The
approach gives a force increment due to thermal expansion.
3 NUMERICAL EXPERIMENTS
3.1 Mechanical data
The numerical specimens for Westerly granite were created
based on the strength and deformation properties recorded by
Janach (1977) and Pettitt (1998). The specimens were par-
allel bonded and created using material genesis procedures
described by Potyondy and Cundall (2004). The PFC speci-
mens used clusters to represent the mineral entities. The bond
strengths inside a cluster were twice the bond strength between
clusters. A single cluster was composed of about 7 particles.
The strength ratio was rationalized by Tromans and Meech
(2002).
Uniaxial and triaxial tests were performed on the specimens
to determine their macroscopic properties. The specimens
were rectangular (PFC2D) and cylindrical (PFC3D) with
height of 120 mm and width/diameter of 54 mm, and had about
4000 and 80000 particles.
The mechanical properties of Westerly granite and the PFC
specimens are as follows. The UCS is 229 MPa for granite,
and values for PFC2D and PFC3D specimens are 226 and
200 MPa, respectively. The corresponding Youngs modulus
values are 64, 64, and 57 GPa. The strength envelope for the
granite yields friction angle and cohesion values of 49 and
43 MPa. For PFC specimens the values are 25 and 73 MPa
for confining pressures up to 100 MPa.
3.2 Thermal data
Data from thermal laboratory experiments by Nasseri et al.
(2007) was compared against the numerical results. They
slowly heated four sets of Westerly granite samples to 250,
450, 650, and 850 C. The thermal cracking decreased the
mechanical strengths and P wave velocities. The maximum
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2007 Taylor & Francis Group, London, UK
Figure 1. Evolution of the normalized P wave velocity PFC3D
(circle) and laboratory data (triangle), PFC3D AE hits, and broken
bonds (square) against the temperature.
velocity decreased by 80% when heated to 850 C. The biggest
drop occurred between 450 and 650 C due to phase transition
of quartz. Microscopic study revealed the increase in grain
boundary cracking due to heating.
The numerical heating experiments used 45 mm PFC3D
cubes. The specimen had 48083 particles with average par-
ticle diameter of 1.3 mm. There were 9661 particle clusters
divided into three equally sized groups. The particles belong-
ing to each group were assigned different thermal properties
resembling the homogeneous microstructure of Westerly gran-
ite. Thermal expansion coefficients of quartz, microcline, and
plagioclase were reported by Fei (1995). The applied values
were respectively 25, 10, and 5 [106 1/ C].
Heating was simulated by increasing the specimen temper-
ature in steps of 5 C, after which the model was cycled to
equilibrium before increasing the temperature until the target
temperature was reached. Four experiment sets were con-
ducted heating specimens up to 150, 250, 350, and 450 C.
The phase transition of quartz near 600 C chances its
thermo-mechanical response (Simmons & Cooper, 1978). The
phenomenon wasnt included into PFC thermal routines and
therefore the maximum temperature was capped at 450 C in
the simulations.
4 RESULTS AND DISCUSSION
AE activity was monitored during the thermal simulations.
Seismic velocities of the numerical specimens were mea-
sured before and after each heating. The behavior is similar to
the laboratory observations. Damage increases with the tem-
perature. The measured P wave velocities decrease with the
damage and there is an increase in AE hits. Figure 1 shows P
wave velocities, AE hits and percentage of broken bonds with
respect to the thermal treatment.
Up to 250 C the normalized P wave velocity trend is strik-
ingly similar to that of the laboratory experiment. At the
temperatures of above 300 C the velocity measurements are
inaccurate due to the damage. At the temperature of about
400 C the specimens disintegrates and no velocity measure-
ments are available. At that point more than 30% of the particle
bonds were broken. In the laboratory experiment the rock is
still intact at the temperatures of 850 C.
 Preliminary observations of the cracking in the PFC3D
specimens show that the cluster boundary cracking is dom-
inant similar to the grain boundary cracking in the laboratory
experiment.
The strong thermal expansion contrast between the adja-
cent particle clusters gives rise to high stresses. The numerical
specimens are structurally perfectly in a sense that there are
no microcracks or flaws present. When a specimen is heated,
at some point there is no more space for clusters to expand
anymore and local cracking leads to a major failure and to
specimen fragmenting.
5 CONCLUSION
Particle cluster groups were introduced into a PFC3D mate-
rial to better model the thermal behavior of hard rock. The
clustered specimens were calibrated to match the mechani-
cal properties of Westerly granite. Cubic PFC3D specimens,
each having 9661 breakable particle clusters, were heated up
to 450 C. Heating induced damage was observed by AE mon-
itoring and P wave velocity measurements. The comparison
against existing laboratory data showed similar behavior.
REFERENCES
Boutt, D. F., & McPherson, B. J. O. L. 2002. Simulation of sed-
imentary rock deformation: Lab-scale model calibration and
parameterization. Geophysical Research Letters, 29(4), 13-1.
David, C., Menendez, B., & Darot, M. 1999. Influence of
stress-induced and thermal cracking on physical properties and
microstructure of la peyratte granite. International Journal of
Rock Mechanics and Mining Sciences, 36(4), 433448.
Davidge, R. W. 1981. Cracking at grain boundaries in polycrystalline
brittle materials. Acta Metallurgica, 29(10), 16951702.
Fei,Y. 1995.Thermal expansion. InT. J.Ahrens (Ed.), Mineral physics
& crystallography:A handbook of physical constants (pp. 29354).
Washington, D.C.: American Geophysical Union.
Hazzard, J. F., & Young, R. P. 2004. Dynamic modelling of induced
seismicity. International Journal of Rock Mechanics and Mining
Sciences, 41(8 SPECISS), 13651376.
Hazzard, J. F., & Young, R. P. 2002. Moment tensors and microme-
chanical models. Tectonophysics, 356(13), 181197.
Hazzard, J. F., & Young, R. P. 2004. Numerical investigation of
induced cracking and seismic velocity changes in brittle rock.
Geophysical Research Letters, 31(1), 016041.
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2007 Taylor & Francis Group, London, UK
Homand-Etienne, F., & Houpert, R. 1989. Thermally induced micro-
cracking granites: Characterization and analysis. International
Journal of Rock Mechanics and Mining Sciences & Geomechanics
Abstracts, 26(2), 125134.
Itasca Consulting Group, Inc. 2005. PFC3D, optional features
volume, thermal option. Minneapolis, USA: Itasca Consulting
Group.
Itasca Consulting Group, Inc. 2005. Particle flow code in 3 dimen-
sions (3.1st ed.). Minneapolis, USA: Itasca Consulting Group,
Inc.
Jackson, R., Lau, J. S. O., & Annor, A. 1999. Mechanical, thermo-
mechanical & joint properties of rock samples from the site of
AECLs URL. Proceedings of the 42nd Canadian Geotechnical
Conference, Oct 2325 1989, 4149.
Janach, W. 1977. Failure of granite under compression. International
Journal of Rock Mechanics and Mining Sciences & Geomechanics
Abstracts, 14(4), 209215.
Landry, H., Lague, C., & Roberge, M. 2006. Discrete element rep-
resentation of manure products. Computers and Electronics in
Agriculture, 51(12), 1734.
Mahmutoglu, Y. 1998. Mechanical behaviour of cyclically heated
fine grained rock. Rock Mechanics and Rock Engineering, 31(3),
169179.
Nasseri, M. H. B., Schubnel, A., & Young, R. P. 2007. Coupled
evolutions of fracture toughness and elastic wave velocities at
high crack density in thermally treated westerly granite. Interna-
tional Journal of Rock Mechanics and Mining Sciences, In Press,
Corrected Proof.
Pettitt, W. 1998. Acoustic emission source studies of microcracking
in rock (Thesis Ph.D. ed.). UK: Keele University.
Potyondy, D. O., & Cundall, P. A. 2004. A bonded-particle model
for rock. International Journal of Rock Mechanics and Mining
Sciences, 41(8 SPECISS), 13291364.
Simmons, G., & Cooper, H. W. 1978. Thermal cycling cracks in
three igneous rocks. International Journal of Rock Mechanics and
Mining Sciences & Geomechanics Abstracts, 15(4), 145148.
Tromans, D., & Meech, J. A. 2002. Fracture toughness and surface
energies of minerals: Theoretical estimates for oxides, sulphides,
silicates and halides. Minerals Engineering, 15(12), 10271041.
Wanne, T. S., & Young, R. P. 2006. Bonded-particle model for ther-
mally fractured granitic rock. Multiphysics Coupling and Long
Term Behaviour in Rock Mechanics (Proceedings of ISRM Eurock
2006, Lige, Belgium, may 2006), 261266.
Young, R. P., Hazzard, J. F., & Pettitt, W. S. 2000. Seismic and
micromechanical studies of rock fracture. Geophysical Research
Letters, 27(12), 17671770.
 Thermo-mechanical analysis of jointed rock masses under cryogenic conditions

Chulwhan Park, Eui-Seob Park, Chan Park & So-Keul Chung

Korea Institute of Geoscience and Mineral Resources (KIGAM), Daejeon, Korea

Ho-Yeong Kim & Dae-Hyuck Lee

SK Engineering & Construction Co., Ltd., Seoul, Korea

ABSTRACT: The thermo-mechanical behavior of rock masses having numerous discontinuities is different from that of fresh
rock. It is important to investigate its effects on discontinuities related to the crack occurrence and the propagation of pre-
cracks due to cooling down. Thermo-mechanical analyses are performed with a jointed rock mass model using PFC2D code to
investigate the effect of discontinuities during cooling down. The thermal stresses induced by a temperature drop were calculated
to figure out the amount of induced stresses only, excluding initial stresses, in the model. The magnitude of induced thermal
stresses becomes larger when the thermal expansion coefficient is increased. The induced thermal stresses become larger until
fractures are generated as the temperature drop increases. But the magnitude of induced stresses has decreased steeply to below
50 C, where the fracture initiates, and a fair amount of fractures are generated in the model as the temperature drops more.
The results found in this study are not entirely comparable with the observations obtained from real sites due to complicated
geological and groundwater conditions. However, it is possible to estimate the fracture mechanisms for jointed rock masses
under cryogenic conditions with PFC2D models.

1 INTRODUCTION 2.1 Crack occurrence due to cooling down

It is known that when rock is cooled slowly thermal cracks are
One of the important problems related to underground storage
generated due to differences in thermal expansion between
of cryogenic material is preventing the leakage of liquid and
components of rock, although the temperature gradient is not
gas from the containment system to the rock mass caused by
steep (Lee, 1993). Therefore, a micro crack could be gen-
tensile stresses due to shrinkage of the rock mass around the
erated when a thermal stress exceeds the tensile strength of
caverns (Monsen & Barton, 2001).
a rock. However, crack generations due to thermal shock
In general, it has been regarded that when numerous discon-
would be suppressed because there is an effect of com-
tinuities exist in rock masses, the extension of joints is much
pensating for tensile stresses with thermal stresses when
easier to achieve than occurrences of new cracks in fresh rock
initial stresses (compression) are present. The criterion of
during cooling down. This means that fractures can be initi-
LNG storage suggested by Goodall et al (1989) is given
ated or developed more easily under lower induced thermal
in Eq. (1).
stresses because the mechanical characteristics of the discon-
tinuities of the fractured rock are weaker than those of the
fresh rock.
Groundwater generally flows through discontinuities in
rock mass but it would stay in discontinuities locally if rock 2.2 Propagation of pre-cracks
masses around caverns were badly drained during the con-
struction of caverns. In this case, groundwater could be frozen To understand the propagation mechanism of pre-cracks, the
during LNG storage and frost-heaving pressures could be presence of pre-cracks in rock mass before cooling down
created in the discontinuities. should be considered. As rock mass generally has numerous
Therefore, it is important to figure out the effects of thermo- discontinuities, the propagation of pre-cracks is much easier
mechanical behavior on discontinuities related to the crack than the generation of new cracks in fresh rock during cooling
occurrence and the propagation of pre-cracks during cooling down. Therefore, the propagation mechanism of a pre-crack
down because the thermo-mechanical behavior of jointed rock can be explained through the relations between the stress inten-
masses would be different from that of fresh rock. In this study, sity factor (K) and fracture toughness (Kc) at a crack tip, as
thermo-mechanical analyses are performed with a jointed rock shown in Figure 1.
mass model using PFC 2D code.

2 BASIC PRINCIPLES OF CRACKS
In the cases of the crack occurrence and the propagation of
pre-cracks in jointed rock masses, the presence of joints in
rock mass before cooling down should be considered.
3 THERMO-MECHANICAL ANALYSES
3.1 Induced thermal stresses
The induced thermal stresses due to cooling down during LNG
storage were calculated to figure out the amount of induced
stresses only, excluding initial stresses, in the model. Figure 2

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shows the model shape and boundary conditions for the T-M
analyses. The dimension of each model is 2 m high 2 m wide
and displacements of all boundaries are constrained to induce
thermal stresses from shrinkage.
Table 1 represents the results of the T-M analyses, according
to a temperature drop. As the temperature drop or the thermal
expansion coefficient is increased, the magnitude of induced
thermal stresses becomes larger.
As shown in Table 1, the induced thermal stress in the
model varies from 6.4 MPa ( = 2.62 106 / C) to 13.3 MPa
( = 5.78 106 / C) under the different coefficient of
thermal expansion (), if the maximum temperature drop is
assumed to be 70 C (where the initial temperature of the
rock mass is assumed to be 20 C). Based on the design concept
of underground lined rock caverns for storing LNG, the min-
imum temperature of surrounding rock mass should be kept
above 50 C, even after 30 years of LNG storage operation.
3.2 The PFC model for jointed rock masses
Figure 3 shows the PFC jointed rock mass models for T-M
analyses. The dimension of each model is 30 m high 30 m
wide, and displacements of all boundaries are constrained to
induce thermal stresses from shrinkage.
The PFC model is built through the following steps. First,
the intact rock is modeled as a single rock block of the model
size. Then, the fracture traces are integrated in the model.
The fracture model in PFC2D was generated from 2D trace
sections extracted from the 3D DFN model developed for the
sp ZEDEX tunnel see Figure 3(a), (b) and (c).
In the PFC2D model, a fracture is identified as a contact
that exists between particles that fall on opposite sides of the
joint plane. The fractures are modeled by generating bands of
particles within the matrix. Band particles are assigned micro-
properties, which are different to those possessed by the matrix
particles.

3.3 The results of thermo-mechanical analyses

Figure 1. Criterion of suppression of fracture propagation.
Figure 2. Model used for T-M analysis and measurement circles.
In order to find out the effect of joints on the crack occurrence
and propagation of rock masses under cryogenic conditions,
the coupled T-M analyses were carried out on the condition of
different numbers of joint sets and mechanical properties of
joints.
Figure 4 shows the results of T-M analyses on the different
numbers of joint sets, which was varied from 1 to 3 sets, with
constant joint properties. As the number of joint sets increases,
the amount of crack occurrences has been reduced.
Figure 5 shows the results of T-M analyses on different joint
properties, which was varied from 1/10 to 1/10,000,000 of
fresh rock properties, with a constant number of joint sets. As
the joint properties decrease, the amount of crack occurrences
also has been reduced.
As shown in Figure 4 and 5, new cracks occurred and prop-
agated mostly along joints during cooling down. It can be
surmised that because the mechanical properties of the joints
are much smaller than those of the surrounding rock, the joints
opened wider due to contractions that occurred during the
cooling down of rock mass. Consequently, an induced stress
is concentrated at the tip of joints and it causes the joints to
expand gradually.

Table 1. Thermal stresses according to thermal expansion coefficient.

Thermal expansion coefficient (106 / C)

Temp. x
drop 2.62 3.711 5.78

40 C 3.95 MPa, 3.89 MPa 5.33 MPa, 5.24 MPa 7.93 MPa, 7.80 MPa
50 C 4.78 MPa, 4.70 MPa 6.49 MPa, 6.39 MPa 9.74 MPa, 9.59 MPa
60 C 5.60 MPa, 5.51 MPa 7.66 MPa, 7.54 MPa 11.56 MPa, 11.38 MPa
70 C 6.42 MPa, 6.32 MPa 8.82 MPa, 8.69 MPa 13.37 MPa, 13.17 MPa
80 C 7.25 MPa, 7.13 MPa 9.99 MPa, 9.83 MPa 15.19 MPa, 14.95 MPa
90 C 8.07 MPa, 7.94 MPa 11.15 MPa, 10.98 MPa 17.00 MPa, 16.74 MPa
100 C 8.89 MPa, 8.75 MPa 12.32 MPa, 12.13 MPa 18.82 MPa, 18.53 MPa

Notes: xx (horizontal stress), yy (vertical stress)

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2007 Taylor & Francis Group, London, UK

 (a) One joint set

(a) One joint set

(b) Two joint sets

(b) Two joint sets

(c) Three joint sets

Figure 3. The resulting rock mass model with fracture traces in

PFC2D code.

4 CONCLUSIONS

The following results were obtained through thermo-
mechanical coupled analyses using PFC2D code.
The magnitude of induced thermal stress becomes larger
when the temperature drops, as well as when the ther-
mal expansion coefficient is increased. But its magnitude is
decreased steeply to below 50 C, where cracking initiates
and then fractures are generated considerably on the model as
the temperature drops more. Based on the new design concept
for LNG storage, the minimum temperature of surrounding
rock mass should be kept above 50 C, even after 30 years
of LNG storage operation.
As the number of joint sets increases or the joint properties
decrease, the amount of crack occurrence has been reduced.
So it could be concluded that the presence of joints in rock
masses plays an important role in making and propagating
(c) Three joint sets
Figure 4. Crack patterns occurred in the PFC model with a different
number of joint sets during cooling down.
cracks under cryogenic conditions because the mechanical
characteristics of the discontinuities of the fractured rock are
weaker than those of the fresh rock.
The results of this study are not entirely comparable with the
observations obtained from real sites due to complicated geo-
logical, geomechanical and groundwater conditions. However,
it is possible to estimate the fracture mechanisms of jointed
rock masses under cryogenic conditions with PFC2D models.

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2007 Taylor & Francis Group, London, UK

 ACKNOWLEDGEMENTS

This study was funded by the Korea Institute of Construc-

tion and Transportation Technology Evaluation and Planning
under the Ministry of Construction and Transportation in
Korea (Grant No. 05-D10, Development of Water Control
Technology in Undersea Structures).

REFERENCES

Amantini, E. and Chanfreau, E. 2004. Development and construc-

(a) 1/10 of fresh rock
(b) 1/10,000 of fresh rock
tion of a pilot lined cavern for LNG underground storage. 14th
International Conferences & Exhibition on Liquefied Natural Gas,
Doha, Qatar, PO-33.
Chung, S.K., Park, E. S. et al. 2004. Study on the design parameters
for an underground LNG storage system in lined rock cavern and
analysis of results from pilot test. Research report by KIGAM
submitted for SKEC, Dec. 2004, 144p (In Korean).
Dahlstrm, L.O., Swedenborg, S. & Evans, J. 2004. Localization
of underground hydrocarbon gas storage caverns in respect to
performance criteria. Proc. World Tunnelling Conference 2004,
C29:18.
Glamheden, R. and Lindblom, U. 2002. Thermal and mechanical
behavior of refrigerated caverns in hard rock. Tunnelling and
Underground Space Technology, 17:341353.
Jeon, Y.S., Park, E.S., et al. 2006, Numerical simulation of fracture
mechanisms for rock masses under low temperature conditions,
Tunnelling and Underground Space Technology, Vol 21, Issues
3-4, pp.470471.
Monsen, K. and Barton, N. 2001. A numerical study of cryogenic
storage in underground excavations with emphasis on the rock
joint response. Int. J. of Rock mechanics & Mining Sciences,
38:10351045.
Potyondy, D.O. & Cundall, P.A. 2001. The PFC Model for Rock: Pre-
dicting rock-mass damage at the underground research laboratory,
Itasca Consulting Group, Inc. Report to Atomic Energy of Canada
Limited (AECL), Report No. 06819-REP-01200-10061-R00.

(c) 1/10,000,000 of fresh rock

Figure 5. Crack patterns occurred in the PFC model with different

joint properties during cooling down.

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2007 Taylor & Francis Group, London, UK

 Three dimensional continuum modeling of masonry structures application to the SE/E
corner of the Acropolis wall of Athens

I. Stefanou
Department of Applied Mechanics and Physics, National Technical University of Athens, Greece

J. Sulem
CERMES, Ecole Nationale des Ponts et Chausses/LCPC, Institut Navier, Paris

I. Vardoulakis
Department of Applied Mechanics and Physics, National Technical University of Athens, Greece

ABSTRACT: The SE/E corner part of the Acropolis wall in Athens is an ancient masonry structure with appreciable fissuration.
Ancient masonry structures can be seen as a set of rigid blocks where all the deformation is taking place at the interfaces between
the blocks. Rocking, twisting and sliding between them are possible mechanisms, which actually take place under static or
dynamic loading. The numerical analysis of such discontinuous blocky structures can be dealt by discrete and finite element
codes. In the latter case, special interface elements are needed in order to account for the unilateral kinematics of the blocks
joints.
However, the computational efficiency comes at a price and homogenization seems promising for modeling such structures.
Homogenization is a group of techniques that their purpose is to substitute the periodically heterogeneous medium with a
macroscopically equivalent homogeneous one. Here we make use of the homogenization by differential expansions technique,
which is based on the derivation of a continuous model by replacing the difference quotients of the equations that describe
the periodic heterogeneous medium with corresponding differential ones. The derived continuum model is a 3D Cosserat
continuum.
Non-linearities could then be introduced to the continuous model by formulating yield criteria. These criteria may represent
different failure mechanisms at the micro-level of the brickwork, i.e.: a/ yield at the masonry joints, b/ the tilting of the masonry
blocks and c/ the breakage of the building blocks of the masonry. Finally, an additional non-linearity could be introduced to the
model by considering the reduction of the effective area of the joints due to the relative displacement of the masonry building
blocks. This procedure can be seen as a degradation process.

1 INTRODUCTION

The general hydrogeological conditions that are prevailing in

the SE/E part of Acropolis hill in Athens, the dense network of
discontinuities in the rock and the fallen rock blocks that are
observed around the rocky slope are the main reasons that ear-
lier studies (Andronopoulos & Koukis 1976) characterize the
same part of the Acropolis hill as a zone of significant damage.
An additional factor affecting the stability of the rock slope is
the negative slope at its base, which can be distinguished in
the picture below that was taken in 1880 (Figure 1). Exam-
ining photographs that were taken before the restoration and
the in parts reconstruction of the SE/E part of the Acropolis
wall, like the one below that is dated back to 1920 (Figure 2),
one can easily ascertain its sharp vertical and diagonal fis-
suration. Moreover, some of the fissures are believed to be
connected to the discontinuities of the rock mass underneath. Figure 1. Photo of the SE/E part of the Acropolis hill in Athens in
Despite the reparations that have been made by filling and 1880. The negative slope of the rocky slope is easily distinguishable
covering these fissures, today the wall appears again fissured (Committee for the preservation of Acropolis Monuments 2004).
(Figure 3). Because of the above conditions and observations
one could argue that the system rock-wall is evolving.
According to existing geological studies (Andronopoulos & constituted by argileous schist, sand-stone, quartzitic sand-
Koukis 1976) the region of Athens is covered by the Athenian stone, marl, limestone and the transitive combination types
Schist, which also forms the base of the rocky foundation of the above rocks (i.e. sand-stone marls or argileous schist
of the wall we study. It is a flysch formation, which is limestones).The limestone rocks appear mostly to the upper

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2007 Taylor & Francis Group, London, UK


Figure 2. Photo of the SE/E part of the Acropolis hill and wall
in Athens taken in 1920. The wall is sharply vertically fissured
(Committee for the preservation of Acropolis Monuments 2004).
Figure 3. Recent photo of the SE side of the SE/E part of the Acrop-
olis wall in Athens. The fissures on it are apparent (Committee for
the preservation of Acropolis Monuments 2004).
soil layers of the region of Athens and they are related to the
presence of Acropolis hill, Filopappou hill, Lycabetus hill and
others. Generally the limestone that constitutes the SE/E part
of the rock of Acropolis is not laminated; it is not covered
by soil and therefore it is susceptible to erosion; it is carsted
and hydropermeable and intensively fractured. Mostly the dis-
continuities are filled with soil material, which according to
sampling measurements (Monokrousos 1995) it is composed
of 64% sand, 32% silt and 4% clay.
Particularly at the SE/E part of the Acropolis hill we observe
many smooth surfaces which are considered to be the sliding or
detachment surfaces of the rock blocks, which are found fallen
around the rocky slope. A total of 24 fractures were identified
at this part of the rock slope (Stefanou & Vardoulakis 2005,
Monokrousos 1995, Andronopoulos 1976). Due to the limited
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2007 Taylor & Francis Group, London, UK
geotechnical and topographic data that were provided to the
authors until now, the derived 3D models may not represent
the exact topography and tectonics.
Here we focus on the development of a continuum theory for
the modeling of the SE/E part of Acropolis wall. In section 2 a
description of the problem is made and the results from previ-
ous analyses with the Distinct Element Method are presented.
The DEM code that it was used is 3DEC (Itasca 2003), which
is a three dimensional software especially adapted to prob-
lems of Rock Mechanics and of blocky structures in general.
Further, in section 3 we summarize the homogenization pro-
cedure followed for the derivation of the continuum model and
we present the constitutive relations of the derived 3D Cosserat
continuum. In Section 4, we present the results of a preliminary
finite element model in elasticity and we discuss the results
qualitatively. Finally in Section 5, we propose the introduc-
tion of some nonlinearities that the continuum model should
embody to better represent the deformation of the structure.
2 THE SE/E PART OF THE ACROPOLIS WALL
Analyzing the SE/E part of the Acropolis rock mass we deter-
mined the vertical displacements of the various rock blocks
at the base of the SE/E part of the Acropolis wall (Figure 4).
As we have already mentioned the Acropolis hill rests on the
Athenian schist. Due to the lack of experimental data for the
mechanical properties of the schist at the base of the rock slope
we study, we will consider the mechanical properties of the
schist at nearby regions. As far it concerns the joints mechan-
ical properties we assume that they behave elastically under
compression provided that sliding did not occur at the joint
interface. Consequently we will use the mechanical proper-
ties (Young Modulus) that were specified at previous studies
(Monokrousos 1995).
Considering the above hypotheses for the mechanical prop-
erties of the system, we applied at the region of the rock mass
that the wall occupies (Figure 5) a uniformly distributed verti-
cal loading of 0,1 MPa (approximately three times the weight
of the wall and the filling material behind it). The application
of the aforementioned loading lead us to determine the dif-
ferential subsidence at the base of the wall and therefore to
the study of the behavior of the wall structure. At Figure 5,
the vertical displacements at the base of the SE/E part of the
Acropolis wall are presented. It should be mentioned that at
the wall corner the vertical displacement of the rock mass is
much lesser than the vertical displacements at the two sides
of the wall.
The building blocks that construct the SE/E part of the
Acropolis wall vary in size and quality. The total non-
homogeneity of this part of the wall is being increased by
previous reparations and fillings of the damaged segments of
the wall with building blocks of different size and quality. The
thickness of the wall is approximately 6 m but it varies a lot
from place to place. For the numerical analysis we made the
following simplifications-assumptions in our model:
The building blocks of the wall are considered as orthogonal
parallelepipeds of the same dimensions. Their dimensions
have been chosen to be equal to the average dimensions of
the wall blocks (1,2 m width, 0,7 m height and 0,6 m thick).
The modeled wall is being constructed by only one layer of
blocks (in cross section).
The system wall-rock mass is considered uncoupled, mean-
ing that the mechanical behavior of the wall does not
Figure 4. With dashed line are depicted the vertical displacements
in millimeters of the base of the wall in our 3DEC model after the
application of a vertical uniformly distributed loading of 0,1 MN/m2
to the area that the wall occupies. The straight line depicts the average
values of the results from 3DEC per rock block. This diagram shows
also the rotation of the rock blocks (Stefanou & Vardoulakis 2005).
Figure 5. The region that the SE/E part of the Acropolis wall occu-
pies. The number in the brackets express the different rock blocks of
the rock mass that the wall is based on and the numbers in the paren-
thesis are the displacement monitoring points in 3DEC (Stefanou &
Vardoulakis 2005).
influence the mechanical behavior of the rock mass. Con-
sequently it is possible to study separately, in a different
numerical model, the mechanical behavior of the wall. The
simulation of the wall is carried out introducing the verti-
cal displacements of the rock mass that we had previously
determined at the base of the wall structure.
As a result of these simplifications-assumptions is the fact
that the interlocking of the wall blocks in the vertical direction
of the wall length is ignored and that the mechanically weak
zones (repaired areas of the wall) are not taken into account.
Thus the analysis is focused on the investigation of the impact
of the rock mass displacements on the wall fissures. In Figure 6
we present the results from a previous simulation using the
Distinct Element code 3DEC (Stefanou & Vardoulakis). Com-
paring the results from 3DEC with the fissures superficially
observed (Figure 2 & Figure 3) we could easily distinguish
the similarities.
3 THE CONTINUOUS MODEL
The interest of developing continuous models for discrete
structures is that discrete type analyses are very computer
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2007 Taylor & Francis Group, London, UK
Figure 6. Vertical displacements vectors of the bricks of the SE/E
part of the Acropolis wall because of differential subsidence of its
foundation. The displacements have been multiplied by a factor of ten
for visualization reasons at 3DEC (Stefanou & Vardoulakis 2005).
time intensive and, at least for periodic structures, one might
argue that homogenized continuum models would allow for
a much more elegant and efficient solution. One could list
the advantages of the development of continuum models for
describing the mechanical behavior of such structures: a/ there
are extremely flexible when used with finite element codes
since no interface elements are needed and since the topology
of the FE discretization is independent of the block size and
geometry; b/ quite a number of analytical solutions can be
provided giving insight to the fundamental properties of the
system; c/ unconditionally stable integration through implicit
algorithms can be performed unlike discrete models where
conditionally stable explicit integration schemes are used.
Continuum models are usually based on micro-mechanical
mechanisms, which govern the material behavior in the
medium to large wavelength range. However, an impor-
tant limitation of the homogenization of layered or blocky
structures with classical continuum theories (Boltzmann con-
tinuum) is that they cannot account for elementary bending
due to inter-layer or inter-block slip and may thus consid-
erably overestimate the deformation. In order to overcome
this limitation and to expand the domain of validity of the
continuum approach, one has to consider the salient features
of the discontinuum within the frame of continuum theories
with microstructure. The two dimensional Cosserat theory has
been used with some success in the recent years for analyzing
laminated and blocky systems (Masiani et al. 1995, Masiani
& Trovalusci 1996, Sulem & Mhlhaus 1997). For blocky
rock systems various failure modes, such as inter-block slip
and block tilting, can then be easily described. In these previ-
ous studies, developed within the frame of two-dimensional
Cosserat theory, only one rotational degree of freedom was
considered for the blocks. Here, we extend this work in the
three dimensional space by adding two rotational and one
translational degree of freedom. The resulting model is a three
dimensional Cosserat model for masonry walls. The enriched
kinematics of the 3D Cosserat continuum allows modeling the
in and the outofplane deformation of such structures.
Starting with a linear elastic contact law at the masonry
joints, we derive a three dimensional lattice model, i.e. the dis-
crete model. A continuum model is then obtained by replacing
the difference quotients of the equations of the discrete model
by corresponding differential quotients. This homogenization
procedure leads to an anisotropic 3D Cosserat continuum.
For a detailed description of the homogenization procedure
followed here, we refer at Stefanou et al. 2007.
The proposed model describes the macroscopic behavior of
the wall by assuming rigid building blocks with deformable
interfaces. It is also assumed that the bed and the cross joints of
Figure 7. Elementary cell of the periodic masonry structure.

Figure 9. Stresses on element (dx1 , dx2 , dx3 ).

The 18 deformation measures, Eqs. (2) and (3), are conju-

gate in energy to eighteen stress measures: the 9 components of
the non-symmetric stress tensor, that are conjugate to the non-
symmetric deformation tensor, and the 9 moment stresses,
Figure 8. Stresses developed at the interfaces of the blocks of the which are conjugate with the 9 components of the deformation
elementary volume and the equivalent forces and moments. curvature tensor.
The constitutive relations can be obtained directly by
the brickwork (horizontal and vertical interfaces accordingly)
differentiating the elastic strain energy (Figure 9):
have the same mechanical properties. The developed stresses
b at the interfaces of the blocks are assumed to be linearly
distributed over them and the constitutive law of the joints
is assumed to be linear elastic (Figure 8). The assumption of
linear stress distribution is justified in the recent publication
of Milani et al. 2006, where the authors show that linear stress
distributions at the interface give good results as compared to We define the following dimensionless quantities which
constant and quadratic stress distributions. will be used in the following:
After calculating the elastic energy density of the elemen-
tary cell of the masonry lattice model and applying a Taylor
expansion to replace its discrete quotients with continuous
translational and displacements fields, we set it equal to the
average elastic energy density of the Cosserat continuum over
the volume of the elementary cell. For the formulation of
the constitutive law we need deformation measures, that are
invariant to rigid body motions; i.e. the infinitesimal strain
tensor:

where cN the normal elastic stiffness of the interface and

cQ the shear elastic stiffness of the interface with dimensions
and the curvature tensor: [F]/[L]3 , is the density of the material of the blocks and
L a scale length.
The constitutive equations of the equivalent elastic Cosserat
continuum are obtained as:

Equations (1) and (2) are combined to give the following

components of the so-called relative deformation tensor,

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2007 Taylor & Francis Group, London, UK


The domain of validity of the above continuous model is
discussed by comparing it with the discrete model in terms
of the dispersion function at Stefanou et al. 2007. It is found
that the Cosserat model approximates well (error less than
10%) the lattice model even for dynamic excitations, when
the wavelength is seven times bigger the size a of a building
block.
4 APPLICATION TO THE SE/E PART OF ACROPOLIS
WALL QUALITATIVE APPROACH
The equations of the above derived continuum model can be
solved to give the 3D mechanical response of masonry walls.A
Cosserat finite element was programmed and introduced to the
finite element code ABAQUS, using its User Element (UEL)
interface. The above mentioned Cosserat finite element has six
degrees of freedom. These are the 2 translational and 1 rota-
tional degrees of freedom for the inplane deformation of the
wall and the 2 rotational and 1 translational degree of freedom
for the outofplane deformation of the wall. According to the
continuum model, the translational degrees of freedom corre-
spond to the displacements of the blocks and the rotational to
the rotation of the blocks.
Here, we apply the aforementioned Cosserat finite element
in order to investigate the impact of the differential subsi-
dence of the foundation of the SE/E part of the Acropolis wall.
The assumptions mentioned in Section 2 are also considered
for the finite element analysis. In this preliminary approach
the top boundary of the wall was considered free, and at the
rest boundaries we imposed the vertical subsidence calculated
from DEM rock mass analysis. At Figures 10, 11 and 12 we
present the resulting vertical displacements of the masonry
corner from the application of the Cosserat finite element.
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2007 Taylor & Francis Group, London, UK
Figure 10. Cosserat finite element model: vertical displacements of
the SE/E part of the Acropolis wall because of differential subsidence
at its foundation.
Figure 11. Cosserat finite element model: vertical displacements
of the SE segment of the SE/E part of the Acropolis wall because of
differential subsidence at its foundation.
Figure 12. Cosserat finite element model: vertical displacements
of the E segment of the SE/E part of the Acropolis wall because of
differential subsidence at its foundation.
Obviously, these results are similar with those of the DEM
computation.
5 NON-LINEARITIES
The above FE analysis was performed in elasticity. However,
the joints of the buildings blocks may fail, because of shear-
ing and/or tension. Starting from the micro-level one could
determine the continuous equivalent of the interblock shear-
and normal forces and bending and torsion moments. These
forces can then be converted to the equivalent shear and nor-
mal stresses acting at the blocks interfaces. We explore the
conditions for which these stresses exceed the mechanically
acceptable limits of the joints, i.e. maximum normal and shear
strength. In Figures 13 and 14 we present the regions where
the stresses in the vertical joints reach the tensile and shear
strength respectively. For the joints we assumed zero tensional
strength and Mohr-Coulomb type shearing strength with an
angle of friction of 40 (Raffard 2000). Starting again form the
microstructure additional failure criteria can be formulated.
Such failure criteria may be related to the tilting or the break-
age of the masonry blocks but their derivation exceeds the
scope of the current paper. Considering the above mentioned

Figure 13. Cosserat finite element model: Dark color represents
the regions where the opening failure criterion is met at the vertical
joints (zero tension strength).
Figure 14. Cosserat finite element model: Dark color represents
the regions where the shearing failure criterion is met at the vertical
joints (angle of friction 40 ).
failure criteria, the non-linear behavior of masonry structures
could then be described.
When a masonry wall is deforming the relative movement
and rotation of its building blocks results to the reduction of
the effective interface area. This effect can be modeled by
reducing the elastic normal, cN , and shear, cQ , stiffness of the
interfaces. This is an additional non-linearity which can be
seen also as a degradation process.
The reduced elastic stiffness of an interface is defined by:
where c is the normal- or shear- elastic stiffness of an interface
(vertical or horizontal joints) before the deformation, AE is the
effective, after the deformation, area of the interface, whose
value is calculated through the homogenization procedure, and
A is the initial are of the interface.
6 CONCLUSION
When dealing with blocky or layered structures or more gen-
erally with any structure where inhomogeneities are visible,
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2007 Taylor & Francis Group, London, UK
one can address the question of modeling the behavior of
such a structure either by considering each inhomogeneity
individually and solving the problem as in the distinct or
discrete-element methods, or by considering the salient fea-
tures of the discontinuum within the framework of generalised
continuum theory. The three-dimensional dynamic behaviour
of a masonry wall is studied here. The homogenization pro-
cedure leads to the derivation of a three-dimensional Cosserat
continuum. A preliminary application of the derived homog-
enized continuum to the SE/E part of Acropolis wall was
performed, showing similar results with the previous DEM
analysis. For the finite element analysis we made use of the
user element interface (UEL) of ABAQUS. Many kinds of
non-linearities such as the failure of the joints, the breakage
of the blocks or the reduction of the effective area of the inter-
faces can be introduced to the continuous model. Generally,
one could assert that the Cosserat theory appears to be the
natural starting point for developing continuum models of
blocky structures.
ACKNOWLEDGEMENTS
This research is sponsored by the General Secretariat for
Research and Technology in Greece and the French Ministry
of Foreign Affairs in the frame of the bilateral S & T coopera-
tion between the French and Hellenic Republic (20052007):
Nouvelles mthodes danalyse numrique du comporte-
ment mcanique des monuments anciens Application
lAcropole.
REFERENCES
Andronopoulos, B. & Koukis, G. 1976, Geological Geotechnical
Study of the region ofAcropolis inAthens (Greek), Athens: Institute
of Geology and Mineral Exploration (IGME).
Monokrousos, D. 1995, RestorationWork ofAcropolis Rocks (Greek),
Athens: Committee for the preservation of Acropolis Monuments.
Stefanou, I. & Vardoulakis, I. 2005. Stability assessment of SE/E rock
corner slope of the Acropolis Hill in Athens. Proc. 5th GRACM
International Congress on Computational Mechanics, Limassol
29 June 1 July 2005. Cyprus.
Committee for the preservation ofAcropolis Monuments 2004, Photo
Archives
Itasca Consulting Group Inc 2003, 3DEC 3 Dimensional Distinct
Element Code, Electronic Manual.
Stefanou, I. Sulem, J. & Vardoulakis, I. 2007. Three-dimensional
Cosserat homogenization of masonry structures: Elasticity, Acta
Geotechnica: Submitted.
Milani, G., Lourenco, P.B. & Tralli, A. 2006, Homogenised limit
analysis of masonry walls, Part I: Failure surfaces, Computers and
Structures 84: 166180.
Masiani, R., Rizzi, N.L. & Trovalusci, P. 1995, Masonry walls as
structured continua, Meccanica 30: 673683.
Masiani, R. & Trovalusci, P. 1996, Cosserat and Cauchy materials as
continuum models of brick masonry, Meccanica 31: 421432.
Sulem, J. & Mhlhaus, H.-B. 1997, A continuum model for peri-
odic two-dimensional block structures, Mechanics of Cohesive-
Frictional Materials 2: 3146.
Raffard, D. 2000, Modlisation de structures maonnes par
homognisation numrique non linaire: application aux
ouvrages d intrt archologique, Thse, Institut National
Polytechnique de Lorraine.
ABAQUS, Inc. 2004,ABAQUS Online Documentation,Version 6.5-1,
Electronic Manual.
 Time-dependent damage growth and failure mechanism around tunnel under deep
geological environments

Takato Takemura
Geological survey of Japan, AIST, Tsukuba, Japan

Aliakbar Golshani, Masanobu Oda, Yoshiaki Okui

Dept. of Civil and Environmental Engineering, Saitama University, Saitama, Japan

Manabu Takahashi
Geological survey of Japan, AIST, Tsukuba, Japan

ABSTRACT: The use of underground facilities such as waste reservoirs and power station caverns is increasing. The excavation
of underground openings results in a change in stress distribution which may lead to the development of a plastic zone around
the tunnel, termed as excavation disturbed zone. Such changes alter the mechanical properties of rock mass such as strength
and deformability, and the hydraulic conductivities and hence influence contaminant pathways. To characterize the behavior
of excavation disturbed zone as well as host rock, time influence on the mechanical properties of rock is of great importance.
For instance, when considering deep excavations for disposal of high-level radioactive waste in rocks, assessment of the time-
dependent stability of rock mass under deep geological environment is necessary. With this in mind, creep tests were carried
out on Inada granite under confining pressure: 40 and 80 MPa for dry and wet samples. The conclusions are summarized as
follows: Shear zone developed just before tertiary creep is similar to the onset of the macroscopic failure under conventional
loading condition (short term).

1 INTRODUCTION viewpoint of earthquake and rock engineering. Unfortunately,

Crystalline rock such as granite is a one of candidate geo-
materials for deep underground excavations for the disposal
of high-level radioactive waste. It is well known that both
nucleation and growth of cracks, called cracking, are respon-
sible for inelastic deformation of crystalline during the pre-
and post-failure stages and during creep (e.g. Wawersik and
Brace, 1971, Kranz, 1979). Cracking are an important factor
in evaluating the hydro-mechanical properties of a plastic zone
around a tunnel, termed the excavation disturbed zone (EDZ).
The mechanism of cracking in relation to the formation of
the EDZ may be stress-induced cracking or time-dependent
cracking. Accordingly, to isolate radioactive waste from areas
of human activity over the long term, for example over a period
of 100,000 years, time-dependent hydro-mechanical behavior
is of great importance in assessing the long-term stability of
a rock mass.
To predict and evaluate the long-term stability of a rock
mass, a number of creep experiments have been carried out to
obtain parameters for models based on visco-plastic theory,
as such models can be used to estimate the creep life of rocks.
However, the models do not take into account crack evolu-
tion associated brittle failure. Thus it is difficult to evaluate
changes in permeability because the models do not include
crack geometry such as length, orientation, and aperture.
For brittle rock, time-dependent cracking, called sub-
critical crack growth, takes place as brittle failure under a
constant load. In the moisture condition, sub-critical crack
growth is induced by the stress corrosion of silicate materials.
In the past two decades, a large number of creep tests have
been carried out using silicate rocks to investigate from the
few reports have explored the crack evolution under creep
conditions. In the present study, we conducted experiments
to investigate changes in crack geometry, such as density and
orientation, associated with creep failure.
2 TESTING PROCEDURE AND ANALYSIS METHOD
2.1 Test material
Blocks of Inada Granite were sampled from a quarry in
Ibaraki, Central Japan. The granite consists mainly of quartz
(37% by volume), plagioclase (33%), orthoclase (24%), and
clay minerals such as biotite (6%); the mean grain size is about
2.0 mm. The Inada Granite appears homogenous in the meso-
scale, without any visible mineral foliation, and the c-axes of
minerals are almost randomly distributed. A large rock mass
splits more readily along the rift and grain planes than along
the hardway plane. For convenience, three orthogonal direc-
tions oriented normal to these planes are taken as the reference
axes xi (i = 1, 2, 3), and the plane oriented normal to one of
these reference axes is called the xi -plane. For more details,
see Takemura & Oda (2004).
2.2 Creep test
We carried out a creep test in which the confining pressure
3 and water content (dry/saturated) were varied to examine
the effect of these parameters on creep failure, as is typical
in the deep geological environment. The dry samples used
in these tests were dried in desiccators with silica gel for
more than 2 weeks and were kept in the desiccators until

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2007 Taylor & Francis Group, London, UK

immediately prior to testing. Saturated samples were forcibly
saturated with pure water under a vacuum for more than 2
weeks. Cylindrical samples (50 mm in diameter and 100 mm
long) were taken from the block and the top and bottom sur-
faces of each sample were ground to within 0.0035 mm of
parallelism using a high-precision surface grinder. The test-
ing machine was an MTS Model 815 quipped with a digital
servo controller. Samples were axially loaded at a constant
differential stress, (1 3 ), at a rate of 1 MPa/s up to the
onset of creep stress ratio CSR. For convenience, we use a
CSR defined as the ratio of (1 3 )/(1 3 )f in order to
indicate the magnitude of applied deferential stress, where
(1 3 )f is the peak differential stress. (1 3 )f of the CSR
was obtained from a constant-loading failure test. A water sup-
ply and drainage system were attached to the testing machine,
with the drain used for experiments involving wet samples.
All tests were conducted at a constant room temperature of
25 C.
Tests of the time to creep failure and damage growth were
carried out under the following conditions.
Creep failure test: The first group, Group A, consisted of
28 samples that were loaded to CSR = 0.90, 0.92, 0.95, and
0.98 under confining pressures of 40 and 80 MPa and with
dry and wet conditions. After the differential stress (1 3 )
had reached the CSR setting, (1 3 ) was held constant until
failure occurred. In these tests, the loading axis was variably
oriented parallel to each of the reference axes xi (i = 1, 2, 3).
Time-dependent damage growth test: The second group,
Group B, consisted of four damaged samples, all of which were
loaded to CSR = 0.95 under a confining pressure of 40 MPa
and dry conditions. After the differential stress (1 3 ) had
reached the CSR setting, (1 3 ) was held constant. When
the relationship between volumetric strain v = a + 2l and
elapsed time had reached the primary, secondary, and ter-
tiary creep points (Figure 1), the applied differential stress
was unloaded. The sample was then taken out of the pressure
vessel and subjected to a wave velocity test.
2.3 Crack-related fabric determined by wave velocity
After a sample was damaged in the time-dependent amage
growth test, it was cut down in size to leave the central part
such that both the diameter and length were 5 cm. As the top
0.8
0.6
(d)
-v (x10-2)
0.4
(c)
0.2
(b)
0 R
0 5000
Tf (sec)
Figure 1. Unloading point for time-dependent growth test. (b)
CSR = 0.95, (c) secondary creep, (d) tertiary creep.
2007 Taylor & Francis Group, London, UK
and bottom ends of the damaged sample typically record few
microcracks [e.g., Oda et al., 2002], we used only the central
part of the sample for the longitudinal wave velocity test. The
central half of the sample was then cut to make a polyhedron
consisting of nine pairs of parallel faces located about 45 mm
apart. Each pair was carefully ground to parallelism with a
tolerance of 0.0035 mm (Figure 2(a)). After grinding, the
sample was air-dried and stored in a desiccator for at least 2
weeks.The longitudinal wave velocities v in nine directions k 1 ,
k 2 , . . . , k 9 (unit vectors) were measured using a conventional
ultrasonic transmission method.The transmission and receiver
were made of lead zirconate-lead titanate, with 400 kHz as
a longitudinal wave center frequency. The longitudinal wave
data for each shot were stored digitally in a computer using
an 8-bit A/D converter with a sampling rate of 100 ns. The
transmission and receiver were attached to a sample through
silicon grease to minimize energy loss at the contacts.
The wave velocities for each of the nine directions were
plotted on a Schmidt equal-area net such that the plotted
points corresponded with the nine directions k 1 , k 2 , . . . , k 9 in
Figure 2(b). Using the wave velocities of these 13 directions,
we were able to construct a contour plot on the net using the
Kriging method.
3 RESULTS AND DISCUSSION
3.1 Time-dependent failure
Two experiments were performed on saturated specimens
under a confining pressure of 40 MPa: one that involved
increasing axial stress to the failure point and the other with a
steady CSR of 92%. Figure 3 shows the relationships between
differential stress, axial strain a, circumferential strain r, and
volumetric strain. The dashed line in Figure 3(b) represents the
elasticity line, while the distance from the line represents the
inelastic volumetric strain v(c). v(c) is related to the crack
density and is closely related to brittle failure, as described
below.
Figure 4 shows the relationships among confining pressure,
CSR, and time to failure Tf under wet and dry conditions. No
variations were observed in Tf with direction of axial loading
under any of the conditions. However, it is clear from a com-
parison of the results obtained under 3 = 40 MPa and 80 MPa
that failure occurred earlier under lower confining pressure,
even if creep initiated at an equivalent CSR in both cases. Com-
paring the saturated and dry results for 3 = 40 MPa, failure
occurred about 10 times more quickly under saturated condi-
tions than under dry conditions, even when creep initiated at
R
H
k1
k8
k4
H
G
k7 k3 k6 k2
G
k5
k9
(a) (b)
Figure 2. (a) A polyhedron specimen for longitudinal wave velocity
test, (b) Plotted point on the Schmidt equal-area.
510
the same CSR in both cases. These results indicate that crack sample with the sample that reached the differential stress
development in Inada granite under creep is slowed under high at CSR = 0.95. It is clear that the longitudinal wave velocity
confining pressures such as those that occur at deep geologi- is reduced parallel to the x3 axis of the specimen, as crack
cal condition, however, the presence of water accelerates the growth occurred on the plane oriented perpendicular to the
rate of cracking. x3 axis. Figure 4(c) and (d) show the directional changes in
longitudinal wave velocity of samples that reached secondary
and tertiary creep.The longitudinal wave velocity is drastically
3.2 Time-dependent damage growth and failure
reduced once the sample reaches tertiary creep.
We collected damaged samples in the experiment with Figure 5 shows the inelastic volumetric strain at failure
CSR = 0.95 under dry conditions and constructed stereonet under a conventional constant-loading test and a creep test.
plots of the distribution of longitudinal wave velocity (Fig- The solid circles represent the inelastic volumetric strain at
ures 4). The x1 axis in the stereonet corresponds to the failure, while the slashed lines represent samples that con-
rift axis, x2 to the grain axis, and x3 to the hardway axis. tained visible micro-shear planes under the constant loading
Here, the loading axis is the hardway axis. Figure 4(a) shows test and open circles represent inelastic volumetric strain at the
directional changes in longitudinal wave velocity in intact creep failure. In the constant loading test, we observed micro-
sample, and the longitudinal wave velocity is highest in the shear planes in the post-failure region. Micro-shear planes
x3 direction. The greater the number of cracks, the slower were also observed at tertiary creep in the creep test. In terms
the elastic wave velocity, therefore, the cracks are parallel to of inelastic volumetric strain, our experiments revealed that
the x1 plane. the internal structure, e.g., crack density, of granitic samples
Figure 4(b) shows the directional changes in longitudinal damaged at tertiary creep was almost the same as that obtained
wave velocity at CRS = 0.95. Here, we compare the intact in the post-failure region in the constant loading test.

100
1.2

1.0

95
Creep stress ratio; CSR

0.8
v(c)(x102)

0.6

Rift (3 = 80MPa)
90 Grain (3 = 80MPa) 0.4
Rift (3 = 40MPa)
Grain (3 = 40MPa) Conventional triaxial test
Hardway (3 = 40MPa) 0.2 Micro-shear plane
Grain,wet (3 = 40MPa) Creep failure
Hardway,wet (3 = 40MPa)
85 0
0 50 100
100 102 104 106
Tf (sec) 3 (MPa)

Figure 3. The relationship between creep stress ratio and creep Figure 5. Relationship between inelastic volumetric strain at failure
failure time. and confining pressure.

-0.008
R
@@Inelastic volumetric

3.2

3.5
strain@@

R H
-0.006 3.2
G

3.6
H G
(d)
-0.004 R
3.2
4.5

(c) H G
-0.002 4.7

R 4.5

3.5

3.8 H
(a)
G
0
0 1000 2000 3000 4000 5000 6000 7000
3.5
Tf (secj)
(b)

Figure 4. Directional changes in longitudinal wave velocity of samples; (a) Intact, (b) CSR = 0.95, (c) secondly creep and (d) tertiary creep.

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4 CONCLUSION
We carried out creep tests to investigate creep failure mech-
anisms and damage growth under various environmental
conditions. Using these results, we were able to determine the
time-dependent parameters of microcrack growth. By apply-
ing these parameters to the numerical model proposed by
Golshani et al. (2005), it will be possible to predict damage
growth and the formation of an EDZ around a tunnel.
REFERENCES
Kranz, R. L. (1979) : Crack growth and development during creep
of Barre granite, Int. J. Rock Mech. Min. Sci. & Geomech Abst.,
Vol. 16, pp. 2335.
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2007 Taylor & Francis Group, London, UK
A. Golshani, A., Oda, M., Okui, Y., Takemura, T. and Munkhtogoo,
E. (2006) : A micromechanical model for brittle failure of rock
and its relation to crack growth observed in triaxial compression
tests of granite, Int. J. Rock Mech. Min. Sci. (in press)
Oda, M., Katsube, T. and Takemura, T. (2002) : Microcrack
evolution and brittle failure of Inada granite in triaxial com-
pression tests at 140 MPa, J. Geophys. Res., 107, 2233,
doi:10.1029/2001JB000272
Takemura, T. and Oda, M.(2005) Crack density and wave velocity
change with damage growth in granite. J. Geophys. Res, 110,
B05401, doi:10.1029/2004JB003395.
Wawersik, W.R. and W.F. Brace, Post- failure behavior of a granite
and diabase, Rock Mechanics, 3, 6285, 1971.
 Uniaxial compression behaviour of the Jarmelo granite (Guarda, Portugal)

M. Quinta-Ferreira
Department of Earth Sciences, University of Coimbra, Portugal

A.M. Anto
Department of Civil Engineering, Polytechnic Institute of Guarda, Portugal

ABSTRACT: The behaviour of the Jarmelo granite (Guarda, Portugal) in uniaxial compression is presented. The grain size,
texture and mainly weathering are responsible for the variation of the strength and deformation properties of the granite. The
weathering process increase the porosity and reduces the unit weigh. The increase of porosity above 2% is marked by a significant
reduction of the mechanical properties of the granite. The strength of the granite reduces 94% from grade I to grade IV and
increases the dispersion of the results. The rupture behaviour is brittle. The tangent, secant and initial deformation modulus, all
decrease with weathering. In the first three grades of weathering the stiffness of the sample increases with deformation while
the opposite occurs for grade IV. The maximum axial strain at rupture increases proportionally with weathering, presenting a
low variation coefficient.

1 INTRODUCTION

The strength and deformability of crystalline rocks has been

studied by a great number of authors in the last decades. As
each material has its own behaviour, influenced by the miner-
alogy, texture and weathering, it is necessary to conduct tests
to obtain its specific properties. This work concerns with the
study of the Jarmelo granite, close to the city of Guarda, central
Portugal.

2 MATERIALS

The Jarmelo granite, as well as the surrounding granites are

derived from the partial melting of relatively hydrated sed-
iments, considered as sin-orogenic, sin-F3 (Ferreira et al.,
1987). The sampling of the granite with weathering grades
from I to IV, according to the classification of the IAEG
(1981), was done after a surface geological reconnaissance.
The average grain size of the Jarmelo granite is 3 mm (Teixeira
et al, 1963) and the texture is granular. The main minerals are
quartz, microcline, albite, oligoclase, and muscovite. Biotite,
apatite, sphene, zircon and magnetite can also be found. Sec-
ondary minerals are caolinite, sericite, chlorite, iron oxides,
iron hydroxides and epidote. The mineralogical study was
done under the optical microscope, allowing obtaining the
modal composition presented in figure 1.
A summary of some physical index properties of the rock
material, with increasing weathering, is presented in table 1.
The samples used to determine the index properties were the
same that were used to execute the mechanical tests.
3 METHODS
3.1 Sample preparation
The samples were obtained in the field by coring, using diame-
ters from 80 to 100 mm. Later, in the laboratory, the cylindrical
samples were prepared for testing, cutting their bases and cor-
recting the surfaces, considering a height to diameter ratio
Figure 1. Modal composition of the Jarmelo granite.
arround 2. To allow handling the more weathered samples
(grade IV), a latex membrane was used in the bases (Anto,
2004), as recommended by the ISRM (Fairhurst & Hud-
son, 1999). The samples were tested with the water content
resulting from air-drying.
3.2 Tests procedures
Uniaxial compression (UC) tests with controlled strain were
executed (Fairhurst & Hudson, 1999; Brown, 1981). To evalu-
ate the deformations, two alternative measurements were used:
1) a system using linear transducers; 1.a) three LVDT at angles
of 120 for the measurement of the axial deformations; 1.b)
four LDT at angles of 90 located at half height of the test
samples, for the measurement of the lateral deformations; 2)
electrical strain gauges glued to the samples (encapsulated
strain gauges of 20 mm long and 350 ohm). Its appliance did
not offered problems in the less weathered granite, in opposi-
tion to the weathered samples of grade IV. One of the objectives
to instrument the samples with two different deformation mea-
surement systems was to evaluate their reliability. It was also
intended to follow the behaviour of the equipments throughout
an UC test, mainly in the phase of rupture and after-rupture.

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2007 Taylor & Francis Group, London, UK

Table 1. Physical index properties of the Jarmelo ganite.

n (%) wmax . (%) d (kN/m3 ) sat (kN/m3 )

Weathering
grade G Min. Max. Aver. Min. Max. Aver. Min. Max. Aver. Min. Max. Aver.

I 2.66 1.00 1.13 1.13 0.38 0.47 0.43 25.7 25.8 25.79 25.8 25.9 25.9
II 2.64 2.01 4.22 3.22 0.79 1.67 1.26 24.9 25.4 25.07 25.3 25.6 25.4
III 2.64 3.82 6.96 5.18 1.51 2.84 2.07 23.9 24.9 24.55 24.7 25.4 25.1
IV 2.58 9.07 11.38 10.25 3.77 5.07 4.22 22.2 23.6 22.75 23.2 24.5 23.8

G-specific gravity; n-porosity; wmax .- maximum water content; d - dry unit weight; sat - saturated unit weight.

Table 2. Results of the uniaxial compression tests.

Dimensions
Weathering Sample (mm) Test speed c M Ei Et50 Es50 Etpp a rot.
grade N h (mm.s1 ) (mpa) (gpa) (gpa) (gpa) (gpa) (gpa) (%)

I J36 185.0 103.0 0.005 132.74 17.15 37.19 29.19 554.43 0.426
J37 185.0 103.4 0.002 113.65 234.40 24.26 33.30 26.70 591.40 0.466
J39 185.5 103.5 0.001 130.21 675.10 31.03 37.08 28.50 166.14 0.462
J40 185.4 103.5 0.001 132.00 19.46 33.14 27.77 372.72 0.476
J41 186.1 103.6 0.005 134.17 518.80 16.31 33.72 26.99 165.50 0.468
J42 185.4 103.5 0.005 127.46 239.70 20.65 32.92 23.74 567.55 0.518
II J2.1 130.1 82.9 0.005 56.28 27.10 7.05 7.43 7.14 0.720
J3 156.4 83.0 0.005 55.89 16.60 6.45 8.44 5.40 27.03 0.879
J8 198.0 103.0 0.005 60.44 6.25 9.00 6.70 39.20 0.904
J9 195.1 103.2 0.005 56.92 12.60 5.66 13.21 5.27 15.24 0.905
J11 195.7 103.2 0.001 53.80 3.92 8.84 6.27 9.89 0.788
J12 199.9 102.9 0.005 66.32 30.60 7.41 17.20 8.28 90.14 0.735
III J14 196.0 103.0 0.005 28.78 2.97 2.66 2.34 11.29 1.292
J15.1 196.5 102.9 0.005 35.90 5.10 3.01 4.95 3.05 11.03 1.111
J22 203.5 103.2 0.005 33.04 10.50 2.57 6.69 3.67 14.00 0.975
J25 199.0 103.3 0.005 31.04 6.00 4.97 3.14 2.74 22.47 1.206
J26 199.0 103.3 0.005 35.15 1.11 3.98 3.68 8.18 1.115
J29 200.6 103.3 0.005 36.80 6.50 3.19 6.50 3.02 18.81 1.164
IV J19 165.2 103.3 0.005 20.95 2.50 3.18 1.75 1.42 2.51 1.502
J30 202.8 103.0 0.005 8.87 0.70 2.10 0.99 0.68 1.84 1.757
J32 202.5 101.1 0.005 8.15 1.71 0.63 0.82 1.52 1.445
J53 163.0 82.5 0.005 3.76 0.40 2.11 0.32 0.33 0.67 1.467
J54 162.9 81.3 0.0025 3.56 0.40 1.35 0.39 0.37 0.66 1.413
J55 162.2 82.5 0.005 4.04 0.60 2.42 0.35 0.50 0.87 1.284

c uniaxial compressive strength; M permanent deformation modulus obtained in the cyclic tests; Ei initial deformation modulus;
Et50 tangent deformation modulus at 50% of the maximum stress; Es50 secant deformation modulus at 50% of the maximum stress;
Etpp tangent deformation modulus at 50% of the maximum after-rupture stress; a rot maximum axial deformation at rupture.

All the equipments used to measure the deformations were
calibrated.
The UC tests were executed with deformation control at a
constant rate ranging from 0,001 to 0,005 mm/s, and the tests,
whenever possible, were extended until the total discharge of
the stress-strain curve. Cyclical UC tests were also done, using
at least three cycles with constant controlled deformation,
without pre-loading the samples.
The effect of the latex membrane in the samples rigidity was
determined by the procedure proposed by Head (1994), and it
was concluded that the correction was negligible in respect to
the rigidity of the rock.
4 ANALYSIS OF THE RESULTS
The weathering process increase the porosity, reduces the unit
weigh (table 1) develop fissures and pores, decrease the iron,
magnesium, calcium and titanium content while the aluminum
increases (Anto, 2004).
The parameters obtained from de uniaxial compression tests
are: uniaxial compressive strength (c ) and axial strain at rup-
ture (a rot ) determined according to the ISRM (Fairhurst &
Hudson, 1999; Brown, 1981); initial deformability modulus
(Ei ) computed according to Gupta and Rao (2000); permanent
deformation modulus (M) proposed by Goodman (1989), per-
manent after-rupture deformation modulus (Epp ) determined
according to Lama and Vutukuri (1978); secant and tangent
deformation modulus at 50% of the maximum stress accord-
ing to Fairhurst & Hudson (1999). The results obtained are
presented in table 2.
Concerning the strength of the granite with weathering,
there is a reduction of 94% from grade I to grade IV. The
strength values of the more weathered samples (grade IV)
have larger dispersion than the unweathered samples.
A few examples of stress-strain curves of the Jarmelo gran-
ite with weathering are presented in figure 2. Concerning the
behaviour of rock failure in uniaxial compression, these gran-
ites can be classified of class I (Fairhurst & Hudson, 1999).

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 140 J39 60 J3

Stress (MPa)
Stress (MPa)
(I) t (II)
120 50
100
40
v 80 v
30
t 60 a
a
20
40
10
20

0 0
-0.6 -0.4 -0.2 0 0.2 0.4 0.6 -1.8 -1.2 -0.6 0 0.6 1.2 1.8
Strain (%) Strain (%)

35 J22 J54
Stress (MPa)

(III) 4.0 (IV)

Stress (MPa)
30
t 3.5
25 v 3.0
t a
20 2.5
v a
2.0
15
1.5
10
1.0
5 0.5
0 0.0
-1.5 -1 -0.5 0 0.5 1 1.5 -2.5 -1.5 -0.5 0.5 1.5 2.5
Strain (%) Strain (%)

Figure 2. Stress-strain behaviour of the Jarmelo granite. J39 sample number; (I) weathering grade; a axial deformation; t tangent
deformation; v volumetric deformation

The samples with weathering grades from I to III present four
phases (Andreev, 1995) of the stress-strain curve. In the sam-
ples with weathering grade IV, the first phase corresponding to
the closure of the microfissures, could not be observed, while
phase III is larger, occurring the yield at lower values than
the maximum load. Despite this, the after peak behaviour is
still brittle, as can be inferred from the low value of the axial
deformation at failure and from the good recovering of the
deformation observed in the after peak cycles (e.g.: sample
J54 in figure 2).
In the weathering grade I the recovering of the deformation
after the cycles of load-unload is almost total. These samples
have a permanent deformation modulus very high (table 2)
reaching more than 15 times the modulus of the samples of
grade II. In the cyclic tests, the tangent and secant defor-
mation modulus were obtained in the pre-peak curve. The
tangent, secant and initial deformation modulus, together with
the uniaxial compressive strength, all decrease with weather-
ing (table 2). The reduction of the initial deformation modulus
(83% to 89%) and of the tangent modulus (94% to 98%) is
lower than those obtained by Gupta and Rao (2000). In the first
three grades of weathering, the initial deformation modulus
is lower than the tangent modulus, indicating an increase of
stiffness of the sample with crescent deformation. The oppo-
site occurs in the more weathered samples (grade IV). The
initial deformation modulus versus porosity, is presented in
figure 3. In the samples with porosity below 2% the initial
deformation modulus (Ei) can show a large variation from
around 10 GPa up to more than 30 GPa. For the samples with
porosity above 2%, Ei is below 10 GPa and decreases with
increasing porosity.
Lumb (1983), for the Hong Kong granites, also found this
same behaviour, but obtained an inflection point around 5%.
The increase in the porosity allow an easier development of
the fissures that start to develop in the elastic phase of the
UC test.
The permanent deformation modulus (M) in weathering
grades I and II is high and above the values of the tangent
and secant modulus. In the weathering grades III and IV the
permanent deformation modulus (M) exhibits a strong reduc-
tion (99.5% to 99.8%) presenting a more ductile behaviour,
with unrecoverable deformations in the initial stretch of the
stress-strain curve.
The tangent deformation modulus at 50% of the maximum
after peak stress shows higher values than the tangent and
secant modulus in the more weathered samples.
The maximum axial strain at rupture (a rot ) increases sig-
nificantly with the weathering, presenting a low variation
coefficient. In figure 4 is presented the relation between a rot
and the ratio Et50 /c , proposed by Ramamurthy (2001).
As these granites are characterized by a brittle fracture, the
development of fissures and fractures before reaching the peak
strength is common. The primary fracturing usually of brittle
behaviour, is mainly observed in the less weathered grades
(I and II) leading to a heterogeneous evolution of the lateral
deformation (samples J37, J41, J9 and J12).

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2007 Taylor & Francis Group, London, UK

 35 of the porosity, the UC strength of the rock reduces drasti-
cally, mainly due to the influence of the fissures and texture.
The rupture behaviour is brittle. In the first three grades of
Ei -Initial deformation modulus (GPa)

30
weathering, the initial deformation modulus is lower than the
25 tangent modulus, indicating an increase of stiffness of the sam-
ple with crescent deformation.The opposite occurs in the more
20 weathered samples (grade IV). The maximum axial strain at
rupture (a rot ) increases proportionally with the weathering
15 grade, presenting a low variation coefficient.

10
BIBLIOGRAPHY
5
Andreev, G.E.1995. Brittle Failure of Rock Materials. Test Results
and Constitutive Models. Roterdam: Balkema.
0 Anto, A.M. 2004. Geotechnical behaviour of Guarda granite with
0 1 10 100 weathering. PhD Thesis, Dep. Earth Sciencies. Coimbra: Univer-
n (%) sity of Coimbra (in portuguese).
Brown, E.T. (ed.) 1981. Rock characterization testing & monitoring
Figure 3. Variation of the initial deformation modulus (Ei) with ISRM suggested methods. Oxford: Pergamon Press.
porosity (n). Fairhurst, C.E. & Hudson, J.A. 1999. Draft ISRM suggested method
for the complete stress-strain curve for intact rock in uniaxial
compression. Int. J. Rock Mech. Min. Sci., 36: 279289.
2.0 Ferreira, N. et al. 1987. Granitides da Zona Centro-Ibrica e
1.8 seu enquadramento geodinmico. In Honour book to Garcia de
Figueirola, Geologia de los granitoides y rocas asociadas del
a rot - Axial strian at rupture (%)

1.6 Macizo Hesprico: 3752. Madrid: Rueda.

Goodman, R.E. 1989. Rock Mechanics. 2nd edition, John Wiley &
1.4
Sons.
1.2 Gupta, A.S. & Rao, K.S. 2000. Weathering effects on the strength
and deformational behaviour of crystalline rocks under uniaxial
1.0 a rot = 2,52(Et50/c)-0,26 compression state. Engineering Geology, 56: 257274.
R2 = 0,81 Head, K.H. 1994. Manual of soil laboratory testing. Vol.2, 2nd ed.
0.8
Halsted Press, J.W. & Sons, Inc.
0.6 IAEG 1981. Rock and soil description and classification for engi-
neering geological mapping. Report IAEG Commission on Eng.
0.4
Geol. Mapping. Bulletin of the IAEG, 24: 235274.
0.2 Lama, R.D. & Vutukuri, V.S. 1978. Handbook on mechanical prop-
erties of rocks Testing Techniques and results. Vol. II, III e IV
0.0 Trans Tech. Publications. Clausthal.
0 100 200 300 400 500 Lumb, P. 1983. Engineering properties of fresh and decomposed
Et50/c igneous rocks from Hong Kong. Engineering Geology, 19(2):
8194.
Figure 4. Relation between the axial strain at rupture (a rot ) and the Ramamurthy, T. 2001. Shear strength response of some geological
ratio (Et50 /c ). materials in triaxial compression. Int. J. Rock Mech. Min. Sci., 38:
683697.
Teixeira, C. et al. 1963. Notcia explicativa da folha 18-C, Guarda.
5 CONCLUSION Carta Geolgica de Portugal, 1/50000. Lisboa: Servios Geolgi-
cos de Portugal (in portuguese).
The tests executed allowed a better understanding of the
behaviour of the Jarmelo granite. The difficulties in testing
the more weathered samples were compensated by the rel-
evant information on their behaviour. For small increments

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 Validation of determination of rock deformation moduli by different methods

A.I. Savich, E.G. Gaziev, V.I. Rechitski & A.V. Kolichko

Geodynamic Research Centre, Moscow, Russia

ABSTRACT: The underground works of the Rogun dam project in Tadjikistan comprise: machine hall 20 m wide, 70 m high
and 220 m long and transformer hall 18 m wide, 37 m high and 182 m long.
To assess deformation properties of the rock masses composed of sandstone and aleurolite which surround the underground
excavations, a set of methods was applied including dilatometers, seismic and ultrasonic measurements, determination of
moduli of deformations by the Hoek and Brown method applying the Bieniawski rock quality classification as well as defining
the values of moduli from the measured convergence of the machine hall walls by solving a number of 2-D and 3-D problems to
estimate the stress-strain state of the host rock-underground excavation system at different phases of construction. Described
herein below are the technique and results of conducted investigations as well as comparative evaluation of the moduli of
deformation obtained by different methods.

1 INTRODUCTION Excavation of the machine hall cavern began in 1986 and

Deformability of the rock masses serving as the foundation
for the surface structures and as host medium for the under-
ground works is one of the major factors governing behavior
and safety of the entire structurefoundation system. The
criteria of rock deformability the moduli of elasticity and
deformability are the major parameters used to analyze the
rock masses on the computational models (Technical Report
2005, 2006).
For the real rock masses featuring their structural hetero-
geneity and anisotropy as well as certain primary stressed
state, estimation of their deformation properties is a complex
and critical engineering task. Solution of this problem con-
sidering the size of the bearing area and the type of surface
structures or volumes of underground excavations is aggra-
vated by the presence of the scale effect i.e. dependence of
magnitudes of the moduli of elasticity and deformation on the
applied scale of investigations (Savich & Kujundzic, 1985).
Todays engineering practice uses various direct and indirect
methods of determining the moduli of elasticity and deforma-
tion, as well as Poissons ratio for the rock masses in their
pristine state including the rating approaches to assess the
above parameters by a set of geological features of the rock
masses in question (Bieniawski 1979, Bieniawski 1989, Bar-
ton et al. 1974). The final results of these determinations can
materially vary and therefore there arises necessity of select-
ing those data which most correspond to the specified design
computational model and the real behavior of the structure
foundation system. Such a problem arose in construction of
a large underground machine hall at the Rogun dam project
on the Vakhsh river in Tajikistan.
2 CHARACTERISTIC OF PROJECT AND
UNDERGROUND WORKS LOCATION
The underground works of the Rogun dam project comprise:
machine hall 20 m wide, 70 m high and 220 m long;
transformer hall 18 m wide, 37 m high and 182 m long
located at a distance of 63,5 m (within center lines) on
downstream from the machine hall, and
various underground excavations.
excavation was carried to the full width of the cavern in 6
11 m deep benches. The crown and side walls were supported
with rock bolts, reinforced concrete lining and pre-stressed
cable anchors.
By the year 1990, the machine hall cavern had been benched
down to a depth of 36 m, the transformer hall cavern had been
excavated to a depth of 16 m before excavation operations
were suspended.
The rock mass hosting the major caverns of the Rogun power
house about 400 m beneath the surface is a massive rock strata
consisting of unevenly alternating inequigranular sandstone
and aleurolite with argillite intercalations.
During the design phase, site investigations the structure
and properties of the rock mass surrounding the underground
works had been intensively studied. It has been established that
due to its jointing the rock mass represents a discrete medium
with corresponding non-uniformity in the distribution of the
rock deformation modulus and strength properties (Kolichko
2000).
At the design phase, deformation properties of the
sandstone and aleurolite mass were derived from field mea-
surements of longitudinal and transversal elastic waves prop-
agation through the mass with natural moisture content, by
detail study of fracturing and by some in-situ determinations
of the modulus of deformation. These studies covered different
geological zones of the rock mass.
It has been shown that anisotropy of the rock mass deforma-
bility works out to be on the order of 20%, and this allows the
rock mass to be treated in analysis conventionally as isotropic
in terms of its elastic and deformation properties.
As outcomes, averaged design strength and deformation
characteristics of the sandstone and aleurolite and argillite
were determined (see Table 1).
It has been found that the field of primary stresses in the
machine hall zone of the rock mass is characterized by the
following parameters:
vertical stresses 14,0 MPa;
horizontal stresses 18,0 MPa.
During excavation of the machine hall and afterwards the
cavern outline had sustained big deformations due many

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Table 1. Strength and deformation properties of rocks.

Strength in sample, MPa Modulus of deformation, MPa

Poissons ratio
Rock Rc Rt In virgin rock mass In stress relief zone

Sandstone 100 10 9000 6000 0,22

Aleurolite 70 7 5500 4000 0,30

Rc strength in compression; Rt strength in tension.

Table 2. Convergence of machine hall walls at Rogun Dam Project (at crane beam level).

Magnitude of convergence, mm

In sandstone,
Measurement phases Construction stages Time period In aleurolite In sandstone fault zone 70

Before instrumental Excavation of bench III October 1988 150 60 70

measurements) (el 985-973 m) October 1989
Measurements during Excavation of bench IV October 1989 85 30 35
construction (el 973-964,2 m) May 1990
Measurements during Installation of anchors on June 1990 120 60 65
construction cavern walls at bench IV December 1992
Measurements after 19932005 155 15 25
suspension of works
Total: 510 165 195
)
Indicated magnitude of convergence is a forecast based on analysis of data on monitoring during construction of caverns at Rogun dam
project and similar projects.

causes and primarily because of high primary stresses in the
rock mass: convergence of the machine hall side walls in the
aleurolite had exceeded 500 mm by the year 2005.
In 2005 in connection with resumption of construction
activities on the Rogun dam project, the main power house
caverns were thoroughly examined and information has been
obtained on the state of the rock mass and the underground
excavations. Basing on the findings of examinations it was
decided to conduct a repeat cycle of determinations of host
rock deformation properties with a view of detecting and
quantifying the changes in its properties that occurred dur-
ing prolonged suspension in construction of the project and
flooding of the machine hall cavern that took place.
The Obigarm rock formation, which surrounds most of the
underground works was of particular interest in the repeat
studies. This formation consists of two units: lower Obigarm
composed of brown color aleurolite with interlayers of brown
and gray argillite, and upper Obigarm unit composed of mas-
sive thickly bedded brown and gray-brown sandstone with
sparse thinly bedded aleurolite and argillite partings. Quart-
zous sandstone on the carbonaceous and argillaceous cement
is primarily fine and medium grained hard practically not
prone to weathering. The aleurolite has a composition sim-
ilar to that of sandstone but cemented with the argillaceous
cement. The aleurolite features a rather interesting peculiar-
ity: in the unaltered mass, the aleurolite has a massive structure
as such free of jointing with the presence of weakness planes
which are parallel to the bedding and principal sets of joints.
On de-stressing, for example, in open or underground excava-
tions the potential surface of weakening turns into joints. The
process of joint formation in the aleurolite during underground
excavation takes several days resulting in the formation of
complete joint sets with an average degree of jointing. Char-
acteristic of them is rapid weathering and resultant continuous
spalling of rock in the roof and walls of the excavations.
3 PROCEDURE AND RESULTS OF DETERMINATION
OF DEFORMATION PROPERTIES
The following methods have been chosen for determination
of deformation properties:
1 Rating determinations basing a set of geological inputs
using the Hoek-Brown method.
2 Geophysical determinations using velocities of elastic
waves and various correlative relationships.
3 In-situ measurement using dilatometer probes.
4 Computational determinations basing on the results of
2-D and 3-D analyses using data on measurement of wall
convergence.
The data on convergence of the machine hall walls which
had been monitored over many years was the main criterion of
validity of the values of sandstone and aleurolite deformability
entered in the analyses.
Measurements of convergence of the machine hall walls
were started in 1989 during excavation of the cavern and after
completion of the excavation operations. These measurements
were conducted by the geodetic method using the control
marks installed on the both side walls at the level of the crane
beam (within elevations of 985-983 m) (Kolichko 2000).
The values of wall convergence given in Table 2 were
specified as inputs for determination of the deformation and
strength properties of the sandstone and aleurolite mass,

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basing on the results of field measurements and examination
of the data on monitoring during construction of the caverns
at the Rogun dam project.
3.1 Assessment of rock deformation modulus by
Hoek-Brown method
In recent years this method along side with the Bieniawski
method has found a wide application in the engineering
practice of many countries.
Assessment of the rock mass quality suggested by Prof Z.
Bieniawski (1979, 1989) is based on analysis of the following
6 parameters:
Rock compressive strength (from 0 to 15 points);
Core sample quality RQD (from 3 to 20 points);
Distance between blocks forming joints in rock mass (from
5 to 20 points);
Characteristic of joints in rock mass their roughness and
aperture, availability of infilling material and degree of joint
wall weathering (from 0 to 30 points);
Availability of ground water and/or intensive ground water
inflow to underground excavations (from 0 to 15 points);
Orientation of joints with respect to structure (from 12 to 0
points).
Depending on estimation of each indicated parameters, this
parameter is assigned a certain number of points. The sum of
points for all 6 parameters yields the value of the Rock Mass
Rating. According to Bieniawski, the rocks in question are
rated as follows:
for sandstone: RMR = 63 points,
for aleurolite: RMR = 51 point.
Thus, the value of the common rating derived for the sand-
stone corresponds to the rock mass of a good quality, for the
aleurolite it corresponds to an average quality of the rock mass.
According to the relation offered by Hoek (Hoek & Brown
1980, 1997, Hoek et al. 2002):
where: GSI = RMR 5,
D parameter characterizing degradation of the rock
mass properties due to man induced impacts (taken
equal to 0,3)
Rc rock strength in uniaxial compression MPa,
The following values of the modulus of deformation have
been derived:
for sandstone: E = 15.100 MPa,
for aleurolite: E = 5990 MPa.
3.2 Estimation of modulus of deformation by
geophysical exploration
Comprehensive geophysical explorations using the seismic
and ultrasonic methods were conducted in 2005 to assess
deformation properties of the rock mass surrounding the
Rogun underground works. These explorations were carried
in the representative areas reflecting variety of the geological
conditions. The formation of a stress relief zone and peculiar-
ities of time-dependent changes in the state and properties of
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2007 Taylor & Francis Group, London, UK
the rock mass in this zone were studied using seismic sound-
ing, seismic profiling, ultrasonic and seismic logging in the
boreholes.
As seen from the conducted explorations, the sandstone in
the rock mass area (in the vicinity of the machine hall cav-
ern) which has not been affected by excavations and which is
free from ground water, is characterized by average values of
the longitudinal wave velocities in the seismic range of fre-
quencies Vpc = 3,72 km/s, and the aleurolite is characterized by
Vpc = 3,72 km/s. In the rock mass weakened by excavations,
values Vpc equal 3,40 km/s and 3,20 km/s respectively for the
above varieties of the rock.
The generalized coupling equations of E and Ed (where
Ed dynamic modulus of elasticity) are used in passing from
measured Vp to moduli of deformation E at maximum load
Pmax = 8 MPa, given in paper (Savich & Kujundzic 1985).
In these equations EII modulus of deformation for the sec-
ond cycle of loading, E modulus of total deformation at
multiple and sustained loading. Values of the moduli given in
the equations have dimensionality of MPa.
According to the correlative relations (Savich & Kujundzic
1985), we derive
for sandstone: EII = 11.000 MPa,
for aleurolite: EII = 8100 MPa.
The modulus of total (summated) deformation which reflects
the relation between the applied load and total deformation
of the loaded rock area that develops over long time, works
out to be:
for sandstone: E = 8400 MPa,
for aleurolite: E = 6100 MPa.
Results of the geophysical exploration conducted both in
the zone of unaltered rock and in the zone of decompression
are given in Table 3. Examining data of Table 3, it is pertinent
to note significant difference of the moduli corresponding to
the second cycle of loading EII and total deformation E .
3.3 Determination of deformation properties by
dilatometer tests
Dilatometer tests to assess deformation properties of the sand-
stone and aleurolite masses were conducted not in the machine
hall area but in the area of two access tunnels as well as from
an auxiliary adit where 5 30 m deep boreholes and one 24 m
deep holes were drilled. The boreholes were made by the core
drilling method using hard alloy and diamond bits. The bore-
holes were 112 mm in diameter drilled with recovery of core
for geological description.All 56 dilatometer probes have been
made to determine the modulus of deformation of the foun-
dation rock. Table 4 shows the outcomes of processing of the
data on these tests carried in the water bearing aleurolite and
sandstone.
The mean values of rock deformation modulus for the IInd
cycle of tests were: for aleurolite about 3500 MPa, for sand-
stone 4600 MPa. Considering small sizes of the dilatometer
pressure area it may be stated that the zone of decompression
around the borehole tells on the obtained results.
Table 3. Values of modulus of deformation derived for rock of machine hall zone from geophysical data.

Unaltered rock Zone of weakened rock

c E u Ew Ew
Vpu , EIIu , Eu , Vpw EIIw , Eo ,
Name of rock km/s MPa MPa EIIu km/s MPa MPa EIIu Eu

1 2 3 4 5 6 7 8 9 10

Sandstone 3,80 11000 8400 0,764 3,40 8300 6250 0,753 0,744
Aleurolite 3,72 8100 6100 0,753 3,20 5800 4300 0,741 0,705

Table 4. Results of processing of dilatometer probes. Center employing services of the Tunnel Association of
Russia, RusEngineering Ltd and RUSAL-UK Ltd in the
Mean values of context of the updating project to assess possibilities for com-
deformation Coefficient of pletion of the underground works and to optimize construction
modulus, MPa variation
Number
stages and rock support systems. The problem was analyzed by
Rock of tests I cycle II cycle I cycle II cycle the FEM method in the elastic and plastic formulation simulat-
ing the primary stress state of the rock mass, stress relief zones
Aleurolite 37 2832 3463 0,42 0,29 around the underground openings, supporting of the excava-
Sandstone 19 3549 4587 0,37 0,32 tions with concrete lining and passive and active anchoring
systems, actual excavation sequence stages and stabilization
of excavations.
To define the calculated values for the deformation and
Table 5. Velocities of elastic waves and deformation moduli in water strength properties both of the original sandstone masses and
bearing unaltered rock mass in zone of dilatometer probes. respective zones of decompression, the studied models were
calibrated applying the criterion for concordance of the calcu-
Vps , Vpus , EIIus , lated and measured horizontal displacements (convergence)
Rock km/s km/s EIIs , MPa MPa of the side walls in the machine hall cavern.
By varying the parameters of rock mass deformability
Aleurolite 4,14 4,90 8800 14400
degree and its strength as well as the zones of decompression
(below ground
water level) around the excavations it has been found possible to define
those parameters of the geological medium which permitted
Sandstone 3,80 4,70 9500 18500
estimating the displacements of side walls in the machine hall
(below ground
water level) cavern by the mathematical modeling similar in the nature and
values to the measured displacements.
These investigations have been carried using two
special programs: RocScience-Phase2 (Canada) and Z-Soil
It is worth of noting that the studied rocks feature non- (Switzerland).
uniformity of deformation which is corroborated by rather a 3.4.1 Two dimensional planar analysis
high coefficient of variation of the rock deformation modulus. The 2-D models were analyzed using the specialist pro-
Data of geophysical (seismic and ultrasonic) explorations gram: RocScience-Phase21 , developed in the University of
have been used in comparative assessment of the properties of Toronto (Canada). Two characteristic sections of the under-
the above areas since the dilatometer tests were conducted not ground excavations located in the sandstone and aleurite were
in the machine hall area but in the water bearing part of the analyzed (Technical Report 2005). The deformation moduli
rock mass which is closer to the daylight surface. According for the sandstone and aleurolite derived from the computa-
to the results of these investigations, the water bearing mass tions which satisfied the conditions of securing the required
of the aleurolite and sandstone in the zone of the pressure magnitude of convergence of the side walls in machine hall
measurements features the values of elastic wave velocities cavern (ref. to Table 2) are given in Table 6.
and rock deformation moduli given in Table 5.
Comparing the above indicated values of the moduli with 3.4.2 Three-dimensional analysis
the values given in Table 3 it should be pointed out that within The stress-strain state of the caverns and the rock masses
the scale of seismic measurements, the moduli for the sand- surrounding the underground works and nearby underground
stone in the machine hall area are by about 16% higher and excavations have been simulated also by the 3-D analysis using
those of the aleurolite are by 8% lower than in the zone of the Z-Soil2 program.
dilatometer probe.
1
RocScience Geomechanics Software & Research, PHASE2 Finite
3.4 Determination of rock deformation moduli by element analysis and support design for excavations, Rocscience Inc.,
computational methods Toronto, Canada, 1999.
Analyses have been made by Dr E. Gaziev.
The stress-strain state and displacements of the excavation 2
Z-Soil 2003. User manual. Zace Servicer Ltd. Report. Lausanne,
outlines were analyzed to determine by this method moduli of Elmepress International, 19852003.
deformation for the sandstone and aleurolite. The above com- Studies were conducted under guidance of Dr. V.I. Bronshtein.
putations have been carried by the Geodynamic Research Analysis was made by D.Ustinov.

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Table 6. Parameters of deformability degree and strength of rock mass surrounding underground excavations (results of 2-D analysis).

Sandstone Aleurolite

Unaltered mass Zone of weakness Unaltered mass Zone of weakness

Elastic Plastic Elastic Plastic Elastic Plastic Elastic Plastic

Parameter zone zone zone zone zone zone zone zone

Modulus of 9000 6000 5500 4000

deformation E, MPa
Poissons ratio, 0,22 0,3 0,3 0,33
Angle of dilatancy i, dgr. 15 5 5 0
Rt , MPa 0,6 0,4 0,4 0,25
, dgr 50 47 45 42 45 42 40 37
Cohesion C, MPa 3,0 2,0 2,0 1,5 2,0 1,5 1,5 1,0

Table 7. Strength and deformation properties of rock mass in of the deformation modulus determinations for the sand-
machine hall area (results of 3-D analysis). stone and aleurolite by the computational methods and by
seismic measurements (values E ), while for the aleurolite
Sandstone Aleurolite also by dilatometer probes (for weakened zone) and by rating
Weakened Weakened
assessment (for unaltered rock masse).
(stress- (stress- The correspondence recorded between the calculated val-
Unaltered relieved) Unaltered relieved) ues of moduli obtained from the long time movements of the
Parameters mass zone mass zone machine hall walls and the value of E , characterizing the total
deformations in contrast to modulus EII is well explainable.
, dgr 42 38 36 32,5 As for dilatometer probes, thorough examination of the con-
Cohesion C, 1,64 1,1 0,75 0,5 ditions of performance of the tests in question has revealed that
MPa the technique used in drilling the test holes causes formation of
Modulus of 7500 5000 4000 2670 the 35 mm thick weakness zones around the boreholes whose
deformation properties differ materially from the rock mass not affected by
E, MPa drilling. As ultrasonic explorations show values of Vs in this
Poissons 0,22 0,30 0,30 0,33 zone tend to decrease by 1015% which corresponds 2535%
ratio, change in the modulus of deformation. It is evident that the
presence of such a zone tells on the results of dilatometer
probes towards their significant decrease. Therefore, the data
of pressure measurements given in Table 8 should rather be
treated as indicators of rock properties in the zone of decom-
Several series of calibrating calculations have been per-
pression. Given the zone of dilatometer probes was located in
formed with a view of selecting the sandstone and aleurolite
the weakened area of the rock mass the secured dilatometer
strength and deformation properties in the altered and decom-
probes data will well agree with the values of rock deforma-
pressed zones of the rock mass so that the outcomes of
tion properties in the zone weakening, established by other
numerical modeling have agreed satisfactorily with the data
methods.
of field observations.
The computations resulted in deriving of the values of sand-
stone and aleurolite strength and deformation properties given
in Table 7 (Technical Report 2006). With the given parameters, 5 CONCLUSION
the magnitudes of wall displacements have been obtained for
the characteristic sections of the machine hall cavern at the Summing up the above said, the following can be derived from
crane beam level which check satisfactorily with the displace- the findings of performed explorations:
ments measured in the field. The last circumstance may serve 1 Most credible averaged values of the deformation mod-
the ground to believe that the values of moduli of deformation uli for the sandstone and aleurolite of the machine hall
and strength corresponding to this solution, are close to the rock mass at the Rogun dam project have been obtained
actual figures of the moduli of deformation and strength of by geophysical methods with computation of the modu-
the rock mass in question. lus of total deformation E and calibrating computations
of mathematical models basing on the values of conver-
gence of walls in the underground excavations, which were
4 EXAMINATION AND DISCUSSION OF RESULTS measured in the field.
2 Deformation properties of the sandstone and aleurolite in
In examining the outcomes of determinations of the defor- the rock mass area not altered by excavation operations
mation moduli by different methods whose summary is given are characterized by the modulus of common deformation
in table 9 we can note, that they differ significantly. At the equal to 8300 700 MPa and 5200 500 MPa respec-
same time good concordance is observed between the results tively. In the zones of the rock weakened by excavation

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Table 8. Summary of moduli of deformation derived by different methods.

Values of modulus E in MPa

Sandstone Aleurolite

Unaltered Weakened Unaltered Weakened

Method rock mass zone rock mass zone

Rating by Hoek-Brown 15.000 6000

classification
11000 ) 8300 ) 8100 ) 5800 )
Geophysical methods
Seismic prospecting 8400 6250 6100 4300
Pressure measurement 4600 3500
Computational 2-D model 9000 6000 5500 4000
methods 3-D model 7500 5000 4000 2670
)
upper figure indicates value of EII , lower figure indicates modulus E .

and by decompression of the rock, the total modulus of
deformation E works out to be 5900 500 MPa, those
corresponding to the second cycle of loading are by about
3035% higher than the given values of modulus E .
3 For the aleurolite, the data of seismic determinations and
rating estimations by the Bieniawski-Hoek-Brown classi-
fication method well agree with the calculated values of
the modulus of deformation.
4 The results of dilatometer probes are distorted by impact of
the zones of weakening around the exploration boreholes.
The data secured in these tests tally to a greater extent with
the properties of rock in the zones of weakening around
excavations and may be regarded to be a lower limit of the
moduli of deformation for studied varieties of the rock.
REFERENCES
Barton N.R., Lien R., Lunde J. 1974. Engineering Classifica-
tion of Rock Masses for the Design of Tunnel Supports. Rock
Mechanics, 6.
Bieniawski Z.T. 1979. The Geomechanics Classification in Rock
Engineering Applications. Proc. 4th Congress of the Int. Society
for Rock Mech., Montreux.
Bieniawski Z.T. 1989. Engineering Rock Mass Classifications. John
Wiley & Sons.
Hoek E. & Brown E.T. 1980. Empirical Strength Criterion for Rock
Masses. J. Geotech. Engng Div., ASCE.
Hoek E. and Brown E.T. 1997. Practical Estimates of Rock Mass
Strength. Int. J. Rock Mech. and Min. Sci., Pergamon, vol. 34,
No. 8.
Hoek E., Carranza-Torres C., Corkum B. 2002. Hoek-Brown Failure
Criterion 2002 Edition. 5th North American Rock Mechanics
Symposium and 17th Tunneling Association of Canada Confer-
ence, Toronto.
Kolichko A.V. 2000. Todays State of Underground Machine Hall
at Rogun Dam Project, Hydrotechnical Construction, No 4.
Savich A.I, Kujndzic B.D. (Edit.) 1985. Guidelines for Applica-
tion of Geophysics in Study of Deformation Properties of Rock
Masses, Institute Hydroproject, Moscow-Beograd.
Technical Report 2005. Computational Studies of Behavior of
Underground Excavations at Rogun Dam Project During Con-
struction, in Normal Operating Conditions and during Earth-
quakes, Geodynamic Research Center, 2005.
Technical Report 2006. Computational Studies of Behavior of
Underground Excavations at Rogun Dam Project During Its
Completion, Geodynamic Research Center, 2006.

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 3. Slopes, foundations and open pit mining

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 3D simulation analysis of failure of rock slope with crack propagation by DEM

S. Ohtsuki & H. Kusumi

Dept. of Civil & Environmental Eng., Kansai University, Osaka, Japan

T. Matsuoka
Dept. of Earth & Resource Eng., Graduate School of Eng., Kyoto University, Kyoto, Japan

ABSTRACT: As is known, there are many fractures in rock slope, and these fractures are often the cause of failure. Especially,
the mechanism of sliding failure depends on fractures in rock slope. In this paper, we attempt to clarify the mechanism of
slope failure in modeling of rock slope with discontinuities using three-dimensional distinct element method. However, it is
difficult for distinct element method to express both of the continuum and the discontinuities. So, we introduce the concept
of bonding force between particles into distinct element method, and it is made to be an applicable analysis method for the
continuum. In the rock slope model in this analysis, the slope shape and the location of fractures can be arbitrarily set. The
position of the fractures in the model is based on the result of the field investigation. And, the fractures were expressed by
removing the bonding force. Using this analytical model, it is tried to simulate an actual sliding failure of rock slope. As the
results of this analysis, it is recognized that this simulation can recreate this sliding failure phenomena. Moreover, the process
of sliding failure can be visualized.

1 INTRODUCTION discontinuities. So, we introduce the concept of the bonding

force into distinct element method, and it is made to be an
Finite element method and boundary element method are applicable analysis method for the continuum. By carrying out
numerical methods for continuum. These methods are widely the simulation using this analysis method, it has become pos-
used for rock mass and ground. But, it is difficult for these sible to examine the progress of the fractures in the rock slope.
methods to handle large-scale deformation and destruction.
On the other hand, DEM (distinct element method) devised
by P. Cundall is useful for discontinuity body analysis. Espe- 2 ANALYSIS METHOD
cially this method got a lot of attention as a solution for a large
deformation problem involved with destruction. Researches 2.1 Distinct element method
on distinct element method have been carried out by many
researchers such as P. Cundall, M. Hakuno and M. Hisatake. Distinct element method is an analysis method devised by
Distinct element method has its roots in P. Cundalls numerical P. Cundall, and the analysis object is mainly discontinuous
analysis which tracked a block behavior in 1971. body of rock mass and ground. This method analyzes the
However, the force between elements in this method was dynamic behavior of rock mass by considering the simula-
limited to the repulsive force, and it was difficult to apply the tion object as an aggregate of minute particles. Interparticle
method to continuum such as rock mass and concrete. Then, force is generated by setting a virtual spring, making it possi-
Hakuno proposes EDEM (extended distinct element method) ble to calculate acceleration, velocity and displacement with
which can consider filling materials between elements. In this the use of the force and to track the behavior of the particles.
method, an element spring and a pore-spring exist. And, this The microscopic relationship between the particles is shown in
method can express dilatancy effect observed in the aggregate Fig. 1. In this analysis method, interparticle force is calculated
of granular matter such as ground and concrete and effect of by multiplying the contact distance (n) by spring stiffness.
the localization of stress and strain. In addition, the approach
of distinct element method was developed into CEM (con-
tact element method) by Hisatake and others. This method
assumed the application to viscous ground. Like this, distinct
element method has become more refined, and it was possible
to analyze enormous number of elements by the development
of the recent computer technology.
However, there has been no report in which distinct element
method was used as an analysis method which can express
both pre-existing discontinuities and the progress of fractures
in rock slope.
Then, in this study, we attempt to clarify the mechanism
of slope failure in modeling of rock slope with discontinu-
ities using distinct element method. However, it is difficult
for distinct element method to express both continuum and Figure 1. The relationship between the particles.

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Figure 2. The region where the bonding force acts.

Figure 4. Rock slope failure as an analysis object.

tension

0
repulsion

D
r (i) rb1 rb2

Figure 3. The force between the particles.

2.2 Bonding force

Interparticle force is not only the repulsive force, when the
model of granular material is applied to the solid like rock
mass. Then, the tensile force is expressed by introducing the
bonding force in this study.
Fig. 2 shows two kinds of bonding radii of rb1 and rb2.
rb1 shows the distance in which the bonding force comes
to the yield, and rb2 shows the distance in which the bond-
ing force breaks. In short, the bonding force increases from
contact point r to rb1, and it decreases from rb1 to r b2. In
addition, the bonding force is broken at rb2. At this time, the
value of the tensile force is zero (see Fig. 3). The repulsive
force and the bonding force can be formulated as follows.
3 ROCK SLOPE FAILURE AS AN ANALYSIS OBJECT
An analysis object in this study is a massive rock slope fail-
ure which arose in Erimo-cho in Hokkaido. It failed on the
13th January, 2004. The failure is classified into sliding fail-
ure (see Fig. 4). This slope is composed of hornfels. The failure
scale was about 100 m high, 120 m long, 90 m wide and 17 m
deep. The volume of failed rock mass was about 42,000 m3 .
The angle of gradient was about 45 degrees from the upper
part to the central part of the sliding plane. And, that was about
Figure 5. Classification of the sliding plane.
60 degrees from the central part to the lower part of the sliding
plane.
4 ANALYTICAL MODEL AND CONDITION
4.1 Classification of the sliding plane
Fig. 5 shows the classification of the sliding plane for the
rock slope. This figure is based on geomorphic characteristics
confirmed by the aerial photograph and the field investigation
about the sliding plane. The sliding plane is classified into five
types such as irregular corrugated surfaces and smooth sur-
faces as shown in color legends. The sliding plane was divided
into two prior to the modeling. One is a plane between the
slope body and failure part, which is connected at a constant
tensile strength. The other is a plane between the slope body
and failure part, which is divided by a large-scale dip slope. In
this paper, the former is called a friction plane and the latter
is called a fracture plane.
4.2 Analytical model
An analytical model is composed of the random-size particles
(see Fig. 6). The number of the particles is about 38,000. The
packing which packed the random-size particles was carried
out under the gravity. The aggregate of particles was cut off in
the slope shape, after all particles stopped. Furthermore, the

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Figure 6. Constitution of an analytical model.

positions of the failed rock mass, the friction plane and the
fracture plane were set in this analytical model.

4.3 Analytical condition

The bonding force acts between particles constituting the slope
body. Then, 30% of foregoing bonding force was made to act
between the particles constituting the friction plane and the
failed rock mass containing many continuous fractures. This
value (30%) was based on the result of laboratory test carried
out with rocks gathered in the failure site. No bonding force
acted between particles constituting the fracture plane.
As for failure factors of this rock slope, it is estimated that
there was not an external force that had a great influence on the
failure. Therefore, it is thought that the main failure factor was
sequential destruction of fractures in a short time caused by its
own weight of the failed rock mass. So, a crack propagation
analysis focused on the sliding plane and the behavior of the
failed rock mass was carried out.

Figure 7. Displacement distribution.

5 ANALYTICAL RESULT

5.1 Displacement distribution
Fig. 7 shows displacement distribution obtained by the anal-
ysis, and it expresses the failure behavior of the rock slope
from the initial state to 5 seconds. It can be confirmed that
the failed rock mass starts to slide from the central part of
the slope. After that, it continued failing and accumulates,
increasing the length and the width of failure.
5.2 Crack propagation
In this analysis, the number of the ruptures of the interpar-
ticle bonding force increases in the failure process of the
slope. By visually expressing it, the visualization of the crack
propagation under failure was attempted. Fig. 8 shows the
development of the fracture in the friction plane. Red parti-
cles are the fracture plane modeled a pre-existing fracture.
No bonding force acts on these particles. Therefore, repulsion
and frictional force interact between contact particles. On the
other hand, blue particles indicate that the bonding force broke
in the friction plane, and the positions of these particles are
regarded as that of crack propagation.
The crack occurs at the end of the sliding plane and reaches
the central part (see Stage 3). And, the crack reaches from
the top of the sliding plane to the central part (see Stage 5).
Furthermore, the crack spreads through the sliding plane. At
that time, the failed rock mass and the slope body are almost
separated.
Fig. 9 shows the development of the fracture in the failed
rock mass. Green particles show that the bonding force broke
in the failed rock mass. The crack progresses from the end of
the sliding plane to the top.
5.3 Gravity center of the failed rock mass
We calculated the position of a gravity center of the failed
rock mass from initial state to five seconds to examine its
movement direction. Fig. 10 shows the locus of gravity center
of the failed rock mass, and Fig. 11 shows it in Y-Z plane.
It was proven that the failed rock mass collapsed, moving its
gravity center 3.2 meters to Erimo side as shown in this figure.
It is supposed that not only a shape of the failed rock mass
but also pre-existing fracture in Erimo side caused the rock
failure.
6 CONCLUSION
In this study, the rock slope failure was simulated by distinct
element method using the bonding force, and its failure pro-
cess was examined. Knowledge obtained by this study is as
follows.
The sliding plane composed of the friction plane and the
fracture plane was modeled, the tensile strength led by the
result of laboratory test can be made to act on the plane.

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 Figure 10. Gravity center of the failed rock mass.

150.0

100.0

Z-Axis (m)
50.0

0.0
0.0 20.0 40.0 60.0 80.0 100.0 120.0 140.0
Y-Axis (m)

Figure 11. Gravity center of the failed rock mass (Y-Z plane).

Furthermore, as an estimate of the failure process, it is sup-

posed that the crack progressed from the end and top of the
sliding plane and connected afterwards. And, it was clarified
that by tracing its gravity center that the failed rock mass has
collapsed toward Erimo side.
Figure 8. Crack propagation in the sliding plane.

REFERENCES

Cundall, P.A. 1971. A computer model for simulating progressive,

large scale movement in blocky rock system, Symp. ISRM Nancy
France Proc.,Vol.2, pp.129136.
Cundall, P.A. and Strack, O.D.L. 1979. A discrete numerical model
for granular assemblies, Geotechnique, Vol.29(1), pp.4765.
Donze, F., Mora, P. and Magnier, S. 1979. Numerical simulation of
faults and shear zones, Geophys.J.Int., Vol.116, pp.4652.
Iwashita, K. and Hakuno, M. 1990. A modified distinct element
analysis for progressive failure of a cliff, Journal of the Japanese
Society of Soil Mechanics and Foundation Engineering, Vol.30,
No.3, pp.197208.
Report by slope failure along route 336 in Erimo-cho investigation
board 2004.

Figure 9. Crack propagation in the failed rock mass.

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 Active and passive earth pressures on retaining walls assuming a non-linear
strength criterion and constant dilatancy

A. Serrano & C. Olalla

E.T.S.I.C.C.P., Universidad Politcnica de Madrid, Madrid, Spain

A. Perucho
Laboratorio de Geotecnia, CEDEX, Madrid, Spain

ABSTRACT: This paper studies the pressures acting on retaining walls assuming the following basic assumptions:

the failure surface is plane and lies on the toe of the wall
the stress mobilised on the failure plane is uniform
the ground surface on top of the wall is horizontal
the material follows the non linear Hoek-Brown strength criterion
the material has a constant dilatancy angle
the validity of Coulombs theory for earth pressures.

Taking into account these assumptions, the earth pressures are calculated on a simplified model of wall retaining earth.
Different values of the dilatancy angle at failure are considered in the calculations. The Hoek-Brown failure criterion is expressed
in parametric form that simplifies equation solving (Serrano & Olalla (1994)). This whole study is done adimensionally, resulting
in a series of general charts for practical use, requiring only the geometrical data and the density and strength parameters of
the earth. They are useful for all the materials following the Hoek-Brown strength criterion.

1 BASIC ASSUMPTIONS

The following basic assumptions are adopted in order to

calculate the earth acting on a wall:

the failure plane passes through the foot of the wall

the stress mobilised on the failure plane is uniform
the earth pressure against the wall is horizontal
the ground at the top of the wall is horizontal
the strength is assumed to be Mohr type, given by a non
linear Hoek-Brown law, defined by the Serrano & Olalla
(1994) parameters ( and ) and Coulomb strength law on
the failure planes, as shown in Figure 1. There is a constant
dilatancy angle.

Mohr strength (in Lambe parameters): Figure 1. Mohr and Coulomb strength laws on the failure planes.

To be conservative, the cohesive term ( = 0) is neglected.

2 GEOMETRY AND LOADS

Figure 2 gives the diagram used, where:

H: wall height
where and are parameters depending on m and s Hoek-
: failure plane inclination
Brown parameters.
R : auxiliary variable, R = 2 /2. (plus sign in active
Coulomb strength, point R, on the failure plane, when a
earth pressure and minus sign in passive earth pressure).
sin dilatancy exists is expressed as:
Length, l, of the failure line is:

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Figure 2. Geometry of the wall and acting forces a) Active case, b) Passive case.

Length, l, of the failure line is: The resulting normal and tangential reactions on the failure
plane are:

The failure prism area (a) is: Both can be similarly expressed adimensionally as follows:

The essential aim of this study is to provide coefficient

The normalised adimensional height, N, is defined as:
The weight of the prism, expressed per unit of transverse
length, is:
and can be expressed adimensionally as:
for each adimensional slope height, N. Thus, having ascer-
tained the geometrical parameters (height H) and the earth
parameters (specific gravity, , strength, , and dilatancy, ),
the value of coefficient can be determined and with this
the earth pressure against the wall can be estimated. For this
entire calculation, parameter is assumed to be equal to zero
(disregarding the cohesion), which leaves this calculation on
the safe side.
Furthermore, and parameters can be estimated as a
function of the specific gravity of the rock and of its GSI
geomechanical index, as per the method explained in Serrano
et al (2007).

3 EQUILIBRIUM OF FORCES

The polygon of forces is indicated in each case in Figure 2.

The following expressions can be deduced by projection over
The active and passive pressures on the wall can be
P and over TR directions:
expressed as a function of a coefficient, , such that:

and can be adimensionally expressed as follows:

Taking into account the above expressions (1), the following
results are obtained:

All the pressures will be expressed in adimensional form,

dividing them by the strength parameter, , that is: which can be written as follows:

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or else, as a function of the auxiliary angle,R :

4 STRENGTH

The Hoek-Brown (1980) strength law is adopted for the case Figure 3. Variation of the angle of the failure surface () with the
of non cohesive material ( = 0), expressing it in the form of normalised wall height (N = H/). Active state.
adimensional stresses, that is (point T):

with A and B parameters defined as:

where is the rock dilatancy angle.

5 EARTH PRESSURE COEFFICIENT, , AND WALL

HEIGHT
Figure 4. Variation in earth pressure coefficient () with the
Raising the expressions for n and r , (2) and (3), to strength normalised wall height (N = H/). Active state.
law (4) for a certain wall with a height of N, gives parameter,
, as a function of the inclination of the failure plane, . Fol-
lowing Coulombs earth pressure theory, is varied to find the
maximum and minimum values of , which will be the ones
to produce failure in active and passive cases, respectively.

6 RESULTS

6.1 Active pressure

For three values of the dilatancy angle, , and as a function
of the normalised height, N (N = H /), Figure 3 provides
the values of the angle of inclination, , of the failure plane.
Dilatancy angles at failure are provided by Hoek & Brown
(1997) for three different GSI values.
In the same manner, for the same three values of the dila-
tancy angle, , and as a function of the normalised height, N
(N = H/), Figure 4 shows the values of the earth pressure
coefficient, . The higher the wall, the more the earth pressure
coefficient increases.
Finally, for three values of the dilatancy angle, , and as
a function of the normalised height, N (N = H/), Figure 5
shows the values of the equivalent angle of friction (R ) of
a material governed by a linear strength law giving the same
earth pressure.
The earth pressure data appearing in Figures. 3, 4 and 5
were obtained for materials with slight particle imbrication.
For stacks and dumps with no compaction whatsoever, etc.,
the earth pressures could be somewhat greater. In these cases,
A and B coefficients should be determined with negative
dilatancy angles.
Figure 5. Variation of the equivalent angle of friction (R ) with the
normalised wall height (N = H/). Active state.
Application example: earth pressure of volcanic
agglomerates.
The case involves ascertaining the pressure produced by
certain volcanic agglomerates with an in-situ density of
11.0 kN/m3 and geomechanically compact (GSI = 50) on an
9-m high wall. Equally, it involves ascertaining the angle of
the failure surface and the equivalent working linear angle of
friction with which these agglomerates can be considered if a
linear strength law were adopted.
Solution: with a GSI of 50 and a specific gravity of
11.0 kN/m3 and in accordance with Figure 6 (taken from Ser-
rano et al. 2007) the values that can be deduced are equal to
= 200 kN/m2 and = 4 , assuming
= 0.

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Figure 6. Variation of parameter with specific gravity () and
GSI (Serrano et al. 2007).
Figure 7. Variation of the earth pressure coefficient () with the
normalised wall height (N = H/). Passive state.
The normalised height is equal to N = H/ = 0.5.
Using Figures 2, 3 and 4 produces: = 0.165, = 67.5
and R = 45 .
The pressure the earth will exert on the wall will therefore
be equal to:
6.2 Passive pressure
This case involves ascertaining the passive or maximum pres-
sure the earth can withstand before it fails, when the wall exerts
a pressure on it. This case can be applied for calculating bridge
or dam abutments.
For three values of the dilatancy angle, , and as a function
of the normalised height, N (N = H/), Figure 7 shows the
values of the angle of inclination, , and of the failure plane
in the case of ground failure as a result of passive pressure.
Equally, for three values of the dilatancy angle, , and as
a function of the normalised height, N (N = H/), Figure 8
shows the values of earth pressure coefficient . In this case,
the higher the wall, the more the earth pressure coefficient
decreases.
Note that the dilatancy has a very small effect as from a
certain normalised height of the wall.
Finally, for three values of the dilatancy angle, , and as
a function of the normalised height, N (N = H/), Figure 9
depicts the values of the equivalent angle of friction (R ) of
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Figure 8. Variation in earth pressure coefficient () with the
normalised wall height (N = H/). Passive state.
Figure 9. Variation of the equivalent angle of friction (R ) with the
normalised wall height (N = H/). Passive state.
a material governed by a linear strength law giving the same
earth pressure.
Application example: earth pressure of volcanic
agglomerates.
Solving the problem in the same way as the previous exam-
ple, calculating in this case the maximum pressure the wall
could exert on the agglomerates, produces the following result:
Utilising Figures 5, 6 and 7 produces: = 5, = 27 and
R = 38 .
The pressure the earth will exert on the wall will therefore
be equal to:
REFERENCES
Hoek, E. & Brown, E.T. 1980. Empirical strength criterion for rock
masses. J. Geotech. Eng. Div., ASCE 106 (GT9), 10131035.
Hoek, E. & Brown, E.T. 1997. Practical Estimates of Rock Mass
Strength. Int. J. Rock Mech. Min. Sci. Vol. 34, No. 8, pp.
11651186.
Serrano, A. & Olalla, C. 1998. Propiedades geotcnicas de materiales
canarios y problemas de cimentaciones y estabilidad de laderas en
obras viarias. XXII Semana de la Carretera. Sesin V. Ponencia 16.
Asociacin Espaola de la Carretera. Canary Islands. October.
Serrano, A., Olalla, C., Perucho, A. & Hernandez, L. 2007. Strength
of low cemented pyroclasts. ISRM International Workshop on
Volcanic Rocks. Ponta Delgada, Azores, 14 July.
 An innovative approach for the use of 3D images in the mechanical analysis of blocks
in a rock mass

M. Ptsch & W. Schubert

Institute for Rock Mechanics and Tunnelling, Graz University of Technology, Austria

A. Gaich
3G Software & Measurement GmbH, Graz, Austria

ABSTRACT: Keyblock analysis plays an important role in the evaluation of the behaviour of jointed rock. Remote sensing
technologies are nowadays frequently used to provide the basis for those analyses. Metric 3D images provide accurate and
detailed data on the rock mass structure and topography. This contribution outlines the use of metric 3D images for keyblock
analysis. First of all, the generation of a 3D image is discussed using the JointMetriX3D and ShapeMetriX3D systems. The
following sections describe the evaluated data and its use for the identification of finite blocks in rock faces, the kinematical
analysis of blocks, and the calculation of block reaction curves.

1 INTRODUCTION 2 3D IMAGING TECHNOLOGY

The analysis of blocks is an integral part in the stability assess-
ment of an excavation in hard, jointed rock. There are several
analysis methods which aim at the consideration of blocks in
their analysis (for instance Goodman & Shi 1985, Warbur-
ton 1987, John & Deutsch 1974, Londe et al. 1970). These
methods were developed prior to the extensive application of
computational power and rely on data obtained from tradi-
tional site investigation. The increase of the computational
power in the last decades, the use of off-the-shelf digital cam-
eras, and the development of an appropriate mathematical
framework led to new technologies within the geological data
acquisition. These technologies allow also for new methods in
the stability analysis of jointed rock masses.
This paper outlines a consistent procedure for the analysis
of slopes and underground excavations in hard and jointed
rock. The procedure includes
Acquisition of the geometry of exposed rock faces by means
of 3D imaging
Contact free measurement of the geometrical properties of
the rock mass, especially discontinuity properties
Integration of the data into a geometrical model of the
slope or excavation which includes the geometry of the
discontinuity system and the free surfaces as well
Identification of finite blocks in the geometrical model
Mechanical analysis of the finite blocks including kinemat-
ical analysis, mode analysis, and stability analysis.
The procedure allows processing digitised data of the rock
mass from the early stage of geological investigation to
the final engineering expertise. It relies on well-established
methods and principles as well as recently developed and
generalised algorithms to ease a robust performance of the
analysis. The procedure is a synthesis of principles from
different branches including photogrammetry, digital image
processing and 3D computer vision, computational geometry,
engineering geology, and rock mechanics.
3D imaging is a remote sensing technology using a passive
approach. It relies on principles from photogrammetry, digital
image processing and computer vision (Faugeras 1993). The
result of a survey by 3D imaging is a metric 3D image which
comprises the topography of the surveyed object and a digital
image draped on it. It eases the contact-free measurement of
geometrical joint properties.
2.1 Data acquisition
The application of the JointMetriX3D and ShapeMetriX3D
systems (Gaich et al. 2006), which have been applied in this
work, for the generation of a metric 3D image require the
following data to be provided during the field procedure:
Stereoscopic image pair: It is a pair of digital images of the
object captured from different standpoints
Information on registration:
(a) Ground control points (reference points): At least three
points whose coordinates are known allow the registration
of the 3D image to a global coordinate system, or
(b) Scale figures: Using scale figures the 3D image can be
scaled and registered to a local coordinate system.
Metric 3D images require the use of calibrated cameras
in order to account for the distortions caused by the image-
formation process. ShapeMetriX3D uses pre-calibrated off-
the-shelf cameras (single lens reflex) with fixed or zoom
lenses. The image size is 10 Megapixels. Figure 1 shows
the application of the use of the SLR camera during tunnel
excavation. The applied monopod accounts for the reduced
illumination for the generation of crisp images.
Figure 2 shows the application of the JointMetriX3D
panoramic line scanner for imaging a mine slope. It is used
for the generation of large images with an image size up to
100 Megapixels. This allows capturing large areas even with
fine details. In order to keep the system flexible, a zoom lens

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2007 Taylor & Francis Group, London, UK


Figure 1. Application of the ShapeMetriX3D imaging system
during face documentation in conventional tunnelling.
Figure 2. Application of the JointMetriX3D imaging system in an
open pit mine at a distance of 400 metres.
is used which is calibrated after acquiring the stereoscopic
image pair using a calibration panel.
The 3D image generation requires several steps which are
automatically performed:
Image matching: Identification of corresponding points in
the stereoscopic image pair
Determination of the relative orientation between the two
images
Reconstruction of the 3D points by forward intersection
Triangulation of the 3D point cloud to a surface description
Draping the digital photograph onto the triangulated surface
Registration of the generic 3D image to a local or global
coordinate system using ground control points or scale fig-
ures. This step is performed by interactively identifying
markers in the image.
2.2 Measurements
The 3D images are used to take measurements of the rock
structures. These measurements are gained from the size and
orientation of the individual (small) triangles forming the
surface of the 3D image. In order to ensure accurate mea-
surements the 3D images must show fine details where the
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2007 Taylor & Francis Group, London, UK
Figure 3. Measurement of linear and area elements from a 3D
image. Left: Trace of a discontinuity with orientation (triangle).
Right: Discontinuity plane with orientation (arrow).
Figure 4. Sketch of an evaluated metric 3D image
(ShapeMetriX3D) of an outcrop.
attention to detail depends on the application and the focussed
results.
Discontinuities in an outcrop can be identified as area ele-
ments and linear elements. Usually area elements are assigned
to discontinuities and appear on the surface as an area with
limited extent. Conversely, linear elements are assigned to
discontinuities which appear as a linear trace on the surface.
During evaluation using JointMetriX3D or ShapeMetriX3D
the structures are directly marked on the 3D images. The
marked structures are analysed by the software and their prop-
erties calculated. The location of the area elements is defined
by the marked points on the surface, their extension is defined
by a closed polygon and expressed as the area enclosed by the
polygon. Conversely, the extent of linear elements is defined
by an open polygon on the 3D image and expressed as the
length. For both, area and linear elements, orientations can
be determined. They are represented as the normal vector
of the orientation for area elements and as a spatial trian-
gle (representing the discontinuity plane) for linear elements
(Figure 3).
The evaluation of a 3D image is an interactive process,
hence, the user has to identify the relevant rock mass struc-
tures. The topography describing the shape of the outcrop
eases the identification of flat regions as joint areas. The highly
detailed image (Figure 4) allows the discrimination of natural
structures (traces of foliation, joints, faults, etc.), man-made
structures (excavator scratches, etc.), or other geological fea-
tures such as lithological boundaries. The combination of both
sources of information allows the establishment of a consistent
discontinuity network and an audit of the evaluation.
Figure 5. Geometrical model (left) including irregular slope surface and trace map; Closed polygons (middle) representing the free surface
of blocks; Finite blocks (right) identified from search algorithms.
3 BLOCK IDENTIFICATION
The information obtained from the 3D images has to be
sampled to a geometrical model which allows identifying
finite blocks.
3.1 Geometrical model
The geometrical model contains the information on the dis-
continuity system and the free surface. It includes both,
orientations and locations of planes. The discontinuity system
forms a trace network on the excavation surface. (Figure 5 left)
The traces are lines or polygons and have a limited length. The
processing of geometrical data is done by vector analysis. The
data required for the subsequent analyses has therefore to be in
a vector format in terms of position and direction vectors.
3.2 Criteria for finite blocks
Block theory provides necessary and sufficient criteria for
finite blocks. A block is finite if and only if its block pyramid
is empty. The block pyramid is the intersection of halfspaces
of the joints and free surfaces forming the block where the
corresponding plane is shifted to the origin.
A block can only be formed by a closed polygon within the
trace network on the free surface. Since a closed polygon on
a surface is always a non-empty joint pyramid, these blocks
can be classified as finite and infinite blocks. Tapered blocks
comprise an empty joint pyramid. This is the case if the joints
forming the closed polygon of an infinite block are intersected
by a joint which does not daylight within the polygon. As a
consequence, finite blocks identified in a trace network on a
free surface are simultaneously removable. In order to identify
finite blocks from a trace network it is sufficient to find all
possible closed polygons and classify the corresponding block
pyramid.
3.3 Search algorithms
Several authors presented algorithms for the determination of
blocks in a model of a jointed rock mass (for instance Lu
2002, Chan 1987, Lin et al. 1987). The attempts were differ-
ent focussing on the identification of removable blocks while
others aimed on the determination of the entire block system.
Although the goal of the two approaches is different, some
ideas from both have been used to develop a new algorithm
for the calculation of areas of closed polygons in a trace map.
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2007 Taylor & Francis Group, London, UK
The proposed algorithm only examines the chords between
joint intersections at the free surface. This eases the consider-
ation of irregular excavation shapes. The algorithm in its core
includes the following steps:
Determination of all chords between intersection points
Classification and orientation of all chords belonging to
one intersection point. Chords have to point away from the
intersection point. They are classified into four possible
directions
Establishment of a sequential connectivity matrix (SCM)
for each intersection point. The SCM controls the search
path during the later calculation of the chord chains
Establishment of geometrical initial and target conditions
Calculation of chord chains according to the SCM and
check whether target conditions apply
Storage of closed chord chains.
The chord system has also to be checked for special cases
such as one-chord blocks at convex edges or one-joint blocks at
convex corners. Finally, the joint planes and the corresponding
free surfaces as well including their halfspaces are assigned
to the closed chord chain. Therefrom, the joint pyramid and
block pyramid is calculated and finite blocks are determined
(Figure 5 right).
4 MECHANICAL ANALYSIS OF BLOCKS
The finite block is a polyhedron which comprises an arbitrary
number of planes maybe having a non-convex shape. It is
considered as a rigid body. The mechanical analysis comprises
three steps including kinematical analysis, mode analysis, and
stability analysis.
4.1 Kinematics
Kinematics deals with the potential displacement vector ori-
entations of the block under the boundary conditions of the
excavation. The investigated system consists of the block,
the surrounding rock mass and the free space. Since joints
(contact between block and rock mass) represent a constraint,
block motion can only take place towards the free space. Block
motion has to be distinguished into translation and rotation.
The kinematical analysis of translational motion for blocks
has already been described by Goodman & Shi (1985). Blocks
with a potential for translational motion are called removable.

Figure 6. Corner displacement x due to rotational motion about
rotation axis r. For x to be kinematically feasible it has to point
into the halfspace defined by the joint planes of the corner C j . R is
a point fixed in space.
For a block to be removable all displacement vectors have to
simultaneously point away from the rock mass. Since for a
translational motion all displacement vectors are parallel, it
is sufficient to investigate the properties of individual vector
orientations. A sufficient criterion for removability is to iden-
tify if the block pyramid is empty while the joint pyramid is
non-empty. It has been stated in a previous chapter that finite
blocks from a trace map are simultaneously removable.
The kinematical analysis of block rotations is based on
the same concept of displacement vector orientations. How-
ever, rotational displacements are not parallel but related to a
rotation axis. Mauldon (1992) showed that removability is a
necessary criterion for rotatability for blocks with only three
joints. Hence, blocks with four or more joints can be rotat-
able even if they are tapered. Chan & Einstein (1981) showed
that rotational failure modes are usually more critical than
translational ones.
Figure 6 shows the geometrical relationships between
joints, the rotation axis, and the corresponding displacement
vector. It can be seen that a displacement vector is kinemati-
cally feasible if it forms part of the joint pyramid of the block
corner. This criterion has to simultaneously apply for all block
corners constrained by joints. The aim of the analysis is to
find all rotation axes which allow for kinematically feasible
displacements. A rotation axis is defined by its location and
orientation. The corresponding displacement vector depends
on the vector C j R which is related to the location of the rota-
tion axis. There are an infinite number of possible locations
in space. The analysis is therefore restricted to the pure rota-
tions in which the rotation axis is fixed to the block corners.
Remote locations are not considered. In this case C j R can be
determined from the block geometry. Together with the orien-
tations of the joint planes the rotation space of a block related
to its corners can be determined (Ptsch & Schubert 2006). If
the rotation space is not empty, the block is considered to be
rotatable.
The rotation space is the intersection of halfspaces of so-
called limit planes. These limit planes are defined by the
normal vectors of joints forming a block corner and the corre-
sponding vector C j R from the corner to an arbitrary point on
the rotation axis. For pure rotations this point can be selected
at a block corner on the free surface. Figure 7 shows the rota-
tion space for a tetrahedral block in a perspective view. The
rotation spin is right-handed.
4.2 Modes
The kinematical mode analysis provides information on the
mode how a block exposed to loading will fail. Transla-
tional failure modes have been discussed and described by
Goodman & Shi (1985). These authors distinguish between
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2007 Taylor & Francis Group, London, UK
Joint plane 2
C2
Joint plane 3
Z C4
C1
Y
X
Joint plane 1 C3
Free face
Figure 7. Perspective view of a tetrahedral block with three joints
and one free surface including the rotation space for right-handed
rotation at the superficial block corners. The rotation space defines
possible orientations of rotation axes for kinematically feasible
displacements.
Falling/Lifting, Single Plane Sliding, and Double Plane
Sliding.
The rotational modes have been discussed by Mauldon
(1992) and more generally by Tonon (1998). Corner and edge
rotation modes can be distinguished. For their determination
the unconstrained motion of the block is considered. For cor-
ner rotation a compressive reaction has to develop at joints of
the static corner while separation at the other corner takes
place. For an edge rotation a compressive reaction has to
develop at both corners forming the edge while separation
at the other corners takes place.
Since general loading consists of forces and moments, the
unconstrained displacements can only be determined taking
into account the inertia properties (mass and inertia tensor)
of the block. These properties depend on the geometry of the
block.
4.3 Stability
Based on the kinematical and mode analysis the stability of the
blocks can be assessed. The stability analysis investigates the
block behaviour under active loads and mobilised resistance.
The resistance usually is referred to as the shear resistance
of joints for sliding modes. In nature, an additional source
of resistance is the tensile strength of intact rock bridges. It
is not considered here, since blocks are formed by persistent
joints. For completeness, the block exerts resistance against
motion due to its inertia. Resistance from artificial support is
not considered in this paper.
The failure modes can basically be classified into detach-
ment modes and sliding modes. The detachment modes
comprise falling/lifting, corner rotation and edge rotation. The
principal properties of the detachment modes is that simul-
taneous detachment of the block from the rock mass takes
place at every joint without relative shear displacements. In
the rotational detachment modes the block remains in contact
at one corner or edge. From rigid body mechanics can be stated
that the block motion is governed only by the blocks iner-
tia properties and the active loads. In this case falling/lifting
modes are always considered to be unstable while the stabil-
ity of the rotational modes is governed by block accelerations
due to the (timely varying) active loads and the moment of
inertia. Several authors (Goodman & Boyle 1986, Karzulovic
1988, Ptsch 2002) showed that detaching joint planes can be
more properly analysed using the method of the block reaction
curve. It shows the interaction of driving and resisting forces
with block displacement (Figure 8). In this method stress con-
ditions around the block, the deformability of the rock mass
and the dilation of rough rock joints are considered.
 5,0
75
4,0
60
Factor of safety [ ]
45
3,0
30
2,0
1,0
0,0
0 5 10 15
Block displacement [mm]
Figure 8. Block reaction curves for pyramidal blocks with different
joint dip angles located in the tunnel crown at the face. The interaction
of driving and resisting forces is expressed as the factor of safety.
Figure 9. Block reaction curve of a block exhibiting a torsional
slide and shear stress displacement characteristic.
The sliding modes comprise the single plane sliding, double
plane sliding, and the torsional sliding (Goodman 1995). In
these modes at least one joint of the block remains in contact
with the rock mass in which relative shear displacements
take place. Traditional analyses rely on the Coulomb shear
strength criterion for the calculation of the factor of safety.This
approach assumes that the maximum shear resistance has been
simultaneously mobilised at the same instant of maximum
active loads. In nature, joint planes usually show individ-
ual mobilisation rates. The torsional sliding mode basically
requires special consideration of the characteristic mobilisa-
tion of the shear stresses with block displacement. The shear
displacement rates vary within the sliding plane and increase
with the distance to the rotation axis. Thus, the assumption of
simultaneous mobilisation of the maximum shear resistance
in the joint plane leads to an unconservative result. Figure 9
shows the block reaction curve of a block exhibiting a torsional
slide in terms of the mobilised moment vs. the displacement
2007 Taylor & Francis Group, London, UK
of a block corner. It also shows the stress-displacement char-
acteristic of the joint including mobilisation and post peak
behaviour.
5 CONCLUSION
This paper has presented a procedure for the use of 3D images
in the mechanical analysis of blocks in a rock mass. It has been
shown that several properties required for a thorough block
analysis depend on the true block geometry. In the traditional
analyses these properties have not been considered since the
20 required input data had not been determined. 3D imaging pro-
vides the potential to acquire the required data such as joint
orientations and locations in an easy way and at an arbitrary
number without the danger to work in neither hazardous areas
nor having time restrictions. The data gained from a 3D image
has been used to determine a geometrical model of a rock mass
comprising the joint network (trace map) and the free surfaces
as well. Finite blocks have been automatically identified in the
geometrical model. The identified blocks have been analysed
following the basic steps of a mechanical analysis. It includes
the kinematical analysis, the mode analysis, and the stability
assessment. The procedure includes all parts for a geotechni-
cal expertise starting with the geological data acquisition and
resulting in the stability assessment of keyblocks.
ACKNOWLEDGEMENT
This work has been funded by 3G Software & Measurement
GmbH and the FFG Austrian Industrial Research Promotion
Agency Ltd.
REFERENCES
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EquilibriumAnalysis for Rock Wedges The Method of Artificial
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Chan, L.-Y. 1987. Application of block theory and simulation tech-
niques to optimum design of rock excavations. PhD Dissertation,
University of California, Berkeley.
Faugeras, O. 1993. Three-Dimensional Computer Vision. MIT Press,
Boston, MA.
Gaich, A., Ptsch, M. & Schubert, W. 2006. Acquisition and assess-
ment of geometric rock mass features by true 3D images. InARMA
(ed.): Golden Rocks 2006, Golden, Colorado, 1721 June 2006,
Paper 061051.
Goodman, R. E. & Shi, G.-H. 1985. Block Theory and Its Application
to Rock Engineering. Prentice-Hall: New Jersey.
Goodman, R. E. & Boyle, W. 1986. Non-linear analysis for calculat-
ing the support of a rock block with dilatant joint faces. Felsbau
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Goodman, R. E. 1995. Block Theory and Its Application. Gotech-
nique 45(3), 383423.
John, K. W. & Deutsch, R. 1974. Die Anwendung der Lagenkugel in
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(eds.): Festschrift Leopold Mller Salzburg zum 65. Geburtstag.
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Karzulovic, A. L. 1988. The Use of Keyblock Theory in the Design of
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tion of Three-dimensional Rock Block Systems Using Topological
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Lu, J. 2002. Systematic identification of polyhedral rock blocks with
arbitrary joints and faults. Computers and Geotechnics 29: 4972.
Mauldon, M. 1992. Rotational failure modes in jointed rock: a
generalization of block theory. PhD dissertation, University of
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Ptsch, M. 2002. Influence of the Three-Dimensional Stress Con-
dition at the Tunnel Face on the Stability of Removable Blocks.
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Diploma Thesis, Institute for Rock Mechanics and Tunnelling,
Graz University of Technology.
Ptsch, M. & Schubert, W. 2006. Rotational kinematics of rock blocks
with arbitrary geometries. Felsbau Rock and Soil Engineering
24(3): 3036.
Tonon, F. 1998. Generalization of Mauldons and Goodmans Vec-
tor Analysis of Keyblock Rotations. J. Geotech. Geoenviron.
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 Analysis of laser scanner data collected during a survey of faces in a rock quarry

T. Rotonda
Dept. of Structural and Geotechnical Engineering, Sapienza University, Rome, Italy

M. Marsella
Dept. of Hydraulic, Transportation and Road, Sapienza University, Rome, Italy

L. Lizzadro & A. Ricca

Dept. of Structural and Geotechnical Engineering, Sapienza University, Rome, Italy

ABSTRACT:A terrestrial laser scanner survey was carried out in a marble quarry on differently oriented faces, either excavated
or along the intact slope. A quantitative analysis devoted to the estimation of the discontinuities orientation, which is one of
the peculiar parameters relevant to the stability of rock masses, was performed. Laser data belonging to each recognized
discontinuity were extracted and processed by applying a Total Least Squares adjustment method for estimating representative
plane. The results of this approach allowed to describe how the variance model is conditioned by the constraints of the problem.
The laser survey, which revealed the presence of four sets of discontinuities, was compared to a traditional compass survey
demonstrating the usefulness of the laser data and the good reliability of the applied numerical method.

1 INTRODUCTION Other achievements can be obtained from further numerical

Topographical surveys represent a good alternative to tradi-
tional compass surveys for instance when very high rock faces
or not easily accessible areas are present, as it often occurs
in quarries. Indirect measurements, such as those collected
by means of laser scanner and photogrammetric surveys, do
not require to access potentially instable areas for positioning
instruments on the exposed faces. These methods permit to
describe the rock mass morphology at higher resolution than
normally, providing an almost continuous data coverage on
the whole exposed surface.
Recent literature extensively reports on applications of
3D laser scanner surveying techniques to the study of rock
faces, emphasizing their appeal and also their limits. The
more straightforward application of such surveys in Rock
Mechanics is the estimation of discontinuities orientation
(Lemy & Hadjigeorgiou 2004, Voyat 2005). An interesting
aspect regards the possibility of reconstructing the orientation
of exposed surfaces by automated analytical procedure (Slob
et al. 2002, Slob et al. 2004).
Comparisons with traditional surveys carried out by com-
pass indicate that the method is reliable even if some dif-
ficulties are reported, such as failures in the extraction of
sub-horizontal joints (Voyat 2005).
Numerous are the possible applications of laser measure-
ments, other than orientation: estimation of typical geometri-
cal characteristics usually sampled at exposed rock faces, such
as spacing, length and persistence of traces (Feng & Roshoff
2004); slope monitoring by comparing laser scanner surveys
at different times; morphometric analysis of the 3D data allow-
ing the reconstruction of profiles, useful for estimating run out
of blocks detached from rock slopes or lost volumes in case
of rock falls.
Most applications have provided results that are as accurate
as those from topographical surveys (Bornaz 2005).
elaboration of the raw data aiming to describe roughness and
waviness of discontinuities. An interesting method recently
developed is based on fractals which produces a description
of scales of roughness both along scanlines and on 2D surfaces
(Fardin et al. 2004).
In our work a terrestrial laser scanner survey was carried out
in a marble quarry on differently oriented faces. Laser point
clouds were filtered, combined and interpolated to reconstruct
a unique digital model of the surveyed surface. The analysis of
the 3D surface model allowed to identify exposed discontinu-
ities for which to compute orientation parameters. To estimate
each identified plane an adjustment of the corresponding ran-
domly spaced 3D points was performed by means of a Total
Least Squares (TLS) technique. The results of the laser survey
were then compared to those obtained using compass in order
to evaluate its performance as far as capability of extracting
different oriented faces and to assess the achieved accuracy.
2 THE LASER SCANNING SURVEY
The laser scanning survey has been carried out to understand
the capability of this technology in support of stability assess-
ment analysis within quarry areas. The investigated marble
quarry is characterized by a very deep gully confined by ver-
tical and sub-vertical faces. The investigated area presents
a height of about 100 m, where a steep slope overhangs the
quarry (Fig. 1). The quarry morphology is characterized by
large stepped sectors formed in consequence of the excavation
activity.
Thus in consideration of the complex morphology to be
surveyed and in order to reduce occultation areas, the laser
has to be collected from different locations. Dataset cover-
ing adjoining areas should be then combined using surface

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Face N140E
Face N180E
Face N40E
Face N180E
0 10 20 30 m
Figure 1. Contour line map of the portion of the quarry surveyed
by laser scanner.
matching procedures based on the use of common control
points conveniently distributed in the area.
The laser sensor adopted for the survey (Riegl 420i) allowed
to collect range measures up to a distance of 800 m providing
precision better than 10 mm. The instrument can acquire data
at a frequency ranging from 6000 to 18000 pt/sec and is able
to rotate from 090 and 0360 along the vertical and hor-
izontal direction, respectively. The Class 1 laser beam has a
wavelength of 0.9 m (NI) and a divergence of 2 mrad. This
allows to collect measures at a minimum angular interdistance
of 0.01 , resulting in 0.002 and 0.0025 respectively for the
vertical and horizontal resolution.
The first phase of the data processing included pre-
processing of the separated datasets to reduce the laser
measures to 3D point clouds associated with the correspond-
ing RGB attributes, combining different datasets to form a
unique 3D model and, finally, editing and filtering to elimi-
nate outliers and features not relevant to the scope of the survey
(vegetation, obstacles, working machines, etc.).
The processed data were then archived in binary, vector and
ASCII for different types of applications. Additionally, digital
images were collected and rectified to help the identification
of discontinuities.
The starting point for carrying out a rock survey using laser
data is the reconstruction of a digital surface model accurately
describing the jointed rock mass and allowing the extraction of
useful features and data for further investigations. This surface
can be obtained by properly interpolating the scattered points
forming the laser data clouds in order to arrange them on
regular (GRID) or irregular networks forming a continuous
surface to be further elaborated.
The interpolation procedure permits to estimate new points
on the basis of the surrounding value of each node of the
network; the new values are attributed by using statistical esti-
mation methods. In this work the kriging method was chosen in
consideration of its capability of taking into account local vari-
ations of structural characteristics, such as those associated
with rock discontinuities.
3 ESTIMATION OF THE PLANES
Once the data belonging to the identified discontinuity have
been selected, it is possible to proceed with the estimation
of the best plane representing it. The problem can be solved
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2007 Taylor & Francis Group, London, UK
trough regression methods, which are typically based on the
minimization of the sum of squared differences between data
and mathematical model.
A basic regression method is the Ordinary Least Squares
method, where the difference to be minimized corresponds to
the distance parallel to a preferred axis, which we suppose to
be the only one affected by errors. In our case this hypothe-
sis is unrealistic and the choice of the dependent variable is
arbitrary. Errors in laser data are randomly distributed along
the three components due to natural variability of disconti-
nuity (roughness and waviness) and to the method of data
acquisition. Therefore a first order hypothesis is that we do
not have information for different degree of errors in the three
directions.
A more rigorous approach to adjust our data is represented
by the regression method called Total Least Squares, which
minimizes the Euclidean distance that is the perpendicular
distance between surveyed data and the plane (van Huffel &
Vandewalle 1991, Fienen 2005). This hypothesis is equal to
considering errors unbiased in the three directions and across
measurements.
Our data are assumed to be composed of the true, but
unknown, solution and an additive error.
Let A be the matrix (N 3) whose columns consist of
the N observations, properly scaled to their centroids as it is
required for A to have null medium values.
The equation for a plane could be expressed by
ax + by + cz = 0, where a, b, and c are the Cartesian com-
ponents, or by n = (a, b, c), the vector of unit length normal
to it.
Given the overdetermined set of equations An = 0, which
applies to our case, we have to find a vector n that satisfies
the condition of minimizing the difference between data (A)
and estimated model (), that is
where the symbol F is the Frobenius norm.
If the errors are zero-mean and uncorrelated, minimizing in
rel. (1) is the same as minimizes algebraic distance, which is
the Euclidean norm. The optimal direction is given by the unit
vector n that solves the following
where the normal matrix
= (AT A) has dimension (3 3)
and is proportional to the covariance matrix of the observa-
tions.
Thus the Total Least Squares solution leads to an eigen-
system problem, where the solution is given by the right
singular vector of A, or by the eigenvectors of the matrix

corresponding to the smallest singular value.
As the vector q = nT
n in rel. (2) presents positive def-
inite values, geometrical considerations show that q = const
describes an ellipsoid in the 3D space. The main axes of the
ellipsoid are given by the eigenvectors of the matrix
and q
is minimized by the eigenvector corresponding to the smallest
eigenvalue of
.
Given the components for n, we can obtain the orientation
parameters (dip and dip direction) of the plane representing
each discontinuity.
 N N
10-2
log Variance (m2)

10-3

10-4

Figure 4. Stereographic projections representing poles of planes for

two of the investigated faces (represented by mean great circles).
10-5
10 100 1000 10000
log N

Figure 2. Variance of the model versus number of points. The solid

line represents a linear regression model for the variables not in
logarithmic scale.

0.003
Variance (m2)

0.002

0.001

0
0 20 40 60 80
h(m)

Figure 3. Variance of the model versus difference in height between

instrument and plane. The solid line represents a linear regression
model.
Figure 5. Stereographic projection representing all estimated poles
of planes (open squares). Mean poles of the sets of discontinuities
are also reported (triangles: laser scanner survey; circles: compass
4 ANALYSIS OF THE ESTIMATES survey).

In order to evaluate the quality of the solution obtained by

means of the TLS approach, we have analyzed the variance
of the model, which coincides with the smallest eigenvalue of
the solution.
The influence of spatial variability is reported in Figure 2,
where the dispersion graph of the variance is represented as a
function of the number of points belonging to a single plane.
The maximum extension of a single discontinuity has been
found to be 12.5 m2 (5000 points). A correlation between
variables is confirmed by a statistical analysis based on
t-test, which for the linear relation gives a level of confidence
higher than 99.9 %. As the nature of errors and the hypothesis
that the error due to instrumentation is not biased, the higher
values of variances at major scales could be considered as the
deviation of the discontinuity by a plane, due to curvature or
waviness of the discontinuities.
To investigate the influence of the incidence angle of the
instrument, in Figure 3 we represents the variance of the model
as a function of the difference in height between instrument
and plane. The figure shows the occurrence of a correla-
tion between variables; the linear relation gives a confidence
level higher than 99.9 %, confirming that incidence angle and
distance influence the results.
5 COMPARISON WITH CONVENTIONAL SURVEYS
The analysis of data from laser survey provided 75 poles of
plane (42 on the quarry faces and 33 on the upper slope),
from which dip and dip direction of the planes have been
determined.
The investigated zone has been preliminary grouped in four
different sub-vertical faces (Fig. 1). The estimated planes have
been taken into account separately for each of the faces; in
Figure 4 are drawn two of the four different equal-area hemi-
spherical projections reporting the acquired poles of planes.
The results highlights that the survey preferably identify dis-
continuities having around the same strike of the face where
the poles have been determined.
All the 75 estimated poles of planes are represented in
Figure 5 on an equal-area stereographic projection. The spatial
distribution of the poles evidences that four sets of discon-
tinuities (mean poles represented by triangles) have been
identified.
On the contrary the compass survey recognized five sets
of discontinuities, including one (Jd ) that in the surveyed area
is less frequent and also not persistent. The mean poles of

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2007 Taylor & Francis Group, London, UK

the five sets of discontinuities are also represented (circles)
in Figure 5. Comparison between the mean poles deriving
from the two methods shows a good correspondence and that
discrepancy is about ten degree for dip direction and even less
for dip.
Most of the measured poles, as well as indicated by the
compass survey, belong to the sets of discontinuities Ja and
Jc . These discontinuities have been determined mostly on the
favourable oriented faces (N180E), as the other faces present
a strike at about 90 .
As the absence of sub-horizontal discontinuities in the zone,
it was not possible to investigate the capability of the method
in extracting these planes.
6 CONCLUSION
The evolution of morphology of a quarry due to excavations
implies that some of the geometrical characteristics can be
modified or are possible of being modified. Thus it is impor-
tant to deepen the study of techniques that make simpler or
quicker the acquisition of the geometrical characteristics of
rock mass discontinuities, such as that here presented based
on the use of a high resolution 3D surveying techniques.
A rigorous numerical method for estimating the orienta-
tion of a single discontinuity, geometrically represented by
a plane, has been here applied. The quality of such method
has been evaluated by performing variance analyses to under-
stand the influence of the experimental data distribution
and unfavourable geometrical configurations (high angle of
incidence).
The orientations of the sets of discontinuities basically
coincide with that surveyed by means of compass; higher dif-
ferences are around ten degree for the dip direction and are of
the same order of that due to the geometrical dispersion.
The analysis of the results indicates that a geometrical con-
straint is, as expected, the relationship between the orientation
of the front faces and discontinuities. To obtain a definite
knowledge of the discontinuity orientations and of the number
of sets it is important to investigate differently oriented faces.
The present paper has assessed the proven capability of the
terrestrial laser scanner to carry out surveys of discontinuity
orientations. Finally it is worth mentioning that the present
application could be considered one of the most favourable
conditions due to the presence of well exposed sub-vertical
faces, mostly unvegetated.
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2007 Taylor & Francis Group, London, UK
Future developments of this work are foreseen in the
improvement of numerical analyses devoted to the estimation
of discontinuity curvature at greater scales, to the study of
possible different variances between sets of discontinuities,
to the application of propagation of errors at the estimated
orientation parameters.
ACKNOWLEDGEMENT
We wish to thank the company that manages the quarry for
the availability of data and the technicians and engineers who
carried out the compass survey and gave us technical support.
REFERENCES
Bornaz, L. 2005. LAnalisi ed il trattamento dei dati Laser Scanner
terrestri. Ph.D. Thesis in Geodesy and Geomatic. Politecnico di
Milano.
Fardin, N., Feng, Q., Stephansson, O. 2004. Application of a new in
situ 3D laser scanner to study the scale effect on the rock joint
surface roughness. Int. J. Rock Mech. Min. Sci. 41: 329335.
Feng, Q.H. & Roshoff, K. 2004. In-situ mapping and documentation
of rock faces using a full coverage 3D laser scanning technique.
Int. J. Rock Mech. Min. Sci. 41 (3). Sinorock2004 Symposium.
Fienen, M. N. 2005. The three-point problem, vector analysis and
extension to the N-point problem. J. Geosc. Edu. 53 (3): 257262.
Lemy, F. & Hadjigeorgiou, J. 2004. A field application of laser
scanning technology to quantify rock fracture orientation. In W.
Schubert (ed.), Rock engineering. Theory and practice; Proc.
ISRM reg. symp. Eurock 2004 & 53rd Geomechanics Colloquy,
Salzurg, 79 october 2004. 435438. VGE.
Slob, S., Hack, R., Turner, A.K. 2002. An approach to automate
discontinuity measurements of rock faces using laser scanning
techniques. In C. D. da Gama & L. Ribeiro e Sousa (eds), Rock
Engineering for Montainous Regions; Proc .int. symp. ISRM,
Eurock 02, Funchal, 25-28 November 2002. 1: 8794. Lisboa:
Sociedade Portuguesa de Geotecnica.
Slob, S., Hack, R.,Van Knapen, B., Kemeny, J. 2004.Automated iden-
tification and characterisation of discontinuity sets in outcropping
rock masses using 3D terrestrial laser scan survey techniques. In
W. Schubert (ed.), Rock engineering. Theory and practice; Proc.
ISRM reg. symp. Eurock 2004 & 53rd Geomechanics Colloquy,
Salzurg, 79 october 2004. 439443. VGE.
Van Huffel, S., Vandewalle, J. 1991. The Total Least Squares problem:
Computational aspects and analysis. SIAM, Philadelphia.
Voyat, I. H. 2005. Analisi del fenomeno di innesco di valanghe di
roccia. Ph.D. Thesis in Geotechnical Engineering, Politecnico di
Torino.
 Analysis of stability condition of rock slopes lying along a far East motorway
based on laser scanner surveys

A.M. Ferrero, G. Forlani, M. Migliazza & R. Roncella

Department of Civil Engineering, of the Environment, of the Territory and Architecture, University of Parma, Italy

P. Grasso & E. Rabbi

Geodata, Turin, Italy

ABSTRACT: The work deals with the evaluation of the stability conditions of several steep slopes hanging along a
motorway track in the far east. The slope rock mass structure determines the possible unstable blocks that can induce rock fall
phenomena. Consequently the stability analysis must be based on an accurate geo structural survey performed by using laser
scanner to obtain a precise 3D digital model (DSM) of the rock surface. Discontinuity orientations and positions on the rock
face are derived from the DSM in order to perform the reconstruction of the rock mass and to identify blocks lying on the
slope. Stability analyses are determined by evaluating the kinematically feasibility of different failure mechanisms. The rock
block shapes and volumes are computed by performing 2D and 3D analyses whereas the failure mechanisms are examined by
Key Blocks methods.

1 INTRODUCTION 2 IN SITU SURVEY

In mountainous regions transportation corridors are often sus-
ceptible to landslides and, in particular, rock falls constitute
a major hazard in numerous rock cuts. This is the case illus-
trated in this work, that regards a highway segment, about
5 km in length, excavated through 8 slopes and affected by
several rock falls that determine a possible risk for highway
users.
The aim of the study was to establish the prevailing rock
mass characterisation on the 8 slopes for the evaluation of
instability phenomena based on traditional geostructural sur-
vey coupled with the LIDAR technology, in order to assess
a relative hazard for the slopes, thus providing recommenda-
tions for remedial works.
LIDAR application has enabled the acquisition of a very
large number of measurement points in a short space of
time. This measurement methodology has permitted the real-
isation of a 3D model of the rock slope (Digital Surface
Model DSM). This model composed by a cloud of points
is related to an image of the rock slope and it allows, through
a specific software, the reconstruction of slope topogra-
phy and the identification of the discontinuities in terms of
position on the slope and orientation, spacing, persistence
and joint hierarchy. Data acquired with the two different
approaches (compass and LIDAR) have been merged together
in a consistent data sample of the discontinuity and statisti-
cally treated. This has led to recognize typical discontinuities
for each slope describing them from a geomechanical point
of view.
Once determined both the topography of the slope and the
geo structure, stability analyses have been performed using the
Key Block method. The different possible kinematics modes
have been determined and the possible unstable blocks factor
of safety and volumes calculated. On this base remedial work
typologies have been suggested.
2.1 Geological setting
From a geological point of view the slopes are composed
of porphyritic biotite granite belonging to Kledang Range of
Triassic Age. Quartz veins, aplite dykes and pegmatites of
variable orientation and size are also present within the granite
bedrock.
A variety of structural discontinuity planes cut the granitic
bedrock; the discontinuity planes are of variable orientations,
spacing and extents and they give origin to rock block of
variable dimensions and geometry. Fresh to slightly weath-
ered granite bedrock is only exposed in the lower benches of
the selected slope cuts, the upper benches being excavated in
moderately to completely weathered bedrock.
2.2 Geostructural survey
2.2.1 Traditional methods
A geological-geostructural mapping was carried out for the 8
slope through the definition of geostructural domains and the
geomechanical description of the rock mass.
More than 50 geostructural traverses were performed with
a total of about 2400 discontinuities collected in terms of ori-
entation and characteristics of the rock mass (according to
ISRM standard). In order to identify the predominant joint
sets, all data collected were statistically analysed separately
for each traverse and together for the 8 different slopes, using
2 geo-statistical codes. The combined use of these tools per-
mitted the determination of dispersion around the mean value,
in terms of cone of confidence, and the precision of the data
for each family of joint.
For each one of the slopes a preliminary geometri-
cal description was given with the definition of geostruc-
tural domains and principal joint sets; then a series of

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2007 Taylor & Francis Group, London, UK


Figure 1. Methodological flow chart.
geostructural surveys along scanlines of 10 m length were
performed. During the traditional survey in situ observations
of local instabilities, water presence and existing protections,
were noted separately to be compared with and for integrating
the results of the surveys.
2.3 Laser scanner survey
The Digital Surface Model (DSM) generation for the eight
slopes has been obtained by using the LIDAR (Light Detec-
tion And Ranging) terrestrial laser scanner technique, that
utilizes a system constituted from a laser telemeter and a scan-
ning mechanism. A pulse emitted from the laser source is
reflected by the object surface, its echo is captured by the
optics, measuring the time-of-flight, the sensor-to-object dis-
tance is computed. Terrestrial lasers are equipped with two
mirrors mounted on two orthogonal axes; when the instru-
ment is levelled, the synchronized rotation provide scanning in
azimuth and zenith; the polar coordinates of the target are then
converted to a local cartesian frame with origin in the instru-
ment centre, z-axis vertical and x-axis in arbitrary direction.
A point clouds generation of rock faces, (operating ranges
are from 100 to 800 m and more), with accuracies of the 3D
coordinates in the range 0.5 3 cm and scanning speed from
2000 to 12000 pts/s has been obtained. Angular scanning res-
olutions are in the order of 100 mrad and allow for a very high
sampling density on the object in relatively short acquisition
times, resulting in millions of points to be measured on the
object surface.
For the 8 analysed slopes the used instrument was a Riegl
LMS-Z420i with a calibrated Nikon D70 digital camera
mounted on it. During the survey, many scan positions were
adopted in order to avoid hidden zones. In addition, in each
slope two different survey resolutions were adopted:
for the general description of the slope a point every 5 cm is
acquired, whereas in the taking of digital images a 20 mm
calibrated focal lens is used;
a detailed survey is carried out in zones, having dimension
of 10 m 10 m (a point every centimeter, calibrated focal
lens 84 mm).
Consequently millions of points have been collected in
terms of absolute coordinates x, y, z.
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2007 Taylor & Francis Group, London, UK
Figure 2. Principal joint sets observed on one of the 8 rock slopes.
Furthermore a preliminary survey phase was carried out,
in order to georeference the acquired data. A local network
is materialized, documented and surveyed by means of a
fast static GPS survey. The used instruments were 2 Trim-
ble receivers: a Trimble 4000 ssi double frequency receiver; a
Trimble 4600 single frequency receiver.
A topographic survey was carried out by means of a total
station (Leica TC 1105): in this phase all the reflecting targets
and the topographic ones put on tripods, on the reference ver-
tices, were measured. In this way it was possible to convert all
the local measurements into a mapping system and reference
all data to north position.
2.4 Geo structural data analysis and comparison
Laser scanner supplies the coordinates of points in the space.
The following step to realise a geometrical model of the rock
mass is the determination of the planes that form the slope.
Firstly points have to be divided into groups of points belong-
ing to a single plane. In other words, the DTM has to be
analysed in order to identify the points belonging to each plane
existing on the slope. For this purpose laser scanner measure-
ments have been superimposed onto the slope photograph in
order to determine both slope geometry and identify rock dis-
continuities by means of a software. This tool, specifically
developed, is based on segmentation algorithm able to iden-
tify the number of planes present in a point cloud and their
relative equations. By knowing the plane equation, dip and
dip direction of each plane can be computed (Roncella et al.,
2005, Voyat et al., 2006).
Other statistical analysis have been performed using, as
input data, the Lidar survey and then compared with the data
acquired by the analysis of traditional compass survey for each
scanlines and for each slope. Figure 4 shows one example of
the comparison of the two stereonets obtained plotting the data
resulting from the traditional compass method and by LIDAR
data. This analysis appears in good correspondence with the
preliminary in situ observations. Similar analysis have been
performed for all slopes divided in homogeneous domains and
discontinuity sets have been identified in terms of average
dip, dip direction and spacing. Stability analyses have been
then performed by considering the presence of the joint sets
determined for each slope. The rock mass has shown a rela-
tive homogeneous structure in the analysed rock masses since
main joint sets are constantly present in all slopes although
some of the slope have shown a local variation. In particular
in some slopes a joint set parallel to the rock face has been
Figure 3. DTM model superimposed to the photograph with the discontinuity identification.
Figure 4. Joint set identification determined by the geological
traditional survey (A) and by laser scanner DTM (B) on the slope
W8 (upper hemisphere).
observed by in situ survey that cannot be identified on the
LIDAR data.
3 STABILITY ASSESSMENT
Fractured rock masses are often geometrically complex and
can be regarded as an assemblage of many individual poly-
hedral blocks whose shape and volume are strictly connected
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2007 Taylor & Francis Group, London, UK
to number, orientation and spacing of discontinuity systems
present in the rock mass. When such a rock mass is subjected
to mechanical disturbance, through for example the excava-
tion of slopes, the rock blocks can displace, rotate and detach
from the backward rock mass.
In order to identify shape, dimension, type of kinematism
and factor of safety of the blocks that can detach from the rock
mass, the code Rock3D has been utilized. This code has been
implemented to form a block system by the joint sets present in
the rock mass, introduced in a deterministic way by knowing
their orientation and position on the rock front, or by auto-
matically generating them in a statistic way on the basis of the
surveyed discontinuities, by means of statistical distribution.
Rock3D allows to conduct slope stability analysis following
four steps: cluster analysis to identify the joints sets by hierar-
chic clustering procedure; kinematics analysis based on Key
Block Theory (Goodman & Shi); geometrical reconstruction
of the blocks by creating map of discontinuity on the rock front
in pseudo casual way, based on the statistical distribution of
the discontinuity measured on the slope; stability analysis by
applying limit equilibrium method to compute factor of safety
of each finite and removable blocks and, in case of unstable
blocks, the stabilization forces too.
The evaluation of the rock block volume has been deter-
mined by considering the discontinuity orientations and the
relative persistence.
The code determines a statistical reconstruction of the joint
traces on the bases of the discontinuity measured (both by
the laser scanner method and by the traditional method) in a
window of known dimensions. The discontinuity position and
consequently their spacing and persistence can also be directly
measured.
These experimental data are treated statistically and the cen-
troid of each family has been determined such as average joint
spacing and persistence.
For each analysed kinematism the block shape is defined by
the joint intersection and consequently each block volume can
be easily determined by simply analytical geometry equations.
This method has been applied to each analysed slope, con-
sidering all the acquired discontinuity data got from traditional
and laser scanner surveys. The results, in terms of key block
analysis, pseudo-casual map of discontinuities reconstruction,
type of kinematism, geometric features of free and removable
blocks identified and limit equilibrium analysis results, are
reported in figure 5 for slope 8.
Figure 5. Joint pyramids obtained for slope 8 and relative types of kinematism, maximum volume of the free and removable blocks,
pseudo-casual maps and two blocks projection obtained for three-dimensional sliding along the intersection J3J4.

Table 1. Geometrical characteristics of the analysed slopes and results obtained in terms of possible kinematics and volumes.

Free and
Types of removable Max blocks Average block
Height Length Dip kinematism blocks volume volume
Slope [m] [m] [ ] # # [m3 ] [m3 ]

S1 40 180 60 4 23 1,118 0,291

S2 135 750 75 6 59 23,0 1,830
S3 30 100 75 3 15 0,556 0,107
S4 30 90 75 3 9 5,217 0,614
S5 40 50 80 6 31 5,430 0,896
S6 50 130 82 3 28 3,411 0,336
S7 50 250 85 3 38 4,342 0,588
S8 50 50 80 4 22 0,983 0,134

In Table 1 the results obtained for all the eight slopes average unstable volumes. The acquired data will then be
analyzed are summarized. utilised for the design of consolidation works and for the slope
risk assessment.
4 CONCLUSION

The study of the stability conditions of 8 rock slopes hang- REFERENCES

ing along a motorway in Far East have been carried on by
means of the key block method based on accurate rock mass
surveys. The surveys have been performed by laser scanner
acquisition that allows the DSM determination. Slope point
clouds have then been treated by a specific software devel-
oped by the University of Parma for the determination of the
rock discontinuities visible on the rock faces by means of the
application of a segmentation algorithm. Discontinuities dip
and dip direction and positions have also been computed. Sta-
tistical data analysis at different scales, supported by in situ
observation, allowed the determination of the rock structure
subdivision into homogeneous sub domains and the definition
of the rock mass structures in terms of joint set orientation and
spacing.
Consequently finite and removable rock blocks have been
determined in terms of kinematics mode and maximum and
Goodman, R.E., Shi, G.H. 1985. Block theory and its application to
rock engineering. Prentice Hall, London 338pp.
Rock3D. Key block theory based three-dimensional rock block
analysis. Manual. Geo&Soft.
Roncella, R. & Forlani, G. 2005. Extraction of Planar Patches from
Point clouds to Retrive Dip and Dip Direction of Rock Discon-
tinuities. In IASPRS 36(3W19): 162167, Laser Scanning 2005,
Enschede, Netherland.
Roncella, R., Forlani, G. & Remondino, F. 2005. Photogrammetry for
geological applications: automatic retrieval of discontinuity orien-
tation in rock slopes. In Videometrics IX Electronic Imaging
IS&T/SPIE 17th Annual Simposium: 1727.
Voyat, I.H., Roncella, R., Forlani, G. & Ferrero,A.M. 2006.Advanced
techniques for geo structural surveys in modelling fractured rock
masses: application to two Alpine sites. GoldenRocks 2006: 41st
U.S. Rock Mechanics Symposium, Golden, Colorado.

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2007 Taylor & Francis Group, London, UK

 Anchoring mechanism of self-locking pre-stressed anchor cable and design of self-locker

Zhu Benzhen, Liu Qingyuan & Wu Zhigang

China Railway Northwest Science Research Institute Co., Ltd., China

ABSTRACT: This article presents the anchoring mechanism of self-locking pre-stressed anchor cable and the design of
self-locker. This is based on the following consideration: the current pre-stressed tendon anchor has neglected the energy
field in free length stratum so as to result in such defects as too much reaction concentrating in the shallow stratum, too
much protection works, too long engineering process and poor economy efficiency in maintenance. The design of self-locker
structure is ascertained. Through indoor tests, its effect is checked with numerical test results and the self-locking capability
of the pre-stressed anchor cable self-locker is achieved.

1 INTRODUCTION

Pre-stressed anchor fixing technology has been developed

in more and more applications and fields progressively and
widely, and the geological conditions of anchoring object
becomes more and more sophisticated and the structures and
types of anchor have improved continuously. Whereas, all
current researches of pre-stressed anchor cable structure in
application are about the stress field distribution of the fix-
ing end of anchor. It has become a problem demanding prompt
solution in engineering walks that how to in sophisticated stra-
tums enhance load of anchor cable, improve anchoring system
stress field distribution, reduce decreasing speed of anchoring
load, prolong life of anchor and save engineering cost.
Although there are many types of pre-stressed anchor cable
structure and many kinds of anchor fixing end stress field, the
stress field of their reaction structure are fundamentally the
same, which impact stress concentration on reaction structures
in slope and increase protection works. Considering the gen-
eral types of pre-stressed anchor cable structure, this article
presents how to realize pre-stressed anchor cable self-locking
by adding self-lockers on the free length with the foundation
of free length stratum energy field.
1.1 Basic theory of self-locker
Set self-lockers, which have locking clips inside, in units on
the free length crossly. Strands only move in single direc-
tion when adding tension, and at the same time the anchor
fixing load of the anchor cable will get balanced with the pres-
sure of the cement column in the steel pipe and the boundary
adhesive force of the steel pipe holes by self-lockers. Thus,
it was realized that adding tension in steps, locking the free
length by itself, decreasing the standard of reaction structure
or aborting reaction structures. Bi-directional anchoring force
model is fundamentally applied in self-locking pre-stressed
anchor cable structure, which is easy for both producing and
engineering.
Figure 1. The self-locking theory of pre-stressed anchor cable.
advantage of the solidity of the rock/soil body of the free
length and provide fixing force to the pre-stressed anchor cable
with the rock/soil body around the length, which improves
(of anchoring system) the stress field distribution, reduce or
eliminate fixing force of reaction structure, and retrench slope
reaction structures whose concentrated force may weaken the
fixing rock/soil position. Therefore, it will decrease difficul-
ties in engineering, speed engineering process, save cost and
be friendly to environment.
2 DETAIL DESIGN OF SELF-LOCKING
PRESTRESSED ANCHOR CABLE STRUCTURE
Self-locking pre-stressed anchor cable structure includes:
self-locker, fixing end of anchor and reaction structure.
This article mainly describes how to design mechanical self-
locker structure with the consideration of the solidity of
rock/soil body.
2.1 Design of the self-locker structure of self-locking
pre-stressed anchor cable
Figure 2 introduces the mechanical self-locker structure of
self-locking pre-stressed anchor cable. Fixing end and reaction
structure are designed as other prescriptions.

1.2 Self-locking theory of pre-stressed anchor cable

Figure 1 introduces the self-locking theory of pre-stressed
anchor cable. Compared with other anchor cable structures,
self-locking pre-stressed anchor cable has improvements in
the reaction structure by adding self-lockers. It takes full
2.2 Indoor test
The first test to ascertain the effect of self-locker:
(1) The diameter of the top taper hole shall be 29 mm, and the
clips of self-locker shall be OVM anchor clips.

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2007 Taylor & Francis Group, London, UK

Figure 2. Structure of self-locking pre-stressed anchor cable.
(2) First extended the jack to a certain travel for ease removal
of anchor. Fixed the steel bearing plate, and added tension
with the jack directly. When the clips were just parallel
with steel bearing plates, stopped adding tension as the
reading of pressure gauge was 5 MP. After the removal
of the anchor, installed the steel reaction plate behind the
clips and added load to maximum of 5 MPa, then the strand
moved obviously, the travel of the jack was 102 mm versus
the original 84 mm. So the tension of strand through clips
was just 5 MPa surely. Opened the steel reaction plate, and
it was found that strands were seriously damaged.
(3) The second test at the same position. When the reading of
the pressure gauge was 4.4 MPa and clips began to sink
into holes, stopped adding tension. When adding reverse
tension, the reading of the gauge was wandering around
3 MPa and strands are extending. Opened the steel reaction
plate, and it was found that strand were damaged more
seriously and some steel powder appeared around clips.
(4) The third test. Added load to 5.8 MPa and stopped when
clips sunk 1 mm. Installed steel reaction plate and added
reverse tension to 2.8 MPa. Strands extended more and the
travel of the jack is 103.5 mm versus the original 92 mm.
When adding load to around 2 MPa, stands started sliding.
Opened the steel reaction plate, and it was found that more
steel powder around clips and obvious sliding traces.
Conclusions from tests:
(1) The taper hole of the steel bearing plate shall be enlarged,
and specific size need to be set.
(2) Repeated tension adding provides poor effect and dam-
ages strands seriously, especially when the reaction load
is heavier, strands will be damaged more seriously. Steel
powder around clips will decrease. Therefore, times of
repeated tension adding shall be as less as possible.
(3) During adding tension repeatedly, self-locker works well.
2.3 Decision of self-locker structure
Solution to improve the test on the foundation of the above
tests and analyses:
With positive tension, the anchor clips can self-lock only
when they contact with strands well, and strands will make no
or little movement; with reverse tension, clips can contact with
strands well only when they dont move with strands. There-
fore, to ensure less damage of strands with reverse tension and
good effect of self-locking, it was decided to change the end
structure of self-locker to add tension with screw rod directly
and press clips into the taper hole with steel reaction plate and
make it contact with strands well to realize self-locking.
Improve size of self-locker: enlarge the end diameter of the
taper hole of steel bearing plate to 30 mm so that the 1 mm
of each clip is exposed. Screw 10 mm rod down directly to
add pressure on the steel reaction plate to press clips into the
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2007 Taylor & Francis Group, London, UK
Figure 3. Self-locking pre-stressed anchor cable.
Figure 4. design of self-locker load testing.
taper hole and ensure that strands contact with clips well. In
positive locking test, strands may have self-lock in self-locker
and make no or little movement. In reverse tension test, strands
can move freely with little damage so that little pre-stress is
lost when tension adding finished.
2.4 Type of self-locking pre-stressed anchor
cable structure
Since concrete column is brittle and has much different defor-
mation with steel, joints between the fixing length and the
tension length of traditional tension anchor are easy to crack
or even break in complete rock body, and further more, the
concrete column of the fixing length may be pulled into short
sections along strands in soft rock, kataclasite and earth body.
No matter what condition it is, key parts of anchor cable may
be damaged and out of use. Self-locking pre-stressed anchor
cable structure can overcome the above defects. Fig. 3 shows
its structure design.
Self-locking pre-stressed anchor cable distributes the inter-
nal anchor fixing length load onto self-lockers as pressure of
the free length concrete column, cohesive force of the rock/soil
surrounding the tunnel and press of reaction structure. Since
rock/soil around the free length are pressed in the stress field,
it is good to stabilize the rock/soil body and to reinforce it.
Compared with traditional pre-stressed anchor cable, self-
locking pre-stressed anchor cable transforms the slope stress
concentration into pressure on the shallow stratum of rock/
soil by self-lockers and take full advantage of the solidity
of slope rock/soil body to reduce or even eliminate much
protection works.
3 CAPABILITY OF SELF-LOCKER IN SELF-
LOCKING PRESTRESSED ANCHOR CABLE
To verify the in situ effect of self-locker, set tests as follows
(Fig. 4).
3.1 Load-adding testing
For easy analysis, self-locker units of anchor cable in testing
were numbered from the bottom of the tunnel to the slope as
MS1, MS2 and MS3. To analyze impacts between neighboring
units when adding load, unit MS1 was the first to be added
load, when it was locked then unit MS2 was added load, and
the same to unit MS3 (that is to say, add load from the bottom
of the tunnel to the slope).
Soil around the opening of the tunnel may sink obviously
under heavy load if the load-bearing ability of the base is not
good in the testing area. To avoid such conditions, enlarge
Figure 5. Relationship between added load and self-locking load
the bearing area of the anchor cable pier according to the anti-
on unit MS2.
pressure strength of base rock/soil body. The testing was made
on the surface of stone wall, which has good load-bearing
ability. Channel steel pier, with a round steel load-bearing
plate on it, was applied on the surface, which ensured the
tension added on dynamometer was uniform and disturbing
factors were eliminated mostly.
To test self-locking ability of anchor cable and changing of
stress, classify testing loads into grades of 100 KN, 150 KN,
200 KN, 250 KN and 300 KN, and add tension to the three
units of anchor cable (MS1, MS2 and MS3) grade by grade in
circles. Figure 6. Relationship between added load and self-locking load
on unit MS1.
3.2 Testing and analysis of self-locking
load of self-lockers
Considering the friction between anchor cable strands and the
grout cohesive in tunnel, there is formula related to added
load Pu on self-locker, friction P0 and tension Pa of the jack,
as follows:

Figure 7. Relationship between added load and self-locking load

3.2.1 Self-locking load and testing of self-locker
Add tension on each unit in situ and observe reading of
dynamometers behind those three self-locking unit with
changing of load on the self-lockers. According to formula
related to dynamometer and jack, the self-locking load Ps of
self-locker and the added load Pu on self-locker Pu can be cal-
culated. The calculation about the first tension on unit MS1 is
as follow:
Self-locking load Ps of self-locker is
when external load is 100 KN, the reading of jack is
added load on self-locker Pu is
Other calculations can be repeated by using the same formula.
3.2.2 Analysis of self-locking load of self-locker
Add and remove load on units MS1, MS2 and MS3 grade by
grade to get self-locking load on each self-locker and impact
between those units. Figs. 5, 6 and 7 show the results of
analysis.
Figures 5, 6 and 7 present features of self-locking load of
self-lockers of self-locking prestressed anchor cable as follow:
(1) The maximum external load was 300 kN in the testing.
Considering impact of the friction between the strands
on unit MS3.
and the cohesive in the tunnel, each maximum effective
load on units MS1 and MS3 was 220 kN, and that on unit
MS2 was 215 kN.
(2) Self-locking effect of self-locker: the self-locking effi-
ciency (Ps /Pu ) of unit is 71.6% for MS1, 74.7% for MS2
and 72.5% for MS3, all of which are more than 70%. Con-
sidering impact of factors, such as the friction between the
strands of pre-stressed anchor cable and the plastic tube
and the cohesive between the nude strands inside the self-
lockers and the grout, the effective load on the self-lockers
are slightly less, so the real self-locking efficiency of self-
lockers is higher and the self-locking effect is better, which
realize the aim of design.
(3) Impact of adding tension grade by grade to self-locker
unit: compared with adding tension grade by grade, adding
all intended tension in one time has better effect: tension
added all in one time on MS1 is 6.5 kN more that added
grade by grade, and in the similar situation the number
is 8.5 kN for MS2 and 8.3 kN for MS3. Further consider-
ing the damage to strands and steel powder around clips
caused by tension adding grade by grade, all-in-one-time
over-tension is strongly recommended in engineering in
situ. During removing load grade by grade, self-locking
load changes a little. When all load are almost removed,
self-locking load increases rapidly and the maximum self-
locking load changes a little. When load is comparatively
light, increased self-locking load of self-lockers is light
for the negative impact of friction to pre-stress. It is rec-
ommended that add tension all in one time to anchor
self-locking pre-stressed anchor cable quickly to enhance
performance of self-lockers.

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2007 Taylor & Francis Group, London, UK

(4) Impact between load added on self-locking units: in the
testing, the load added on units MS2 and MS3 have little
impact to that on MS1; that on MS3 has little impact to
that on MS2.
4 CONCLUSION
(1) Self-locking pre-stressed anchor cable is designed mainly
to solve the problem of tension concentration of slope: the
tension of traditional anchor cable concentrates on the reac-
tion structure of slope, which increases slop protection works
and time of engineering. Self-locking pre-stressed anchor
cable contributes tension concentration of anchor cable uni-
formly on the shallow stratum of rock/soil body by the
self-locking effect of self-lockers and takes advantage of solid-
ity of rock/soil itself to anchor unstable rock/soil body, which
reduces or even eliminates reaction structures of slope and
improves engineering efficiency.
(2) The key part of self-locking pre-stressed anchor cable is
self-locker: self-locker can transform tension concentration of
the anchorage load into pressure on grout, which is transmitted
onto rock/soil body finally. For best utility of self-lockers, self-
locker effect testing is designed to ascertain diameter of taper
hole of bearing plate and reaction load, which shall ensure
that strands contact with clips well and clips dont move when
forward fixed, loss of pre-stress is little after tension adding,
and clips dont damage strands when opposite tension added
and reaction load is light. In the testing, efficiency of each
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2007 Taylor & Francis Group, London, UK
self-locker was above 70%, which achieved the demand of
scheme and showed self-locking effect is good.
(3) With the view points of anchor cable structure and
anchorage mechanism, self-locking pre-stressed anchor cable
is of bi-directional anchor cable structure. It transfers pressure
through free length strands to the inner anchor fixing length
at the bottom of the tunnel and the grout of the self-locking
length, and pressure of self-lockers is transferred into rock/soil
body through cohesive between grout and rock/soil body,
which can protect and reinforce rock/soil body. The whole
grout is pressed so that it wont break into sections for pulling
force, and the shear force model is good for anticorrosion of
self-locking pre-stressed anchor cable.
REFERENCES
Ziyue Su, Moming Yan, Zhenxian Xu g. Rock and Soil Anchorage
technology and Its Applications in Engineering, China communi-
cations press.
Chinese Association for Anchorage engineering in Rock and Soil.
New Rock and Soil Anchoring technology, China Communications
Press.
Code for Construction of Prestressed Anchor Cable Engineering of
Water Conservancy and Hydro Power Projects (DL/T 5195-2004),
China Water Power Press.
Code for Design of Hydraulic Concrete Structures (SL/T 191-96),
China Water Power Press.
Specification for Bolt-shotcrete Support (GB50086-2001), China
Planning Press.
 Application of DOM borehole information for rock slope monitoring

T.F. Cho
Department of Environmental Exploration Engineering, Pukyong National University, Korea

G.H. Lee
Hoseung E&C Co., Ltd., Korea

K.S. Won
Geotech Consultant Co., Ltd., Korea

Y.J. Kim
NOW ENG Co., Ltd., Korea

J.W. Choi
DONG-A Geological Engineering Co., Ltd., Korea

ABSTRACT:Automated rock slope monitoring system has been established and the characteristics of slope behavior is analyzed
with consideration of field rock structure by virtue of borehole information of joint orientations and positions acquired from
Discontinuity Orientation Measurement (DOM) drilled core log. Regarding the core axis as a scanline, structural properties of
rock mass has been assessed. Anticipated failure modes of rock slope and the regional instability is inspected by tracking down
the hazardous joint planes the traces of which are projected on the cut-face. Formation of potential wedge blocks and their
stability are also analyzed. Cross section has been set to include DOM borehole and traces of failure-inducing joint planes.
These information of rock structure and the location of risky joint planes is used, together with the monitoring data acquired
from the inclinometer installed inside DOM borehole, to illustrate the aspect of internal slope behavior and to delineate the
detailed triggering mechanism of slope movement.

1 INTRODUCTION
Structural characteristics of rock mass for the construction of
cut-slope has been generally investigated by performing win-
dow or scanline survey on the exposed rock mass and/or by
implementing borehole image-taking instruments to acquire
the orientations of discontinuity planes (Haller & Porturas,
1998; William et al., 1997; Hornby et al., 1992). Recently,
Yoon et al.(2003) and Cho et al.(2004) developed DOM (Dis-
continuity Orientation Measurement) drilling system which
can determine the relative positions and orientations of dis-
continuity planes intersecting the drilled core log. Combined
information of both orientation and position of each disconti-
nuity constitutes the plane equation in three dimensional space
and the joint trace map can be constructed by numerically
projecting discontinuity planes on the anticipated cut-face of
rock slope.
To elucidate the applicability of DOM borehole informa-
tion for rock slope monitoring potential modes of failure and
the anticipated slope behaviour have been investigated. Joint
planes which may cause plane or toppling failure are inspected
and their traces on the cut-face are envisioned by manipulat-
ing the plane equations of both relevant joints and cut-face.
Formation of potential blocks on the cut-face is also analyzed.
Directions of joint intersection lines are calculated and their
sliding potentiality with respect to the orientation of cut-face
and the internal friction angle of joint plane is examined. By
tracking down the joint planes which mutually intersect the
block base-forming joint planes on the slope surface, three
dimensional geometry of individual block has been precisely
defined. This process is repeated to detect every possible
potential block and the posture of block formations inside
the slope model is depicted.
Inclinometer has been installed inside DOM drilled bore-
hole and slope behaviour has been monitored. To illustrate
the significance of internal structure on the behaviour of rock
slope cross section, the direction of which is normal to the
slope face, has been set and the posture of sliding joints and
the extent of tetrahedral blocks on the section are algebraically
calculated. Information of rock structure has been efficiently
used for more realistic interpretation of monitoring data.
2 ROCK STRUCTURE AND SLOPE STABILITY
Rock mass structure and stability of cut-slope excavated at
the highway construction site in Korea have been analyzed
based on the borehole information of orientations and posi-
tions of discontinuity planes acquired from DOM drilled core
log. Figure 1 illustrates the layout of cut-face and the loca-
tion of DOM boreholes. Dip direction and dip of the cut-face
are 172 and 55 , respectively. Reddish shale is the dominant
rock type for the entire slope. Dip direction of bedding plane
is very similar to that of cut-face and the angle of dip is 15 .

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2007 Taylor & Francis Group, London, UK

 Figure 2. Schematic diagram of intersected discontinuity plane in
DOM drilled core.

Figure 1. Layout of cut-slope: (a) Prospective joint traces;

(b) Installation of cable anchor.

Systematic cable anchors have been installed on the failure-

prone region (Fig. 1b).
Orientation and position of each discontinuity plane are cal-
culated by measuring the local coordinates of PDOM , P1 and
P2 , as shown in Figure 2. By utilizing the coordinate transfor-
mation tensor (T) the global coordinates of these three points
are calculated as below. For the trend() and plunge() of
DOM drilling axis Figure 3. Characterization of rock mass structure in the borehole
BH-1.

where,

Using the global coordinates of three index points two direc-

tion vectors can be defined on the discontinuity plane and its
orientation is readily determined by calculating the cross prod-
uct of direction vectors. In this way orientation coefficients a,
b and c for the constitutive plane equation are determined and
then, the position constant d has been computed as follows.

Figure 4. Stereograph of discontinuity plane.

Distribution of discontinuity planes along the axis of bore-
hole BH-1 is shown in Figure 3. Regarding the core axis as
a scanline RQD of 77.5% and total spacing of 0.47m(0.37)
have been obtained for the entire boring span. Contour dia-
gram of pole distribution is also drawn and formation of joint
sets and their representative orientations have been calculated
by employing the clustering algorithm (Mahtab and Yegulalp,
1982). As can be seen in Figure 3 one single joint set has
been delineated by applying the cone angle of 15 . Repre-
sentative joint set orientation is 171/08 with Fisher constant
of 48.7 (Fisher, 1953). Similar results of rock mass structure
have been acquired for boreholes BH-2 and BH-3.
Discontinuity planes detected in DOM boreholes BH-1,
BH-2 and BH-3 are algebraically projected on the cut-face
(Fig. 1a) and stereograph of pole distribution with the plane
and toppling failure criteria for the internal friction angle of
10 is drawn in Figure 4. Discontinuities which can induce
either plane or toppling failure are judged and their extent
on the slope surface are envisioned by handling the plane
equations of relevant discontinuity planes (Fig. 5).

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 Figure 6. Sliding discontinuities and blocks on the cross section
containing inclinometer.

Figure 5. Results of slope stability analysis: (a) plane sliding;

(b) toppling failure; (c) wedge failure.

Formation of tetrahedral blocks which can cause wedge

failure is also investigated by analyzing the directions of dis-
continuity intersection lines and their sliding potentiality with
respect to the posture of cut-face. By tracking down the discon-
tinuity planes which mutually intersect the block base-forming
joint planes on the slope surface three dimensional geometry
of individual block has been defined. Blocks, which pos-
sess the edge length smaller than 5 m so that actual failure
risk is very high, is identified and the distribution of these
blocks is depicted in Figure 5. These results of preliminary
analysis for the slope stability dictate that the governing mech-
anism of slope behavior is to be the sliding of bedding planes,
rather than toppling. This intuition is justified strongly by the
fact that formation of wedge blocks is closely linked to the
sliding-induced discontinuity planes.
3 SLOPE MONITORING
Automated monitoring system has been established and the
monitored data obtained for the period of first 208 days is
analyzed to figure out the characteristics of slope behavior
and the triggering mechanism. Inclinometer has been installed
inside DOM borehole BH-3 (see Figure 1a). To verify the
significance of rock structure on the slope movement, cross
section the direction of which is normal to the cut-face has
been set to include borehole BH-3 and the traces of inter-
sected tetrahedral wedges and plane sliding discontinuities
together with the installed inclinometer are drawn in Figure 6.
Traces of two sliding discontinuity planes intersect the axis
of borehole BH-3 at the depth of 2 m. Six sliding discontinu-
ities are distributed in the depth range between 6 m and 8 m,
but two of these planes possessing the relatively higher dip
angles are not daylighted to the cut-face. Most of tetrahedral
Figure 7. Variation of lateral displacement at borehole BH-3.
blocks are formed in the upper region and structurally undis-
turbed zone can be identified at the borehole depth between
4 m and 6 m. This feature of discontinuity and block distribu-
tion significantly affect the slope behavior in the earlier time.
Lateral displacement of slope measured by the inclinometer
the probes of which are equipped at every 2 m interval along
the borehole axis is drawn in Figure 7. For the first 66 days
lateral displacements at the borehole depth of 24m, 68 m
and 810 m are quite prominent, but lateral displacement at
the depth of 46 m is obscured.
To illustrate the significance of rock structure on the slope
behavior cumulative lateral displacement for the monitoring
periods of 186 days and regional RQDs assessed along the
borehole axis with span of approximately 2 m are drawn in
Figure 8. RQD for each depth range varies from 51% to 87%,
but for the depth of 24 m RQD is 100%. At this depth lateral
displacement reveals three month of resting stage after the
monitoring date of 125 day. In contrast the continuous increase
of lateral displacements is detected in the upper and lower
regions of monitoring range. Abrupt lateral displacement at

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Figure 8. Regional RQD and the cumulative lateral displacement
at the monitoring date of 186.
24 m depth after the three month-dormant period is thought
to be mainly from the pseudo-stick slip phenomena of two
major sliding planes and this significantly affects the pattern
of entire slope movement.
4 CONCLUSION
Borehole information of the spatial distribution of discon-
tinuity planes obtained from DOM drilled core log has been
successfully applied to the analyses of rock mass structure and
the stability of rock slope. Projected posture of sliding planes
and tetrahedral wedges on the cross section the direction of
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which is normal to the cut-face provides the indispensable
clues for the interpretation of monitoring data.
ACKNOWLEDGEMENTS
This research was performed for the Natural Hazards Preven-
tion Research Project (Project No. : M1-0324-01-0000), one
of the National R&D Program, funded by National Emergency
Management Agency of Korea.
REFERENCES
Cho, T.F., Won, K.,You, B. & Lee, S. 2004. Application of a
discontinuity orientation measurement drilling system to the char-
acterization of an in situ rock mass and the prediction of cut-slope
stability. International Journal of Rock Mechanics and Mining
Sciences. 41(3).
Fisher, R. 1953. Dispersion on a sphere. Proceedings of the Royal
Society of London. A217: 295305.
Haller, D. & Porturas, F. 1998. How to characterize fractures in reser-
voirs using borehole and core images: case studies. In P.K. Harvey
& M.A. Lovell(eds) Core-Log Integration. Geological Society.
London. Special Publications 135: 249259.
Hornby, B.E., Luthi, S.M. & Plumb, R.A. 1992. Comparison of
fracture aperture computed from electrical borehole scans and
reflected Stoneley waves: an integrated interpretation. The Log
Analyst. 33(1): 5066.
Mahtab, M.A. & Yegulalp, T.M. 1982. A rejection criterion for
definition of clusters in orientation data. In R.E. Goodman and
F.E. Heuze (eds). Proceedings of the 22nd Symposium on Rock
Mechanics, Berkeley. American Institute of Mining Metallurgy
and Petroleum Engineers. New York: 11623.
Williams, C.G., Jackson, P.D., Lovell, M.A. & Harvey, P.K. 1997.
Assessment and interpretation of electrical borehole images using
numerical simulations. The Log Analyst 38(6): 3444.
Yoon, K.S., Cho, T.F., You, B.O. & Won, K.S. 2003. A new approach
for borehole joint investigation Development of Discontinuity
Orientation Measurement drilling system. Proc. 10th Congress of
the ISRM : 13551358.
 Assessment of rock mass deformation and slope stability predictions of
Odessa Port plant

E. Freiberg & E.Bellendir

B.E. Vedeneev VNIIG, St. Petersburg, Russia

A. Fedchun & A. Elkin

Odesskiy Priportoviy Zavod, Odessa, Ukraine

G. Bich
Chernomorniiproect, Odessa, Ukraine.

E. Cherkez
Odesskiy University, Odessa, Ukraine.

ABSTRACT: The paper covers the problems of long-term stability of slopes of clay (rocks containing clay interlayers) on the
example of arguments for safe operation of the slope at the site with responsible structures of Odessa Port Plant. Characteristics
of present situation, prediction of slope deformation and recommendations on providing its safe operation were given.

1 INTRODUCTION

This paper considers problems of ensuring long-term stability

of argillaceous soil slopes (rock slopes containing clay inter-
layers) with rheological properties. This analysis continues
the analysis given in paper [Freiberg, Bellendir, 1999]. Long-
term stability of argillaceous soil slopes depends very much
on reliable prediction of expected speed and absolute values
of landslip sliding.
The study of slope long-term stability process is of special
importance at ensuring safety and environmental protection in
the presence of responsible buildings on landslideable areas.
As the example we can take examined in this report condi-
tions of ensuring slope safe operation at the warehouse area
of Odessa Port Plant (Ukraine) with large-capacity storages of
liquid ammonia and orthophosphoric acid, loading terminals,
chemical production buildings etc., and adjoining the lower
part of the slope deep-sea terminals.
The paper formulates the main conclusions on the pre-
diction of massif deformations and recommendations that
must ensure safe operation of the slope at warehouse zone
of the plant and, in authors opinion, that are new look for
improvement of slope functional performance.
2 CHARACTERISTICS OF THE CREEPING
PART OF THE SLOPE
The analyzed part of the slope is situated on the seaside
of Adzhalykskiy bay of the Black sea close to Odessa city
and consist of heterogeneous, rather strong grounds (Meotian
clays with a touch of sand and limestone stratified by loess
loams of quaternary sediments with a thickness of up to 17 m
and by Pontic limestones with a thickness of up to 79), fig. 1.
Static shearing strength (conditionally-instantaneous) of
Meotian clays which determine the stability of the massif is tg
0.1 = 0.310.34 ( = 17 19 ) and c0.1 = (0.040.05) MPa.
Figure 1. Cross-section of the slope at the warehouse area of OPZ:
1. Clay loam and red clay; 2. Limestone and shelly ground; 3. Meotian
clay; 4. Sand clay with clay and lam interlayers; 5. Ammonia tanks;
6. SPA tanks; 7. Pile coast-protection; 8. Terminals.
The values of critically long parameters of shearing
strength of these sorts of soils are determined by the val-
ues of tg.1 = 0.180.23 ( = 10 13 ) and c.1 = (0.024
0.030) Mpa.
During the plant construction (about 30 years ago) the slope
was flattened and after man-caused reclamation the slope
total angle was 10 11 . Moreover, during the construction of
deep-sea terminals for large-capacity vessels the dredging was
performed at the bottom of the slope that increased maximum
bay depth from minus 24 m up to minus 1418 m (zero
point is the water level in the bay). After planning the lower
part of the slope was reinforced with several rows of 2527 m
reinforced concrete piles (pile section is 0.25 m2). In addition,
the underwater part of the slope is reinforced with large rock
blocks to prevent the washing out. After all works the height
of the slope together with the underwater part became about
50 m with 2 berms on the level +9.m and +30 35 m.
According to geophysical observation that have been car-
ried out since 1981 the part of the slope with length of 1,5 km
(the volume of sliding ground is about 3.54.0 mln. m3) slides
rather evenly towards the bay with average annual speed of
36 mm that practically corresponds to established soil creep.
In some periods on some parts the increase of slide speed up
to 1315 mm/year was observed. For the period of 19812005
total maximum slides made up 100130 mm.

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 It is determined that the main reasons of sliding for the Since 2000 Vedeneev VNIIG has been carried out in-depth
given part of slope are: observations of the slope deformations. The observations are
carried out from four 4243 m deep holes drilled from +9.0 m
moving of ground massif towards Adzhalykskiy bay
berm located at observation posts I, III and V (fig. 2). The
seashore due to sea erosion;
holes are equipped with polyethelene pipe casing with outer
the presence of Meotian clay in the base of the slope that
diameter 160 mm and with 9 mm thick walls. The in-depth
have a tendency to slide especially during watering;
soil deformations were registered by underground projection
slope base undercutting/excavation as the result of the con-
meter M-100 from the results of profile survey of longi-
struction of deep-water berths and recurrent clearing of the
tudinal axes of the observation holes. The measurement data
fairway;
make it possible to assess the thickness of sliding mass, its
moving of ground massif in the bottom part of the
shear surface (zone) and the intensity of deformations along
slope while planning (removal of ground massif during
the mass depth.
flattening);
M-100 projection meter is a mine-surveying device
the impact of cyclical man-caused loads.
(fig. 4) determining horizontal projection of verticality devia-
tion of the flexible rope fixed between initial and sought points
3 IN-SITU OBSERVATION OF LANDSLIP [Freiberg, Golitsyn 2001; Golitsyn, Freiberg, 2002].
SLOPE DEFORMATION The backbone of projection meter operation at measure-
ment of curvature or axial pitch of observation well lies in
For the period of 19952005 a big complex of long-term determination of relative position of two points lying at well
in-situ observations of soil massif deformations (horizon- longitudinal axis. One of the points lies on the axes cross on
tal and vertical) was accomplished, there were carried out the surface and the other (sought) is at the center of center-
laboratory (express methods of long-term strength and defor- ing weight. During measurements (fig. 4) micrometer sensor
mation tests, soil samples, geomechanical slope modeling) (vertical sensor) (3) together with rope is turned. Owing to
and calculation-theoretical researches to evaluate present
conditions of landslip massif and prediction slope stability.
Surface observations of the displacement and settlement
over the slope surface have been carried out since 1981 accord-
ing to a rather complicated scheme of landmarks in two
longitudinal that was rather ineffective for evaluation of slope
deformation and stability.
To have geodetic surface observations of the slope deforma-
tions based on more effective scheme observing stability and
the slope surface, 5 profiles were constructed during 1995
2000 across the slope, dip-oriented (towards the bay) and in the
cross-section of terminals N 1, 2, 3 and 4 (fig. 2). The upper
portions of the profiles are lying in stable non-deformable
zones of the plant site. The results of geodetic observa-
tions of the slope deformations during 19952005 made
by Chernomorniiproect are presented as sliding-deformation
speed diagrams (fig. 3). The deformation values were taken Figure 3. Diagram of the deformation in progress.
from upper slope marks for the most characteristic profiles I
(first terminals cross-section) and III (cross-section of third
terminals and ammonia and superphosphoric acid tanks).
The diagrams shows that these parts of the slope slide prac-
tically correspond to steady deformation speed (creep rate) of
average annual 57 mm.

Figure 2. The plan of geodetic observed profiles and holes for mea- Figure 4. Projection meter scheme: 1. Winch with a cable; 2. Depth
surement of in-depth deformations of the slope soils: sensor; 3. Sensor for the inclination determination; 4. Tripod;
Deep-sea terminals; I-V Geodetic profiles; 1 Observe holes. 5. Central weight; 6. Casing pipe. 7. Revolving devise.

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this neither method nor place of fixing vertical sensor on the
rope influence the measurement accuracy.
The following can be taken as a basis for the measurement
of well axis curvature: well head, which compilation position
in space is recorded by surveying instruments; or well bottom
if it lies out of zone impacted by soil mixing processes.
The depth range of the projection meter is from 1 to 100 m.
The measurement error of coordinate increment of planned
drift of M-100 projection meter is 0.0001 H (where H is
measurement depth), the limit of admissible error for depth
measurements is 0.0003 Hmm.
The maximum permissible vertical offset of observation
well bore is 0.51.0 degrees (30 60 ).
The observation wells should have plastic casing pipes in
soft soils, and metal or no casing on rocks. The recommen-
ded inner diameter of casing pipes in observation well is
100200 mm.
The casing pipes hole annuity tamping in observation well
must be done very carefully.
Observations of the depth deformations of the slope cased
with polyethylene pipes carried out through 20002003
showed stable massif deformation in wells No 1, 2 and 3 (at
observation posts I and III) in the direction of the bay (axis X)
and the sea (axisY) up to the depth of 1822 m. The drift takes
place at meotic clays with sand or loamy sans bands that is the
border of shear deformation of the slope with 1822 v thick-
ness. The massif drift speed on these parts is 610 mm/year.
Figure 5. Diagram of deforation in hole No. 1 along in the axes X
and Y.
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2007 Taylor & Francis Group, London, UK
The observation posts IV and V and well No 4 shows far less
values of deformation (28 mm/year).
The Fig. 5 shows the results of two-years observations of
in-depth slope deformations in the well No 1 (PE casing pipe,
well depth 42 m), axis X and Y. The kink of well longitudinal
axis characterizes the border of in-depth shear deformations
of the slope with sliding triangle thickness of 2022 m.
4 DETERMINATION OF CRITICAL CREEP RATE OF
SLOPE SOIL MASS
For the assessment of long-term stability of soil mass in
creeping conditions it is very important to determine critical
creeping rates, i.e. such deformation rate at which deforma-
tions can enter the phase of progressive displacement. Such
conditions could be the buildup of man-caused load on the
slope, increase of soil dampness etc.
Knowing critical creep rate value one can match it with in-
situ measured deformation rate and evaluate the possibility of
its entering the phase of progressive creeping.
For these tasks we used the results of geomechanical mod-
eling of slope mass deformation process and results of the
tests Meotic clay samples (that determine slope stability) taken
by authors of this paper on planar circular cut machine. The
modeling was carried out on the model made of equivalent
materials.
Basis soil mass involved in the landslide movements, is in
the equilibrium condition and has neglible deformation rate,
whereas that of the landslide accumulation mass within the
slop is substantially higher. Therefore the main points of the
kinematic analysis for the slope stability prognosis can be
formulated as follows:
determination of the deformation rate limits according to
the geodesic landslide observations within the bound of the
section studied.
comparison of the deformation rate of the basic soil mass
with that of the landslide accumulation mass in time.
Analysis of the geodesic observation of the landslide pro-
cess on the Odessa coast has been taken place since 1933,
i.e. for more than 70 years. It showed that vertide landslide
soil mass displacements has changed in a wide range from
20 to 192 mm per year (Lermontov sanatorium slope). If slopes
have verticle displacements less then 2030 mm per year, they
are practically in stability conditions. As a whole the verticle
displacement rate of the Odessa slopes change in a wide range:
from 5 to 2970 mm per year. On the whole area initiations of
landslides and their development can be observed.
5 CONCLUSION
1. The results of long-term surface and in-depth observations
(19812005) of the slope massif attest that the slope prac-
tically with steady state creep rate rather gradually slides
(36 mm/year) mostly towards the bay. During last 35
years at some time periods and in some slope portions the
displacement rate increased to 810 mm/year but in general
no markedly increased displacement rate was observed.
2. Geomechanical tests on the slope model from equivalent
materials and meotic clays tests on circular cut unit showed
that critical creep rate values (preceding the start of accel-
eration of slope triangle mass creeping) are 6090 mm/year
(in recalculations for full-size). These values considerably
 exceed actual slope displacement rate and attest slope safe
conditions in view of instability and degradation of the
slope.
3. If the present conditions of slope stability are not changed
and there is no further man-caused impact on the slope
that negatively affect its stability then the behavior of slope
deformation and slope displacement will be within the next
few years the same.
4. The analysis of deformed conditions of the slope indicate
that the main hazardous facilities of storage and terminal
part of the plant (ammonia and superphosphoric acid tanks,
berths, etc.) are situated outside the zone of the most inten-
sive relative deformation and safe operation of the slope in
the next 1015 years is undoubted. For other constructions
situated on deforming parts of the slope the creep rate at
the bottom of the slope is 310 mm/year that is also safe.
Some danger can represent accumulation of deformations
with formation of fracturing zone on slope surface if some
construction or part of construction is built on such zone.
5. The main antisliding measure improving the stability of the
whole slope is stabilization and preservation of underwater
part of the slope by means of its additional reinforcement
(e.g. additional strengthening by large rocks), as well as
elimination of underwater slopes underworking caused by
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2007 Taylor & Francis Group, London, UK
wave load impact and during the fairway cleaning. It is
necessary to take into account that reinforcement of under-
water part of the slope is rather expensive (but technically
possible) due to waterfront facilities at the base of the
slope. Consequently, if the slope displacement rate values
ensures the reliable operation of the facilities located on the
slope (they are knowingly less than critical values of creep
rate of slope soil), the reinforcement should not be done.
Stabilization of sliding triangle of the slope can be guar-
anteed at permissible creep rate of slope mass of not more
than Vperm.cr = 40 mm/year (taking into account reliability
factor n = 1.5).
REFERENCES
Freiberg E.A., Bellendir E.N. et al. 1999. The long-term stability of
the slope at Odesskij priportovij zavod sone 9-bt. Congress on
Rock mechanics. Paris/France, P. 9194.
Freiberg E.A., Golitsyn V.V. 2001. Effective procedure for in-depth
displacement control in soil and rock massifs of hydraulic struc-
tures. Transaction of the B.E. Vedeneev VNIIG. V239. P.2527.
Golitsyn V.V., Freiberg E.A. 2002. Certificate on a useful model
NO 26845. Projection meter. Priority 10. 06. 2002. Registered
20.12.2002.
 Bearing capacity of jointed rock foundations under gravity concrete dams

A. Fahimifar & M. Imani

Department of Civil and Environmental Engineering, AmirKabir University of Technology, Tehran, Iran

ABSTRACT: In this research, bearing capacity of rock foundations of Roodbar Lorestan dam was investigated using analytical
and numerical methods. The finite element program ABAQUS was used for numerical analysis. A three dimensional finite
element model was constructed for analysis which includes rock foundation, dam abutments and dam body. The model was
analyzed for two cases. In the first case, analysis performed using the geotechnical parameters of rock mass and with the
assumption of an elastoplastic behavior for the rock mass. In the second case, two sets of planes of weakness were modeled
in rock mass foundation and abutments. Analysis performed using the geotechnical parameters of intact rock. This analysis
reveals that there is not a great difference among the results obtained using the two cases. Therefore, stresses were determined
for the first case and according to that, compression and tension safety factors and allowable bearing capacity of the rock mass
foundation and abutments were obtained.

1 INTRODUCTION Table 1. Dip and Dip direction of discontinuities.

Intact rocks are strong in comparison to soils. However, rock Dip Dip direction
masses are often defective because of discontinuities and Joint set degree degree
structural features existing in the masses. Therefore, large J1 80 265
loads such as the load of a concrete dam can impose large J2 88 217
deformations and high stresses approaching to the bearing
capacity of rock masses. For this reason, evaluation of bearing
capacity of rock foundations is of paramount importance. In
this research, allowable bearing capacity of rock foundations Table 2. Geotechnical parameters of intact rocks.
and abutments of Roodbar Lorestan dam was investigated c E
using analytical and numerical methods and finally, the results (kg/m3 ) (MPa) (GPa)
obtained from these methods compared to each other.
Right abutment 2710 60 12 0.24
Left abutment 2710 64 13 0.23
2 DETERMINATION OF GEOTECHNICAL Foundation 2710 55 11 0.25
PARAMETERS

Roodbar Lorestan dam will be constructed in Zagros moun- Table 3. Geotechnical parameters for rock masses.
tain chain in the west of Iran. The dam body type is roller
compacted concrete (RCC) and its height is 158 m. Accord- c Em
(degree) (MPa) (GPa)
ing to the cores obtained from different boreholes in the dam
site, the rock mass of the site consists of Dolomite and Lime- Right abutment 2731 2.63.2 8
stone. Also major and minor joint sets and bedding planes Left abutment 2531 2.53.4 9
exist in the rock mass. These discontinuities were divided into Foundation 2531 2.22.9 7
two sets according to their dip, dip direction and infillings as
shown in Table 1.
The rock quality designation (RQD) was determined for Table 4. Geotechnical parameters for joint sets.
right abutment and foundation equal to 64 and for left
abutment equal to 70.  c
Geotechnical parameters of intact rock, rock mass and joint (degree) (degree) (MPa)
sets are shown in Tables 2, 3 and 4.
Both abutments and foundation 32 8 0.23

3 EVALUATION OF BEARING CAPACITY USING

ANALYTICAL METHODS
On the basis of parameters presented in section 2, and using
different analytical and experimental methods, bearing capac-
ity of rock foundation and abutments obtained as shown in
Tables 5 and 6.
4 FINITE ELEMENT MODEL FOR DAM AND ROCK
FOUNDATION
The finite element program ABAQUS was used for numer-
ical analysis of rock foundation and abutments of the dam.
In this program, joint sets are modeled as planes of weakness

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2007 Taylor & Francis Group, London, UK

Table 5. Ultimate bearing capacity obtained by different methods.

Right Left
abutment abutment Foundation
(MPa) (MPa) (MPa)

CGS (1985) 86 92 81
Bowels, J. E. (1996) 73 85 62
Ramamurthy, T. (1995) 101 108 93
Serrano & Olalla (1998) 104 102 88
Yang & Yin (2005) 96 95 82

Canadian Geotechnical Society.

Figure 2. Contours of principal stresses without modeling joint sets.
Table 6. Allowable bearing capacity obtained by different
methods.
Right Left
abutment abutment Foundation
(MPa) (MPa) (MPa)

Rochester, New York 4.8 4.8 4.8

(Wylie, D. C. 1992)
Serrano & Olalla (1996) 3.4 3.4 3.2

Figure 3. Contours of principal stresses with modeling of joint sets.

modeled for two cases. In the first case, the body was analyzed
in one step and in the second case, the body was analyzed in
four steps with heights of 50, 50, 38 and 20 meters respec-
tively. Regardless of the weight of rock mass, analysis was
performed using Mohr Coulomb failure criterion. Compar-
ison of the results showed that compressive stresses in the
abutments have reduced significantly for the case of multi-
steps construction and most of stresses are applied to the rock
foundation, as is expected in gravity dams.

Figure 1. Finite element of Roodbar Lorestan dam and rock mass.
that their spacing is sufficiently close compared to charac-
teristic dimensions in the domain of the model such that the
planes can be smeared into a continuum of slip systems. The
3D model contains 73 elements of dam body and 2971 ele-
ments of rock mass in which elements are 10-node quadratic
tetrahedron, 15- node quadratic triangular prism and 20-node
quadratic brick. The distance of the boundaries from the dam
body is approximately 300 meters in all directions. (Fig. 1)
Initial stresses were applied to the model by considering
gravity loads related to the rock elements. Lateral stresses
were also applied proportional to the poisson ratio.
Water load was applied to the upstream face of dam body.
Also, dam body was analyzed for two different cases. In the
first case, the body was modeled in one step and in the second
case, for evaluation of the effects of dam construction steps,
the body was modeled in four steps.
5 NUMERICAL ANALYSIS OF ROCK FOUNDATION
AND ABUTMENTS
5.1 Effect of dam construction steps
5.2 Effects of joint sets
In order to investigate the effects of the joint sets on the rock
mass behavior, analysis was performed for two cases. In the
first case, without considering the joint sets, rock mass param-
eters obtained using modified Hoek Brown failure criterion
(2002) and analysis was carried out using Mohr Coulomb fail-
ure criterion. In the second case, two joint sets, as mentioned
in section 2, were modeled and the intact rock parameters were
used in the analysis. In both cases, the weight of rock and the
steps of construction of dam body were considered. In Figures
below, compressive stresses have negative values and tensile
stresses have positive values (in MPa).
Comparing Figures 2 and 3 shows that in the second case
tensile stresses in abutments would increase a little bit.
Comparing Figures 4 and 5 shows that in the second case
compressive stresses would increase a little bit.
According to the results obtained, modeling of joint sets in
this investigation does not have significant effect on stresses.
6 CALCULATION OF SAFETY FACTORS AND
ALLOWABLE BEARING CAPACITY

As mentioned, in order to evaluate the effects of dam construc- Safety factors are defined for two cases, compression and
tion steps on stresses induced in the rock mass, dam body was tension for rock mass elements. Hoek-Brown failure criterion

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2007 Taylor & Francis Group, London, UK

Figure 4. Contours of principal stresses without modeling joint sets.

Figure 6. Procedure for determining safety factors.

8.9-13.8 8.7-14.3 2.6-5.6 0.7-2.2 3.2-4.5 6.5-8.5

3.5-5.9 3.8-6.9 1.4-2.8 0.6-2 3-4.3 3.8-5.1
3.6-5.9 2.4-5.2 2.2-5.9 0.1-2 2.8-4 2.3-3.2
2.6-4.4 3-5.5 1.5-3.9 0.4-1.4 1.4-2.1 2-2.8
2.3-3.8 2-3.6 1-1.3 0.3-1.1 1.4-2.1 2-2.7
Figure 5. Contours of principal stresses with modeling joint sets. 2.3-3.7 2.2-3.6 1-1.3 0.3-1 1.6-2.2 1.9-2.5
2.3-3.6 2-3.2 1.2-2.1 1.4-2 1.8-2.4 1.6-2.2

2-3.1

3.3-5.7

2.4-4.2

1.9-3
(2002) was used for determining safety factors. The Hoek- 2.2-3.4 2-3.1 1.9-3 1.8-2.7
Brown criterion (2002) is expressed as:
2.3-3.6

2.3-3.6
2.1-3.2
1.9-2.9
2.3-3.5 2.6-3.9 2.1-3.2 1.9-2.8 1.8-2.7

2.2-3.2
2.2-3.2

2-3 2.1-3.2 1.9-2.9 1.9-2.8 1.6-2.4

The left side of equation 1 is known as destructive term and
the right side is known as resistance term. Safety factor is
calculated:
Figure 7. Compression safety factors in different elements.

1.3-3
0.1-0.5 1.3-3
0.2-0.6 1-2.3
0.2-0.8 1.3-3
0.2-0.8 1.3-3
The procedure for determining safety factors is shown as in
0.5-1.6 1.3-3
Figure 6.
Compression and tension safety factors were determined in
rock foundation and abutments as shown in Figures 7 and 8.
In these Figures, critical slices which have safety factor below
one are hatched. Also sections with no values of safety factor
are safe.
For determining allowable bearing capacity of rock founda-
tion and abutments, it is necessary to compute the compression
safety factor for each them. Consequently, the volumetric
safety factor in each sector was computed using equation 3.

Figure 8. Tension safety factors in different elements.

Using the following equation, compression safety factor for

Where F.SC,sector = volumetric compression safety factor for foundation and each of the abutments was determined as in
each sector; F.SC,e = compression safety factor for each ele- Table 7.
ment; Ve = volume of each element; and Ve = sum of the
element volumes in each sector.
Compression safety factor for each sector is shown in
Figure 9.

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2007 Taylor & Francis Group, London, UK

 7 SUMMARY AND CONCLUSIONS

2.7-3.6
2.6-4.3

0.5-1.5
2.4-4

1.6-3

2-2.9
1. According to the stresses obtained in the cases of jointed

.4

.6
rock mass and rock mass without joints, it is obvious that
2-3.1 2.9-5 2-3.1 modeling of the joints do not have significant effects on
induced stresses and consequently on safety factors. Also,
2.1-3.2 modeling of the joints causes an abundant time to run the
program, and decrease in the convergence rate of analysis.
So using the geotechnical parameters of rock mass and
1.9-2.9 eliminating the joint sets will reduce these difficulties.
2. Compression safety factor for right abutment is lower than
one in the depth of 50 meters, and also, tension safety factor
Figure 9. Compression safety factors in different sectors. for left abutment is lower than one in the depth of 80 meters.
Therefore, these parts must be reinforced.
Table 7. Compression safety factor for the rock mass 3. Among the analytical methods, bearing capacity values
in dam site. obtained by Serrano and Olalla method had the best
coincidence with the values obtained using numerical
Minimum Maximum method.
Right abutment 2.1 3
Left abutment 2.3 4.1
Foundation 2 3.1 REFERENCES

Bowels, J. E. 1996. Foundation analysis and design. New York:

Table 8. Allowable bearing capacity for rock mass obtained by McGraw-Hill Inc
numerical method. Hoek, E., Carranza, C. & Corkum, B. 2002. Hoek Brown failure
criterion- 2002 edition. Toronto: NARMS.
Allowable Ramamurthy, T. 1995. Bearing capacity of rock foundations. Conf

cm Compression bearing capacity rock foundation, R. Yoshinaka & K. Kikuchi eds, Rotterdam:
(MPa) safety factor (MPa) Balkema.
Serrano, A. & Olalla, C. 1996. Allowable bearing capacity of rock
Right abutment 8.511.2 2.13 3.74 foundations using a non-linear failure criterium. International
Left abutment 7.911.9 2.34.1 2.93.5 journal of rock mechanics and mining sciences 33 (4): 327345
Foundation 6.810.2 23.1 3.33.4 Serrano, A. & Olalla, C. 1998. Ultimate bearing capacity of an
anisotropic discontinuous rock mass, Part I: Basic modes of fail-
ure. International journal of rock mechanics and mining sciences
Where F.SC = volumetric compression safety factor for foun- 35 (3): 301324
dation and each abutment; Vsector = volume of each sector; Serrano, A. & Olalla, C. 1998. Ultimate bearing capacity of an
and Vsector = sum of sector volumes in foundation or in each anisotropic discontinuous rock mass, Part II: Determination proce-
abutment. dure. International journal of rock mechanics and mining sciences
For determining allowable bearing capacity, rock mass 35 (3): 325348
strength was computed using equation 5 [Hoek-Brown Wylie, D. C. 1992. Foundations on rock. London & New York: E &
(2002)]. Then, this value was divided by the compression FN SPON
safety factor. The results are shown in Table 8. Yang, X. L. & Yin, J. H. 2005. Upper bound solution for ultimate
bearing capacity with a modified Hoek-Brown failure criterion.
International journal of rock mechanics and mining sciences 42:
550560

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 Brief and systematic evaluation for deformation characteristics of dam site rock mass
by shock response value

Y. Ito & K. Agui

Civil Engineering Research Institute for Cold Region, Public Works Research Institute, Sapporo, Japan

K. Kikuchi, M. Fujieda & T. Kobayashi

Tokyo Electric Power Service Co., Ltd. Tokyo, Japan

T. Saito
Fukui University of Technology, Fukui, Japan

ABSTRACT: Deformation modulus both in adit and in borehole is correlated to SR-Value in two dam sites in Hokkaido, North
Japan. The geology of one is andesite and peperite, and that of another is slate. MRCI and SR-Value are compared with rock
class in two dam sites, and rock classes in both sites are confirmed to be well evaluated by the same boundary criteria of the
two indices. Deformation modulus in adit obtained by Plate loading test is correlated to SR-Value obtained by CSR Hammer.
The correlation equation is DPLT = 31 R1.7
CSR and Cc is 0.73. Deformation modulus in boreholes obtained by borehole lateral
load test is also correlated to SR-Value obtained by Borehole Hammer. The correlation equation is DLLT = 0.29 R3.4
BHH and Cc
is 0.69. By these correlations, deformation modulus both in borehole and in adit is briefly and systematically correlated and
evaluated. Finally, we can estimate deformation modulus in all of basement rock in dam site through comparison with rock class.

1 INTRODUCTION To construct brief, objective and systematic method to deter-

Deformation modulus of rock mass is one of the most impor-
tant factors for dam design and construction. In Japan, they are
ordinary determined by result of Plate Loading Test (abbre-
viated PLT below) in lateral adits after many geological
examination and evaluation of rock, and are expanded to whole
basement rock of dam site by correlating with rock classes.
In this procedure, however, many adits must be excavated and
many tests are required to be performed to evaluate deforma-
tion modulus, and it costs high. On the other hand, many data of
deformation modulus obtained by Borehole Lateral Load Test
(abbreviated LLT below) in boreholes are only used for grasp-
ing its outline and not effectively used for detailed design and
construction of dam. Furthermore, result of rock classifica-
tion includes ambiguity because it is determined by subjective
factors such as feeling of hitting repulsion of rock mass with
geological hammer or observation by geologists who have
different experiences. Consequently, evaluation of deforma-
tion modulus in dam sites is performed rather expensively,
inefficiently and includes ambiguity.
The most important factors for rock evaluation are crack
frequency and strength of rock itself. The basic concept of
rock classification by both factors is first presented by Mller,
1963. Then, many classification methods under the concept
are proposed. They evaluate rock by the combination of crack
frequency and rock strength (For example, Mller & Hof-
mann, 1970, Japanese Geotechnical Society, 2004). Ito et al.
(2006) also proposed the new rock classification method under
the concept. They use Modified Rock Classification Index
(abbreviated to MRCI below) and Shock Response Value
(abbreviated SR-Value below) as an index of crack frequency
and rock strength, respectively.
mine deformation modulus of dam foundation, the usefulness
of SR-Value as an index of deformation modulus is exam-
ined in two dam sites in Hokkaido, North Japan. This paper
intends to report the newly developed method, which can eval-
uate deformation modulus both in adit and in borehole briefly,
objectively and systematically.
2 ROCK CLASSIFICATION WITH MRCI AND
SR-VALUE
2.1 Definition of MRCI and SR-Value
MRCI is defined by Ito et al. (2006) as follows.
Where S(4) is the summed length of boring core from the most
to 4th longest in a unit length of boring core (ordinary 100 cm
in Japan), C is the ratio of the portion in which the core keep
column form without broken to pieces nor fragments in the
above unit length.
SR-Value is a tone index obtained by hitting rock surface
with an Electromagnetic Hammer. It is shown by following
equation.
Where Pmax is maximum acceleration, W is pulse width and
Vo is initial velocity.

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2007 Taylor & Francis Group, London, UK

 North Japan Site 1
35
Sappor
Site 2

CH Class

MRCI (cm)
15
Tokyo

CM Class
Figure 1. Study area.

SR-Value (m/s2)
An - D An - CL An - CM An - CH PP - D PP - CL PP - CM PP - CH

30 20 35
Figure 3. Result in borehole (Site 1).
CH Class
25
20 35
MRCI (cm)

20
CH Class
15 15
MRCI (cm)

10 15
CM Class
7
5
CM Class
7
CL Class
0 CL Class
0 10 20 30 40 50 60 70 80
S-RValue (m/s2)

SR-Value (m/s2)
Figure 2. Result in adit (Site 1).
Figure 4. Result in adit (Site 2).
2.2 Methods
First, MRCI and SR-Value is measured in adits and in bore- 20 35
holes of two dam sites. Site 1 is in Shimokawa Town in North
Hokkaido, and Site 2 is in ShintokuTown in Central Hokkaido,
CH Class
North Japan (Figure 1). Rock class is determined by ordi-
nary method in Japan proposed by Kikuchi et al. (1975) and
compared with MRCI and SR-Value.
MRCI (cm)

15
2.3 Results CM Class
2.3.1 Site 1 7
The geology of site 1 is Neogene andesite and peperite. Corre-
lation between Rock Class, MRCI and SR-Value is reported by CL Class
Ito et al. (2006). The result in adits and in boreholes is shown
in Figures 2 and 3, respectively. The boundary between CH
SR-Value(m/s2)
Class and CM Class is confirmed to be common in borehole
and in adit. When SR-value of rock is more than 35 m/s2 and Figure 5. Result in borehole (Site 2).
MRCI of that is more than 15 cm, the rock is estimated as CH
Class. When SR-value of rock is less than 20 m/s2 or MRCI of and CL Class are also confirmed to be common in borehole
that is less than 7 cm, the rock is estimated as CL Class. Rock and in adit.
is estimated as CM Class when SR-value is between 20 and
35 m/s2 with MRCI is more than 7 cm, or MRCI is between 2.3.3 Summary
7 and 15 cm with SR-value is more than 20 m/s2 . MRCI and SR-Value is measured in adits and in boreholes in
two dam sites. Each boundary of rock class in Site 1 is also
2.3.2 Site 2
the same as that in Site 2. It does not depend on rock types.
The geology of site 2 is slate in accretionary complex. Rock
The boundary of each rock class is as follows.
Class is compared with MRCI and SR-Value in site 2. Rock
Class is clearly separated each other by the two indices. The (1) CH Class: SR-value is more than 35 m/s2 and MRCI is
boundary lines between CH Class and CM Class, CM Class more than 15 cm,

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2007 Taylor & Francis Group, London, UK

 Correlation
SR-Value by (2) Deformation modulus
CSR Hammer By PLT

Correlation Correlation
(1) (4)

SR-Value by Deformation modulus

Borehole By LLT
Hammer Correlation
(3)

Figure 6. Concept of evaluation method of deformation modulus

both in adits and in boreholes with SR-Value.

(2) CM Class: SR-value is between 20 and 35 m/s2 with

MRCI is more than 7 cm, or MRCI is between 7 and 15 cm
with SR-value is more than 20 m/s2 .
(3) CL Class: SR-value is less than 20 m/s2 or MRCI is less
than 7 cm. Figure 7. Correlation result between SR-Value and deformation
modulus in adit.
Rock Class is confirmed to be easily and systematically
100,000
evaluated by MRCI and SR-Value both in borehole and in adit.

Deformation modulus by LLT (MN/m )

2
Data by Ito et al.
10,000
3 EVALUATION OF DEFORMATION MODULUS BY (2004)

SR-VALUE
1,000

3.1 Concept
This Study
The concept of evaluation method of deformation modu- 100 (Site1)

lus both in adit and in borehole with SR-Value is shown in

figure 6. In adit, we can measure deformation modulus by 10 Data by Ito
PLT and SR-Value by Concrete Shock Response Hammer (2006)
(abbreviated CSR Hammer below). In borehole, we can mea-
1
sure deformation modulus by LLT and SR-Value by Borehole
0 10 20 30 40 50 60 70 80
Hammer. 2
There are four correlations among them. As for correlation SRValue by Borehole Hammer (m/s )

(1), SR-Value on adit wall and that in borehole is correlated

with high accuracy with artificial materials by Ito et al. (2004)
by the equation below. There, correlation coefficient of the
equation is 0.988.
Figure 8. Correlation result between SR-Value and deformation
modulus in borehole.
Ito et al. (2004) and other correlation result by Ito (2006) is
added. The correlation equation with all data is as follows and
the correlation coefficient is 0.73.

Where RCSR is SR-Value by CSR Hammer, and RBHH is that

by Borehole Hammer.
If you measure SR-Value in adit by CSR Hammer and cor-
relation (2) is constructed, you can easily evaluate deformation
modulus of each wall or basement in adit. And if you measure
SR-Value in borehole by Borehole Hammer and correlation
(3) is constructed, you can easily evaluate deformation modu-
lus in borehole. Deformation modulus in adit and that in bore-
hole is also correlated by equation (1), (2) and (3). Thus, we
can easily and systematically evaluate deformation modulus
both in adit and in borehole. And finally, we can estimate all of
basement rock in dam site through comparison with rock class.
As for correlation (4), there are some studies, and the cor-
relation is also important. But, deformation modulus by both
methods is still expensive, and data is restricted to spots.
3.2 Correlation between SR-Value and Deformation
modulus in adit
SR-Value by CSR Hammer on adit base or wall is correlated
with deformation modulus by PLT in Site 1. Result is shown
in figure 7. Here, result obtained by artificial materials by
Where DPLT is Deformation modulus obtained by PLT, and
RCSR is SR-Value by CSR Hammer.
3.3 Correlation between SR-Value and Deformation
modulus in borehole
SR-Value obtained by Borehole Hammer in borehole is cor-
related with deformation modulus by LLT in Site 1. Result is
shown in figure 8. Here, results obtained by artificial mate-
rials by Ito et al. (2004) and other correlation results by Ito
(2006) are added and correlation equation is calculated.
The equation is DLLT = 0.29 R3.4BHH and the correlation
coefficient is 0.69. Finally SR-Value by Borehole Hammer
is correlated with that by CSR Hammer.
3.4 Correlation between deformation modulus in borehole
and that in adit
Deformation modulus obtained by LLT is correlated with that
by PLT in Site 1. As for the correlation, there are fairly many

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Existing data
Deformation modulus
by PLT (MN/m2)
This study
Deformation modulus by LLT (MN/m2)
Figure 9. Correlation between deformation modulus in adit and that
in borehole.
existing data. So we added our result and correlation equation
is calculated. The equation is as follows, and the correlation
coefficient is 0.91.
Where DLLT is Deformation modulus obtained by LLT, and
DPLT hat is deformation modulus by PLT.
3.5 Summary
Deformation modulus in adit and that in borehole is corre-
lated by equation (1), (2) and (3). By these equations, we can
treat deformation modulus or SR-Value in borehole as equal to
those in adit. We can easily and systematically evaluate defor-
mation modulus both in adit and in borehole. Finally, we can
also estimate deformation modulus in all of basement rock in
dam site through comparison with rock class and utilize them
for dam design and construction.
4 CONCLUSIONS
Obtained result is as follows.
(1) Rock Classification by MRCI and SR-Value
Rock Class is confirmed to be easily and systematically
determined by MRCI and SR-Value both in borehole and
in adit. It is common for andesite, peperite and slate, and
does not depend on rock types. The boundary of each rock
class is as follows.
CH Class: SR-value is more than 35 m/s2 and MRCI is
more than 15 cm,
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CM Class: SR-value is between 20 and 35 m/s2 with
MRCI is more than 7 cm, or MRCI is between 7 and 15 cm
with SR-value is more than 20 m/s2 .
CL Class: SR-value is less than 20 m/s2 or MRCI is less
than 7 cm.
(2) Deformation modulus by SR-Value
Deformation modulus both in adit and in borehole is con-
firmed to be evaluated by SR-Value. Deformation modulus
in adits is evaluated by SR-Value by CSR Hammer. The
correlation equation with deformation modulus by PLT is
DPLT = 31 R1.7
CSR and Cc is 0.73. Deformation modulus in
boreholes is also evaluated by SR-Value by Borehole Ham-
mer. The correlation equation with deformation modulus by
LLT is DLLT = 0.29 R3.4
BHH and Cc is 0.69. By these correla-
tions, deformation modulus both in borehole and in adit of
dam site is briefly and systematically evaluated. And finally,
we can estimate deformation modulus in all of basement rock
in dam site through comparison with rock class and utilize
them for dam design and construction.
ACKNOWLEDGEMENT
We appreciate great convenience offered by Asahikawa and
Obihiro Regional Development Office of Hokkaido Develop-
ment Bureau.
REFERENCES
Ito,Y. Study on Synthesized Evaluation Method for Dynamic Property
of Dam Foundation. Report of Civil Engineering research Institute
of Hokkaido, 2006.
Ito, Y. Nakagawa, S. Hashimoto, S. Kobayashi, T. & Kikuchi, K.:
Comparison of bedrock in boreholes and tunnel walls using
shock response value, Proceedings of the ISRM International
Symposium: Third Asian Rock Mechanics Symposium, Kyoto,
pp. 11931198, 2004.
Ito, Y. Nakagawa, S. Kikuchi, K. Kobayashi, T. & Saito, T.: Brief
rock evaluation by shock response value and MRCI, Proceedings of
the ISRM International Symposium: Forth Asian Rock Mechanics
Symposium, Singapore, pp. 315, 2006.
Japanese Geotechnical Society. New Designation and Explana-
tion of Japanese Geotechnical Society, Method for Engineering
Classification of Rock Masses (JGS3811-2004), 2004.
Kikuchi, K. Saito, K. & Inoue, D.: A proposed method of the clas-
sification of rock grades, in connection with bearing resistance
of foundation rock, Proceedings of the ISRM International Sym-
posium: Forth Asian Rock Mechanics Symposium, Singapore,
pp. 315, 2006.
Mller, L.Der Felsbau, Erster Band, 1963.
Mller, L. & Hofmann, H. Selection, complication and assess-
ment of geological data for the slope problem, Proceedings of
Symposium of Planning of Open Pit Mines, 1970.
 Challenging problems in the Xiaowan super large arch dam under construction

Zhou Weiyuan, Lin Peng, Yang Qiang & Yang Ruoqiong

State Key Laboratory of Hydroscience and Engineering, Tsinghua University Department of Hydraulic
Engineering, Tsinghua University, Beijing, China

ABSTRACT: In this paper, the challenging problems of Xiaowan arch dam, such as prevention for dam foundation sliding,
the dam stability and cracking in upstream dam heel et al. are presented. Based on the FEM analysis, with large quantity
number 300 103 nodes and elements for the one of the largest arch dam in world under construction the evaluation of dam
stability was obtained. In the meantime, 3D geomechanical model tests have been conducted and through them reinforcement
measures were studied. Replacement of faults and altered rock zones by concrete; reinforcing abutment slopes and dam toe
by pre-stressed anchorage cables; tensile crack joints in upstream dam heel; and concrete grouting and water drainage in rock
abutment are elucidated. By defining arch dam stability as integrity safety factors, it is clear to obtain the overload factors
K1 , K2 , K3 . This viewed from both a maximum critical load and minimum critical strength. Based on numerical analysis and
geomechanical models for Xiaowan arch dam, the failure mechanism was investigated. The integrity stability safety factors
K1 , K2 , K3 obtained from numerical and physical models are coincided very well.

1 INTRODUCTION foundations are to be emerged by high geo - stresses with engi-

Xiaowan hydropower station under construction in China is
situated on the Meigong River inYunnan province. Its installed
capacity of water power is designed as 4200 MW. The type of
the dam is concrete double curvature arch dam with maximum
height, 294.5 m, and the length of dam crest, 905 m.
Xiaowan arch dam is located on complex rock foundations.
The canyon is narrow with high steep abutments walls. They
are on granite and dolomite foundations with 2835 degree
bedding plans dipping towards the river beds. Several large
faults and geological altered rock zones are found in normal
to the river bed, such as F11, F10, E1, E4, E5, E8, E9 etc. in
rock abutments. These defects in abutments are designed to
be strengthened by reinforced measures, such as replacement
with concrete plugs, reinforced bolts or cement grouting, as
shown in Fig. 1. Especially, its most troublesome problems
were found in river bed with high geo - stresses in relaxed
rocks; see in Fig. 2. Large and deep relaxed zones in dam
neering excavation. Important means are needed to prevent
dam foundation sliding. Another important issue for cracking
prevention is to construct virtual joint in upstream dam heel.
The geological defects in rock abutments showed that the
foundation bedrocks are not sound enough to bear the loading
of dam. Facing with these challenging problems, to find the
measure for building dam on such bedrocks with some positive
improvements is necessary.
In this paper, the stability factors of arch dam was analyzed
based on nonlinear FEM, and geomechanical model tests were
carried out to investigate the stability factors of the Xiaowan
arch dam. Up to now, in addition to the above mentioned
measures no unprecedented means have been proposed to
solve these challenging problems of arch dam. Thus, it is very
significant to propose novel original means for servicing them.
2 NUMERICAL ANALYSIS

The purpose of 3D F.E nonlinear analysis for the Xiaowan arch

dam listed as follows: (a) Under different load cases, to check
stress and deformation status of the arch dam; (b) to study
the safety of the faults and weak altered rock zones from their
deformations; (c) to evaluate dam stability; (d) to compare
dam safety situations between numerical and physical tests.

2.1 Numerical model

Figure 1. The distribution of faults and geological altered rock
zones.
Figure 2. Released field stress image at dam abutment.
Figure 3. shows the FE mesh model for Xiaowan arch
dam. The numerical mesh has been established and involved
in the whole dam body with abutments including faults
and weak altered rock zones. The 3D mesh included
the vast area of abutments and their vertical heights
with scale 1500 1200 800 m3 (length width height).
Its total number of meshes reaches 300 103 for sure com-
putation precision in the dam foundation surface area. These
meshes generally have minimum dimensions 2 3 5 m3 ,
such as in the dam heel and dam toe zones, and those laid in the
high stress zones, have 2 5 m2 minimum mesh dimension,
so as to obtain high calculation precision, see in Fig. 3.

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Figure 3. Mesh figure of Xiaowan arch. Figure 4. The principal stress distribution.

Table 1. Material properties of Xiaowan arch dam.

Rock
No classification E0 (GPa) f c(MPa) (104 N/m3 )

1 concrete 21.0 1.5 5.0 0.167 2.4

2 I 25.0 1.48 2.2 0.22 2.63
3 II 19.0 1.43 1.7 0.26 2.63
4 IIIa 14.0 1.20 1.3 0.27 2.63
5 altered rock 6.0 1.0 0.6 0.27 2.0
6 IVa 6.0 1.0 0.6 0.28 2.0
7 IVb 3.0 0.9 0.5 0.28 2.0
8 IVc 1.0 0.8 0.3 0.28 2.0
9 F7 0.03 0.6 0.2 0.35 1.9
10 F11 0.45 0.9 0.4 0.35 1.9
11 F5 0.30 0.9 0.35 0.35 1.9
12 F10 2.6 0.9 0.4 0.35 1.9
13 F27 1.40 0.9 0.4 0.35 1.9
14 F19 0.35 0.9 0.4 0.35 1.9
15 F22 0.70 0.9 0.4 0.35 1.9
16 F23 0.35 0.9 0.4 0.35 1.9 Figure 5. Final dam failure image in downstream surface.
17 F20 0.40 0.9 0.4 0.35 1.9
18 E1 0.40 0.9 0.3 0.35 1.9 for analyzing the stability of the Xiaowan project. The capac-
19 E4 0.32 0.8 0.25 0.35 1.9 ity for calculation of that project is much larger than that
20 E5 0.16 0.8 0.25 0.35 1.9
21 E8 0.12 0.45 0.045 0.35 1.9
usually for lower dams. The main proposed characteristics
22 IIIb 6.0 1.1 0.9 0.27 2.63 listed in following:
23 f34 1.3 0.9 0.4 0.35 1.9 (1) Drucker Prager model is adopted in FEM; (2) For faults
and rocks joints, joint elements and tetrahedral elements are
implemented in abutments; (3) Elastic plasticity analysis are
2.2 Material parameters used with damage fracture models; (4) Rock failure process
are presented with the Damage Fracture behaviours, such
Table 1 listed the mechanics parameters of dam and rock as, damage fracture propagation, nucleation of fractures,
material of both abutments. dam cracks and final collapse; (5) The limit analysis of dam
stability is acquiring the upper bound, when computation goes
2.3 Nonlinear FEM in analysis of dam stability with increasing load. The dam failure pattern under increasing
loading is significant for maximum loading capacity.
For those challenging problems, it is vital important to inves-
tigate clearly the stress distributions in dam and foundation,
especially in tensile zone at dam heel, close to the dam toe, 2.5 Overload safety factor
and dam foundation contact surface by nonlinear F.E.M. The
figure 4 shows that the principal stress distribution at up and Based on overload analysis, the failure propagation of the dam
down stream surface under self weight and water pressure in limit status was investigated. In overload process, for each
condition. After reinforcement, the stress distribution is good loading step increment of normal water pressure (Hereafter
enough for dam operation. P0 means normal water pressure) for computing point safety
factor and yielding elements. Based on numerical analysis,
the over load factors are obtained under different load steps.
2.4 Nonlinear analysis code
When applied loads reach 2P0 , the crack is occurring in the
By employing TFINE program, a 3D FE nonlinear analysis dam heel, and dam safety factor, K1 (Hereafter S.F means dam
code developed by the research group of Tsinghua University safety factor) equates 2.0P0 .

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 Table 2. The integrity stability safety factors.

Numerical results Physical results

Project Height Integrity

(arch dam) (m) P.S.F safety K K1 K2 K3

Longyang Gorge 178 1.5 4 1.2 1.8 3.25

Jinshuitan 102 2.3 10 2.0 3.9 10
Dongfeng 166 1.3 6.5 2.0 3.8 8
Lijiaxia 165 1.21.8 5 1.6 3.0 5.4
Tongtou 75 1.5 4.5 1.5 1.5 4.0
Xiaowan 292 1.5 7.0 1.52 3.0 7.0
Ertan 240 2.0 89 2.0 3.5 8.0
Laxiwa 250 2.0 67 2.0 3.54 78
Xiluodu XLD824) 278 2.0 78 1.8 4.55.0 6.58
Xiluodu (XLD03) 278 2.0 8.0 1.82 4.5 8.5
Dagangshan 210 2.0 78 2.0 45 910
JinPing (JP6) 305 24 7.0 2.5 45 7.5

P.S.F represents Point Safety Factor.

When loading reaches 4P0 , the dam heel shows nonlinear
behaviours, and dam S.F, K2 equates 4.0P0 .
When overloading increases to 8P0 , the dam reaches limit
capacity, and dam S.F, K3 equates 8.0P0 .
3 PHYSICAL GEOMECHANICAL MODELS
Two geomechanical model tests have been conducted namely:
dam without reinforcement, and dam with reinforcement, see
in Fig. 5
3.1 Safety factor identification
Xiaowan arch dam has gained powerful analysis by physical
model test.The experiment gave it a verified study for stability.
The process may be concluded as follows:
In order to examine safety of dam and foundation in consid-
eration of cracking discontinuities, safety factor for integrity
stability was defined. This was viewed from maximum critical
over load for physical models.
In this paper, a number of large arch dams have been studied
at dam research center of Tsinghua University by the authors.
In recent 30 years. At the moment, the dams are well operated.
The results investigated by numerical and physical model tests
were listed in Table 2. The integrity stability safety factors K1 ,
K2 , K3 are presentated. The results from numerical analysis
and from physical model tests are coincided very well.
3.2 Results analysis
Some results from geomechanical tests are given below:
For Xiaowan model without reinforcement in abutment:
K1 = 1.52P0 , K2 = 3.0P0 , K3 = 5.0P0 .
For Xiaowan model after reinforcement in abutment:
K1 = 2.2P0 , K2 = 3.04P0, K3 = 67P0 .
For crustal stress relaxed rocks in the foundations after rein-
forcement in abutment: K1 = 2.2P0 , K2 = 4.0P0 , K3 = 78P0 .
All the above mentioned data are well compliant with those
from numerical analysis.
4 CONCLUSIONS
By defining arch dam stability as integerity safety factors, they
correspond to K1 , K2 , K3 overload factors and can be obtained
by model tests. In this paper, the formal safety factors have
been presented for Xiaowan arch dam based on numerical and
physical model tests.
The transferring mechanism of stress distribution and the
phenomenon of progressive failure in bedrock have expressed
the local safety of the foundation bedrock. By numerical anal-
ysis and geomechanical models for Xiaowan arch dam, the
failure mechanism was observed. The integrity stability safety
factors K1 , K2 , K3 obtained from numerical and physical
models are coincided very well.
The numreical and physical results have showed that: (1) In
the future, Xiaowan arch dam could be well operated after suit-
able reinforcement of rock abutments. Its integrity S.F could
reach K2 3.5, and K3 7.0. (2) In bedrock dam sections,
after suitable reinforcement of bed rock, local safety factor,
K2 3.5, and could be well maintained.
ACKNOWLEDGEMENTS
This research work was supported by National Natural Science
Foundation of China (Project No.50409004).
REFERENCES
W. Y. Zhou & R.Q. Yang, Monolithic geophysical model test of arch
dam, Journal of hydraulic engineering. 2, p.2736, 1988.
W.Y. Zhou & R.Q. Yang, Overall three dimension nonlinear FEM
analysis in concrete arch dam (TFINE FEM Program Series). Dept.
of hydr. engng, Tsinghua Univ. in Chinese, 1988.
W.Y. Zhou, Q.Yang et al. Numerical computational methods for rock
mechanics, 2006, CEPP.
W.Y. Zhou et al. Report for Xiaowan arch dam with 3D FEM analysis,
department of hydraulic engineering, Tsinghua University, 2006.

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 Controlling of the Jietai Temple landslide, Beijing

Wang Zhen
China North-Western Institute of Railway Science, Lanzhou, Gansu, China

ABSTRACT: The Jietai Temple landslide threatened the safety of the Jietai Temple, an ancient temple with a history of more
than 1400 years. In the paper, the landslide is briefly described and the stress is placed on its control. In order to prevent the
further development of the landslide, the two phases of control were performed: emergency control and temple-protecting
control. In the two phases of control, 35 anti-slide piles and 35000 m long anchor cables was used. The practice proved that
pre-stressed anchor anti-slide piles are suitable for controlling such landslides as the Jietai Temple. Some new technical means
such as a multi-anchoring point anti-slide pile were developed and adopted in treating of difficult problems.

1 INTRODUCTION

The Jietai Temple is one of the national key cultural relic

preservation units in china. It is located on the north slope
of the Maanshan Mountain of the Mentouggou District of
Beijing, 35 km away from the city proper. It was constructed
during the Sui Dynasty and has a history of more than 1400
years. Unfortunately, the temple is on a landslide. The land-
slide has been named the Jietai Temple landslide. Therefore,
the Jietai Temple has always been faced with its threats. In
the paper, the landslide is briefly described, but the stress is
placed on the controlling measures that were adopted for it.

Figure 1. A sketch section of the Jietai Temple landslide.

2 JIETAI TEMPLE LANDSLIDE

Figure 1 is a sketch section of the Jietai Temple landslide. The

landslide is about 1200 m long and, from east to west, about
450 m wide. The height difference from the front to the tail end
is about 230 m and the average thickness is about 47 m, with
the volume being about 9000000 m3 . The east and west sides
of the landslide are embraced by natural gullies and hollows.
That is, except for the south side, the landslide has three air
faces.
The main strata at the Jietai Temple are the Carbonifer-
ous system (C), the Permian system (P) and the Quaternary
system (Q). The Jietai Temple landslide is composed of Car-
boniferous strata. The upper part of the landslide include gray
and dark gray fine sandstone, siltstone, shale, and 2 or 3
interbeds of clay and coal.The lower part is gray and white gray
gravel-bearing coarse quartz sandstone, of which the heavily
weathered is brown-yellow. The slide zone is a layer of black
clay, which is relatively water-resisting and would become soft
after water saturation. The overlying is brown-yellow sand-
stone, which is hydrous. The underlying is mid-Carboniferous
sandstone, which is dark, compact and hard, containing more
pyrite and quartz.
The Carboniferous and Permian strata dip north and have
dip angles of 3045 , steeper upwards. They constitute the
north limb of the Maanshan Mountain anticline. In fact, the
hill ridge which the Jietai Temple landslide is located on is a
consequent slope. Because of the intersection of 9 east-west
striking faults and 3 north-south striking faults, the hill ridge
looks much fractured.
Failures of temple buildings caused by the landslide began
in the rainy season of 1994. After then, such failure sometimes
occurred and sometimes stopped. In a heavy rain of July, 1994,
a few caving pits occurred in courtyards and on the road to the
temple. Especially a long ground crack begins from out of
the west wall of the temple, passes through the Dabei Palace,
the Zhenwu Palace, the Peony Yard, the Thousand-Budda Loft
site, the Sakyamuni Palace, the Jialan Palace, the Drum Tower
and the Shanmen Palace to the parking lot and finally gets
into a natural gully east of temple. It is more than 350 mm
wide in some segments and less than 5 mm in other segments.
Moreover, since the early spring of 2005, deformation in the
landslide has become larger and larger. Several new cracks
occurred from south to north. They made national highway
No.108 to be cut off and subside in a few positions. The biggest
dislocation is up to 70 cm. Even water pipelines in the temple
were frequently pulled down.
3 MONITORING MEASURES
In order to investigate and control such failures, 4 crack
expansion monitoring instruments and 17 simplified surface
displacement monitoring piles have been set in 2005. The for-
mer are automatically recorded; the latter must be recorded a
day. Also, 7 deep monitoring boreholes were drilled that are
periodically recorded.

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 The monitoring results by the 4 crack expansion monitoring
instruments show that the displacement velocity of a posi-
tion within the landslide can be as 4 times as that of another
position; generally, quicker in the slower but smaller in the
east, implying that the landslide would be made up of sev-
eral blocks. The displacement curves are evidently stepwise,
meaning that the movement of the landslide would be inter-
mittent. From March 23 to May 7, it was found that in the
Zhenwu Palace where the displacement was usually quick-
est the displacement was accelerating: the average is 2mm/d
and the maximum is 6.5 mm. After May 7, the displacement
rate reduced slowly. This is because that emergent reinforcing
work was playing some role.
The 17 simplified surface displacement monitoring piles
give similar although they were set at different times.
The 7 deep observation boreholes revealed more deep
details of the landslide. Some boreholes met one slide zone,
and some met two or even three slide zones. Moreover, it was
observed that the displacement, the depth of slide zone and
the slide direction are different from borehole to borehole.
The observed results mentioned above all indicate that the
landslide is a multi-block, multi-level and multi-slide zone
landslide. In fact, it is a landslide group (Figure 1).
4 CONTROL MEASURES
Because of its large scale, the permanent control of the Jietai
Temple landslide is very expensive, and so a three-step control
principle has been adopted: protecting the temple buildings,
then making the temple area stable and finally governing the
landslide radically. Therefore, the control project of the land-
slide was divided into three phases. The first phase is to deal
with the existed dangerous cases, while the second phase is
to province the Jietai Temple from further failures. To ensure
the safety and opening of the national highway No.108 and
the road to the temple is one of the tasks of the third phase.
Considering characteristics of the landslide and the practical
need of the temple, the pre-stressed anchor cable technique
was selected and adopted.
According to experiences to control large-scale landslides,
any single measures are not enough to control the Jietai
Temple landslide. Retaining, anchoring, water-controlling and
grouting should be adopted at the same time.
4.1 Emergency measures
Early in April of 2005, a spring melting period, the Jietai Tem-
ple landslide shown strong activities,: the displacement speed
usually is 2 mm/d and even 7 mm/d. Moreover, there was a
accelerating trend. This seriously threatened the security of
managerial staff, monks, tourists and the temple itself. At
that time, the municipal government of Beijing, together with
related cultural relics departments, made a prompt decision:
immediately putting into a series of emergency measures.
These measures were to set up pre-stressed anchor cable
beams and anchor cable pier groups at key locations around the
temple. 109 anchor cables were used. The whole installation
was finished on 8 May, 2005, taking the work time of one
month. Since then, such a dangerous case has not continued
to occur.
4.2 Measures to protect the temple
According to geological investigations, the hill ridge where the
Jietai Temple is located is relaxed and the stability is better in
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Big and great palace Garden in Jietai Temple Electrician house
crack ZK2-2 ZK2-3
Retaining wall
Anchor rope beam
ZK1-1
The road to the temple
Anchor pier
Parking lot
fault
fault
Anchor rope in pile
Anchor rope anti-slide pile
Figure 2. Section 1-1 showing the arrangement of control measures.
the south and worse in the north. Therefore, Only in order
to protect the temple itself, a reinforcing zone was arranged
out of the north wall of the temple. The area to the north
of the reinforcing zone was not treated temporarily, so rock
and soil north of the road to the temple and national highway
No.108 could still slide. The arrangement of reinforcing piles
is shown in Figure 2. It should be pointed out that the resistance
force of rock and soil in front of the pile was not taken into
account in calculating the stress of a pile. The following is
main controlling measures adopted:
(1) Piling
35 pre-stressed anchor anti-slide piles were installed out
of the north wall on the south side of the parking lot. The
anti-slide piles used is divided into three types according
to the thrust forces possibly suffered and the depths of
slide surfaces.Type I has a cross section of 2 m 3 m, with
two rows of pre-stressed anchor cables to be installed on
the pile head. Type II and Type III have a cross section of
2.4 m 3.6 m and their length varies between 55 m and
65 m, with three rows of pre-stressed anchor cables to
be installed on the pile head. During construction, such
a case was found that the landslide plane is deeper and
the strata are more fractured than expected before. For
it, the measure adopted is that two rows of anchor cables
are added in the position where the anti-slide pile has
larger moment, both constituting a multi-anchoring point
anti-slide pile.
Also, considering the existence of multiple slide planes,
three to five rows of anchor cable piers were arranged
above the pile head to prevent the upper layers from dis-
placement and share the thrust force with the anti-slide
pile. The anchor pier has a section of 1.5 m 1.5 m and is
0.6 m thick. It is made of C25 reinforcing steel and filling
concrete. The anchor cable of the anchor pier is made of 8
steel wires of S15. The diameter of holes thus formed is
130mm. An anchor cable pier is to be finished finally by
filling a sand grout made of M30 concrete into the holes.
(2) Water control
Considering characteristics of water in the Jietai Temple,
the following three measures were taken:
Cutting off and discharging surface water: Cutoff and
discharge ditches were built out of the east-south wall to
prohibit the freshet from entering the temple.The drainage
system in the temple was repaired and perfected.
Pumping and draining underground water. In the con-
struction of anti-slide piles 4#, 6#, 14# and 25#, storage
water pools were prepared around their bottom and at
the same time pumping pipes were set up to discharge
 underground water and hence lower the underground
water level.
Modifying sewage pipes: While water-supplying pipes
and heating pipes in the temple were repaired or changed,
sewage pipes were placed in such ditches: their top were
cover with reinforced concrete slabs. Thus, even if the
underground sewage pipes broke up, sewerage can be
drained out through the ditch rather than seeping into the
ground.
(3) Grouting into cracks
After piling and anchoring, what was done was grouting
for cracks and settlement zones because these space or
weak positions provide the possibility for further defor-
mation or displacement to damage buildings. Grouting
followed such orders: from north to north and from east
to west. During gouting, the protection of ancient trees
was concerned.
(4) Reinforcing part of retaining walls in the temple
The retaining walls by the air side of the switching house,
Guangong Palace, Avalokitesvara Palace, Zhenwu Palace
and Abbot Yard were reinforced. These walls, which have
a long history, are made up of block stones. With their
limited bearing force, some of them were inclined out-
wards so that some of buildings over them were deformed.
The reinforcing units applied to these walls include pre-
stressed anchor cable frames, anchor cable beams and
anchor cable piers.
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5 CONCLUSION
The two phase projects of emergency and temple protecting
were completed through 18 months. In the two phase projects,
35 anti-slide piles and 35000 m anchor cables were used and
the total amount of grouting is as 517 times as that used in a
normal project. Furthermore, the borehole depth and the pile
length involved in the landslide controlling are rare in projects
of the same kind of China.
The sequent monitoring has showed that displacement in
the Jietai Temple landslide has much weakened or even com-
pletely stopped. The Jietai Temple has got has got a certain
degree of safety. This fully proved that the control measures
adopted are effective. But this safety is about the temple
itself. As a whole, the Jietai Temple landslide remains to be
controlled still. The important is that for such large-scale land-
slides as the Jietai Temple landslide, any single measures are
not enough to control them.
REFERENCES
Xu Bangdong. 2001. Landslide analysis and treatment. China Rail-
way Publishing House.
Wang Gongxian. 1998. Landslide disaster and its treatment
technique.
 Deformation reinforcement theory and its application
in the dam toe anchorage design

Yang Qiang, Chen YingRu & Liu Yaoru

Department of Hydraulic Engineering, Tsinghua University, Beijing, China

ABSTRACT: Failure is a deformation process, so the reinforcement design should be deformation dependent. The rigid limit
equilibrium method is unable to take into account the deformation mechanism, so its conclusion is limited. The dam toe zone
is highly stressed and sensitive to the deformation. If the deformation is ignored, large errors will produce. In this paper a
deformation reinforcement theory is proposed that can take into account deformation, stability and reinforcement force. The
central ingredient of the theory is that the reinforcement forces required to stabilize a structure under a specific state is just the
current unbalanced force in elasto-plastic analysis.

1 INTRODUCTION

In the reinforcement analysis of geotechnical engineering,

the rigid limit equilibrium method is usually adopted as a
mature algorithm. However, this method is difficult to take into
account the deformation mechanism of geotechnical struc-
tures. In fact the failure of structure is a progressive process
and the deformation plays a central role, and the different Dam toe
deformation state needs the different reinforcement force
to maintain the stability of the structure. Just like NATM
(new Austrian tunneling method), the different deformation
Anchor cable
state of tunneling needs the different reinforcement measure.
Retaining wall pressure also confirms this point. It is well
known that the difference among active earth pressure, pas-
sive earth pressure and static earth pressure is quite large and
that the difference comes from the difference of deforma- Figure 1. Sketch of abutment anchorage of Inguri arc dam.
tion states. Nowadays, numerical methods are widely used
in geotechnical engineering, especially large-scale structures, 1
and can show deformation mechanisms. However, the rein-
forcement analysis is still a difficult topic. Numerical results f()=0
p
usually underestimate the reinforcement effects, especially the
anchorage effects. e=D:
The downstream dam toe of an arch dam is a high stressed
compression-shear zone [1], and it determines the safety of the
dam, so reinforcing this zone can improve the stability of the

dam. To put anchorage to the dam toe is an effective method 0

to improve the dam stability. It can decrease the shear stress
and improve the physical property of rock at the abutment, and
hence the whole safety and overloading capacity of the dam. In
recent years, this method has been used in Inguri dam (shown o
in Fig. 1,295 m high), Vajoint dam, and Lijiaxia dam and so
on. Xiaowan dam (290 m high) will also be designed and used
Figure 2. Sketch map of elasto-plastic stress adjustment.
this technology to improve the safety and overloading capacity
for its high arch dam-foundation system. The dam-toe is a anchorage of Xiluodu arch dam 278 meters high is analyzed
high-interaction area between the arch dam and the foundation and discussed.
controlled by deformation. The rigid limit equilibrium method
is too coarse to give an appropriate design for the dam-toe
anchoring. 2 DEFORMATION REINFORCEMENT THEORY
In order to overcome the shortage of the rigid limit equilib-
rium method, we [2,3,4,5] proposed a new theory: deformation The elasto-plastic finite element computation behaves as a
reinforcement theory. This theory reveals that the residual series of iteration process to approximate the exact solution.
unbalance force in elasto-plastic FEM analysis is just the For a certain representative iteration step and a certain gauss
required reinforcement force. In the paper, this theory is intro- point, suppose the initial stress of this iteration step is 0 ,
duced. and then its application in the design of the dam-toe then f ( 0 ) 0. The current stress is 1 , as shown in Fig. 2.

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2007 Taylor & Francis Group, London, UK

The stress field, 0 and 1 , are all satisfied the equilibrium
condition. In finite element analysis, this is shown as the Equilibrium condition
following: set

where, F is the vector of external load, and e indicates the sum Yield condition
of all elements of the structure.
Generally in the iteration process, stresses of part gauss
points will exceed the yield surface and they need to be Figure 3. Relationship between equilibrium and yield condition sets
of structures.
adjusted to the yield surface. The adjusted stress field must
be satisfied the yield condition f () 0. The adjusted stress
value is the increment of plastic stress  p = 1 . For a
certain gauss point, if f ( 1 ) > 0, then  p  = 0; if f ( 1 ) 0,
then  p = 0. Substituting 1 = +  p into (1), we
obtain

where

The elasto-plastic computation (iteration) goal is to let the Figure 4. Xiluodu arch dam model.
unbalance force go to zero, i.e. Q 0. From the above,
we can know that the stress field is satisfied the equilibrium
and yield condition. If iteration is not convergent, i.e. Q  = 0, Dam
then it shows that the structure is unstable. Formula (3) can foundation
be changed into P = F Q, which means that the struc-
ture is stable if external load Q is applied to the structure.
The additional external load Q is reinforcement force. For-
mula (3) can also be understood as the relationship among
structure bearing force, reinforcement force and external load. Dam
For given external load, when the bearing force increases, the toe
River
reinforcement force decreases.
In the structure  p is a tensor field and Q is a vector
field, so they can not be compared with each other. But the Figure 5. Contour and direction of unbalance force of typical
section of left bank under three times water loading.
scalar, plastic complementary energy norm can be defined as:
120000

100000
Unbalance force(ton)

80000

where C is a fourth order flexibility tensor. Since 60000

left bank
Right bank
p = C: p , it is easy to deduce an incremental type nor-
40000
mality flow rule by minimizing the plastic complementary
energy norm, 20000

0
1 2 3 4 5 6
Depth(m)

Figure 6. Change tendency of unbalance force under different

As shown in Fig. 3, for a structure, if it is unstable it must depth.
include two sets: one satisfies the equilibrium condition, and
the other does the yield condition. In order to maintain the sta-
bility of the structure, we must let the set which does not satisfy 3 CASE STUDY
the yield condition satisfy the yield condition as far as possi-
ble. This process is to find the minimum distance (minimum As shown in Fig. 4, the height of Xiluodu arch dam is 278
complementary energy) between the two sets. meters, and the water load beared by the dam can reach 15

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2007 Taylor & Francis Group, London, UK

Table 1. Suggested anchorage scheme (unit: ton).

Elevation Fx Fy Fz Resultant force Horizontal angle Inclination

Left bank
570520 713.01 674.15 964.52 1375.922 43.39533 44.5072
440400 9351.38 16317.82 348.73 18810.67 60.1839 1.06226
400360 3952.73 627.12 1286.53 4203.869 9.015117 17.8204
360332 10911.3 1078.13 10154.9 14944.55 5.64301 42.8048
Sum 24928.4 16094.68 12754.6 32297.75 32.8478 23.2602
whole 39335.01
Right bank
570520 4083.57 2490.47 5027.3 6939.145 31.378 46.4259
440400 2028.7 408.35 2340.97 3124.502 11.38079 48.5237
400360 1789.85 181.54 2481.37 3064.917 5.79156 54.0573
360332 10528.92 13169.63 23051.7 28560.08 51.35819 53.8165
Sum 18431.04 10905.97 32901.3 39257.38 30.61355 56.9393
whole 41688.64

million tons. In the design of high arch dam, the reinforcement
of dam toe is a difficult problem. In this paper, the deformation
reinforcement theory is adopted to design the reinforcement
of dam toe.
The zone (Fig. 4) besieged by black lines is the range which
should be reinforced. By analyzing the complementary norm,
we obtained the contours and directions of unbalance force in
a typical section of left bank under three times water loading,
as shown in Fig. 5. It can be seen that the unbalance force at the
dam toe mainly centralizes in a certain range of the dam foun-
dation and downstream. In order to study the dam toe unbal-
ance force, its change tendency at different depths is consid-
ered under three times water loading. It can be seen form Fig. 6
that the unbalance force changes greatly within 20 m40 m,
but when the depth exceeds 50 m, its change becomes uncon-
spicuous, so the following conclusion can be gained: the dam
toe unbalance force mainly centralizes within the depth of
50 m, so the suggested reinforcement depth is 50 m.
As listed in Table 1, the whole anchorage force is 81,000
tons and the elevation from 360.0 m to 332.0 m is the key
range to be reinforced. The anchorage force of the left bank is
44,000 tons, exceeding the half of the whole anchorage force is
44,000 tons, exceeding the half of the whole anchorage force.
4 CONCLUSIONS
For the given external load, the working region of the structure
may be an elastic region, a stable elasto-plastic region or an
unstable elasto-plastic region. The structure needs reinforce-
ment force to maintain its stability. This means that some parts
of the structure are in an unstable elasto-plastic region. The
classical elasto-plastic theory can only be used in the elastic
region and the stable elasto-plastic region, but the deformation
reinforcement theory can be effectively used in the unstable
elasto-plastic region.
According to this theory, in case of the given external load,
the self-bearing force is maximized and reinforcement force
is minimized. The dam toe of a high arch dam is a centralizing
zone of compressive and shear stress and also a guiding zone of
arch dam destruction. The case of Xiluodu arch dam indicates
that the deformation reinforcement theory can be effectively
used to guide the design of dam toe reinforcement of a high
arch dam.
REFERENCES
[1] Zhou Weiyuan, HuYunjin,Yang Ruoqiong. Anchorage of abut-
ment near by dam toeeffective reinforcement method for high
arch dam. Journal of Hydroelectric Engineering, 2004, 23(1):
59 (in Chinese).
[2] Yang Qiang, Zhou Weiyuan, Chen Xin. The Principle of Min-
imum Complementary Energy and Upper Bound Theorem in
Geotechnical Reinforcement Analysis [A]. In: The Geome-
chanics and Geotechnical Engineering in 21st Century[C].
Wuhan: [s.n.] 2003, 158166.
[3] Yang Qiang, Chen Xin, Zhou Weiyuan. On Unbalance Force in
3D Elasto-plastic Finite Element Analysis. Chinese Journal of
Geotechnical Engineering, 2004, 26: 323326. (in Chinese).
[4] Yang Qiang, Chen Xin, Zhou Weiyuan. Elasto-plastic Basis of
Geotechnical Engineering Reinforcement Analysis. Rock and
Soil Mechanics, 2005, 26: 553557(in Chinese).
[5] Yang Qiang, Xue Lijun. Reinforcement Theory Considering
Deformation Mechanism of Rock Mass and Non-equilibrium
Elasto-plastic Mechanics. Chinese Journal of Geotechnical
Engineering, 2005, 24(20): 37043712 (in Chinese).
[6] Hoon, Huh, Wei, H.Yang. A General Algorithm for Limit Solu-
tions of Plane Stress Problems. International Journal of Solid
Structures. 1991, 28(6): 727738.
[7] Yang, Q, Tham, L.G, Swoboda, G. Normality structures with
homogeneous kinetic rate laws. ASME Journal of Applied
Mechanics, 2005, 72: 322329.
[8] Yang, Q, Chen, X, Zhou, W.Y. Thermodynamic relationship
between creep crack growth and creep deformation. Journal
of Non-Equilibrium Thermodynamics, 2005, 30: 8194.

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 El Cune slide in mudstones and shales in Colombia: History and analyses

A.J. Gonzalez-Garcia & J. Montero-Olarte

Civil Engineering Department, Universidad Nacional de Colombia, Bogota D.C., Colombia

ABSTRACT: The evolution, causes, and direct and indirect effects of the general instability in El Cune site, a 30 m high and
250 m long road cut located in the Honda-Bogota roadway in Colombia which caused a 80 m high and 1.5 million m3 slide in
mudstones and pyritic shales, are presented. Past studies are analized and evaluated, as well as the effectiveness of corrective
measures taken so far to control the instability, as compared with the failure mechanism proposed by the Authors. Social and
economical effects are highlighted, due to a mass movement that has not been possible to be controlled after twelve (12) years
of activity, which has caused suspension of vehicle traffic since June 2002 and has demanded costs of US $19 million.

1 INTRODUCTION
El Cune unstable site is located at Km 64 on the Honda-Bogot
road (which runs north to south from the Magdalena River
towards the Colombias capital city Bogota), at the Villeta
detour on the highlands of this town, near the right bank of
Cune creek, a tributary of Villeta river (Figure 1).
In 1995, shortly after the construction was started, an insta-
bility process was started which, after several years, still
cannot be controlled. To built the road, a large 30 m high cut
was needed through a highly fractured massif of mudstones
and shales of cretaceous age, covered on top by an instable
clayey colluvium (Figure 2). The geotechnical conditions of
the site where the cut was made are very similar to those
existent in several roads all along the colombian Eastern
Cordillera, which in most of its extension is made up by shales
and sandstones covered by wet clayey colluviums.
In this paper a brief description of the instability evolution
in this site is made, emphasizing on issues such as: (1) Those
factors of different nature which have had a negative influence
on the solutions implanted to overcome the difficulties, but
had not worked after more than 12 years and (2) the economic
and social costs being generated by the fruitless handling of
this problem.
2 EL CUNE SITE MAIN FEATURES

The rocky hillside where the road cut was excavated, is made
up of mudstones (siltstones and shales) of the Trincheras For-
mation (K8), very fractured and hydrically degraded, in faulted
contact with sandstones of the Utica Formation (K9), both for-
mations belonging to the Villeta Cretaceous Group. The site
is located in the shouthern tip of a complex faulted and folded
zone (Figure 3).
The sedimentary sequence presents a regional orientation
N10 25W, dipping 20 40 SW, towards the interior of the

Figure 1. General location of El Cune landslide.

Figure 2. SE-NW aerial view of El Cune site during works in 2001. Figure 3. El Cune regional geology (INGEOMINAS, 2000).

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2007 Taylor & Francis Group, London, UK


Figure 4. El Cune geology (post-slide map) (Montero et al, 2004).
hillside and in inverse direction to the slope of the major cut,
whose bearing is NE-SW. In addition the rocky mass is affected
by several joint systems, most of which dip towards the SE and
somehow are controlling the instability. On the hillside top,
the rock is covered by a clayey colluvium (Qc). From the mor-
phological point of view, at the cutting zone, the hillside forms
a structural block limited by geological faults: one at the North
side, with high dip; other at the South side, morphologically
less expressive than the former and a third reverse one at the
West side, coincident with the regional fault of Figure 3, which
marks a fault trench near the highest point. On the whole these
three faults limit the area where instability occurs (Figure 4).
Near the Northern fault, east of its crossing with the Western
regional fault, a small topographic depression can be seen
wherein humidity is concentrated and which can be related to
the geomorphological expressin of the Western Fault trench.
In addition, in some aerial photographs at large scale, taken
before the detour construction, slopes of ancient landslides
displacing colluvial soil appear above the level where the road
was built, and in the northeastern side of the slope, an ancient
landslide can be clearly seen .
Rainy seasons normally occur, as in all the Andean moun-
tainous central part of Colombia, between April and May and
from October to November.
Previous to road construction, the unfavorable instability
conditions were foreseen at the large cut site. In the Villetas
detour phase III study made by Estudios y Asesorias (1993),
they stated that: ..there is a very high cut in shale rock with
risk of instability which can require bolts and terraces.., and
it was considered specially critical.
3 INSTABILITY EVOLUTION, STUDIES
AND WORKS
Based on careful analysis and using several study reports and
documents, complemented with field visits, the sequence of
actions and events described chronologically below has been
reconstructed, highlighting the changes in the terrain condi-
tions in place to date, from the start of construction in 1995
(Montero et al, 2004). Due to lack of space only the main facts
are presented.
On July 5, 1994, INVIAS, the Colombian road author-
ity, along with representatives of both the contractor of the
Bogot-Honda road and the firm which was performing the
construction supervision, defined the corridor of the Villetas
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2007 Taylor & Francis Group, London, UK
detour to the South of Cune creek, and final studies were
ordered. For the definitive project a 250 m long (K5+380 to
K5+650), 30 m high large cut was envisaged, crossing very
fractured shales covered by colluvium, in a rocky hillside
slanted 10 15 southwards.
During 19951998 most of the earthmoving work took
place at El Cune cut, and the materials extracted were ini-
tially placed at the lower part of the hillside, near the Cune
creek. The first signs of instability in Cune were presented on
March 27, 1995 by INVIAS Geologist Juan Miguel Pinedo:
..the small terraces built in the cut about 20 days ago, no
longer exist due to few rains that took place... In February
1996, it was decided to stop the disposition at the lower part of
the hillside, and sites of disposition were authorized in the hill
above the cut, some of them at least within the unstable zone
delimited by geological faults. During the recopilation, no pre-
cise information could be obtained about the exact location of
these disposition sites (QB). In May 1998, a slope displace-
ment of approximately 30,000 m3 took place between K5+325
and K5+410, and during June and July of 1998 a retaining
wall was built at the western side of Villetas detour between
K5+325 and K5+395 with a mean height of 6.5 m. In Octo-
ber 1998, after some heavy rains, a new instability occurred:
mud and soil flows surpassed the wall crown, obstructing the
roadway and caused the collapse of 38 m of the northern end
of the wall. At the end 1998, other signs of instability showed:
in the hillside central part (terraces zone), a lot of fissuring
was observed, and at the north zone, near the fault, the mud-
flows continued. INVIAS then requested its concessionaire,
COMMSA, to make an analysis of the case.
In March 1999, COMMSA hired a consulting company
which issued a concept (based only on visits to the field, with-
out any subsoil exploration, tests or analyses to support it.),
which attributed the instability to both material weakness and
the presence of the northern fault, and that the wall failure
was due to accumulation of displaced material and lack of
underdrains. A translational displacement was diagnosed with
a passive wedge generating the roadway uplift. It was recom-
mended to unload the hillside top with terraces, to build drains
and sub-drains, to reconstruct the collapsed wall using a new
stem and to build an anchored wall, in order to complement the
retention at the slope foot. Apparently, none of these measures
were adopted at the time, and in October 1999 the movements
increased, forcing to road closure. The slided material was
cleared, and this contributed to increase even more the insta-
bility, including more gradeline lifting. In December 1999,
the consultant updated its study and proposed to modify the
terraces.
After this first stabilization attempt, in the subsequent
years many studies and works were carried out, of which the
following are the main ones:
In the first quarter of 2000, the terraces presented serious
displacements, so INVIAS decided to start the works pro-
posed in 1999 and from March to August, about 170,000 m3
were removed from both the hillside top and the material
obstructing the traffic, the road was re-leveled and new walls
were built. Three months later, instability conditions grew
and sub-drain ditches, filters, demolition of the failed old
1998 concrete wall and new re-leveling of the road grade
line were advanced in November and December. At the end
of the year 2000, strong cracking was detected at the hill-
side central part where terraces have been built, serious
movements of the hillside were registered. and new displace-
ments occurred threatening again with road obstruction. The
road uplifting continued and caused the collapse of the walls
which had been built earlier in this year. Simultaneously, at
the end of 2000, consortium DIS-EDL (2000) performed the
first geotechnical survey including borings and topographical
maps.A rotational mechanism was proposed with a failure sur-
face between 7 m and 10 m deeep under the road, attributed
to the material remolding on the lower part of the slope.
They reported a 2 m uplifting of the roadbank along 80 m
between K64+380 and K64+460 due to the mass imbal-
ance and the lack of sub-drainage works. Terraces, vegetal
coverage, filters, ditches and surface drainage structures were
recommended.
Between January andApril, 2001, some of the works recom-
mended by DIS-EDL were constructed. From March to May,
AQUATERRA firm performs the first relatively complete
geotechnical survey with topgraphy maps, borings, sampling,
lab tests, stability analyses and monitoring (AQUATERRA,
2001). It was concluded that at the Cune site, two different
movements exist: (1) a rotational landslide involving very frac-
tured shale in the central part, attributed to overload on top and
to rock high degradation; and (2) a soil flow at the north,near
the fault zone. (this proposal by AQUATERRA is considered
reasonable considering what is found in the field). This firm
proposed, the construction of 15 terraces, an anchored wall
at the toe with 61, 1.2 m diameter and 15 m long concrete
piles embedded 9 m and spaced 3.5 m, a drainage channel
and a box culvert. Stabilization works started on May 2001
with the construction of the upper terraces 1215. During this
period heavy rains fell and a very important increment on the
displacement rate was registered at the central zone, where
the terrace construction triggered movements of the upper
colluvium masses; In June 2001, at the north zone, new mud-
flows are generated and they overflowed the side of the bridge
hanger, plugged a 36 culvert. and invaded the right bank of
the Cune creek. During June and July, they tried several times
to profile the terrace slopes, but cracking always reappeared
and the surface drainage system became disarticulated. Crack-
ing continued in spite that cracks were sealed with clay and
soil cement. Instability manifestations remained in progress
from June to August 2001, and surface displacements incre-
mented from 0.03 cm/day to more than 266 cm/day. During
this period cracking intensification and infiltrations alternated
with the attempts to reconstruct and maintain the terraces and
to improve the surface drainage conditions with channels and
cuts. From May to November, 570.000 m3 of material were
removed.
According to INVIAS Emergency Office, in June 2001
three types of movements were in place: (1) slow landslide in
the colluviums detached from the high part; (2) Soil flow near
the north zone geological fault, and (3) slow landslide with
road uplifting between K64+380 and K64+460, provoking
wall breakage.
During AugustOctober 2001, cracking deepens and
extends. At the end of this quarter, the Supervision pro-
posed a rethinking about the situation, based on observation,
during the work performance, of geological conditions differ-
ent than those foreseen by AQUATERRA, and on the result
of 11 geoelectrical soundings performed to evaluate under-
ground waters. In line with this rethinking, in October 2001
new measures were adopted: (1) material cutting was not
allowed at the lower part of the landslide; (2) terrace con-
struction on top was stopped to reduce the upper colluvial
mass displacements and terraces 35 were constructed at the
middle-low part of the hillside, near the road, to reduce the
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2007 Taylor & Francis Group, London, UK
road uplifting, which does not happen; (3) At the north zone,
gabion walls were built along the right bank of the Cune creek,
to prevent the debris flows and mudflows from invading its
riverbed. (4) A drainage gallery 8 to 9 m underneath the road,
which was started in November. The maximum displacement
rate in October was 198 cm/day, 74% of that registered in
August, 2001.
Because of the improved situation, by order of INVIAS
the road was cleared in October 2001, and in November-
December, when excavaton was being made to place the
sub-base at the eastern side of the road and the construction of
the gallery and other works were in progress, a hard rainy sea-
son came, so both the cracking and movements were resumed
and in an internal report by the INVIAS Emergency Attention
Office it was stated: ..opening of the road caused that after
few days 80% of the built terraces were destroyed....
Turning from year 2001 to 2002, material of the hillside
middle part was unloaded again to diminish the road lifting,
but such an effect was not achieved. Construction of a channel
on the hillside top was finished and another channel parallel
to the wall on the eastern side of the detour, a filter and other
drainage works were also constructed.The maximum recorded
rate of displacement during such a period was 110.9 cm/day.
During February 2002, this rate was reduced to 25 cm/day
and the gallery advanced 115 m, with two branches. The floor
of the eastern side channel which is parallel to the road,
breaked in the zone where the road presented the maximum
uplifting.
During FebruaryMarch 2002, terrace construction on top
and joint sealing continued. The maximum rate of displace-
ment varied from 25 cm/day in February to just 0.7 cm/day
in March, with a road uplifting of 40 cm. The progress of
the gallery was 165 m, and 387 m of penetration drains were
installed from the surface to the gallery seeking to drain
water down from the top. At this time gallery failure in var-
ious stretches was registered. In May, construction of the
anchored wall proposed by AQUATERRA at the slope foot
was discarded, because of the little promising result of the
installation of two 35 m long testing anchorages, which were
finally expelled by the moving mass.
Due to the reduced displacement rates, both the Transporta-
tion Minister and INVIAS Director ordered to reopen the road
and the major movement reactivation since they started took
place and the road was blocked again. Furthermore, the 250 m
long gallery did not worked as expected: during almost all the
time of its construction it remained dry and days after fin-
ished, it just showed a small dripping. Therefore, INVIAS
was forced to keep the road closed and to study a new strat-
egy to try to give a solution to the serious problem at the
Cune site.
In June 2002, Universidad Nacional de ColombiaBogot
Campus (without the participation of the Authors), issued a
concept on the strategy to be followed by INVIAS to get a
definitive solution, based on the analysis of previous studies
and a terrain survey (UN-Bogot, 2002). This concept pro-
posed measures to be executed at short term, addressed to
resume the traffic; at middle term, the execution of a com-
plete study to arrive at a definitive solution; and at long term,
a monitoring program aimed to keep in observation the site
behavior and so to timely perform any additional correction
required. As a basis to apply such measures at short term it is
proposed an instability zoning which considers the soil flow of
the north side, the landslide of the central-south part, two lit-
tle zones of colluvium displacement and of block overturning
Table 1. UN Medelln- alternatives and expected effects.

Alternative Expected effect

1. Construction of an Counterweight in the passive

embankment in the inner slope, wedge which in turn serves
western side of the current road as a retention structure
2. Horizontal displacement of the Part of the road will remain
road centerline towards the west in a stable terrain at the
and construction of smaller eastern side
embankments Figure 5. Block failure mechanism for El Cune slide.
3. Construction of a false tunnel The false tunnel safeguards
with rectangular or oval cross traffic from slided material, Table 2. Cune stability analyses results.
section keeping the original allowing its passing above
horizontal alignment. the structure PR440 PR440 PR540 PR540
Alternative Fs Acr/g Fs Acr/g

1- Present 0.942 -o- 0.985 -o-

2- Cune road recovery 1.288 0.051 1.201 0.059
and the uplifting of the roadway. As part of the measures 3- North dyke and park 0.987 -o- 1.517 0.105
application at short term, it was proposed to clear the road
so as to reopen the vehicle passing which would have reac-
tivated the movements as it had happened time after time
in the past.
The road was then kept closed and INVIAS determined
to entrust the study to Universidad Nacional de Colombia
Medellin Campus. In JuneAugust 2003, the UN-Medelln
(2003) designed a plan of stabilizing measures, based on
exploration, laboratory testing and geotechnical analyses. In
this study it was considered as technically and economically
feasible the recovering of the road at the Cune site and three
alternatives were submitted, two of which maintained the orig- Figure 6. Upper cut for Cune pass road recovery.
inal horizontal alignment, while the other implied a change in
horizontal alignment. (Table 1).
Once the proposed alternatives were analyzed, INVIAS Table 3. Costs (US$millions): Cune vs new detour road.
and UN-Medellin, agreed to adopt a solution combining the Alternative Initial cost Econ.risk Total cost
counterweight fill and the false tunnel. The budget for this
work was US$2.0 million, with 200,000 m3 of excavation and 1-Present + New road $4.80 $3.02 $7.81
150,000 m3 of compacted fills over a filter drainage network. 2-Cune Road recovery $4.37 $6.76 $11.13
The works initiated in February 2004 by previously clearing 3-Dyke, Park + New road $6.35 $1.46 $7.81
the unstable material at the road level and this material was
used to construct 20 m-high embankments. The road clearance
previous to the embankment construction reactivated the land-
slide with road lifting in the same way that the previous ones; by thesis work at UN-Bogot (Montero et al, 2004) (Figure 5),
in addition, the embankment behavior was not as expected and probabilistic failure analysis.
and became cracked and displaced. Embankment reinforce- Results from the study of both types of slides: block central
ment was tried with vertical soil nailing, but, although the slide at PR440 and rotational north slide at PR540 (Figure 3)
movements reduced, the cracking continued and the road was were: (Table 2):
again invaded. The works were suspended in November 2004, (1) Present situation is unstable (Fs <1.0); (2) Even with
with and expenditure of US$1.2 million. In February 2005, fills up to the maximum height that the topography allows
UN-Medelln proposed a modified Alternative 2 displacing (Figure 5), there is a slight increase in stability, but the mass
the road to the East, but INVIAS decided to study a Villeta remains unstable (Fs <1.0); (3) to recover the road, it is
detour alternative away from the Cune site and to compare it necessary to cut 370,000 m3 , mainly in the upper part near
with the Cune pass. the western fault (Figure 6), but even with ties and under-
This study was commisioned to APC Ltd, and the main drains, all of doubtful performance, the maximun acceleration
author was comissioned to evaluate again the Cune slide. that can be sustained is only 0.05 g, against a design rock
After revising the reports already produced, three alterna- acceleration of 0.20 g; (4) the north dyke can increase consid-
tives were evaluated (APC, 2005): (1) Leave the site as it erably the stability in this place, even with earthquake (critical
is and build the new 3.3 Km detour; (2) Recover the Cune acceleration = 0.105 g).
road pass; (3) Reconform the site (similar to Alternative 2 of After cost analyses, including failure costs and economic
UN-Medelln), including a 25 m high rockfill dyke to avoid risk (Table 3), APC recommended: (a) to adopt alternative
invasin of the Cune creek by mudflows, use the site as a park 3: abandon the road at El Cune site, build the northern dyke
and build the new detour. The study, whose details are not and reconform the site; (b) to design and construct the new
presented here, included new borings and tests, earthquake 3.3 km detour along the Villeta River valley. At present (2007),
effects, not considered in any other of the previous studies, an detailed geotechnical studies are being advanced for both the
active-passive wedge planar mechanism, previously identified northern dyke and the new detour.

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2007 Taylor & Francis Group, London, UK

 Table 4. Instability direct costs- up to 2004 (US$million).
Studies and consulting $0.19
Works and stabilization measures $4.55
Works inspection $0.35
Total direct costs $5.08
Table 5. Instability indirect costs- up to 2004 (US$million).
Road profitability loss $1.35
Vehicles operation saving loss $0.43
Total indirect costs $1.74
4 COSTS OF INSTABILITY AT EL CUNE SITE
For the construction of Villeta detour of 3 km, where El Cune
landslide is located, the initial total budget was of US$9
million. However, due the instability problems since its con-
struction, very high direct and indirect economic losses had
been generated at El Cune site, because of the inefficacy of
the control measures and of the unfortunate decisions which
have accelerated the processes more and more, with serious
consequences for the transit, which was frequently interrupted
between 1998 and 2002 and totally during 20032007. In addi-
tion, significant environmental damages have been caused,
with land devaluation as well as the indisposition of Villetas
community.
The summary of estimated direct and some indirect costs
up to August 2004 are presented in Tables 4 and 5.
Therefore up to August 2004, US$6.82 millions had been
the estimated costs of instability at the Cune site. If the cost of
US$1.2 million in the abandoned 2004 works is added, as well
as other 2.5 years of traffic losses (about US$2.0 million), the
cost of additional studies, and the abandonement of almost
the whole Cune detour (US$9 million), total losses amount to
about US$19 millions and the detour reposition with the new
road and other costs (US$6.35 million), make the total cost
about US$25.5 million, the cost of almost 9 kilometers of new
road, expended due to only 350 m of problems.
5 SOME CONCLUSIONS
(a) Villeta detour did not have detailed geotechnical studies
prior to construction, which perhaps could allow to prevent
the instability problems which were generated practically
since the start of its construction.
(b) An analysis made on the numerous studies performed dur-
ing the detours operational period and on the decisions
made, leaves an impression of improper management and
the treatment given seems to be indicated more for rutine
road maintainance that for such a big problem.
(c) None of the first studies performed between March 1999,
when the situation was already critical, and the first months
of the year 2001, met the subsoil exploration, sampling,
testing and analyses requirements compatible with the size
of the problem.
(d) From the later studies to date, the AQUATERRA study
made a significant contribution to the knowledge of the
stratigraphy and geomechanical properties of the materi-
als, and it was the first study recognizing two types of
movements: a landslide in the central part and a soil flow
583
2007 Taylor & Francis Group, London, UK
in the northern zone, near the geological fault. However,
the effectiveness of the measures proposed by this firm
was not confirmed, and its foreseen solution was changed
by INVIAS on the way.
(e) None of these studies, even the last one by APC, could
clearly identify the failure surface of the landslide in the
central part, and the authors think that none of the studies
had been as complete as they could had been. However, the
latest models found in theses work directed by Montero
at Universidad Nacional-Bogot (Castro, 2004; Osorio,
2004) and used by the main Author, provided reasonable
results.
(f ) On the other hand, the continuous clean-ups of the road
made in October 1999, December 2000, October 2001 and
May 2002, especially in these two last occasions, caused
serious reactivations of the instability, because the failure
mechanism of the central part, was and, still now, is not
completely understood.
(g) Shales and especially those of the pyritic and carbonaceous
type, such as the ones found in El Cune site, are very dif-
ficult geotechnical materials. They are very susceptible to
weathering, remolding and discharge. Due to almost six
years of almost continuous earthmoving works, cracking
and infiltrations, it is thought that the material has been
progressively weakening and that the original shale has
turned now in many parts to almost a soil.
(h) Therefore, as the analyses confirm, it is very difficult for
anyone, with the available information, to guarantee the
long-term stability of this site, especially with earthquake
and/or an abnormal rainy season.
(i) Nonetheless, some colleagues insist that there could be a
solution for El Cune road pass. Even among the two co-
authors of this paper there is discrepancy: Montero thinks
that with more complete studies, the Cune site can even-
tually be recovered, while Gonzalez estimates that there
could be a definite solution (i.e. almost complete flattening
of the site), but he considers that costs and time constraints
would lead to a more feasible solution, such as the new
detour.
( j) El Cune is not the only problem that exists in the shales
of the Colombian Eastern Cordillera, as mentioned in the
introduction. Therefore the Authors are trying to obtain,
by means of a National University-INVIAS agreement,
permission to dedicate El Cune site to mudstone and shale
research, and to try and, perhaps, to find a definite solution
to its instability.
REFERENCES (ALL IN SPANISH)
APC 2005. Studies for the stabilization of El Cune Land-
slide PR64+0300 a PR 64+0700- HondaVilletaTobiagrande
Bogot Road (5008). Administradora de Proyectos Civiles- APC
Ltd., Consulting Engineers- Bogot, December, 2005 .
AQUATERRA 2001. Study and design of the works for the control of
the landslide located at PR 64+700 in the sector known as El Cune
near the urban area of Villeta (Cundinamarca)- AQUATERRA
Ltd., Consulting Engineers.
DISEDL 2000. Geotechnical investigations- Mechanical borings
with 80 m total length at PR 64+700- El Cune site- Honda-Bogot
road. Consortium DIS Ltd.- EDL Ltd.
CASTRO, C.H. 2004. Follow up of the instability at El Cune sector
(PR 64+000 and Pr 65+850 Honda-Bogot road) and evalua-
tion of the solutions implanted between the years 1994 and 2002.
Thesis- Specialist in Geotechnics with emphasis on Roads-
Universidad Nacional de Colombia, Bogot .
INGEOMINAS. 1998. Geology of the Map 208-Villeta- Colombian
Geoinformation Institute on Mining, Environment and Nuclear
Research- INGEOMINAS, 1998.
MONTERO, J. GONZALEZ, A.J. CASTRO, C.A. & OSORIO, J.A.
2004. Follow-up of the instability in El Cune Site- X Colom-
bian Geotechnical Congress Vol. 1 pp.657667 Colombian
Geotechnical Society- Paipa, August 2004.
OSORIO, J.A. 2004. Corrective measures to be implanted at El Cune
sector (PR 64+000 to Pr 65+850 Honda-Bogot road). Thesis
Specialist in Geotechnics with emphasis on Roads . Universidad
Nacional de Colombia, Bogot.
584
2007 Taylor & Francis Group, London, UK
UN-BOGOT 2002. Diagnostic study on emergency between PR
64+000 and PR 65+850 El Cune of the Honda-Villeta-
Tobiagrande-Bogot road, Route 50, Stretch 5008 Universidad
Nacional de Colombia, Bogot.
UN-MEDELLIN 2003. Diagnostic study on emergency between
PR 64+000 and PR 65+850 El Cune of the Honda-Villeta-
Tobiagrande-Bogot road, Route 50, Stretch 5008 Interad-
ministrative Agreement 072 of 2003.-Universidad Nacional de
Colombia, Medelln.
 Evaluating the adhesion strength of different sealants on kimberlite

S. Saydam
School of Mining Engineering, University of New South Wales, NSW, Sydney, Australia

Y.S. Docrat
De Beers, Group Mining & Exploration, Johannesburg, South Africa

ABSTRACT: Numerous adhesion test methods have been proposed by researchers to measure the adhesion strength of liners.
Adhesion and tensile strength of a liner are important physical characteristics controlling its capacity to adequately support free
rock between rockbolts. Adhesive strength is a significant property controlling the design and performance of liner support
systems. The use of sealants as a means to improve tunnel wall stability is currently being investigated by De Beers. The main
function of such liners in De Beers would be to seal the kimberlitic rock to prevent weathering of underground excavations.
Previous adhesion tests indicated that the measurements are useful to understand the weathering process of kimberlites. The
current series of laboratory tests, conducted at De Beers Ground Support Laboratory in Johannesburg, provide useful results
indicating the adhesion strength of different liners on the kimberlite substrate.

1 INTRODUCTION
The adhesion strength is one of the most important mechan-
ical properties of a liner material. In the past, many adhesion
test procedures have been proposed by researchers to assess
the characteristic adhesion/bond strength of Thin Spray-on
Liner (TSL) agents. A TSL is defined as a thin chemical based
coating or layer that is applied to mining excavations at a thick-
ness of 3 to 5 mm. Mercer (1992) conducted tests with large
diameter plates (250 mm) to measure adhesion strength on
rough rock surfaces in underground sites and on thick con-
crete slabs in a laboratory. Tannant et al. (1999) and Archibald
(2001) conducted direct pull tests on perforated steel plates
to measure adhesion between TSLs and various substrate
materials. Tannant et al. (1999) conducted tests with small
diameter plates (59 mm) on rock slabs in a laboratory. Espley-
Boudreau (1999) conducted in-situ and laboratory TSL tests.
Underground adhesion testing of TSLs, similar to laboratory
plate-pull testing, on rock and shotcrete was also performed
with a range of cure times and for various moisture levels by
Espley et al. (1999). ztrk & Tannant (2004) recommended
an adhesion test method which was a modification of previ-
ous methods and was based on direct pull-off of an elevator
bolt that was attached to a liner with an epoxy with different
rock types and environmental conditions. An adhesion test
developed for different liners at defined curing times in labo-
ratory and underground conditions during a Safety in Mines
ResearchAdvisory Committee (SIMRAC) project by Kuijpers
et al. (2004).
Two types of bond strength need to be considered: tensile
and shear. Tensile-bond strength is a measure of the ability of a
liner to remain in contact with the rock when a tensile stress is
applied normal to the rock-liner interface. Shear-bond strength
is concerned with the ability to resist stresses that act parallel
to the rock-liner interface (Kuijpers, et al., 2004). In practice
however, there is a combination of the stresses acting on the
interface.
Failure may occur due to low tensile-bond strength between
liner and rock surface. Adhesion strength on different rock
types and the factors influencing the adhesion are important
test considerations (Yilmaz et al., 2003).
In this study, adhesion tests were conducted on kimberlite
as it is the predominant rock type in De Beers. The company
applies the liner to act as a sealant, an impervious barrier to
prevent moisture from decomposing kimberlite. For kimber-
lite, adhesion test provides added information on the degree
of weathering caused by a liner on the rock when measured
against a test control. In this study, the test control substrate
used in the laboratory adhesion tests was concrete. The test
method adopted was a direct pull test with over coring of the
test elements. Tests were repeated underground to measure the
in-situ strength of the liner on the kimberlite.
The aim of the adhesion test work was to evaluate the appro-
priateness of the test for use as a Standard by De Beers as well
as to specify performance criteria for liners.
2 TEST PREPARATION AND EXECUTION
A hydraulic adhesion/tensile test apparatus that works on a
distributed force pull off system was used in the tests. Fig-
ure 1 shows the apparatus which includes the main hydraulic
power unit, testing head, steel test dollies, cutting tool and a
heating iron.
The apparatus, PAT GM01- Elcometer, can apply a
maximum force of 6.3 kN. The steel test dollies are
Figure 1. Elcometer-PAT adhesion tester system.

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2007 Taylor & Francis Group, London, UK

28.2 mm (diameter) which is the standard size supplied with
the equipment. For the size of dollies used, the maximum test
pressure is 010 MPa.
The laboratory tests were undertaken at the De Beers
Ground Support Laboratory in Johannesburg, South Africa.
The liners for the laboratory tests were manually applied
as opposed to being sprayed on. The liner thickness was
consistent with the suppliers recommendations. The test
elements were glued to the surface with Araldite epoxy
(HY4076/AV4076). The test area was over-cored using a cor-
ing bit, so the pull force would be contained over the area under
the test element, thereby providing more accurate results.
Figure 2 provides a schematic of the test to illustrate the
manner in which the test element is fixed onto the coating.
Liners were placed on concrete blocks (for control), rough
kimberlite and cut kimberlite. Ten different liners, from seven Figure 2. Schematic of a test element glued onto a substrate.
different companies, were each tested these being:
Liner 1 A modified styrene synthetic polymer
Liner 2 Cementitious Blend
Liner 3 Cementitious Blend
Liner 4 Epoxide resin
Liner 5 Acrylate Cementitious Blend
Liner 6 Acrylate Cementitious Blend
Liner 7 Cementitious Blend
Liner 8 Polymer Latex combined with cement, silica sand,
and inorganic fillers
Liner 9 Propylene/Ethylene Copolymer
Liner 10 Styrene acrylate copolymer emulsion
Due to confidentiality agreements between De Beers and
the liner companies, product names are not disclosed. Liners
2, 3, 5, 6, 7, and 9 can be classed as TSLs while the remainder
of the products can be classified as sealants which are coatings
applied as a thin film. Liners applied to concrete, rough and
cut kimberlite were left to cure for seven days before testing.
Figure 3. An illustration of the adhesion test on concrete.
2.1 Concrete test as a control
Concrete slabs were used as a test control to measure the rel-
ative performance of a coating on this material compared to
kimberlite. The concrete was less likely to be affected by the
liner in terms of weathering and would therefore provide a
closer estimate of the adhesion strength of a liner. Adhesion
on kimberlite was measured against the concrete control to
evaluate relative performance. Figure 3 shows the concrete
test on a number of liner products.

2.2 Kimberlite adhesion tests

Figure 4. (a) Adhesion test on cut and (b) rough kimberlite.
Kimberlite tests were performed on cut (Fig. 4a) and rough
(Fig. 4b) TKB kimberlite (Tuffisitic Kimberlite Breccia
abundant ilmenite, few garnets, abundant altered, pyrox-
enes, diagnostic vari-coloured, swelling rock) (Bartlett, 1994)
obtained from Cullinan Diamond Mine in South Africa. Cut
and rough kimberlites were used to determine the capacity of
the liner coatings to handle varying surface conditions.

2.3 In-situ adhesion tests

Preliminary in-situ adhesion tests were conducted at Finsch
Diamond Mine in South Africa with two liner products (Liners
9 and 10) to measure performance of the liners and of the test
in an underground environment. Figure 5 shows an in-situ test
in a tunnel wall. Figure 5. In-situ adhesion test (a) overcoring, (b) testing of a sealant.

586

2007 Taylor & Francis Group, London, UK

Table 1. Average adhesion strength of liners on concrete. Table 2. In-situ average adhesion strength of liners.

On rough On cut Liners Adhesion strength (MPa)

On concrete kimberlite kimberlite
Liners (MPa) (MPa) (MPa) Epoxy 4.55
Liner 9 1.40
Liner 1 2.36 3.24 2.36 Liner 10 3.49
Liner 2 0.96 1.58 1.32
Liner 3 1.36 1.41 1.75
Liner 4 6.38 6.77 7.64
100
Liner 5 3.85 2.92 1.58
80
Liner 6 6.65 4.89 4.55
60
Liner 7 1.11 0.04 0.05

Adhesion Change (%)

[concrete as baseline]
40
Liner 8 1.31 0.96 1.15 20
Liner 9 2.19 1.42 1.22 0
Liner 10 3.34 3.27 4.44 -20 1 2 3 4 5 6 7 8 9 10

-40
-60
Rough Kimberlite-Liner
-80 Cut Kimberlite-Liner
3 RESULTS -100

3.1 Concrete control test results
Tests were initially conducted to establish the bond strength of
the epoxy as this parameter needed to be high enough if tests
were to be successful. Too low a strength would result in fail-
ure between the epoxy and the liner or the epoxy and the steel
dolly and would render a test invalid given that the premise
of the testing was to establish the bond strength of a liner
on a substrate. The average adhesion strength of the epoxy
was 7.83 MPa on concrete. The results indicate that Liner
4 (6.38 MPa) and Liner 6 (6.65 MPa) provided the highest
adhesion strength.
3.2 Rough kimberlite test results
Figure 6. Performance of products shown relative to concrete
baseline.
by the differences in surface texture. In terms of the absolute
differences between cut and rough kimberlite, Liner 5 results
showed the most variability with an adhesion loss of 1.34 MPa
from rough to smooth kimberlite.
Liner 4 also showed a significant change, however with
this product there was an increase in result from the rough
to the smooth kimberlite. The reason for the increase could
possibly be that on smooth kimberlite the sealant behaves as
a continuous unit, whereas on the rough kimberlite it acts as
discrete units influenced by the surface texture.

Tests were conducted on rough kimberlite as this is representa-

tive of the kimberlite surface rock conditions (texture) which
would be encountered underground. Liner 4 (6.77 MPa) and
Liner 6 (4.89 MPa) provided the highest adhesion strength
results, though the results for Liner 6 were not as high as
those measured for concrete (6.65 MPa). The other signif-
icant results were from Liner 1 (3.24 MPa) and Liner 10
(3.27 MPa). Particular mention is made of the liner product
Liner 7; its adhesion on concrete was 1.11 MPa which reduced
to practically zero for kimberlite.
3.3 Cut kimberlite test results
Cut kimberlite is used to determine the bond strength on
a smooth surface together with any weathering which may
result. Liner 4 (7.64 MPa) and Liner 6 (4.55 MPa) provided
highest adhesion strength, together with Liner 10.
Table 1 shows the average adhesion results of liners on
concrete blocks and on rough and cut kimberlite samples.
During testing failure did not necessarily occur between
the liner and the host rock (substrate), but also occurred along
other surfaces. Internal failure of the host rock, de-bonding
between the liner and the epoxy, internal failure of the epoxy
or the liner and de-bonding between the steel disc and the
epoxy are the alternative modes of failure. The epoxy and the
contact between epoxy and liner as well as the contact between
epoxy and steel disc are not supposed to fail.
It is interesting to note the differences in adhesion strengths
between rough and smooth (cut) kimberlite. Differences may
arise as a result of the liner products ability to bond to smooth
surfaces, or alternatively the degree of weathering provided
3.4 In-situ test results
Liners 9 and 10 were tested following seven days of curing
along tunnel walls. Epoxy adhesion strength was also mea-
sured for control purposes.Table 2 provides the average results
of the testing.
4 ANALYSIS OF TEST RESULTS
The results show that Liner 4 (sealant epoxide resin) has
the greatest adhesion strength of the products tested on the
kimberlite samples. The idea behind testing this product was
that it could be sprayed on the kimberlite surface, and shortly
thereafter apply shotcrete could be sprayed over the sealant.
In this way the safety risks associated with an epoxy could
be mitigated. Of the sealant type products, Liner 10 pro-
vided favourable results on kimberlite. Of the cementitious
liner products (TSLs) tested, Liner 6 provided the best overall
results.
The relative adhesion performance of the products com-
pared to concrete is shown in Figure 6. In this figure, adhesion
results on concrete are taken as the baseline (0% y-axis), with
each products adhesion on rough and cut kimberlite measured
against this datum and shown as a percentage difference.
According to Figure 6, Liner 5 showed significant adhe-
sion loss on cut kimberlite. The tests indicated that with some
products there is penetration into the substrate (few mm) which
appears to improve the adhesion strength. Liner 7 also showed
very considerable adhesion loss on both cut and rough kim-
berlite. This product, which has a large proportion of water in

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2007 Taylor & Francis Group, London, UK

 The study shows that the adhesion strength test of a liner is
also important to understand the weathering effect on kimber-
lite. According to the test results, the adhesion on weathered
kimberlites was much less than it is on unweathered rocks.
The use of a test control provided further insights into liner
adhesion on kimberlite as it provided a reference to which
comparisons could be made.
The testing provides a database with which possible future
work may be compared. In total, 61 tests were conducted on
concrete, 69 on rough kimberlite, and 96 on cut kimberlite. It is
known that time dependent behaviour of sealants/liners alters
Figure 7. Kimberlite weathering under Liner 7 product. their adhesion properties; however this characteristic was not
measured in this study.
The test method and the test apparatus were found to be
4.00
straightforward to use and can be recommended for future
3.50
Rough Kimberlite-Liner
3.27
3.49 testing.
Underground Test
Adhesion Strength (MPa)

3.00
2.50
ACKNOWLEDGEMENTS
2.00
1.42 1.40
1.50
The authors would like to thank De Beers GME for their kind
1.00
permission to publish this paper. The authors also would like
0.50
to thank Dr. J. Morkel, Dr. L. Krger and Dr. A. Guest from
0.00
Liner 9 Liner 10 De Beers GME and Mr. D. Wilson from De Beers DBCM
for their recommendations during the study. The authors also
Figure 8. Comparison of rough kimberlite lab and underground test wish to thank Dr J. Kuijpers from CSIR-Miningtek for making
results. available his adhesion test results for publication.

Table 3. Comparison of De Beers and CSIR-Miningtek adhesion REFERENCES

test results.
Archibald, J.F. 2001. Assessing acceptance criteria for and capabil-
De Beers adhesion CSIR-Miningtek adhesion ities of liners for mitigating ground falls. MASHA, Health and
Liner strength (MPa) strength (MPa) Safety Conference. Sudbury, Canada.
Bartlett, P.J. 1994. Geology of the Premier diamond pipe. XVth
Liner 1 3.24 3.80 CMMI Congress, SAIMM. Vol. 3, pp. 201213, Johannesburg,
Liner 2 1.58 1.50 South Africa.
Liner 5 2.92 2.60 Espley-Boudreau, S.J. 1999. Thin spray-on liner support and imple-
mentation in the hardrock mining industry. M.Sc Thesis, Lauren-
tian University, School of Engineering, Sudbury, Ontario.
Kuijpers, J.S., Sellers, E.J., Toper, A.Z., Rangasany T., Ward T., van
its mix, caused kimberlite weathering. Weathering causes the Rensburg A.J., Yilmaz, H. & Stacey, T.R. 2004. Required tech-
nical specifications and standard testing methodology for Thin
kimberlite to disintegrate resulting in the liner bonding onto Sprayed Linings. Safety in Mines Research Advisory Committee
small broken rock fragments; the result is total adhesion loss (SIMRAC). Final Report. November 2004. Johannesburg, South
(Fig. 7). Africa.
Underground tests on Liners 9 and 10 are compared in Mercer, R.A. 1992. The investigation thin polyurethane linings as an
Figure 8 with the results from laboratory tests on the rough alternative method of ground control. M.Sc. Thesis, Department
kimberlite. The results for both products are quite close which of Mining Engineering Queens University Kingston, Ontario,
indicates that the adhesion test gives realistic results. However, Canada.
further in-situ testing is required to confirm this conclusion. ztrk, H. & Tannant, D.D. 2004. Influence of rock properties and
De Beers Mining Research had prior to these tests con- environmental conditions on adhesive bond to a thin spray-on liner
tracted CSIR-Miningtek to conduct adhesion tests on Liners coated cores. In Y. Potvin, D. Stacey & J. Hadjigeorgiou (eds).
Surface Support in Mining. Australian Centre for Geomechanics.
1, 2 and 5. The results of their tests are compared in Table 3 Western Australia, Australia. p. 135140.
to confirm that they are credible. Results are similar for Tannant, D.D., Swan, G., Espley, S. & Graham, C. 1999. Labora-
the liner/sealant products tested using two different testing tory test procedures for validating the use of thin spray-on liners
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5 CONCLUSIONS AND RECOMMENDATIONS Yilmaz, H., Saydam, S. & Toper, A.Z. 2003. Emerging support con-
cept: thin spray-on liners. Chamber of Mining Engineers of Turkey
In terms of bond strength, Liner 6, as a TSL product, and 18th International Mining Congress and Exhibition of Turkey. June
Liners 4 and 10 (sealant) provided the best results. 1013, 2003 Antalya, Turkey.

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2007 Taylor & Francis Group, London, UK

 Evaluation of the rock mass properties using the downhole hammer drilling logs

J.P. Tshibangu, S. Wittemans & B. Deschamps

Facult Polytechnique de Mons, Mons, Belgium

S. Duray
Socit des Carrires du Tournaisis, Tournai, Belgium

ABSTRACT: Big quarries are mined out in the Tournais region (Belgium) for cement or crushed raw materials production.
The development of this industrial activity is due to famous outcrops of carboniferous limestone in the region. The rock masses
in the area are characterised by three sets of discontinuities among which two have a near vertical dipping; and these sets are
intersected a time to time by some typical faults. It is generally recognised that, when subjected to the effect of percolating
water, the limestone undergoes a weathering leading to very poor material on the mechanical point of view. Such a material
cannot be used as crushed rock. When designing the rock blast, the mining engineer has to plan and drive the operations in
order to decide about the most suitable destination for the mined out material, i.e. crusher of waste dump.
A particular method has been developed in this paper to assess continuously the quality of the rock being drilled for blast
holes. This uses the drilling logs (i.e. weight on bit, rate of penetration, and rotation torque) to evaluate the strength of the rock
mass. A mechanical energy index that can be related to the destruction specific energy is defined. A correlation is then built
with the GSI (Geological Strength Index) as described by Hoek and Brown (1997). The working method involves the definition
of the GSI per zone and a specific treatment to assess the magnitude of the corresponding energy index. This can be used to
update the geological map of a quarry based mainly on the directions of natural fractures.

1 INTRODUCTION The outcrop is characterised by argillaceous limestones

The Socit des Carrires du Tournaisis (SCT) is mining
the Carrire du Milieu, a quarry in Gaurain-Ramecroix, a
village close to the Tournai city, Belgium. This quarry sup-
plies two big companies with crushed materials (Holcim) and
cement + crushed materials (Italcimenti) for an overall planed
production of 11 millions tons per year. While the cement
production relies on the chemical quality of the limestone,
the production of crushed rocks requires good mechanical
properties.
The Tournais limestone deposit is intersected by a series a
sub vertical joints that divide the body into different blocks,
and hence, lead to the typical cave weathering phenomenon.
The mining operations in the quarry show that the extent of
weathering, mainly in the shallow benches, can lead to a recov-
ering of less than 40% of the rocks, the remaining material is
dumped in the waste backfilling area of the western depleted
part of the quarry. It is therefore of some importance to develop
a prediction tool that can rapidly allow the production engineer
to decide about the destination of the removed block.
which sometimes contain hard silica nodules. When looking
the deposit from the top to the bottom of limestone materials,
the identified seams are (Hennebert & Doremus 1997):
The Calonne unit with a thickness of 50 m. The bottom of
this formation is characterised by the so called Gras Dlit
which is a thin clay layer.
The Vaulx and Chercq unit: 3235 m.
The Pont--Rieu unit: 2122 m.
The Providence unit: 35 m.
The Allain unit: 30 m.
The Crampon unit: 12 m.
The limestone is generally covered by sandy and clayey sand
formations.The top of the limestone is generally horizontal but
is affected by caves and other cave phenomenon. The Milieus
quarry is actually mined in seven benches of varying heights.
On the tectonic point of view, the Mlantois-tournaisis anti-
cline is crossed by numerous faults which are parallel to its
axis; this is a typical horst structure named Tournaisis Horst.
These faults subdivide the deposit into many compartments
oriented according the East-West or NW SE directions.

2 GEOLOGICAL DESCRIPTION OF THE 3 ROCK MASS CHARACTERISATION

SITE UNDER STUDY
The Tournais limestone outcrop belongs to the Carboniferous
formations of the northern border of Namurs Synclinorium
(Belgium). This is a strip lying from eastern Namur to western
Lille in France. In the Western part of this synclinorium the
structure is characterised by the Roubaixs synclinal followed
by the Mlantois-tournaisis anticline in which the quarries of
the tournasian basin have been opened.
We performed a systematic analysis on the three first benches
of the quarry in order to quantify the variation in the mechani-
cal quality of the limestone (Fautrez et al. 2004). The main job
consisted in taking pictures from positions whose coordinates
were defined by a GPS device, and then identify the joints
with respect to direction, dipping and weathering.
The observations in the quarry allowed a classification of
fractures into two main sub vertical sets S1 and S2, to which

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Figure 1. An example of a bench face image processing for rock
mass characterisation.
Figure 2. Colour profile used to map the GSI (the dashes represent
the GSI value evaluated per geotechnical zone).
a third set S3 represented by the stratification, can be added.
The characteristics of identified sets of joints are as follows:
N30 E for S1 and N100110 E for S2 with a mean dipping
of about 90 .
For assessing the quality of the rock mass, we used the
Geological Strength Index or GSI defined by Hoek & Brown
(1997). This index can be determined simply by observing on
one hand the size and distribution of the rock blocks, and on
the other hand the quality of the joints (i.e. rough of filled with
argillaceous materials).
When surveying the quarry, we first divided the working
area into constant quality zones, or geotechnical zones. These
zones have been delineated by points named Limit Points or
PL that we had to position on a topographical map. We also
used a colour profile to map the GSI value on the topography
of the quarry; Figure 2 illustrates this colour profile in terms
of levels of greys.
It can be seen that the GSI values are distributed along a
diagonal; this means that extreme conditions such as a very
disintegrated limestone presenting no weathering is seldom
as well as a weathered very blocky. For reason of readabil-
ity we mapped only few geotechnical zones with related GSI
assessment on Figure 3.
4 PRODUCTION DRILLING LOGGING
The SCT equipped one of his drilling rig, a T4 Ingersoll Rand
machine, with a real time drilling parameters monitoring and
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2007 Taylor & Francis Group, London, UK
Figure 3. Some geotechnical zones identified in term of GSI
identified by different levels of greys.
logging system. The following parameters are registered and
monitored on the display of the machine:
The depth from the top (measured each centimetre),
The rate of penetration (Va),
The hydraulic pressure on the bit (Po),
The rotation torque (Cr).
5 QUALITY OF THE ROCK MASS USING
THE DRILLING LOG
5.1 Some theoretical considerations
As the real time logging is aimed to identify the low strength
zones, it is very difficult to get such information by looking
to the individual curves obtained. We then had to develop an
original method.
The rock destruction by drilling tools can be considered as
due to the combination of two physical mechanisms:
Punching of the rock by exerting a vertical thrust on the bit
also known as the weight on bit (WOB);
Lateral removal of debris by exerting a horizontal force that
is related to the torque.
An efficient choice of the drilling tools will influence the
punching and lateral pull out mechanisms and, hence, allow
the destruction of the rock in conditions of minimal energy
consumption and tool wear. According to the used technique,
the weight on bit can be imposed statically (rotary drilling) or
dynamically (percussion drilling).TheT4 machine is equipped
with a percussive drilling system. In such a mechanism the
influence of the torque is low and can be neglected.
Among the parameters used to characterise the drilling per-
formance, the specific energy is the most common. This
is the energy consumed by unit volume of rock destroyed.
Since the definition of this concept by Teale (1965) many
researches demonstrated the linear relationship between the
specific energy and the uniaxial compressive strength (UCS)
of the rocks. The interest in using this relationship is the inde-
pendent laboratory characterisation that can be performed on
these two intrinsic rock parameters. But one must be aware
on the fact that different techniques can be used to measure
the specific energy: cutting or punching tests for instance.
The most suitable technique has to be related to the drilling
mechanism under consideration, for instance, when dealing
with percussion drilling, we consider that the punching test is
preferable to the cutting one.
Using a punching test device developed in our laboratory
we built a relationship between the UCS and the punching
strength as can be seen on Figure 4 (Tshibangu 1999).
 9000

8000
5
7000 4 3
6000
Rp (MPa)

5000

4000
1
3000

2000

1000
2
0
0,0 50,0 100,0 150,0 200,0 250,0
Rc (MPa)
1 Limestones R=0.7331 2 Schists R=0.9017 3 sandstones R= 0.9032
4 Granites R = 0.8480 5 Gabbro R = 0.6620

Figure 4. The relationship between the punching resistance Rp and

the uniaxial compressive strength Rc (Tshibangu 1999).
Figure 5. Relationship between the pressure and the flow rate of
the fluid (hydraulic oil in the case of the T4 Ingersoll rig (from
The formula for assessing the specific energy is as follows Ingersoll-Rand catalogue).
(Kennedy 1990):
E'

0 20 40 60 80 100 120 140 160 180 200 220

In which e is the specific energy [J/m3 ] or [kWh/m3 ]; E repre- 2

sents the energy consumed; V is the volume of rock removed;
A is the cross-sectional surface of the hole; P is the power and 4
R is the rate of penetration.
In order to assess the specific energy from the logging 6
Profondeur (m)

data, we focussed on understanding the percussion mecha-

nism. Because of the lack of technical details about the power
8
distribution between the rotation and percussion mechanisms
on the equipped drilling rig, we neglected the influence of the
10
torque as already stated before.
The percussion energy is of kinetic type and is given by
12
(Hartman 1990):
14

16

And one can draw the power as:

Sans Moyenne Glissante Avec Moyenne Glissante.

Figure 6. a logging signal processing by sliding mean.

Where m is the mass of the piston; v the impact speed; c is a where the g constant depends on the hammer (weight and
constant, W is the weight of the piston; L is the stroke of the stroke) and the diameter of the hole. By assuming the g coef-
piston; and B is the percussion frequency. ficient as constant and setting its value to 1, we define the E
The Equation 3 shows that the developed power depends coefficient as an image of the specific energy:
strongly on the percussion frequency. As given by manufac-
turers, Figure 5 gives a relationship between the hammer flow
rate of the power fluid (air or oil) and the pressure. If such a
diagram is not available, a method can be developed to assess
a parameter E as the image of the specific energy.
The down-the-hole hammer used on the T4 is of type QL6
whose some interesting characteristics are: net weight W: 5.2 Data processing and assessment of the quality of
90 kg; stroke L : 100 mm; and bore : 114 mm. the rock mass
In Equation 2 we can then replace the frequency by the oil
pressure of the thrust circuit by mean of a multiplying factor. The first step is the application of Equation 5 to the log dia-
If we also consider constant values for the weight W and the gram of a hole in order to assess the variation of the specific
stroke L, we can easily demonstrate that the specific energy energy. As the raw signal is affected by a noise (due to rock
can be expressed as follows: strength variation, vibrations, electrical disturbance, etc.) we
performed a sliding mean calculation (up to 3 iterations) to
smoothen the curves. Figure 6 gives a typical result; and one
can see in this case that three levels of energy or resistance
can be clearly identified.

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Figure 7. A synthetic sketch describing the quality of the rock mass
for the blasted area designated 3AB.
Moyenne de E' par trou : Est 3 AB
60
50
40
E' 30
20 ligne 1
10
0 field of devices that can register the technical parameters
1 2 3 4 5 10 11 12 13
N u m r o d u t r o u
Figure 8. A histogram of the mean value of the specific energy per
hole for the first row of the blast holes.
If a threshold value is defined to identify a weathered mate-
rial using the E parameter (by a correlation with the GSI), one
can delineate such poor quality zones by linking equal values
from a hole to another.
In the open pit mining operations the material selectivity is
to be considered on the overall height of the bench. To attain
this goal we computed the arithmetic mean of the specific
energy on the hole by hole basis.
Figure 7 is a synthetic sketch describing a blasted area des-
ignated Est 3AB. As stated earlier the surveyed geotechnical
zones are delimited par PL marks. The area on Figure 7 can be
divided into two zones: the first one lies from PL5 to PL6 and
can be considered as composed by poor fractured rocks; while
the second one ranges from PL5 to PL2. This second zone is
globally composed of weathered materials even if some less
extended good quality rocks can be found inside.
The blasting of the zone has been organised into two rows.
We will focus on the first row of blast holes to show the cor-
relation between the visual quality and the mean value of the
specific energy as represented by the E parameter. Figure 8
gives a histogram of the E mean value per hole for this first
row. Analysing this histogram shows that for holes 1 to 4
2007 Taylor & Francis Group, London, UK
(comprised in the first geotechnical zone) the E parameter
ranges from 45 to 55, this can be considered as good values.
On the other hand holes number 10 to 13 belonging to the
second geotechnical zone give lower values of the E param-
eter (values range between 10 and 20). This simple one case
shows the good agreement between the visual observations
and the results yield by processing the data retrieved from the
blast hole drilling rig. Such a result can be used to assess the
destination of the blasted material according to the mechani-
cal properties. From this the production engineer can decide
to blast the drilled zone into two different shots to improve
selectivity in the mined out material.
6 CONCLUSION
The exploitation of a modern quarry producing crushed rocks
requires a real time evaluation and management of the geolog-
ical deposit. The mechanical properties of the rock mass can
be assed by conventional methods like the Geological Strength
Index (GSI) that we used, but this approach is time consuming
and very expensive.
The development of computer sciences enables the use in
of the drilling machine used for blast holes. We developed
a simple method using the logging data registered to assess
the mechanical quality of the rock mass in terms of specific
energy. The actual results show a good agreement between the
visual observation of the rock mass and the mean value of the
specific energy per hole. A next step could be the development
of software that can be implemented on the drilling rig to get
a real time processing of the data.
REFERENCES
Fautrez, E., Legrain, H., Deschamps, B. & Tshibangu, K.J.P. 2004.
Etude du gisement est de la Carrire du Milieu. Internal report
(04/01). Unpublished.
Hartman, H. 1990. Drilling principles. In Surface Mining, 2nd
Edition, Kennedy (ed.). Society for Mining, Metallurgy and
Exploration Inc. Littleton Colorado.
Hennebert, M. & Doremus, P. 1997. Carte gologique de Wallonie-
Feuille Antoing-Leuze (37/78) Ministre de la Rgion Wallonne.
Hoek, E. & Brown, E.T. 1997. Practical Estimates of Rock Mass
Strength. Int. J. Rock Mech. Min. Sci. No 8, Vol. 34: 11651186.
Ingersoll Rand 1994. Technical specifications for QL6 & QL6QM.
Teale, R. 1965. The concept of specific energy in rock drilling. Int.
J. Rock Mech. Min. Sci. Vol. 2: 5773.
Tshibangu, K.J.P., Lamine, E. & Charlier, R. 1999. Mcanismes de
destruction des roches et conception des outils de forage. In 9me
Congrs International de Mcanique des Roches, Paris : 1245
1249. Rotterdam : Balkema.
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 Excavation of rock concretions in Hambach opencast mine: In situ tests

Robrecht M. Schmitz
Hambach opencast Mine, RWE-Power

ABSTRACT: Hambach opencast mine is located in a densely populated region in North Rhine-Westphalia (18 million inhab-
itants), one of the 15 most important economic regions in the world. Hambach mine is one of three opencast mines in the
region operated by RWE-Power. Lignite is used to produce more than 50% of the electric energy required by the industries
and cities in North Rhine-Westphalia. The lignite is of Tertiary age and was deposited in a basin between the North Sea and
the Rhenish Slate Mountains. These young deposits have, in general, not been cemented and are excavated by bucket wheel
excavators (operating weight: 13000 metric tons; production in sand: 240000 m3 /d). In the Miocene clay overburden however,
post-sedimentary rock concretions floating in a stiff clay matrix occur. The compressive strength of these rocks is very large,
exceeding the theoretical limit which bucket wheel excavators can cut. In order to maintain a high excavation rate in these
layers, either the excavator, the deployment of the excavators or the formation itself, needs to be adapted. Therefore many tests
were performed on an in situ and a lab scale. These tests include overcutting and undercutting tests with the bucket wheel
excavators, D8-ripping tests, micro wave destruction of the rocks and digging tests with different hydraulic excavators etc. The
information gained by these tests, together with the detailed geological description of the formation, is used to determine the
optimum mining procedure to be able to maintain high excavation rates in the formation containing rock concretions.

1 INTRODUCTION
Hambach opencast mine is one of the largest opencast mines
in the world. The mine follows a long tradition of lignite min-
ing in the Cologne region. In this mining district, overburden
removal by large bucket wheel excavators (BWE) reached
maturity, and today the largest BWE ever built are used in great
numbers in this mining region. These machines have been
adapted to handle the uncemented soils found in the basin.
Difficulties arise when hard rock concretions are encountered.
In the following text the geology of the region and the exca-
vators in use are described. Thereafter the challenges faced,
when excavating hard rock concretions are illustrated. Then
the experience gained, and the solutions found in Hambach
are presented.
2 GEOLOGICAL PICTURE
The mining district is located in between two branches of
the Rhenish Slate Mountains. During the Tertiary the Rhenish
Slate Mountains were weathered down. The sediments were
transported and deposited by rivers traversing the plane area
which was subjected to tectonic subsidence towards the
North Sea. Lush vegetation developed in the subtropical cli-
mate on this plane and along the coastline. During trans- and
regressions, processes promoting the development of marshes
(Pohl 1992), the dying organic material turned into peat. Due
to subsidence of the plane, thick (400 m) peat layers accu-
mulated (Walter 1995). This peat was transformed into 100 m
thick lignite deposits. Sand, clay and gravel accumulated dur-
ing the remainder of the Tertiary and the following Quaternary,
resulting in a several hundred meter thick overburden. Loess
was deposited on top of these layers (ENB 2005). In the 18th
century the lignite deposits close to the surface were mined by
manual labour. At the beginning of the 20th century mechani-
sation started. The excavators, developed in close cooperation
with the mining societies in the region, became more and more
sophisticated during the 20th century. In the 1970th the largest
BWE ever built were constructed near the site of the present
Hambach opencast mine. Today these machines are still in
operation and will be in action up to 2045 when the last of
the lignite will be mined in the Hambach opencast mine. The
machines were developed taking the mechanical properties of
the overburden into account.
3 SITUATION AT PRESENT
Since a couple of years cemented concretions are found in
Miocene clays just above the lignite layers. These concretions
(Fig. 1) are characterised (Table 1) by a very high unconfined
compressive strength (UCS; up to 80 MPa according to DIN
18126 in the lab; classed very to extremely strong according
to ISRM standards in the field).
Since BWE are traditionally designed for mining soft soils,
the excavation of these concretions presents a major chal-
lenge. The dig/rip/blastability of the clay matrix and the rock
concretions is plotted in Fig. 2.
The concretions are called Toneisenstein (clay-ironstones)
among the miners. Traditionally they are know to occur in
the hanging wall in underground hard coal mines and were
unknown in the opencast Rhenish lignite mining district until
recently. Siderite is the dominant mineral in these deposits
(>90%). From a rock mechanical point of view, similar prob-
lems occur in the opencast mines in the Boom clay, in the clay
pits in Flanders. There the clay is excavated by bucket chain
excavators. In Flanders the concretions are called Septaria. In
Hambach opencast mine the concretions occur within a thick
(several tens of meters) stiff, overconsolidated Miocene clay
(properties in Table 1), called the clay matrix. The size of the
concretions varies from several cm to several meters. The hor-
izontal extent (up to several m) is larger than the vertical extent
(usually only several dm). The concretions are aligned in

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Figure 1. A: An outcrop in the mine showing rock concretions and
one of the rare examples of a horizontal extensive rock layer within
the clay matrix. B: Concretion broken by firm hammer blow: note the
shell shaped edges, characteristic of hard brittle rock. C: A sample
during a UCS-test in the lab.
Figure 2. The dig/rip/blastability based on Verhoef (1997) and
Brady & Brown (2004). The clay matrix is characterised by the large
ellipse on the left, the rock concretions by the thin ellipse on the right.
On the basis of this classification the Miocene clay can be dug or
ripped, the rock concretions cannot be cut but must be blasted and
according to this figure ANFO seems to be a good choice.

Table 1. Properties of the clay matrix and the rock concretions.

Properties Concretion Clay matrix

UCS [MPa] (Lab: Average: 60 0,8 (Fi= 11

DIN 18126) Min: 50 Max: 80 Coh = 0,4 MPa)
(Mohr Coulomb)
UCS [MPa] (In 100200 2
in situ)
PLT [MPa] (ISRM Average: 4
1985) Min: 2 Max: 8 Figure 3. A: Excavation of the clay with hard concretions with a
Density (Ton/m3 ) 3,3 2 BWE (diameter of the wheel: 20 m). Note the dust that develops when
Mineralogy Siderite: >90 Clay content 95 these concretions are crushed. B: Damage to the teeth of the bucket
(Mass %) (XRD), hereof 65 Illite (6 m3 ) caused by the excavation of hard concretions.
and 35 Kaolinite
Equivalent basal 8,6
spacing ()
LL-PL-Wc (% [54-94]-[19-38]-
fluid content) [16-37]

UCS: Unconfined compressive strength; PLT: Point load strength;

LL: Liquid limit; PL: Plastic limit; Wc: fluid content. Coh Effective
cohesion; Fi Effective friction angle.

sub-horizontal layers. Up to 5 of these sub-horizontal

layers have been identified. The dip of the layers is steeper
than that of the clay layer itself.
4 MINING OF CONCRETIONS
Since the concretions can not be cut by the BWE there are
possible three different reactions that occur when the bucket
teeth hit a concretion:
1) When the teeth of the buckets strike a concretion, these
concretions are pulverised. This action is characterised by
the dust shown in figure 3A.
2) When the teeth of the bucket strike a concretion, damage
occurs to the bucket (figure 3B). The replacement of the
bucket teeth results in additional maintenance (duration
and cost) and thereby loss of production.
3) The third possibility is the deviation of the bucket wheel
around a concretion (Fig. 4). This action causes on the
long term fatigue of the superstructure of the BWE.
Figure 4. The characteristic sickle-shaped cut trace of the bucket in
clay, is interrupted in presence of rock concretions, by slight bending
of the bucket wheel (-boom).
5 ACTIONS TAKEN
To cope with the hard concretions, action can be taken on three
different levels; the BWE itself, the BWE deployment or the
formation is adapted (the last point is treated as separate item
in the following paragraph).
The adaptation of the BWE: Regarding the adaptation of
the BWE, the focus lies especially on the reduction of time
and cost required for the inevitable maintenance. In this
light, fixed idlers were replaced with garland idlers and
detailed studies were directed to the wear of wearing plates
in action.
The adaptation of the BWE deployment: Field observations
confirmed that concretions located in the upper part of a

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Figure 5. Two different types of low cut, A: the buckets point
upwards and the BWE digs in while moving forward, B: reversed ori-
entation of the buckets. In both cases the overall excavation direction
is to the right.

Figure 6. Ripping test by a D8. In the figure on the left, A denotes

slice (a slice is formed by the BWE excavation during ter-
race working) are excavated more easily than concretions
located in the bottom part, caused by the larger mass of the
clay matrix behind the concretion i.e. higher resistance of
the clay matrix. An adaptation of the layout of the benches
to profit from this favourable orientation is thwarted by
the variability of the overall orientation of these concre-
tions and the rigid deployment boundaries characteristic of
BWE technology. How can this valuable information then
be used in practice? While performing a low cut (excavat-
ing below the level of the crawlers), two different mining
technologies can be applied (Fig. 5):
A) the buckets point upwards and the BWE digs in while
moving forward, followed by a reverse transport and a renewed
forward moving dig-in.
B) the buckets point downwards (reversed with respect to
standard excavation process, the high cut) and the BWE can
perform the low cut while continuously driving backwards
As field observations showed, situation A was more
unfavourable than situation B because in A at every dig-in,
the most unfavourable orientation of the concretions, located
in the low part of a slice, was met.
This observation laid basis for the most important measure
in the category: adaptation of the BWE-deployment, today a
low cut is only performed with reversed buckets. This measure
is cost effective (nevertheless: a 2 shift loss of production to
reverse the buckets has to be accepted) and simple to use.
Its success depends however a detailed knowledge of the
distribution of the concretions.
6 ADAPTATION OF THE FORMATION
The goal of an adaptation of the formation to meet the require-
ments of the BWE is to reduce the rock mass strength to such a
level that it can be excavated without difficulty by a BWE, i.e.
the methods aim at decreasing the rock mass class of the for-
mation to such a level (reduction by one or two rock classes),
that subsequent uptake of the loosened formation by the BWE
does not cause any problems. In general the adaptation of the
formation can envisage to:
A) destroy the concretions within the clay matrix
B) loosen up the clay matrix, leaving the concretions (alas)
intact
A) To be able to destroy the concretion, one must be able
to locate these concretions exactly. The problem is that the
clay matrix shields the concretions from geophysical methods
like e.g. the georadar, because it can not penetrate the clay
matrix (high relative dielectric constant). Because the con-
cretions occur as floating rocks in a clay matrix aligned in
several subhorizontal layers, methods like seismic refraction
will neither give a sophisticated result (defraction). Fluids that
could dissolve the concretions will face the difficulty that the
hydraulic conductivity of the clay is very low. Although the
the virgin terrain, B shows the loosened formation. In the figure
on the right the circle marks a dust cloud, formed by the occasional
destruction of a rock concretion by the D8.
Figure 7. Digging tests with hydraulic excavators, involved a CAT
375 (A) and an RH-40 (B). Attention was paid to keep the block size
small (C; a 2 m scale) because the BWE will uptake the loosened
material. Tests were performed using different bucket teeth (D & E).
rock concretions can be destroyed by micro wave energy, it
is again the clay matrix that effectively shields the rocks. The
same accounts for blasting: only if the charge is placed within
rock concretions it will be fractured. If the blast hole passed
through the clay instead of the rock (Murphys Law), the rock
concretions will remain intact.
B) Loosening up the clay matrix: The strength of the clay
matrix results from the (reversible) overconsolidation of the
clay. The reversibility of the overconsolidation is visible in
the mine by the profound erosion of the clay in those parts of
the mine which are currently not excavated. A possibility to
loosen up the clay matrix could be achieved by the force of
water. Such a method will turn the clay into a slurry, and exca-
vating such slurries cause other logistic problems in the mine.
Other methods to loosen the clay up, consists of mechanical
fracturing by ripping, digging or blasting (classification in fig-
ure 2). Experience was gained by testing all three methods in
Hambach.
The ripping test were performed using a D8 (figure 6).
Although ripping was successful, the effect is rather low,
because of the limited penetration depth of the D8, 1,5 m,
which is small compared to the size of the bucket wheel.
Digging tests were performed with a Caterpillar 375 (80
tons) and a O&K RH-40 (105 tons) (figure 7). If loosening
of the clay matrix, prior to excavation by the BWE, is applied
in regular mining operation, the available time given to the
hydraulic excavators is limited, hence its loosening rate must
be sufficiently high. Therefore literature studies and perfor-
mance tests were conducted in the Hambach mine to evaluate

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Figure 8. As was determined empirically, the productivity of
hydraulic excavators in difficult soils (e.g. overconsolidated Tertiary
clay) is related to the installed power.
Figure 9. Preparation of the test field: Drilling of boreholes for the
blasting test.
the required size of hydraulic excavator. As is shown in figure
8, a 1:1 correlation was found between the productivity and
the installed power.
The hydraulic excavators excavated and deposited the mate-
rial on site without any aid form other auxiliary equipment,
with at the same time guaranteeing a small lump size of the
excavated clay. These special requirements decreased the the-
oretical productivity with a factor 2. The productivity and
digging depth of the RH-40 (5,5 m) are therefore too low
to be used in regular production. The loosing up of the clay
amounted volumetrically to 30% (max.). The BWE did not
experience problems while taking up the loosened material.
Blasting tests were performed using ANFO (0,24 kg
ANFO/m3 Rock), 8m deep boreholes and a 4*4 m grid spacing
(Figure 9).
The loosing up while blasting reached a mere 10%. The
BWE faced problems while taking up the upper part of the
loosened material where the blocksize was large (4*4 m wide,
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2007 Taylor & Francis Group, London, UK
several dm thick shells). In the upper part no fractures were
introduced in the stiff clay because here the stemming was
located.
7 CONCLUSION
Clay ironstones, siderite rock concretions, occur in the Ham-
bach opencast mine. It is a challenge to excavate these
concretions with BWE designed for excavating soft soils. The
size of the concretions reaches several meters in the hori-
zontal plane, and several dm in the vertical direction. The
rock concretions occur in a stiff overconsolidated clay layer
just above the lignite seam. Actions undertaken to optimise
the excavation process consist of: adaptation of the BWE,
the deployment of the BWE and adaptation of the formation.
Successful were modifications of the BWE that reduce main-
tenance duration of parts that suffer most from mining the rock
concretions (use of idlers in girders instead of fixed idlers).
With respect to adaptation of the deployment of the BWE,
good results were obtained with rotation of the buckets for a
low cut. A satisfactory decrease of the clay formation to a rock
mass class that is easily mineable by BWE, was obtained with
pre-loosening by hydraulic excavators. With a combination of
these methods and a profound insight into the geology of these
deposits, Hambach opencast mine will successfully tackle the
excavations of these rock concretions.
REFERENCES
Brady, B.H.G., Brown, E.T. (2004) Rock mechanics for underground
mining. Fourth Edition. Kluwer Academic Publishers. Dordrecht
ENB 2005 Origin of the Lower Rhenish Lignite. Brochure RWE-
Power
ISRM (1985) Commission on testing methods. Working group on
revision of the Point Load Test Method. Suggested method for
determining Point Load Strength, Int. Journal Rock Mech. Min.
Sci. Vol. 22., N 2., pp. 5160 1985
Pohl, W. 1992. Lagerstttenkunde. 4th Edition. E. Schweizerbartsche
Verlagsbuchhandlung, Stuttgart.
Verhoef, P.N.W. (1997) Wear of rock cutting tools. Balkema. Rotter-
dam
Walter, R. (1995) Geologie von Mitteleuropa. E. Schweizerbartsche
Verlagsbuchhandlung, Stuttgart.
 Experiences on flysch rock mass reinforcing in engineered slopes

. Arbanas
Department of Rijeka, Civil Engineering Institute of Croatia, Faculty of Civil Engineering, University of Rijeka, Croatia

M. Groic
Department of Rijeka, Civil Engineering Institute of Croatia

D. Juric-Kacunic
Faculty of Civil Engineering, University of Zagreb, Croatia

ABSTRACT: The paper describes some experiences during the construction of the rock mass reinforcement in the paleogene
flysch deposits for Adriatic motorway near city of Rijeka, Croatia. During the construction, experiences pointed at several
important factors with reinforcing of flysch rock mass with rock bolts. The bond between rock mass and grout mixture plays
the crucial role in rock mass reinforcement. There is the need for using grout mixtures with lower deformation modulus to
achieve gradual load transfer from rock mass to grout mixture and finally to the rock bolt. The structures, which are used to
transfer the load to the rock mass, should be much stiffer from relatively thin supports made of reinforced shotcrete, which are
commonly used. The support structures should be installed as soon as excavation is made, to reduce the deformations until the
activation of the support system and load transfer. Because of flysch rock mass heterogeneity, the supervisor engineer should
be competent to determine the rock mass condition in the field of reinforcement regarding the designed assumptions. The
designer in active design approach, based on the rock mass conditions and monitoring results, could intervene with adequately
changes in support system.

1 INTRODUCTION
During construction of cuts in rock mass, usual method for
sustaining of stability is reinforcement of the rock mass with
rock bolts (Arbanas 2002, 2003). Flysch rock mass is signif-
icantly weaker than other sediment rocks (Hoek et al., 2002)
regarding strength and deformability parameters. Because of
distinct heterogeneity, flysch rock mass is harder to describe
with usual classification tests (Bieniawski 1989, Hoek et al.
1998, Marinos & Hoek 2000, Marinos & Hoek 2001, Mari-
nos et al. 2005). Result of that is that the reinforcement of
flysch rock mass with rock bolts is significantly more compli-
cated. Because of relatively low strength parameters of flysch
rock mass, which are lower then grout mixture strength, and
especially than rock bolts material, loosening mechanism of
the bolts starts by breaking of bonds between the rock mass
and grout mixture. Rock mass deformation modulus is sig-
nificantly lower than modulus of used grout mixtures, and
activation of the bolts requires significantly higher deforma-
tion rock mass. As a result of these deformations, comes to the
breaking of bonds between grout mixture and rock mass at the
beginning of the bolts, because of large difference in defor-
mation modulus of grout mixture and rock mass. Because of
this transfer of the load (Windsor 1996, Windsor & Thompson
1996, 1997), this often leads to breaking of supporting system,
although there is no total failure of the slope.
The paper describes experiences during the construction of
reinforcements in the paleogene flysch deposits during con-
struction of Adriatic motorway near city of Rijeka, Croatia.
Flysch deposits in this area mainly consist of siltstones and
marl, and rarely with layers of sand. Experiences during the
constructions, pointed at several important factors concern-
ing reinforcement of flysch rock mass with rock bolts. The
major role in the reinforcement with rock bolts plays the bond
between flysch rock mass and grout mixture. Because of large
difference in strength characteristics and deformability of fly-
sch rock mass and grout mixture, it is necessary to use drills
with larger diameter and grouting with higher pressure. There
is a need to use grout mixtures with lower deformability mod-
ulus in order to ensure gradual load transfer from the rock
mass to grout mixture and finally on the rock bolts. Construc-
tions used for outer load transfer on the rock mass at the cuts
face, must be significantly stiffer than usual use of relatively
thin supports of reinforced shotcrete. After making the cut,
supporting constructions must be made as soon as possible,
in order to decrease shifting until complete supporting system
is activated and transfer of load (Arbanas 2004). Because of
flysch rock mass heterogeneity, supervisor engineer should be
competent to determine the rock mass condition in the field
of reinforcement regarding the project assumptions. During
active designing, in this case, the designer engineer can inter-
vene with appropriate change of supporting system, taking
into consideration findings about rock mass condition, and
measurement results.
2 GEOTECHNICAL PROPERTIES OF FLYSCH
ROCK MASS
During period from 2004 and 2006, segment of Adriatic
motorway through Draga valley near Rijeka was made. This
segment of Adriatic motorway with length of 6.8 km showed
to be very demanding in geotechnical terms, because of sig-
nificant number of objects (3 junctions, 2 tunnels and several
viaducts) and therefore expensive. Steep slopes of Draga val-
ley are made of limestone rock mass. At the bottom of the
valley, there are deposits of paleogene flysch mainly made of
siltstones with rare layers of sand, marl, and breccia. Flysch

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rock mass is covered with sloped materials, which tend to slide
and denude (Arbanas et al. 1994). Usual geotechnical profile
consists of three layers: clay cover made after disintegration
of flysch rock mass (residual soil) or brought by gravitation
from hypsometrically higher parts of the slope, layer of weath-
ered flysch deposits with variable weathered characteristics,
which decrease with depth and fresh flysch zone. Because
of reasons how Draga valley had become, and geomorpho-
logic processes which influenced at current relief, changes in
geotechnical profile are often and sudden.
The rock mass is mainly made of siltstones which exhibit
visual transfer from completely weathered zone with yellow
color through highly weathered, moderately weathered and
slightly weathered deposits all the way to completely fresh
rock mass colored gray and blue. With completely weathered
siltstones, the rock mass is completely disintegrated, but orig-
inal structure of the rock mass stayed intact (ISRM 1978).
The layer of fresh siltstone rock has no visible weathering
marks, except color change on the main discontinuity surfaces.
During decomposition of singular weathering zones of the fly-
sch rock mass, along with visual check of the material from
test drills, significant contribution came from results from
geophysical measurements with surface seismic refraction
methods and down-hole method.
Determination of geotechnical properties of the flysch rock
mass, during geotechnical examination works, was disabled
because of the flysch rock mass behavior. During boring, it
is difficult to get undisturbed samples, because rock mass
damages in high to moderate weathered siltstones and sudden
degradation and disintegration of slightly weathered to fresh
siltstones after geostatic loads are disturbed and exposure to
air and water during examination boring. The consequence of
these processes in siltstones is very small number of usable
test results of geotechnical characteristics. The main number
of tests is made with Point Load Test (PLT) method, where
samples, obtained by boring, can be used without further pro-
cessing and almost immediately after sampling (ISRM 1985).
Disadvantage of Point Load Test is surely large dispersion of
the results, which especially occur with weak rock masses like
flysch. The results dispersion is surely influenced by rock mass
layers, layers orientation during sampling, sample size, as well
as weathering of flysch rock mass. But, regardless of given dis-
advantages, used Point Load Test method is recommended in
case of lack of more reliable testing, lack of appropriate rep-
resentative samples, and with detailed description of tested
samples of flysch rock mass. Test results with Point Load Test
method on tested samples of fresh siltstones showed that uni-
axial strength of these materials is from 10 to 15 MPa, and in
extreme cases to 20 MPa.
Because there are no more reliable laboratory results of
strength parameters and deformability, for determination of
the behavior the GSI classification of rock mass (Marinos &
Hoek 2000), and findings of flysch mass behavior (Marinos &
Hoek 2001, Marinos et al. 2005) are used. The classification
of fresh siltstone rock mass is placed in group E (Weak silt-
stone or clayey shale with sandstone layers) to H (Tectonically
deformed silty or clayey shale forming a chaotic structure with
pockets of clays. Thin layers of sandstone are transformed into
small rock pieces.), with GSI values from 30 to 10 (Marinos
et al. 2005). The significant parameters decrease is found with
increase of weathering of flysch rock mass. This effect points
out the need of further elaboration of GSI classification for
various weathering categories of rock mass. For determina-
tion of strength laws the Hoek-Brown failure criterion for rock
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2007 Taylor & Francis Group, London, UK
mass is used (Hoek et al. 2002) with uniaxial strength values
of siltstone rock mass of c = 10 MPa and disturbance factor
D=0.7, which corresponds to machine excavation.
Deformation characteristics of siltstone are even harder to
determine than strength parameters. By using suggested rela-
tions and values (Marinos & Hoek 2000, Marinos & Hoek
2001, Hoek et al. 2002, Marinos et al. 2005), deformabil-
ity parameters of flysch rock mass, which come from back
stress-strain analysis of in situ measurement results show rel-
atively low values of elasticity modulus, which ranges form
E = 80.000 to 200.000 kPa.
3 REINFORCING SYSTEMS APPLIED ON CUTS IN
FLYSCH ROCK MASS
During the construction of the motorway, on the major part
of the road, the cutting in flysch rock mass is designed and
executed, and the cut stability is ensured with rock bolts
and appropriate supporting system. According to executed
geotechnical investigation works, use of rock mass reinforce-
ment system was specified in slightly weathered to fresh rock
mass, while in weaker parts of rock mass the change of geome-
try is specified, with cuts construction with appropriate stable
slopes. Flysch rock mass reinforcing works showed for the
need of additional analysis of interaction between bolts and
flysch rock mass.
To ensure cuts stability in flysch rock mass, primary
reinforcing systems were used selfboring rock bolts and mul-
tilayered reinforced shotcrete as external part of supporting
system. The primary systems task was to ensure cuts stability
in flysch rock mass during construction phase. As an impor-
tant addition to the supporting system also was a drain system
with shallow boring drains with depth of 6.0 m. The secondary
supporting system for permanent insurance of the stability
had specified a stiff reinforced concrete frame construction
supported in knots with rock bolts from the primary sup-
porting system. The secondary supporting construction also
represents an element of final esthetic forming of the cut.
During construction, at few locations, there was failure of
the primary supporting systems with different failure mecha-
nisms. In most cases there was loosening of the external load
transfer element, breaking of multilayered shotcrete, break-
through of face plate and bolt head through multilayered
shotcrete, Figure 1, and breaking through rock mass around
Figure 1. Damages of external shotcrete support system, rockbolts
are still in function.
bolts, Figure 2. Mainly there was no overall failure of the
bolts. Only in few cases there was also loosening of the bolt
and complete pull out of the bolt with supporting system.
The given cases showed for the need of additional analysis,
which would determine reasons for failure of the support-
ing systems. Analysis showed that reasons for failures are as
follows:
Quality of the flysch rock mass was lower than that spec-
ified in the project, and inappropriate supporting system
was used (raster and length of rock bolts);
Unacceptably long works from excavation to installation of
the supporting system, and;
Unacceptably low quality of performed works (rockbolt
grouting, quality of the grout mixture, quality of shotcrete).
4 BEHAVIOR OF ROCK BOLT IN FLYSCH
ROCK MASS
is spread around bolts head, like an element of external load
transfer to rock mass, Figure 4a.
By increasing of the load, comes to the yielding of material
all the way to the final failure. In the moment of loosening
of the bolt, it could be seen the forming of yielding zone
at the contact of grout mixture and flysch rock mass, and
the breaking occurs through the rock mass, same as in the
practice, Figure 4b. The yielding zone increases in the internal
load transfer area near external support system, which explains
failure in the constructed supporting systems.
According to analysis of behavior and occurrence of break-
ing in the rock bolts reinforced flysch rock mass, the additional
requirements are noticed during execution of these works.
Because of large difference in strength and deformability
characteristics of flysch rock mass and grout mixture, a
requirement was set for wide hole diameters and grouting at
higher pressure. There was a need to use grout mixtures with
lower deformability modulus in order to ensure gradual load

Experiences during execution of the works, pointed out sev-

eral important factors during construction of reinforcement
of flysch rock mass with rock bolts. The decisive role in Rockbolt
reinforcement with rock bolts represents the bond between d = 25 mm

flysch rock mass and grout mixture. Because of relatively low

strength parameters of flysch rock mass, lower than strength
of grout mixture, and especially than rock bolts material, fail- 1.0 m Grout mass
ure mechanism of the bolts begins with breaking of bonds E = 106 kN/m2
between rock mass and grout mixture. Deformability modulus = 0.30
of rock mass are significantly lower than with used grout mix-
tures, and activation of the bolts requires significantly higher
deformation of the rock mass (Kilic et al. 2002). Because of
these deformations, comes to the breaking of bonds between
grout mixture and rock mass at the beginning of bolts, because
Rock mass
of large difference in deformability modulus between grout 0.25 m E = 8 104 kN/m2
mixture and rock mass. = 0.35
Failure of bonds between grout mixture and rock mass of
fully grouted rock bolt in flysch rock mass is analyzed with 1.0 m
GeoSlope Sigma/W software package (Geoslope 1998). The
model consisted of completely grouted rock bolt with 25 mm Figure 3. Rockbolt model.
diameter in a drill hole with 100 mm diameter with properties
of cement grouting mass in material with properties of flysch
rock mass, Figure 3. The axial-symmetrical model of the bolt
is chosen. Tip of the bolt is supported, and load to the model

(a) (b)
Figure 2. Failure of external support system without pull out of
rockbolts. Figure 4. Rockbolt numerical model (a) and yield zone (b).

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transfer from rock mass to grout mixture and finally on bolts.
Constructions, which are used for external load transfer on
rock mass on the cuts face, must be significantly stiffer than
usually used relatively thin supports from reinforced shotcrete.
The supporting constructions must be made immediately after
excavation, in order to reduce shifting until complete support-
ing system is activated and transferring of the load (Arbanas
2003, 2004). This requires well-qualified contractor, as well
as good quality control of the works, according to in situ rock
mass conditions. Because of flysch rock mass heterogeneity,
the supervisor engineer should be competent to determine the
rock mass condition in the field of reinforcement regarding the
designed assumptions.The designer in active design approach,
according to the analysis of rock mass conditions and measur-
ing results, could intervene with adequate changes in support
system (raster, bolts length, external support system) in all
construction phases (Arbanas 2004).
5 CONCLUSIONS
During construction of cuts in rock mass, usual method for
sustaining stability is reinforcement of the rock mass with
rock bolts. Flysch rock mass, regarding strength and deforma-
bility parameters is significantly weaker than other sediment
rocks (Hoek et al. 2002). Flysch rock mass is harder to
describe with usual classification tests because of distinct
heterogeneity. Because of relatively low strength parameters
of flysch rock mass, which are lower then grout mixture
strength, and especially than rock bolts material, loosening
mechanism of the bolts starts by breaking of bonds between
the rock mass and grout mixture. Rock mass deformation
modulus is significantly lower than modulus of used grout
mixtures, and activation of the bolts requires significantly
higher deformation of rock mass.
According to analysis of behavior and occurrence of failure
in the rock bolts reinforced flysch rock mass, the addi-
tional requirements are noticed during execution of these
works. Because of large difference in strength and deforma-
bility characteristics of flysch rock mass and grout mixture,
a requirement is set for wide holes and grouting at higher
pressure. There is a need to use grout mixtures with lower
deformability modulus, and constructions, which are used for
external load transfer on rock mass on the cuts face, must be
significantly stiffer than usually used relatively thin reinforced
shotcrete support systems.
The support structures should be installed as soon as exca-
vation is made. Because of flysch rock mass heterogeneity,
the supervisor engineer should be competent to determine the
rock mass condition in the field of reinforcement regarding the
designed assumptions.The designer in active design approach,
according to the analysis of rock mass conditions and measur-
ing results, could intervene with adequate changes in support
system.
REFERENCES
Arbanas, ., Benac, C., Andric, M., Jardas, B. 1994. Geotechnical
Properties of Flysch on The Adriatic Motorway from Orehovica to
St. Kuzam. Geotechnical Engineering in Transportation Projects,
Proc. symp., Novigrad, 58 October 1994., 181190, Zagreb (in
Croatian).
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2007 Taylor & Francis Group, London, UK
Arbanas, . 2002. The influence of rockbolts on the rock mass behav-
ior during excavation of deep cuts, MS Thesis. Zagreb: Faculty of
Civil Engineering, University of Zagreb (in Croatian).
Arbanas, . 2003. Construction of open pit Zagrad in Rijeka,
Graevinar, Vol. 55, No. 10: 591597 (in Croatian).
Arbanas, . 2004. Prediction of supported rock mass behavior by
analyzing results of monitoring of constructed structures, Ph.D.
Thesis. Zagreb: Faculty of Civil Engineering, University of Zagreb
(in Croatian).
Bieniawski, Z.T. 1989. Engineering Rock Mass Classification. New
York: John Wiley & Sons.
GEO-Slope Int. Ltd. 1998. Users Guide Sigma/W for Finite Element/
Deformation Analysis, Version 4. Calgary.
Hoek, E., Carranza-Torres, C., Corkum, B. 2002. Hoek-Brown Fail-
ure Criterion-2002 Edition. Proceedings of 5th North American
Rock Mech. Symp., Toronto, Canada, Dept. Civ. Engineering,
University of Toronto: 267273.
Hoek, E., Marinos, P., Benissi, M. 1998. Applicability of the Geologi-
cal Strength Index (GSI) Classification for Very Weak and Sheared
Rock Masses. The Case of the Athens Shist Formation. Bull. Eng.
Geol. Env., No. 57: 151160.
ISRM, Commission on Standardization of Laboratory and Field Test
1978. ISRM Suggested Methods for the Quantitative Description
of Discontinuities in Rock Masses. Int. Jour. Rock Mech. Min. Sci.
& Geomech. Abstr., Vol. 15, No. 6: 319368.
ISRM, Commission on Standardization of Laboratory and Field
Test 1985. ISRM Suggested Methods for Determining Point Load
Strength. Int. Jour. Rock Mech. Min. Sci. & Geomech. Abstr., Vol.
22, No. 2: 5160.
Kilic, A.; Yasar, E.; Celik, A.G. 2002. Effect of Grout Properties on
the Pull-out Load Capacity of Fully Grouted Rock Bolt. Tunnelling
and Underground Space Technology, No. 17: 355362.
Marinos, P., Hoek, E. 2000. GSI-A Geologically Friendly Tool for
Rock Mass Strength Estimation. Proc. GeoEng 2000 Conference,
Melbourne.
Marinos, P., Hoek, E. 2001. Estimating the Geotechnical Properties
of Heterogeneous Rock Masses such as Flysch. Bull. Eng. Geol.
Env., 60: 8592.
Marinos, P., Marinos, P., Hoek, E. 2005. The Geological Strength
Index: Applications and Limitations. Bull. Eng. Geol. Env., 64:
5565.
Windsor, C.R. 1996. Rock Reinforcement Systems, 1996 Schlum-
berger AwardSpecial Lecture. Proceeding of EUROCK 96,
Torino, Italy, http://www.roctec.com.au/papers.html.
Windsor, C.R., Thompson, A.G. 1996. Terminology in Rock Rein-
forced Practice. Proc. 2nd North American Rock Mechanics Con-
ference NARMS96 Tools and Techniques, Montreal,: 225232.
Rotterdam: Balkema.
Windsor, C.R., Thompson, A.G. 1997. Reinforced Systems Charac-
teristics, Proceeding of Int. Symp. on Rock Support, Lillehammer,
http://www.roctec.com.au/papers.html.
 Experimental study on overhead transmission lines foundation in Xinjiang
Tianshan permafrost region

Qian Zengzhen
School of Engineering and Technology, China University of Geosciences, Beijing, China

Lu Xianlong & Cheng Yongfeng

Geotechnical Engineering Lab, Electric Power Construction Research Institute, Beijing, China

ABSTRACT: Because of the frost heave and thawing settlement, the permanent and seasonal frozen soil is undesirable
geological ground in transmission line construction. However, some transmission lines must pass the permanent and seasonal
frozen soils in Xinjiang Tianshan permafrost region with the development of Chinese power grid. In order to satisfy project
construction requirements, the in-situ tests, including the shear test, the thawing compression test, static loading test, have all
been conducted firstly. And then based on the in-situ-testing results and the project practice experiences, the pile foundation type
has been chosen for transmission line foundation. According to the similarity theory, the frozen soil-pile foundation modeling
tests have been made to investigate the interaction laws, including the freezing strength, the loading capacity, when the frozen soil
and pile subject to the up-lift, compression, and toppling force. All these in-situ and modeling test results will be conducive to the
construction and optimization of the project, thus to solve the similar engineering requirements effectively and economically.

1 INTRODUCTION better understanding about the mechanical characteristics of

The permanent and seasonal frozen soils are an undesirable
geological ground in engineering, which leads to the change of
the strain and stress of the foundation embedded in it are much
more complicated than those in other common areas because
of frost heave and thawing settlement. However, with the west-
ern development strategy and the west east electricity trans-
mission project established by Chinese government, the frozen
soil ground will become an unavoidable geological situation
during its construction because the permanent and seasonal
frozen soil widely distribute in these regions. The Huang-ji
220 kV transmission line is one of the projects that are planned
by Xinjiang municipal government, whose foundations must
pass through the permafrost region in Tianshan.
However, we have no knowledge about the physical char-
acteristics, mechanical and thermal properties of frozen soil
ground there. Furthermore, there are no specified design cal-
culation methods for them in the Technical Regulation for
Designing Foundation of Overhead Transmission Line (DL/T
5219-2005). In order to satisfy this project requirements, the
in-situ test investigations and the frozen soil-pile foundation
modeling test have been done, which will help us to have a
the frozen soil ground and the interaction law between the pile
and frozen soil foundation. All these testing outcomes will be
conducive to the construction and optimization of the project.
2 IN-SITU TESTS AND ACHIEVEMENTS
2.1 In-situ soil-shearing test
The in-situ soil-shearing test, which is one of technical meth-
ods that are used to determine the shear strength and other
shear index value of the soil mass, is widely used because of
its simple equipments and operation procedures. In the rep-
resentative test in-situs of Mo-Tuo-Guo , in Nileke County
and Ji-Bu-Ke , in Jinghe county, the in-situ soil-shearing tests
have been done against the same soil body on its different
level. The photo1 shows us the in-situ shear test equipment.
There are 4 different levels in the test in-situ of Mo-Tuo-Guo
and 6 different levels in the test in-situ of Ji-Bu-Ke. The sam-
ples characteristics and their testing results are all shown in
following Table 1. The major damage styles after the shear
tests are disintegration, up heard, and collapse.

Table 1. The samples characteristics and their testing results.

Sample Layer depth Cohesion Friction

Test site No buried (mm) strength (kPa) angle ( ) Remarks

Mo-Tuo-Guo, in M1 800 2.69 49.2 thawing

Nileke county M2 1250 soil
M3 1700 1.83 51.7
M4 2300
M5 2800 7.69 29.8
M6 3300
Ji-Bu-Ke, in Jinghe J1 1215 17.64 38.7 thawing
county J2 1605 soil
J3 1825 101.44 51.8 frozen soil
J4 2225

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 From Table 1, we can see that the shear strength, cohesion
strength and friction angle have some regularities in Ji-Bu-Ke
in-situ test site, namely, their index values increase with the
depth of the frozen soil levels. However, in the Mo-Tuo-Guo
test in-situ, whose topsoil is mainly made up of the alluvial
deposit, the index value of its shear strength has no regularity
whatsoever because of the different properties at each level of
the soils.
2.2 Thawing compression test
The purpose of the thawing compression tests which have been
done on the undisturbed soil is to measure the thaw-settlement
coefficient, which will provide the basic parameters for the
settlement calculations of the frozen soil ground under loads.
The depth of the thawing compression tests pit is about 1.8
meters. The heating equipment is a water heater, which is full
of hot water tank. The thaw-settlement coefficient refers to
the relative subsidence during the thawing of the frozen soil
ground resulted from the self-weight stress. After the layout of
the loading equipments and the temperature measuring equip-
ments, the frozen soil ground under the load-bearing plate
began to thaw after being heated. When the settlement came
into the situation of stabilization, the detected thawing depth is
about 300 mm by using the drilling steel.The measured subsid-
ing deformation is 1.047 mm. The thaw-settlement coefficient
is determined by the following equation:
where 0 is the thaw-settlement coefficient,non-dimensional;
S0 is the subsiding deformation during the thawing, in mm;
h0 is the thawing depth, in mm. According to the testing
data and the above equation, the thaw-settlement coeffi-
cient is 0 = 0.35%. Based on the rating method by the
Code for Engineering Geological Investigation of Frozen
Ground (GB50324-2001), the thaw-settlement coefficient of
the frozen soil in this region is very small, and the thawing
scale is II, which belongs to the weakly thawing subsidence
frozen soil.
Table 2. Basic vertical loading capability.
Basic compression
In-situ Up-lift bearing capability
test site angle ( ) (kPa)
Ji-Bu-Ke 15.1 280
Mo-Tuo-Guo 27.9 610
Ttangential frost-heave forces
N normal frost-heave forces
Hhorizontal frost-heave forces
Figure 1. Frost-heaving forces acting on the foundation.
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2.3 Static loading test
The compression and up-lift test under static load around foun-
dation soil is an in site testing, during which the loads will be
applied to it step by step through the load-bearing plate and
the reaction beam in order to observe the deformation of the
foundation soil and evaluate its bearing capability. According
to the above equipments and testing method, the results of
the tests include the compression and up-pull data have been
shown by the Table 2.The basic vertical bearing capability of
the frozen soil in Ji-Bu-Ke is lower than that in Mo-Tuo-Guo.
According to in-situ test results, the following factors must
be taken into consideration for foundation design; firstly, the
frozen soil grounds vary in bearing capability in different site
and different embedded depth. As a result, the soil body has
little uniformity. Secondly, the thaw-settlement coefficient of
the frozen soil in this region is small, and the thawing scale
is II, which belongs to the weakly thawing subsidence frozen
soil; Finally, the surface of the frozen soil begin to thaw and
seepage deformation manifests after excavation, which indi-
cate that the frozen soil grounds have much instability during
the excavation.
3 FOUNDATION TYPE CHOICE
In the engineering design, the frost-heaving forces are divided
into normal frost-heave forces, tangential frost-heave forces
and horizontal frost-heave forces, which are shown by the
Fig. 1. All these frost-heave forces have different impacts on
the transmission lines foundation. When there are no spe-
cial anchoring requirements, the horizontal frost-heave forces
act on the foundation symmetrically. As a result, its compos-
ite force will be equal to zero and have little effect on the
foundation. But the horizontal frost-heave forces acting on
the foundation will increase the freezing strength of the con-
tact surface between the foundation and the frozen soil, thus
adding the tangential frost-heaving forces indirectly. In China,
the codes stipulate that the embedded depth of foundation must
be greater than the standard freezing depth, thus to eliminate
the unfavorable effect resulted from the normal frost-heave
forces. How to eliminate the disadvantageous impact gener-
ated by the tangential frost-heave forces is one of the most
important design contents because they have significant effect
on the stability of the transmission lines foundation.
The project practices in the past have been shown that pile
is a good kind of transmission line foundation, which lies in
frozen soil ground. However, the interaction laws between the
frozen soil and pile must been fully studied in order to provide
the firsthand data for design.
4 FROZEN SOILPILE MODELING TEST
4.1 Modeling test equipments
The modeling equipments are mainly composed of the reac-
tion force system, the refrigerating system, the vertical and
horizontal loading system, test macro and data acquisition
system. The modeling principal and its loading system have
been shown as Fig. 2.
In order to simulate the in-situ frozen soil ground, a system
of refrigeration must be prepared, mainly divided into two
parts: the collecting and distributing tube, which is shown as
in Fig. 3.
4.2 Freezing strength between the frozen soil ground and
pile foundation under vertical loading
When the pile foundations which embedded in frozen soil are
subject to the up-pulling and compression loads, the cohe-
sion strength between the lateral contact surfaces of frozen
soil ground and pile foundation will arise, which is called
the freezing strength between the frozen soil ground and pile
foundation. As it is shown in Fig. 4, the freezing strength dis-
tribution has a second-degree parabola relationship along the
pile body. With the increase of pile body embedment the freez-
ing strength decreases. The strength index of the frozen soil
ground and pile foundation under the compression and up-
pulling loads with different temperature has been shown as
the Table 3. From the Table 3, we can see that the compression
load and up-pulling load are transferred in different way when
they are applied on the top of pile. The former mainly beard by
the freezing strength between the side contact surface of pile
and soil ground. However, the latter is only beard by the freez-
ing strength. It also has been shown that the pile end capacity
is about 1015 percent of the vertical compression load. Fur-
thermore, up-pulling capacity is lower than the compression
capacity.

4.3 Frozen soil resisting force under horizontal loads

bending moment distribution of the pile body.
The distribution curve of the bending moment along the pile
body is illustrated in Fig. 5. With the effects of both vertical
(up-pulling, compressing) loads and horizontal toppling loads,
the rigidity of the pile body is comparatively big in the pile-
soil system. But all the pile bodies bear great bending moment
distributing as S.

Figure 2. The collecting and distributing tube of refrigeration

system.
340
500
2570

1100
450

75 550 875 875 550 75

3000

Figure 4. The freezing strength distribution along the pile body.

Figure 3. Experimental model and loading system.

Table 3. The strength index of frozen-soil pile foundation under the compression and up-pulling loads.

Experiment type Compression test Up-pulling test

Strength Freezing Loading Pile end Freezing Loading

index Temperature/ C strength/kPa capacity/kPa capacity/kPa Temperature/ C strength/kPa capacity/kPa

4.4 6.8 74.20 3750 534.20 4.3 6.8 81.82 3600

5.3 5.6 54.06 2800 395.43 5.2 5.6 63.64 2400
Thawed 9.43 500 85 Thawed 9.10 400
Soil Soil

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Figure 5. The distribution of moment under different load behaviors.

5 CONCLUSIONS

All these in-situ and modeling test results provide us with

not only the first hand data and characteristics of the frozen
soil ground in Tianshan region but also the interaction law
between the frozen soil and pile foundation, which will be
conducive to the construction and optimization of the project,
thus to solve the engineering requirements effectively and
economically.

REFERENCES

Code for Engineering Geological Investigation of Frozen

Ground (GB50324-2001), Beijing: Chinese Planning Publishing
House.2001.
Figure 6. The frozen soil resisting force along the pile body. Technical Stipulate for Designing Foundation Overhead Trans-
mission Line (SDGJ62-84), 1984). Beijing: Ministry of Water
Conservancy and Electric Power Publishing House.19.
4.4 Frozen soil resisting force horizontal loads
When the pile is subject to the horizontal force, the pile will
rotate around the rotating center. The frozen soil resisting
force distributes along the pile body with the regularity of
a second-degree parabola relationship, shown by the Fig. 6,
which belongs to rigid short pile.

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 Hydromechanical effects on stability of jointed rock abutments in concrete arch dam

M. Yazdani & S. Yazdani

Department of Civil Engineering, Tarbiat Modares University, Tehran, Iran

ABSTRACT: A major factor to select a suitable place as foundation for high concrete arch dams is the existence of rock
abutments with high degrees of strength and stiffness. However, discontinuities are found almost in any rock masses and
thus dam abutments often consist of joints, bedding planes and faults. The existence of discontinuities in rock mass and the
influence of some characteristics associated with the joints such as aperture, filling, roughness, normal and shear stiffness, dip
and dip direction, spacing and geometric situation relative to dam body cause jointed rock mass behaviour to be complicated.
Furthermore, hydraulic and mechanical interaction causes more complicated behaviour in rock mass. Accordingly, disregarding
of joint effects may lead to an unsafe design. Malpaset dam failure in 1959 demonstrated that hydromechanical effects in
abutments might lead to instability of abutment and the arch dam. Today, most of dam designers still use conventional methods
paying no attention to hydromechanical process. In this paper, the authors present the response of a typical concrete arch dam
abutment under hydraulic and mechanical interaction using UDEC software. In this study, the values of sliding and opening
and the resulting water flow along discontinuities were utilized as criterions for estimation of dam abutment safety. The results
show that these indexes are good stable or unstable condition indicators. We observe that the mechanical parameters influence
arch concrete dams abutment hydraulic behaviour such as maximum flow rate. Moreover, the initial aperture of joints has the
noticeable effects on abutment response.

1 INTRODUCTION where i ,, Fi , m and gi are acceleration of the block

centroid, viscous (mass-proportional) damping constant, sum
The joints have an important role in the discontinuum media of the forces acting on the block (from the block contacts
response. The safety and failure mechanism are indicated by and applied external forces), Block mass and gravitational
separation and sliding values and rotation along joints. The acceleration respectively. Equation (1) is expressed in finite
existence of large joint displacement inside abutments and difference from as:
foundation and hydromechanical interaction can be the main
reasons of failure in arch dams. Accordingly, disregarding
of joint effects problem with them such as hydromechani-
cal interaction may lead to an unsafe design. Malpaset dam
failure in 1959 demonstrated that hydromechanical effects in t 1
abutments may lead to instability of abutment and also the where D1 = 1 , D2 = and t is time.
2 t
arch dam. In this paper the stability of a typical concrete 1+
arch dam abutment under hydraulic and mechanical interac- 2
The equation of motion for rotation is given by:
tion was studied using distinct element methods and finally,
three failure indices, sliding, opening and the flow rate along
discontinuities, used as criterions for the estimation of dam
abutment safety.

where , M and I are rotational velocity, total torque, and

2 DISTINCT ELEMENT METHOD
The essential feature of the distinct element method is its abil-
ity to model the arbitrary motion of each block with respect
to any other. Blocks may be rigid or deformable.
The integration of the motion law provides the new block
position and therefore, the joint displacement increments
(or velocities). Blocks are assumed to interact at discrete
points referred to as contacts. A force-displacement rela-
tion describing joint behaviour at contacts is then used to
obtain forces that are applied to the blocks at the next timestep.
The equations of translational motion for rigid block can
expressed as:
moment of inertia respectively.
The rotation equation is integrated by finite differences in
exactly the same way as the translation equations.
The deformability and strength properties of joints are rep-
resented in the numerical model by spring-slider elements
located at contact points between a block corner and an adja-
cent block edge. A simple force-displacement law relates
normal forces directly to the amount of normal penetration,
that is:
where Fn , Kn and un are normal force at the contact, normal
stiffness at a point, and total normal penetration respectively.
For most analyses, it is assumed that the tensile strength
of joints is zero. Shear forces are considered to depend on

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2007 Taylor & Francis Group, London, UK

Table 1. Mechanical parameters of intact rock and joint sets.
Joint set (45 ) Joint set (45 ) Intact rock
Kn = 100 Gpa/m Kn = 100 Gpa/m Es = 10 Gpa
Ks = 100 Gpa/m Ks = 100 Gpa/m = 0.3
= 35 = 35 Rock = 2700 kg/m3
c = 0.1 Mpa c = 0.1 Mpa
Dilation angle = 5 Dilation angle = 5
Initial aperture = Initial aperture =
0.5 mm 0.5 mm
load path. Incremental shear forces develop in proportion to
change in relative shear displacement, that is:
where Fs, Ks and us are Change in shear force, Shear
stiffness at a point, and Incremental shear displacement
respectively.
3 DAM ABUTMENT MODELLING
The abutment modeled in this study is a hypothetical medium.
Fig. 1 depicts model pattern used. In its pattern, instead of dam,
we model the forces that imposing to abutment. The Length
of abutment modeled in the reservoir is 30 meters. The effects
of water are modeled by applying a mechanical pressure and
hydraulic head. for the rock mass, we considered two joint
sets. The first joint set has a strike of 45 degrees in respect to
the x-axis and the other, has a strike of 45 degrees in respect
to the x-axis. These joint sets follow the perfect plastic mohr-
colomb behaviour. A linear elastic behavior is considered for
blocks. The Plan of abutment is shown in Figure 1 separately.
The whole of our analyses were done on separated abutment.
The adopted parameters of intact rock and joint sets are given
in Table 1.
In this study three series of analysis are performed:
In all series of analyses, we considered three parameters as
failure indices:
Final max opening, final max slipping and Max transmis-
sion flow rate.
Seri I. To evaluate the hydromechanical interaction and
fluid flow effects on stability of abutments, two cases are
considered: case 1, a rock mass medium with fluid flow and
case 2, abutment modeling without fluid flow. In these cases
we increase water pressure in the reservoir until the failure of
abutment occurs.
Seri II. To evaluate the effects of initial aperture of joints on
abutment behaviour, a parametric study has been conducted.
In these analyses, the water flow through the joints considered
and water pressure in the reservoir is 2 Mpa and the compres-
sive stress applied from dam body is 10 Mpa. Then the amount
of three failure indices are obtained for each initial aperture.
Seri III. To evaluate the role of mechanical parameters of
joint sets on abutment safety and stability of dam, the method
of strength reduction factor (SRF) is used. In this method, the
mechanical parameters such as cohesion, friction angle, nor-
mal stiffness and shear stiffness are decreased by SRF factor
as follows until the failure occurs.
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2007 Taylor & Francis Group, London, UK
37
Free boundary
50m
7.07m
Dam
Compressive
stress
30m
Water
Pressure
Figure 1. A limited area of abutment used in the analyses.
4 RESULTS
Seri I
Case 1.The analysis results are shown in Figure 2.The graph of
maximum opening versus water pressure is consisted of three
stages. At first, the maximum opening increases as water pres-
sure increase until failure occurs in the range of 4.85 Mpa.
Then, this failure index decreases up to water pressure of
5.1 Mpa. However, it increases again with water pressure
increase until abutment failure in pressure of 5.6 Mpa. The
trend of maximum sliding shown in Figure 2 is similar to
maximum opening in the same Figure. Maximum Flow rate
index has the same behaviour as two pervious indices.
Case 2. In these analyses, we ignored fluid flow through the
joints. The results are shown in Figure 3.
Seri II. The results of these analyses are shown in Figure 4.
Figure 4 shows that the graph of maximum opening versus
initial aperture is consisted of two stages. At first, the opening
decreases as initial aperture increase up to initial aperture of
1 mm. Then, this failure index increases until abutment failure.
The maximum sliding index has the same behaviour, but the
maximum flow rate increases as initial aperture increase until
abutment failure in initial aperture of 1.48 mm.
Seri III. These analyses are shown in Figure 5. Figure 5 indi-
cates that the maximum opening is increased with the increase
of strength reduction factor (SRF) until abutment failure in
SRF = 2.6. The maximum sliding index and the maximum
flow rate index have the same behaviour.
5 DISCUSSIONS
Seri I
Case 1. With respect to the water pressure that consists of two
components: mechanical (hydrostatic pressure) and hydraulic
 0.45 0.084 unstable
0.4
Unstable
0.082
0.35
Max Opening (m)

Unstable
0.3 0.08

Max Opening(m)
0.25
0.078
0.2
0.15 0.076
0.1 0.074
0.05
0 0.072
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 5.5 6 6.5 7 7.5 0.07
Water Pressure (Mpa)
0.068
0 0.3 0.6 0.9 1.2 1.5 1.8 2.1 2.4 2.7
0.45
0.4
Unstable Initial Aperture (mm)
0.35
Max Sliding (m)

Unstable
0.3 0.084 unstable
0.25
0.082
0.2
0.15 0.08

Max Sliding(m)
0.1
0.078
0.05
0 0.076
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 5.5 6 6.5 7 7.5
0.074
Water Pressure (Mpa)
0.072
1.20 0.07
Unstable
1.00 0.068
Max Flow Rate (m3/s)

0 0.3 0.6 0.9 1.2 1.5 1.8 2.1 2.4 2.7

0.80
Unstable Initial Aperture (mm)
0.60
0.3
0.40 unstable
0.25
Max Flow Rate(m3/s)

0.20

0.00 0.2
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 5.5 6 6.5 7 7.5
Water Pressure (Mpa) 0.15

0.1
Figure 2. The variation of failure indices versus water pressure
(fluid flow is considered). 0.05

0
0 0.3 0.6 0.9 1.2 1.5 1.8 2.1 2.4 2.7

Initial Aperture (mm)

0.0165

0.016
Figure 4. The variation of failure indices versus initial aperture.
Max Opening(m)

0.0155

0.015

0.0145
(fluid flow), interaction of these components is the main rea-
0.014 son for this behaviour in Figure 2. In other word, in water
pressure under 4.85 Mpa, hydraulic component governs abut-
0.0135
0 1 2 3 4 5 6 7 8 9 10 11 12 13 ment response. Naturally, the joints that flow exclusively
Water Pressure (Mpa)
occurs through them have a main role in this case, and open-
ing increase is anticipated. In water pressure over 4.85 Mpa,
0.0165 mechanical component governs abutment response. That is
0.016 why, the mechanical component result in joint closure. Finally,
the index of maximum opening increases again for water pres-
Max Sliding(m)

0.0155
sure over 5.1 Mpa. The trend of maximum sliding shown in
0.015 Figure 1 is similar to maximum opening. This is because
two joints sets are perpendicular to each other. The maxi-
0.0145
mum opening and sliding values are occurred in a tensile
0.014 zone shown in Figure 6. Furthermore, the blocks in contact
0.0135
with dam structure slide. Interaction between the mechan-
0 1 2 3 4 5 6 7 8 9 10 11 12 13 ical and hydraulic components is the main reason for this
Water Pressure (Mpa) behaviour that is observable in Figure 2. Flow rate index
has the same behaviour as two pervious indices. The maxi-
Figure 3. The variation of failure indices versus water pressure mum flow rate values usually occur in upstream and tensile
(fluid flow is not considered). zone.

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2007 Taylor & Francis Group, London, UK

 0.35
Unstable
0.3
Max Opening (m)

0.25

0.2

0.15

0.1 Shear zone

0.05

0
0 0.3 0.6 0.9 1.2 1.5 1.8 2.1 2.4 2.7 3 3.3
Tensile zone
SRF
0.35
Unstable
0.3
Max Sliding (m)

0.25
Figure 6. Maximum opening and sliding location.
0.2

0.15
failure indices of opening, sliding and flow rate until dam abut-
0.1 ment failure. In this case, the reduction of normal and shear
0.05 stiffness and dilation angle influence rock mass hydraulic
0
behaviour such as the flow rate increase. The maximum open-
0 0.3 0.6 0.9 1.2 1.5 1.8 2.1 2.4 2.7 3 3.3 ing and sliding values are occurred in a tensile zone shown in
Figure 6.
SRF
0.09
0.08
Unstable 6 CONCLUSIONS
Max Flow Rate (m3/s)

0.07
0.06
The maximum opening, sliding and flow rate values are
0.05 suitable indices for evaluation of arch dam abutment failure
0.04 mechanism.
0.03 Ignoring hydraulic component in arch dam abutment sta-
0.02 bility analyses will result in a reckless design and therefore,
0.01 it is possible to estimate an unstable abutment, as stable.
0.00 The joint mechanical and resistance parameters influ-
0 0.3 0.6 0.9 1.2 1.5 1.8 2.1 2.4 2.7 3 3.3 ence the rock mass hydraulic and mechanical behaviour.
SRF
This subject shows the importance of hydromechanical
interaction in rock mass analyses.
Figure 5. The variation of failure indices versus strength reduction The initial aperture of joints has the noticeable effects on
factor (SRF). abutment response.

Case 2. The results of these analyses are presented in Fig-

ure 3. We observed differences between this case and the case
in which we consider fluid flow inside joints:
Failure index behaviour in these cases is different, therefore
real hydraulic, mechanical behaviour and failure mecha-
nism can not be anticipated.
In this case, the maximum of opening and sliding values is
less than the case in which we consider fluid flow inside
the joints. Therefore, it is possible to estimate an unstable
abutment, as stable.
Seri II. With respect to sensitivity of the hydromechani-
cal interaction to low initial aperture, in the first stage, the
final opening of joints decreases as initial aperture increase.
finally the maximum opening decreases up to initial aperture
of 1 mm. considering cubic law, fluid flow through the joints
increases as initial Aperture increase and led to the maximum
opening increase until abutment failure in initial aperture of
1.48 mm. The maximum sliding index has the same behaviour.
The maximum flow rate index increases because of fluid flow
increase through the joints within cubic law until abutment
failure.
Seri III. These results were shown in Figure 5. It is evident
that a decrease in joint strength parameters will increase the
REFERENCES
Sharma,V.m., Sexena, K.R., Woods, R.D., Distinct Element Model-
ing in Geomechanics, Rotterdam, 1990.
D. Stematiu, T. Bugnariu, A.L. Constantinescu Rock Mechanics
Problems Related to Three Arch Dams Foundated on Faulted
Rocks, proceedings of second international conference on the
mechanics of jointed and faulted Rock_MJFR_2, Vienna, Austria,
1995.
Yu.B. Mgalobelov, Computational Studies of Rock Foundation of
Arch Dams, proceedings of international congress on Rock
Mechanics, Tokyo, Japan, 1995.
Londe, P., The Malpasset Dam Failure, Engineering Geology, 1987,
24, 295329.
H.H. Thomas, The Engineering of large Dam, part 1, John
Wiley, New York, 1976. 6- J.Rutqvist, O.stephansson, The Role
of Hydromechanical Coupling in Fractured Rock Engineering,
Hydrogeology Journal, Dec 1, 2002.
A.I.Savich, V.I.Bronshtein, M.M.Andreev, Yu.M.Gorshkov,
I.V.Youndina, I.A. Turina, Comprehensive Monitoring in River
Bed Portion of Injury Dam Foundation, proceedings of the inter-
national symposium on Assessment and prevention of Failure
Phenomena in Rock Engineering, Istanbul, Turkey, 1993.

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 Kinematics of overhanging rock slopes

M. Tsesarsky
Department of Structural Engineering and the Department of Geological and Environmental Sciences,
Ben Gurion University of the Negev, Beer-Sheva, Israel

Y.H. Hatzor
Department of Geological and Environmental Sciences, Ben Gurion University of the Negev, Beer-Sheva, Israel

ABSTRACT: Eccentric loading and the development of tensile stresses at the base control the stability of overhanging rock
slopes. Instability arises when a large tensile crack is found at the back of the slope. The mode of deformation depends upon
the exact location of the vertical tensile crack, and the geometry of the overhang. In this paper we investigate the kinematics of
overhanging rock slopes and the structural constrains associated with this specific slope geometry. First we discuss a generalized
rigid body analysis, and then a 2-D Discontinuous Deformation analysis is presented. Based on these analyses a simple threefold
stability classification is proposed for stable, conditionally stable and instable classes. Geometrical guidelines for evaluation
of slope stability and reinforcement are presented. We conclude with an illustrative case study of a 34m high overhanging
cliff in a highly discontinuous rock mass, for which rock bolt reinforcement was dimensioned using the kinematicaly based
criteria.

1 INTRODUCTION

Rotational instabilities of rock slopes are generally attributed

to the intersection of steeply inclined and gently dipping dis-
continuities, forming columns of massive rock blocks resting
on a basal detachment surface (Fig. 1). If these columns lean
against the rock, blocks slumping may occur (Witke, 1965
Kiefer, 1998). If, on the other hand, these columns lean towards
the excavation space, toppling may occur (Goodman and Bray
1977).
Stability analysis of toppling failures (Goodman and Bray,
1977) assumes that any single slab tends to overhang and
is supported only by the passive resistance of its downslope
neighbors. Instability arises when the over-turning moments,
taken at the toe of a slab, are greater than the resisting
moments. The underlying assumption of this method is that
rock slabs overhang due to their position on an inclined plane, Figure 1. Slender blocks on an incline typical geometry for
the basal plane. This assumption leads to the notion that there rotational instabilities.
is a critical inclination angle, beyond which rotational instabil-
ities occur. If the inclination of the basal plane is smaller than
critical, the slope is considered safe against rotational fail-
ures. This holds true for slabs of rectangular or parallelogram condition for rotational feasibility is the presence of a persis-
geometry, however overlooks a potential source for toppling tent detachment plane at the back of the overhanging slope.
instabilities arising from an eccentric loading of overhanging Such a detachment plane may be assumed if the rock mass
rock faces. is transected by vertical joints, either through the presence
If the face of a rock slope overhangs, see Figure 2, the line of large tension cracks, or by coalescence of less pervasive
of action of the gravitational resultant is shifted outward from vertical joints and elimination of rock bridges.
the centerline of its base, giving rise to eccentric loading and In this paper we present an investigation of the kinemat-
bending moments at the base. In a continuous rock mass such ics of overhanging rock slopes and the structural constrains
eccentric loading will induce tensile stresses when the load associated with this specific slope geometry. First we dis-
resultant lies outside the sections kernel. In discontinuous cuss a generalized rigid body analysis considering geometrical
rock mass, which can not resist tensile stresses, the eccentric constrains, and then a 2-D Discontinuous Deformation Anal-
loading causes opening across the discontinuities.The size and ysis (DDA) is presented, accounting also for the effects of
location of the sections kernel is determined by the geometry secondary discontinuities. The findings of both rigid body
of discontinuities, the height of the slope and the inclination and discontinuous analysis are then demonstrated using an
of its face (for geometric notation see Fig. 2). A necessary illustrative case study.

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 Rock bridge L 2.5 Xc/B = 0.453*(B/L)-0.81
R2 = 0.994
2.25
(deg)
85
2 80
70
1.75 65

XCM\B
1.5 Critical zone
requires analysis
h
1.25
Safe
1 Toppling

0.75

0.5
0 0.2 0.4 0.6 0.8 1
B/L
B
XCM Figure 3. Position of the mass centroid (XCM /B) as a function of
eccentricity ratio (B/L).
Figure 2. Typical geometry of an overhanging rock face.
20
=70o
2 KINEMATIC ANALYSIS
16
Assuming slope height h, base length B, and a face angle
75o
the centroid of mass XCM is located at:
12
Bcrit (m)

80o

where XCM is measured horizontally from origin.
If B/2 < XCM < 2B/3 the gravitational resultant acts within
the sections kernel, and the base is fully in compression. If
XCM > 2B/3 the resultant is acting beyond the kernel and
bending moments induce partial tension at the base. Tak-
ing moments about the toe of the slope shows that as long
as the resultant is acting within the base of the slope, i.e.
XCM < B, the slope is safe against forward rotation, although
when approaching B even slight horizontal perturbation may
induce rotational instability. Once the resultant is acting out-
side the base the entire mass is unstable and forward rotation
is expected.
Fig. 3 is a plot of the relative position of mass centroid
XCM/B as a function of the slope eccentricity ratio B/L
for slope heights of 35 m, 50 m and 70 m and face angle of
= 85 , 80 , 70 and 65 . It can be seen that a power law accu-
rately describes the XCM calculations. Based on the power law
fit critical values of the eccentricity ratio are attained:
Figure 4 is a plot of the critical detachment plane depth
Bcrit, defined at XCM/B 1, as a function of slope height h
for different values of slope face inclination. It is clearly seen
that for sub-vertical slopes, i.e. = 85 , the critical detach-
ment plane is found near the face of the slope, for example
Bcrit = 4 m for h = 70 m. For smaller face angles the critical
detachment plane is found deeper within the rock mass, for
example Bcrit = 17 m at h = 70 m and = 70 . This obser-
vation may suggest a possible explanation for the stability
85o
4
0
0 10 20 30 40 50 60 70
h (m)
Figure 4. Critical depth of the detachment plane (Bcrit ) as a function
of slope height (h) and face inclination angle ().
of steep and high rock slopes: even if eccentrically loaded
the failure is limited to the vicinity of the face, thus stable
equilibrium is attained after a considerably limited loss of
rock mass.
In practice the detachment depth B is typically unknown,
since it is found at some depth beyond the exposed face of the
slope. The slope height h and face inclination are however
easily attainable. Thus, given any combination of (h, ) using
Fig. 4 the critical distance to tension crack can be found. For
the range of (h, ) given in Fig. 4 the following rule of thumb
is proposed:
The critical depth of the detachment plane is 5% of the
slope height for face inclination of 85 , rising by 5% for each
5 decrease of slope inclination.
Knowing the critical depth allows us to design a sup-
port scheme such that the presence of the detachment plane

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2007 Taylor & Francis Group, London, UK

 1.2
B/L = 0.3
0.8
d of cliff tip (m)
0.4
0 in strike which form large extrados. At places past quarrying
0 10000 20000 30000
time step
Figure 5. DDA calculated displacement time histories at the tip of
the rock face (d) as a function of eccentricity ratio (B/L) for slope
height of 50 m.
becomes kinematicaly insignificant. For example, anchoring
the static end of rock bolts to a depth beyond critical, thus
pushing the line of action of the gravitational resultant into
the sections kernel, eliminating rotational instabilities and
tension along the base.
3 NUMERICAL DISCONTINUOUS DEFORMATION
ANALYSIS (DDA)
Following the kinematic analysis we have performed a numer-
ical discontinuous deformation (DDA) analysis in order to
account for the discontinuous nature of a typical rock mass.
The discontinuous analysis was performed using an implicit
discrete element method, the Discontinuous Deformation
Analysis DDA (Shi, 1993). Three basic geometries were
studied: slope height of 35 m, 50 m, and 75 m; for each of
the specified geometries the eccentricity ratio B/L was var-
ied between 0.3 and 0.65. The rock mass was comprised of
a set of horizontal beds and a set of vertical joints, the inter-
section of which created a blocky rock mass, see Fig. 2. The
aspect ratio of the individual blocks comprising the rock mass
was set to be SJ/SB > 2, where SJ and SB are the average
spacing of joints and beds respectively. It was found that for
the given slope geometry the rotational mode of failure is
independent of the block aspect ratio as long as SJ/SB 1.
For smaller aspect ratios it was found that the mode of fail-
ure was changed from mostly uniform rotation to fall out of
individual blocks resulting in consecutive face raveling. The
following rock mass parameters where taken for DDA anal-
ysis: dry specific weight of 25 kN/m3 , elasticity modulus of
70 GPa. Shear strength of the discontinuities was assumed
purely frictional, with friction angle of 41 . These values were
chosen to represent a stiff sedimentary rock mass with clean
planar discontinuities.
Figure 5 is a plot of DDA time histories of the displace-
ment at the tip of the cliff as a function of eccentricity ratio
B/L for slope height of 50 m. For B/L < 0.4 the slope is not
stable as evident from the ongoing deformation, whereas for
B/L > 0.5 the slope attains equilibrium position after some
initial deformation. Similar results were found for slopes of
2007 Taylor & Francis Group, London, UK
35 m and 70 m height. Based on DDA calculations it can be
concluded that the overall stability of an overhanging rock
slope is not changed by the presence of horizontal beds and
vertical joints, given that the shear strength along the discon-
0.4 tinuities is not exceeded during the rotation of the rock mass.
Thus the guidelines presented in equations (2) and (3) can be
assumed valid for discontinuous rock mass as well.
0.5
4 ILLUSTRATIVE CASE STUDY
0.6
4.1 Description of the rock face
The studied rock face was formed due to quarrying activities
0.65 about 60 years ago along the steep cliffs of a dry river bed. The
cliff strikes SSW to an azimuth of 185 , with local variations
40000 activity and natural receding of the cliff s base give rise to
large overhangs, which cantilever beyond the base of the cliff.
Field observations indicate that at certain areas along the cliff
deformation is taking place. It seems that most of the deforma-
tion is taking place where the cliff is overhanging. Geological
reconnaissance delimited the stability analysis to a particular
section of the cliff which is 34 m high and where the upper
third of the cliff is cantilevered, extruding 11 m beyond the toe
of the slope.
The rock is comprised of a well bedded dolostone sequence.
The average bed thickness is 0.8 m. The rock mass is tran-
sected by 4 sets of sub-vertical joints. The attitude of three
sets is oblique to the face of the cliff, whereas the fourth is
parallel to the excavation face. Average joint spacing of the
ubiquitous joints ranges from 0.6 m to 0.9 m. The ubiquitous
joints are of a limited extent, vertically and laterally, mostly
confined to mechanical beds. The joints that strike parallel to
the free face however are expected to have the most significant
effect on overall cliff stability. The face parallel system was
detected on both sides of the analyzed segment of the cliff.
The face parallel set is unique in its persistence, continuity,
and relatively open configuration. In places the joints transect
the entire height of the cliff. The opening reaches several tens
of centimeters, this is in contrast with the characteristics of
the other sets of joints.
The ubiquitous joints exhibit fresh, unaltered and uneven
surfaces with a typical JRC value of 13. The joint wall com-
pressive strength was evaluated at JCS = 40 GPa. The residual
friction of the joints was estimated to be 37 .
4.2 DDA model of reinforced rock face
Since large, face parallel, vertical tension cracks are found
within the rock mass a large scale forward rotation is antici-
pated due to lack of tensile strength capacity across joints and
beddings. Based on the conclusions of the previous sections it
was decided that the overhanging rock face will be reinforced
using rock bolts anchored at a depth such that the effective
eccentricity ratio B/L will exceed 0.4, assuring that the line of
action of the gravitational resultant will be located within the
rock mass. The bolts are vertically spaced 4m apart, from bot-
tom to top. The geometry of the rock face and DDA domain
with rock bolts are presented in Figure 6.
Three different bolting simulations were performed for
varying bolt diameters: = 1 , = 2 and = 3 , and there-
fore varying bolt stiffness k = E()2 )/4LB , where E isYoung
modulus for steel, is bolt diameter and LB is bolt length.
Figure 7 shows time histories of the displacement vector
611

7 300
6
5 200
4 3
3 100
2
1
Figure 6. DDA domain boundary with rock bolts. Rock face geo-
metry based on geodetic survey, the detachment plane is assumed
at B = 5 m (B/L = 0.3).
B/L = 0.3
1
0.8
d of cliff tip (m)
0.6
0.4
0.2
B/L = 0.7
0 The eccentricity of loading, the location of the kernel and
0 10000 20000 30000
time steps
Figure 7. DDA time histories of at the tip of the rock face (d) at
B = 5 m for different rock bolt diameters.
at the tip of the cliff as a function of the modeled bolt
diameter. The upper bound for the displacement is represented
by the displacements calculated for an unsupported cliff with
B/L = 0.3; while the lower bound is represented by the dis-
placements calculated for unsupported cliff with B/L = 0.7.
Clearly, the slope displacement components are reduced with
increasing bolt diameter (or stiffness). It is found that complete
slope stabilization is obtained with bolt diameter of = 2 and
above. With a bolt diameter of = 1 slope displacements are
never arrested and the cliff is rendered unsafe.
The bolt axial forces (FB) as computed by DDA are
presented in Fig. 8 where the xaxis represents the ver-
tical position of each rock bolt. We find that maximum
axial force changes with diameter and vertical position,
FB ( = 1 ) = 147 kN at bolts number 6 and 9; 2) FB
( = 2 ) = 237 kN at bolts number 6 and 9; and 3) FB
( = 3 ) = 309 kN at bolt number 6.
2007 Taylor & Francis Group, London, UK
9 400
8 6
7
=2"' =3"'
5 8
9
4
FB (kN)
=1"'
2
1
0
0 5 10 15 20 25 30 35
h (m)
Figure 8. Axial force in rock bolts for different values of rock bolts
diameter.
5 DISCUSSION AND CONCLUSIONS
=1" In this paper we studied the stability of overhanging rock
slopes using kinemtic and numerical discontinuous defor-
mation analyses. The stability of overhanging rock slopes
is primarily controlled by the following two factors: a
vertical detachment plane found behind the rock face and the
=2"
geometry of the rock face. Face geometry is generally known
and can be measured, whereas the exact location of the
=3"
detachment plane is in many cases unknown. It is therefore
the location of the detachment plane that controls the overall
stability of overhanging rock slopes. As such, we consider it
to be the prime factor of concern during stability analysis and
support design.
40000 consequently the rotational instability is determined by the
ratio between the base length B (or depth from toe to the
detachment plane) and the length of the top surface L. These
two quantities are interrelated trough height h and face inclina-
tion , such that: L = B + h/ tan . The eccentricity of loading
can be defined by the ratio between the position of the cen-
troid of mass XCM and base length B, where XCM /B = 0.5
the section is centrically loaded; where 0.5 < XCM /B 0.66
the section is eccentrically loaded and the line of action of the
gravitational resultant is within the sections kernel; where
0.66 < XCM /B < 1 the section is eccentrically loaded and the
line of action is beyond the sections kernel; finally, when
XCM /B 1 line of action of the self weight resultant is external
to the section.
Using the two ratios defined above the following conclu-
sions can be drawn:
1. An overhanging rock slope with eccentricity ratio of
B/L > 0.62 is safe against toppling failure.
2. An overhanging rock slope with eccentricity ratio of
0.4 < B/L < 0.62 is conditionally stable against toppling
failure, support measures should be considered when
approaching eccentricity ratio of 0.4.
3. An overhanging rock slope with eccentricity ratio of
B/L < 0.4 is unstable against toppling failure, immediate
support should be installed.
612
4. Support scheme for overhanging rock slopes should be
designed such that eccentricity of loading XCM /B is
lowered to an acceptable minimum.
5. DDA analysis shows that the overall stability of overhang-
ing slopes is not compromised by the presence of horizontal
beds and vertical joints.
ACKNOWLEDGMENTS
This research was partially funded by the Office of Geotech-
nical & Foundation Engineering, Administration of Planning
and Engineering, Ministry of Construction & Housing Israel.
613
2007 Taylor & Francis Group, London, UK
REFERENCES
Goodman, R. E. & Bray, J.W. 1977. Toppling of rock slopes. Proc
.Specialty Conf. on Rock Engrg. for Foundations and Slopes, Vol.
2,ASCE, New York, 201234.
Kieffer, D. S. 1998. Rock slumpingA compound failure mode of
jointed hard rock slopes. PhD dissertation, Dept. of Civil and Env.
Eng., U.C. Berkeley.
Shi, G-h. 1993. Block System Modeling by Discontinuous Defor-
mation Analysis. Topics in Engineering Vol. 11, Computational
Mechanics Publications.
Wittke, W. 1965. Methods to analyze the stability of rock slopes with
and without additional loading. Rock Mechanics and Engineering
Geology. Supplement 2, Springer, Vienna.
 Load test in pile models in sandstone

Carolina A. Costa
Federal University of Rio de Janeiro COPPE (currently Transpetro), Rio de Janeiro, Brazil

Anna Laura L.S. Nunes

Department of Civil Engineering, Federal University of Rio de Janeiro COPPE, Rio de Janeiro, Brazil

ABSTRACT: The complexity associated to foundations socketed in soft rocks often leads to over-dimensioned project,
where the mobilized resistance of the rock is considered inferior to the one available. This work presents the results of load
tests executed in small scale models of smooth and rough pile excavated in soft sandstone of the Botucatu Formation, South
Brazil. The results from the load tests were compared with the results of the numerical simulations using the program of finite
elements PLAXIS and the results of 73 in situ load test collected in the literature.

1 INTRODUCTION

The complexity associated to foundations socketed in weak

rocks often leads to over-dimensioned project, where the
mobilized resistance of the rock is considered inferior to the
one available. The in situ load test in the pile is the preferred
alternative to estimate the rock resistance, but it is very expen-
sive and generaly it doesnt reach the failure. The laboratory
test in small scale leads to results which are not so simples
to compare with real scale one. The numerical simulation to
obtain the equivalent results to the in situ load test is a tech-
nique still doubtful and not used widely, since there are not
many researches in this topic.
This work presents a comparison between results of load
tests in small scale pile models in laboratory and numerical
simulations using the program of finite elements, PLAXIS
and the results of 73 real scale load tests from the literature
Figure 1. Small scale model of weak sandstone (Nunes & Castilhos,
(Nunes & Castilhos, 2002). 2002).

2 SMALL SCALE MODELS

The small scale models were prepare with blocks of weak

sandstone from South Brazil (Figure 1). They were cut with
final dimensions of 25 cm of width, 30 cm of height and 25 cm
of length. (Castilhos, 2001; Nunes & Castilhos, 2002; Nunes
et al., 2002).
The pile, with nominal dimension of 64 mm of diameter
and 240 mm of length, was made in a way that only mobilizes
the side resistance, with no contribution of the end bearing.
Figure 2. Types of roughness pile: very rough (R1) to rough (R2
Besides the pile with smooth shaft (S), it was created 3 dif-
and R3).
ferent kinds of roughness (R1, R2 and R3) in the central hole
of the sandstone blocks. In a general way, roughness R1 leads
to very rough shaft while roughness R2 and R3 leads to shaft The instrumentation of the pile was carried out by biaxial
little rough in relation to the smooth shaft (S) of the sandstone rosette of strain gages inside the pile to the determination of
block (Figure 2). the axial and radial strains in the interface pile-rock.
Table 1 presents a summary of the geotechnical character- The strain gages were glued in the top, middle and base
istics of 3 selected blocks of sandstone, chosen by the type of of a metallic plate of 21.0 cm of length and 2.5 cm of width,
the shaft (smooth, rough and very rough). The geotechnical inserted in the center of the pile during the modeling. The
parameters were obtain by tests specimens of the sandstone metallic plate of small thickness (3.2 mm) was perforated to
blocks. allow a better adhesion with the mortar.

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2007 Taylor & Francis Group, London, UK

 Table 1. Geotechnical parameters of the analyzed small scale models.

nat Wave Vel. t c Er

SSM (kN/m3 ) (m/s) (MPa) (MPa) (GPa) r Ee /Er Shaft

5S 19.9 2300 1.58 16.54 8.5 0.19 4.7 Smooth

7 R1 19.9 2423 1.58 15.88 10.7 0.15 3.7 Rough
8 R2 19.5 1642 0.76 7.72 3.4 0.18 11.8 Rough

SSM: Small Scale Model; S: Smooth; R: Rough; nat : Natural specific weight; Wave Vel.: Longitudinal wave
velocity; t : Tensile strength; c : Uniaxial compressive strength; Er e r : Rock deformation modulus and Poissons
ratio; Ee : Pile deformation modulus.

The test was initially carried out by the application of the 7

lateral confinement of the blocks, to simulate the in-situ con- Radial Axial

Stress on top / Rock compressive

6 Radial Axial
ditions. Then the blocks were loaded in the top of the pile Top
Middle Base
until the block reaches the failure or excessive settlement of Top
5
the pile.

strength
4

3 VALIDATION OF THE PROGRAM 3

In order to validate the capacity of simulation and the accu- 2 Experimental

racy of the program of finite elements PLAXIS, a comparison Test
between the numerical and laboratory results of the pile in rock 1
Numerical
load tests of the small scale models was made. The results ana- 0
Simulation
lyzed were the curves stress in the top of the pile versus axial -400 -200 0 200 400 600 800 1000
and radial strains along the pile in the load test. Strain (10-6)
The model adopted in the PLAXIS is axissimetric and had
a triangular mesh with fifteen nodes. The Mohr-Coulomb Figure 3. Curves stress vs experimental and numerical strains
behavior was adopted for the rock while the elastic linear SSM5-S (Costa, 2005).
for the steel plate associated with the mortar of the pile. The
roughnesses were simulated with the same dimensions of the 8 Radial Radial Axial Axial Axial
original small scale model: smooth pile (S), rough (R2) and
Stress on top / Rock compressive

Top Middle Base Meio Top

7
very rough (R1) pile.
It was adopted different modulus of elasticity (E) for 6
the mortar (E = 21.2 GPa), steel plate (E = 207.0 GPa) and
5
perforated steel plate (E = 68.0 GPa) so that the results of
strength

the numerical simulation could be compared with the ones 4

of the small scale models. The resistance reduction factor
of the interface, Rinter , adopted to simulate the interface
concrete-rock was of 0.75.
The comparison between the results of the simulation and
of the load test of the small scale model was carried out
through the curves stress versus radial and axial strains. It was
also compared the deformed meshes with the photographic
registers of the small scale models after the loadings.
Figures 3 and 4 present the curves with the values of axial
and radial strains of the pile, measured during the load tests in
laboratory and the values of the numerical simulation for two
of the analyzed small scale models, with smooth and rough
shaft. The values from the test carried out by Castilhos (2001)
are represented by the curves, while that the results of the
numerical simulations (Costa, 2005) are represented by the
detached points.
The points of stress vs strain of the simulation were prac-
tically in the top of the line of the load test, as much to the
smooth shaft as the rough shaft. In both case, the failure of
the blocks occurred in the stress around four times the uniax-
ial resistance of the rock, in the load test and the simulation
(Figures 3 and 4).
Another verification of the program PLAXIS was made
through the comparison between the types of failure of the
numerical simulations (Costa, 2005) and of the small scale
models after the test, presented by photograph by Nunes &
3 k
Experimental
2
Test
1 Numerical
Simulation
0
-400 -200 0 200 400 600 800 1000
Strain (10-6)
Figure 4. Curves stress vs experimental and numerical strains
SSM 8-R2 (Costa, 2005).
Castilhos (2002). Figure 5 shows the regions of failure obtain
through the numerical simulation for the SSM 5-S, while
Figure 6 shows the photograph of the small scale model after
the failure in the load test.
It can be observed from Figures 5 and 6 that the failure
of small scale model SSM 5-S was given through the loss of
adhesion in the interface. In Figure 5, referent to the results
of the numerical simulation, the loss of adhesion is indi-
cated by the detached points that correspond to the failure
by Mohr-Coulomb, exactly in the interface pile-rock. In Fig-
ure 6, relative to the small scale model tested, the debonding of
the pile with the block and the absence of significant fissures
show clearly the failure by the loss of adhesion.
For the case of the rough blocks, the failure occurs by fric-
tion and shear of the roughness, followed by great tensile

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2007 Taylor & Francis Group, London, UK

 Concrete Pile Concrete
Pile

Failure by
Mohr-Coulomb Tensile
Failure

Tensile Failure Rock Block

Rock Block
Steel Plate
Steel Plate

Figure 5. Failure regions obtain trough PLAXIS SSM5-S (Costa, Figure 7. Failure regions obtain trough PLAXIS SSM7-R1
2005). (Costa, 2005).

Figure 6. Small scale model failure SSM5-S (Nunes & Castilhos,

2002).
cracks. Figure 7 presents the results obtain with Plaxis for the
SSM 7-R1, of bigger roughness, where the detached points
represent nodes which suffered failure by traction. The tensile
cracks along the pile in the small scale model (Figure 8) prove
the adequacy of the Plaxis program for the simulation of the
load test of piles in soft rock.
4 ESTIMATE OF LATERAL RESISTANCE
Figure 8. Small scale model failure SSM7-R1 (Nunes &
Castilhos, 2002).
The filled dots are the ones from this study, representing the
loss of adhesion and the final failure. Both results are inside are
very near to the superior and inferior limits. The adjustment
curve for the load tests analyzed can be represented by the
following equation:

From the results of 73 load tests from the literature

(Rosenberg & Journaux, 1976; Horvath et al, 1979; John-
while the superior and inferior limits can be expressed as
ston et al, 1980; Pells et al, 1980; Williams & Pells, 1980;
Williams et al, 1980), a method to estimate the lateral resis-
tance was analyzed. A correlation with the uniaxial resistance
(c ) was created, as presented in Figure 9. The result of this
study was also included in this chart, which are in accordance
with the other results.

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2007 Taylor & Francis Group, London, UK

 ACKNOWLEDGEMENT

The authors are thankful to Prof. Jos Alberto Ortigo for

kindly providing the software Plaxis for the development of
this research. The study was funded by Brazilian Research
Agency (CNPq).

REFERENCES

Castilhos, C.M., 2001. Estudo experimental dos mecanismos de

Figure 9. Lateral resistance from load test. (Nunes & Castilhos,
2002).
The adjustment equation is only an average curve for the
points analyzed. The lateral resistances calculated from this
equation are very similar to results proposed in the literature.
5 CONCLUSION
By these results, it can be concluded that the program PLAXIS
was successfully capable of simulating the load test of the
small scale pile socketed in rock. The values of axial and radial
strains in the numerical simulation were compatible with the
experimental values obtain by the instrumentation of the small
scale models. In the small scale model, it was evident that in the
smooth shaft pile, the failure was by lost of the shear resistance
of the shaft. In the simulation that was also clear, because the
failure of the nodes was by Mohr-Coulomb, indicating lost
of shear resistance. The rough shaft pile showed in the load
test some tensile cracks along the shaft and the breaks of the
roughness. In the simulation, tensile failure of the nodes and
Mohr-Coulomb failure in the roughness were found.
mobilizao de resistncia lateral de estacas em arenito. MSc
Thesis, UFRGS, Porto Alegre, Brazil, in portuguese.
Costa, C.A., 2005. Estudos numricos de estacas em rochas brandas.
MSc Thesis, COPPE/UFRJ, Rio de Janeiro, Brazil, in portuguese.
Horvath, R.G., Kenney, T.C., Trow, W.A., 1979. Results of tests to
determine shaft resistance of rock-socketed drilled piers. Proc.
Int. Conf. on Structural Foundations on Rock, 349361, Sydney,
Austrlia.
Jonhston, I.W., Williams, A.F., Chiu, H.K., 1980. Properties of soft
rock relevant to socketed pile design Proc. Int. Conf. on Structural
Foundations on Rock, 5564, Sydney, Austrlia.
Nunes, A.L.L.S., Castilhos, C.C., 2002. Mecanismos de mobilizao
da resistncia lateral de estacas embutidas em arenito. Proc. XII
Congr. Bras. de Mecnica dos Solos e Engenharia Geotcnica,
v.3, 14151425, So Paulo, Brazil.
Nunes, A.L.L.S., Castilhos, C.C., Schnaid, F., 2002. Estimativa da
resistncia lateral de estacas embutidas em arenito Botucatu no
RS. Proc. III Simpsio de Prtica de Engenharia Geotcnica da
Regio Sul, v.1, 163175, Joinville, Brazil, in portuguese.
Pells, P.J.N., Rowe, R.K., Turner, R.M., 1980. An experimental inves-
tigation into side shear for socketed piles in sandstone. Proc. Int.
Conf. on Structural Foundations on Rock, v.1, 291302, Sydney,
Austrlia.
Rosenberg, P., Journaux, L.N., 1976. Friction and end bearing tests on
bedrock for high-capacity socket design. Canadian Geotechnical
Journal, v.13, 324333.
Williams, A.F., Pells, P.J.N., 1981. Side resistance rock sockets in
sandstone, mudstone, and shale. Canadian Geotechnical Journal,
v.18, n. 4, 502513.
Williams, A.F., Donald, I.B., Chiu, H.K., 1980. Properties of soft
rock relevant to socketed pile design. Proc. Int. Conf. on Structural
Foundations on Rock, v.1, 5564, Sydney, Austrlia.

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 Long-term monitoring of deformation behavior of large excavated
rock slope in a dam site

Takahiro Eguchi, Katsumi Ooyabu, Kentaro Kido & Masaaki Tsukui

Incorporated Administrative Agency, Japan Water Agency Saitama, Japan

ABSTRACT: This paper focuses on achievements of a large scale excavation of rock slope at the multi-purpose dam
site. Based on comprehensive geologic investigations, installation of observation systems was conducted prior to excava-
tions. The excavations started in April 1999, and the unstable behavior was observed when excavations reached the height of
70 m in October 1999. Promptly, additional equipments for observation were installed and behavior mechanisms were further
examined according to data review and numerical analysis. Then around 200 sets of pre-stressed anchors were installed as
permanent countermeasure and excavations of dam abutment were concurrently taken. Without large scale collapse of the
slope, the total height of this slope reached 220 m at the river bed in August 2001. By technical devices, the obstacles to the
entire schedule of this project were avoided. Through 7 years monitoring until present, the slope is judged in stable condition.

1 INTRODUCTION Pre-stressed anchors for landslide

EL.680
Landslide
One of the difficulties of dam construction in Japan in engi-
neering aspects is that this country is located on the complex 1
EL.640
earth of geology. Furthermore, due to the reasons of decrease 0.8
of efficient dam site in the last decades, the landslide area is Slope A
sometimes selected as the dam site, that is, the complexity on EL.600 F-16 fault 1
geological feature has given much influence to the entire pro- 0.5
gram of a dam project. Therefore, implementation of careful EL.560 Dam crest
investigation, analysis and monitoring on geological structure
is stated as the important factor at the standpoint of efficient F-0 fault
project management as well as engineering approach. Height of dam:140m
This paper briefly introduces the series of processes on Geological boundary
investigation, analysis, countermeasure implemented and Figure 1. Cross section of the slope A cut by Section A.
monitoring at one multi-purpose dam project managed by
Japan Water Agency (hereinafter termed JWA). The whole
height of slope from the top to bottom of dam foundation is 1020 m depth near topsoil was judged loose. Furthermore,
around 220 m. This paper focuses on the behavior of a large the landslide block was found in the vicinity at the top of slope.
scale slope when the stress was released by bedrock excava- Accordingly, it was apprehensive of danger that there would
tion, in particular, on the upper slope which is higher elevation be the behavior of Slope A by the release of stress induced by
than the dam crest (hereinafter termed Slope A) and around bedrock excavation and occurrence of land slide at the upper
80 m height. part of Slope A.

2 PRE-EXAMINATION FOR EXCAVATION
2.1 Geologic structure
The total length of pre-survey of the core boring was around
890 m, and furthermore adit tunnels and field survey etc. were
conducted. The geologic structure of bedrock at this dam site
is composed of alternations of Mesozoic of slate, green rock,
limestone and sandstone in Shimanto Zone. The strikes are
east/northeast west/northwest and dips north. The whole
slope from the top to dam foundation is distinguished by the
low angle dip fault named FL0 at the vicinity of dam crest.
Figure 1 shows the cross section of dam axis, and Figure 2
shows the plane figure both of the geologic structure in the
Slope A and the part of the left side of dam foundation. The
entir bedrock was relatively firm, and the shear strength are as
follows: cohesion is 1.62.2 Mpa, internal friction angle is 38
45 degrees. On the other hand, the shallow part, i.e. around
2.2 Initial design of the slope and observation
After the comprehensive investigation, the preventive measure
on Slope A is designed as follows:
Upper part (from EL. 652 m to EL. 628 m):
1:0.8 of gradient of slope surface to avoid the massive exca-
vation in the landslide block and installation of pre-stressed
anchors
Middle and lower part (from EL. 628 m to EL. 568 m): 1:0.5
of gradient slope surface
Besides, the 2 m & 5 m width of steps are set at every 10
meters height.
For the purpose of data observation, the electro-optical
distance measurement system was set up to obtain the data
on behavior 4 times per day. In this regard, 20 targets were
installed on whole area of designed Slope A. This aimed to
monitor the semi-real time basis, to use the data for numerical

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2007 Taylor & Francis Group, London, UK

 Section A
F-16 fault
Slope A N

Sl
ls Ss
ls

Sl Sl

ls Gr
Legend FL-0 fault

Ss: Sand stone Sl

Sl: Slate
Gr: Green rock
Ls: Limestone
Ch: Chart Ls
ls: Colluvial soil Ss
Geological boundary
Fault Ch
Sl Ss

Sl
Gr

Dam foundation

Figure 2. The plane figure of the geologic structure in the slope A and the part of the left side of dam foundation.

analysis promptly and to take the necessary actions if any

unstable behavior occurred.

2.3 Behavior and additional observation system

In May 1999, the excavation in line with observation was
launched, and in October 1999 the unstable behavior was
observed when the excavation reached 70 m height, i.e.
till EL.578 m. Besides, the following additional observation
systems were installed immediately:
Figure 3. The low angle shear destruction on the concrete lining
6 sets of rock deformation meters (hereinafter termed wall of the rim grout tunnel.
RDM)
9 sets of borehole tilt meters (hereinafter termed BTL) to
observe at every 0.5 m in the depth from 45 m110 m 3 ANALYSIS AND COUNTERMEASURES
14 points of extension meters
17 targets of electro-optical distance measurement 3.1 Results of analysis
9 gauges to measure the width of crack in X-Y-Z direction In conjunction with the field investigation, the data review
at each crack. and the numerical analysis were implemented. The results of
review and analysis are described below. Figure 4 shows the
All of those automatic observation collected data once a day
records of observed deformation of BTL1, 4, 2 & 5 at each
at least.
depth and predicted slide surface.The area of downward defor-
Although the unstable behavior was monitored, JWA deter-
mation along the slope and continuous shear destruction were
mined that the variation of behavior was not at critical level
simulated by FEM and DEM, which is prerequisite of stage
yet based on examination, and the excavation continued
excavations from the top of slope. Results showed the corre-
to complete till EL.568 m in conjunction with careful and
spondence with actual behavior areas based on observed data
continuous observation. As a result, the excavated place of
of BTL.
Slope A completed in November 1999 and then, the fur-
From these, the status was analyzed as follows;
ther excavation below the elevation of dam crest, that is,
the excavation for dam foundation was continued without Toppling behavior: The conspicuous deformation occurred
suspension. at places which exist from the vicinity of the slope surface
Nevertheless, the variation of deformation was about in the depth of 3040 m obviously by the stress release and
3.0 mm/day in November 1999. In addition, the low angle softening of Slope A,
shear destruction on the concrete lining wall of the rim grout Early stage of formation of slide surface: the low angle
tunnel was found in December 1999. Figure 3 shows the shear crack and shear failure regulated by longitudinal joints of
destruction. These were evaluated as the unstable behavior. earth occurred. This was the same phenomenon occurred

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 BTL-1 Apredicted slide surface X (mm)
50mm
4.0 Depth:19.0m
BTL data Depth:20.0m
March 2000 3.0
July 2000
BTL-4 50mm 2.0
T 1.0 Depth:18.0m
RDM
0.0

1-Jan-00

1-Jan-01

1-Jan-02

1-Jan-03

1-Jan-04

1-Jan-05

1-Jan-06
BTL-2 50mm *1*2 *3 *4 *5

T
*: period number
Z
5mm
BTL-5 Figure 5. Values of deformation at the BTL4.
X
Figure 3 S
S
X (mm)
Depth:33.5m
Point T: Starting depth of toppling behavior 10.0
Point S: Shear destruction 8.0
6.0 Depth:34.0m
Figure 4. Data of the BTL and the depth of the unstable behavior 4.0
at the slope A. 2.0 Depth:33.0m
0.0
at the deep part of BTL2 and at the concrete lining of the -2.0

1-Jan-00

1-Jan-01

1-Jan-02

1-Jan-03

1-Jan-04

1-Jan-05

1-Jan-06
rim grout tunnel, and *1 *2 *3 *4 *5
Expansion of the unstable behavior: The unstable behavior
was observed on the entire surface of Slope A.
*: period number
3.2 Countermeasure
Figure 6. Values of deformation at the BTL2.
In accordance with spreading unstable behavior, the coun-
terweight fill was carried out in March 2000. Then, around 25.0 (mm)
200 sets of pre-stressed anchors, which each was 2.1 N, were 20.0
installed as permanent countermeasure from March to August 15.0 10-0m
2000. 10.0
As a result, the unstable behavior of Slope A that was 5.0 40-30m
apprehensive of danger from occurrence of the slope collapse
0.0
was dramatically stopped, and the excavation to riverbed for
dam abutment was completed in August 2001 and the placing -5.0
1-Jan-00

1-Jan-01

1-Jan-02

1-Jan-03

1-Jan-04

1-Jan-05

1-Jan-06
of dam concrete was over in September 2004. Accordingly, *1 *2 *3 *4 *5
the critical pass on the schedule of this project was favor-
ably completed. In other words, the bad influence by the *: period number
unstable behavior was prevented by careful observation, full
examination and prompt actions. Figure 7. Values of deformation at the RDM.

+: extension -:compression
4 LONG TERM MONITORING X (mm)
30.0 Depth:1.5m
4.1 Results of monitoring 25.0
For the purpose of monitoring, 5 sets of BTL and 6 sets of 20.0
Depth:2.0m
RDM have been used for the monitoring of Slope A since 15.0
1999. In this context, the monitoring periods were divided 10.0
into 5 periods as below: 5.0 Depth:1.0m
0.0
Period 1: FebruaryMarch 2000:
1-Jan-00

1-Jan-01

1-Jan-02

1-Jan-03

1-Jan-04

1-Jan-05

1-Jan-06

*1 *2 *3 *4 *5
Before countermeasure
Period 2: MarchAugust 2000:
During countermeasure *: period number
Period 3: September 2000August 2001:
Figure 8. Values of deformation BTL2 above F16 fault.
Excavation of foundation for dam abutment after
period 2
toppling of BTL4 and the depth of every 0.5 m from 33.0
Period 4: September 2001September 2004:
34.0 m, i.e. shear failure point of BTL2 respectively. Figure 7
Placing dam concrete
shows the values of deformations from 10.00.0 m area and
Period 5: September 2004 present:
40.030.0 m area of RDM. From these, the increase trend of
After placing dam concrete
both toppling and shear after period 3 was restrained.
Figure 5 and Figure 6 show the values of deformations Figure 8 shows values of deformations from 0.52.5 m of
on the depth of every 1.0 m from 18.020.0 m, i.e. observed BTL2 where the deformations along F-16 fault were partially

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2007 Taylor & Francis Group, London, UK

0.0900 (mm/day)
0.0600
0.0300
0.0000
Period1 Period2 Period3 Period4
Figure 9. Variations of deformation at the BTL2.
0.1500 (MM/DAY)
0.1200
0.0900
0.0600
0.0300
0.0000
Period 1 Period 2 Period 3 Period 4
Figure 10. Variations of deformation at the BTL4.
observed and the increase trend of deformation was restrained
in here.
4.2 Discussion on long term monitoring
Based on results of monitoring, it is recognized that the sta-
tus on deformations of the entire Slope A has been restrained
as mentioned above. Nevertheless, it is recognized that there
is the discrepancy on variation of deformation regarding top-
pling and shear strength. The trend of deformation at shallow
part is considered toppling behavior based on the data of
1820 m of BTL-4 and 100 m of RDM. While the trend of
deformation at deep part is considered of shear destruction
based on 34.033.0 m of BTL2 and 4030 m of RDM.
The deep part showed the steep movement in a short
term during the period 1, but it was not conspicuous or
almost nothing after since Period 2. Nevertheless, shallow part
comparatively continued its increase after the period 3.
Those situations are confirmed by the variation of defor-
mation of BTL4 and 2 in Figures 9 and 10 respectively.
From these, the mechanism on restraint of behaviors is esti-
mated as follows: after implementation of countermeasures,
the variation of behavior dramatically restrained at the slide
surface by shear deformation at first, and as a result, the sta-
bility at the deep part of Slope A was ensured. Then toppling
behavior was restrained. In other words, the likely converse
phenomenon with the time of unstable behavior occurred, and
therefore the Slope A stabilized.
The current variation at the deep part is 0.0008 mm/day and
the result of calculation of the inclination degree is 1.6 106
rad/day at the maximum. This is stated as the rank of stability,
that is, Change C in Table1.
2007 Taylor & Francis Group, London, UK
Table 1. Rank of inclination degree.
Depth
Rank of stability Inclination degree
18
19 Change A : The slope changes greatly Over 2.4 105 rad/day
20 Change B : The slope changes slowly 2.4 105 rad/day
4.8 106 rad/day
Change C : The slope is needed Below 4.8 106 rad/day
Period5 continuation observation
5 CONCLUSION
Depth
JWA carried out the large scale rock excavation works at
33.0
the place of complex alternations of dam site in the land
33.5 slide area in Japan. The height from the top of slope to dam
34.0 foundation was around 220 m, and the unstable behavior and
countermeasures at the upper part of this slope. i.e. Slope
A was described in this paper. Based on comprehensive geo-
logic investigations, observation systems were installed before
Period 5
excavation. After observation of the unstable behavior, the
prompt actions such as additional installation of equipment,
data review and analysis were taken.
Based on these actions, the toppling behavior of the entire
Slope A and expansion of shear failure surface were recog-
nized. Then, pre-stressed anchors were installed and the slope
was obviously into stable status. The dam construction com-
pleted according to the planned schedule without the large
scale collapse of Slope A at the dam site.
JWA have conducted the continuous observation by auto-
matic system since 1999. Based on the results of long
term monitoring, the restraint of behavior of Slope A was
confirmed.
ACKNOWLEDGEMENT
In addition, authors would like to thank forAssociate Professor
Dr. Yamabe and Dr. Osada of Saitama University for teaching
a method of stability evaluation of a slope.
REFERENCES
Japan Road Association. 1999. Indicator of a road earthwork
Stability of paste side and slope construction. 118 Tokyo: Japan
Road Association
M. Nonaka. & K. Kido. 2001. Analytical evaluation of the stability
of excavated slope in a dam site, JSCE Annual Meeting in 2001
VI098, 196197
T. Eguchi. & K. Kido. 2006. Long-term monitoring of deformation
behavior of large excavated rock slope, JSCE Annual Meeting in
2006 III182, 359360
Y. Aoki. & T. Eguchi. 2002. Instance of monitoring of deformation
behavior caused by excavated rock slope, JSCE Annual Meeting
in 2002 III384, 767768
622
 Modeling of excavated rock slope at Antaibao coal mine, China

Feng Jili & He Manchao

Institute of Geotechnical Engineering, China University of Mining and Technology, Beijing, China

ABSTRACT: We have investigated the rock slope deformation stability of Antaibao coal mine during mining by FLAC3D. An
optimal excavated scheme with relatively steep slope angle 47 instead of 30 was successfully implemented at the west wall on
the geological section 73200 of the mine. Mohr-Coulomb failure criterion was used in all present simulations. Engineering pro-
tection measures and treatments were provided and sufficiently implemented during mining operation to improve slope stability
and safety. All of these were based on the numerical simulation of optimal excavated sequence and in-situ monitoring data.

1 INTRODUCTION slope angle from 30 to 47 , taken the geological section

In the present work, we investigate the stability of rock slope
for Antaibao open pit coal mine as a typical engineering
example using numerical methods. Attention has particularly
been focused on the three-dimensional effect of the rock slope
due to excavation processes.
Antaibao open pit coal mine is situated on the 145 kilome-
ters southwest of Datong in China. Its total production is about
15 million tons per year. At the beginning of the last century
80, the mine was jointly opened up by the Peoples Republic
of China (PRC) and Island Creek Coal Company (ICC) of the
United State of America and since then a number of slope
designs have been developed. The optimal designs have not
only led to improvements in slope stability and safety but also
have given rise to cost savings. The coal mine is located at
an elevation of from 1190 to 1470 meters and has a projected
depth of 300 meters. At present, Antaibao open pit coal mine
is still one of the most advanced coal mines in China.
According to the investigation of in situ stress field and
geological data, the stress field acted on the rock masses
was basically determined by the weight of these rock masses
and was weakly affected by the local tectonics stresses which
were almost completely released, particularly to the relatively
shallow mining studied here. physical and mechanical prop-
erties of each geological unit must be properly determined.
Generally, intact rock properties which are not considered
the micro-cracks and the micro-defects within the rock are
determined by virtue of laboratory testing. However, there
is a significant difference between rock material and rock
mass characteristics so that it is compulsory in simulations
to determine representative physical and mechanical proper-
ties of the rock mass instead of intact rock material (Yasitli
and Unver, 2005). Data concerning the physical and mechan-
ical properties of coal and surrounding rock are presented in
Table 1 (CUMTB, 2005; CACGE, 1985), which was obtained
by laboratory tests conducted on core samples obtained from
exploration drilling and rock blocks taken directly from the
mine. The Mohr-Coulomb yield law is applied to model the
failures of the rock masses in the present simulations.
2 MODELING OF 3D EXCAVATED SLOPES
2.1 Three-dimensional effect of slope under excavating
One motive for the present study is to demonstrate the feasi-
bility of excavation scheme with the increase of the excavated
73200 from Antaibao open pit coal mine as a typical working
example, using FLAC3D. Under the considerations of exca-
vated process step-by-step and steep slope mining, the model
which is divided by 52250 elements and 57120 nodes con-
sists of 554 meters long (x-direction) and 500 meters wide
(y-direction) and 300 meters deep (z-direction), shown in
figure 1. The engineering rock masses which were originally
in an equilibrium state under the action of gravity would
become an open slope with the process of mining activity,
in which their stress states would be progressively adjusted.
As a matter of fact, as the axial length of slope increases with
excavating, such three-dimensional constraint effect was cor-
respondingly weakened so that the three-dimensional model
just discussed can be approximately simplified as a plane
problem to be modeled. Obviously, the critical axial length
which can be referred to as a standard in determination of
utilizing two or three dimensional model for satisfying the
requirement of evaluating the deformation characteristics of
the excavated slope definitely exists. Thus, ten calculation
cases which identify with the properties of material and the
boundary condition but respectively corresponding to differ-
ent axial length of excavated slope, i.e., 60, 100, 140, 180,
220, 260, 300, 340, 380, and 420 meters, were carried out, in
which every excavation implemented from top to bottom by
five steps. Both largest displacement and its horizontal com-
ponents all increase with the axial length of excavated slope,
shown in figure 2. It is observed from figure 2 that increas-
ing ratio of horizontal displacement was of significance before
reaching the axial length of excavated, 160 meters, afterwards,
this ratio slowly varied and approached to be zero. It is inter-
estedly found that the approximate critical length, i.e., 160
meters, obtained above, is just consistent with the height of
the excavated slope. Consequently, it can be predicted that
three dimensional effect of slope is of prominence under the
action of evident two-side constraint if axial length of exca-
vated slope is smaller than its corresponding height, whereas
such effect is barely noticeable.
2.2 Optimization design of excavated slope
As the discussion above, the traditional limit equilibrium
methods which never deal with the material deformation can
only be used to describe the strength state of slope material.
To excavated slope, nonlinear dynamic process closely relies
upon the deformation response of slope body under excavat-
ing. With the later in mind, we will optimize the excavated

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 Table 1. Physical and mechanical properties of rock mass.

Bulk Shear Tensile Frictional

Rock Density modulus modulus strength Cohesion angle
definition (kg/m3 ) (Pa) (Pa) (Pa) (Pa) (degree)

Weathering
sandstone No. 1 2500 3.0e8 2.0e8 2.0e3 1.0e5 25
Loess 1960 1.5e8 7.8e7 1.0e3 5.0e4 23
Weathering
sandstone No. 2 2380 8.0e8 5.0e8 1.2e5 8.0e5 30
Coal No. 4 1440 5.0e8 3.0e8 7.0e4 3.0e5 26
Shale No. 1 2550 1.3e9 8.0e8 1.6e5 1.0e6 32
Coal No. 9 1330 6.0e8 3.5e8 9.0e4 3.0e5 27
Shale No. 2 2560 8.0e8 6.0e8 1.4e5 6.0e5 30
Soil 1320 6.0e8 4.0e8 1.2e5 3.0e5 29
Fine sandstone 2600 2.5e9 2.1e9 1.2e6 3.5e6 39

Figure 1. Computational mesh of west wall slope at Antaibao open

pit coal mine and its excavated design schemes with different slope
angles.
Figure 3. Computation mesh of excavated slope on the northwest-
ern wall of Antaibao open pit coal mine and its optimal schemes. The
locations of monitoring points were represented by Arabic number.

Figure 2. Maximum displacements vs. axial length of slope exca-

vated advance, (a) maximum displacement varies with the axial
length of slope excavated, and (b) maximum horizontal displacement
component varies with the axial length of excavated slope excavated
advance.
design scheme for the geological section 7320 of Antaibao
open pit coal mine by virtue of the nonlinear large deforma-
tion mechanics model to guarantee the deformation stability
of excavated slope. It is noted that the key point about an
optimal excavated scheme is how to make the best of the
three-dimensional effect of excavated slope. Keeping the con-
stants of top-to-bottom excavated steps and slope angle, the
axial length of excavated slope advance which obviously influ-
ences the deformation stability become a key factor to control
the three-dimensional effect. Accordingly, simulations for the
optimal scheme were conducted as follows. In the first case
(case I), the axial length of excavated slope advance is 300
meters with two slope angles, 30 and 47 , simulating sep-
arately. In the second case (case II), the axial length is 100
meters, the others same as in the first case. In the final case
(case III), another 100 meters part is again excavated after
backfilling the 100 meters part along with the axial direction
of slope initially excavated, the others same as in the first
Figure 4. (a) Maximum displacements, and (b) their corresponding
horizontal components (x-direct) related with the excavated slope
angles.
case as well. Computational mesh and its optimal construct
schemes are given in figure 3.
Different maximum displacements and their corresponding
horizontal components (x-direction) are closely related with
the excavated slope angles, shown in figure 4. Since the back-
filling with waste rock mass and soil in the final case was again
acted as the active constraint on the surface excavated just, the
deformations of the excavated slope with either slope angle
30 or 47 were efficiently suppressed, referred their corre-
sponding results in figures 5, 6 and 7. From the viewpoint of
inelasticity mechanics, the plastic zone in the final case was
also obviously smaller than that of the other cases and there
were few of elements which were in shear or tensile failure
state, illustrated in figure 8-10, respectively, in which none
means elastic state of rock material at present on that area,
shear-n shear failure state at present, shear-p shear failure

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2007 Taylor & Francis Group, London, UK


Figure 5. Horizontal component field of displacement (x-direction)
corresponding to the case I (old excavated design), i.e. axial length
300 m along with excavating advance and slope angle 30 , without
backfilling.
Figure 6. Horizontal component field of displacement (x-direction)
corresponding to the case II, i.e. excavated axial length 100 m along
with excavating advance and slope angle 47 , without backfilling.
Figure 7. Horizontal component field of displacement (x-direction)
corresponding to the case III, i.e. after backfilling the initial exca-
vated rock materials again excavated axial length 100 m along with
excavating advance and slope angle 47 .
state in the past, and tension-n, tension-p holding the tensile
failure state at present or in the past.
In order to in detail observe the surface deformation of
the steep edge slope in the final case, the representative dis-
placement curves of ten monitoring points on the slope surface
(these points also marked in figure 3) are shown in figures 11a
and 11b, which vary with the process of excavating and back-
filling during iterating computation. After excavating, larger
displacements occurred on these points without considering
the creep effect of the rock mass. However, the backfilling
instantaneously compensated the disequilibrium of excavated
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2007 Taylor & Francis Group, London, UK
Figure 8. Failure field corresponding to the case I (old excavated
slope angle), i.e. axial length 300 m along with excavating advance
and slope and 30 , without backfilling.
Figure 9. Failure field corresponding to the case II, i.e. excavated
axial length 100 m along with excavating advance and slope angle
47 , without backfilling.
Figure 10. Failure field corresponding to the case III, i.e. after
backfilling the initial excavated rock materials again excavated axial
length 100 m along with excavating advance and slope angle 47 .
body force which could result in the deformation of the slope,
so that after backfilling on the partial initial excavated surface
the total axial length, 100 meters, of the excavated slope was
decreased and the deformation was also reduced by compar-
ing with the former two cases. If, admittedly, the instantaneous
backfilling was made until to identify with the original exca-
vated body, the excavated scheme would be approximately
optimal for it not only made the best of waste rock masses or
soils but also saved a great amount of money for the investors.
On the other hand, as the axial length of the slope is about equal
to its corresponding height, the three-dimensional effect is of
inevitable prominence, which is necessary here for the final
case to support the choice of steep-slope excavated scheme.

Figure 11a. The horizontal displacements (x-direction) on the mon-
itoring points varied with iterations of excavating and backfilling, for
the steep excavated slope (case III), (a) Monitoring points 1 to 5.
Figure 11b. The horizontal displacements (x-direction) on the mon-
itoring points varied with iterations of excavating and backfilling, for
the steep excavated slope (case III), (a) Monitoring points 6 to 10.
3 STABILITY CONTROL STRATEGY ON THE
EXCAVATED SLOPE
The numerical results just discussed have provided some use-
ful insights into the deformation mechanisms in the excavated
rock slope. These also demonstrate that it is necessary to take
action for ensuring the stability of Antaibao open pit coal
mine under mining operation. Considering possible rainfall
and other unpredictable factors together with the investiga-
tions mentioned above, six technological measures as follows
must be sufficiently implemented under mining.
I. Reduce mining length along the direction of the slope
excavated advance for improving the stress state of rock
masses surrounding the excavated surfaces. Excavated
length (north-south direction) along the axial direction of
slope excavated advance is strictly limited to be 100 meters
for sufficiently considering the 3D effect of slope excavated
process.
II. Control blasting area for minimizing the amount of damage
inflicted upon the rock slopes left behind. Near coal seam
No. 9 blasting will be prohibited when under mining of
such coal seam.
III. Pre-fracture blastholes have to be performed above the face
to preserve the integrity of rock mass.
IV. Sixty-meter wide coal rock and its overcast must be
permanently saved to play a burden role in the slope.
V. Fast excavate and instantaneously backfill. In practice, it is
ensured that excavation and backfilling must be completely
finished within two weeks.
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2007 Taylor & Francis Group, London, UK
VI. In situ observation must be intensified to sufficiently
collect the information of field response such as the varia-
tions of displacements and stresses, and effectively predict
possible risk under mining.
4 CONCLUSION
We have applied FLAC3D to evaluate the stability of Antaibao
open pit coal slope and presented a new excavated design
scheme which has successfully been put in practice at the
geological section 73200 of the coal mine, thereby allowing
the mine to accrue over RMB216 million in additional income.
Since the irreversible process of energy dissipation and energy
release under mining is significantly influenced by excavation
sequence, excavated scheme of rock slope were optimized by
means of large deformation analysis tools such as FLAC3D to
give an optimal choice for mine engineers and investigators.
Appropriate excavated schemes such as the strict control
axial length of slope excavated advance at each step can
considerably increase the 3D effect of rock mass deforma-
tion. Accordingly, in rock engineering practice, such valuable
3D effect should be sufficiently utilized to reduce the harm-
ful deformation of slope. Mechanical deformation patterns
and plastic states as well as coupling effect of slope due to
fluid flow action are globally considered to further help bet-
ter understanding the rationality of support design scheme of
excavation construction.
Combining numerical simulations with in situ measure,
some engineering treatments such as reduced slope angle and
backfilling have to be taken in the key parts which are of pos-
sible failure, in order to ensure normally mining production.
The steep slope excavated scheme proposed for the geo-
logical section 73200 is in fact feasible when rainfall and
earthquake action are not taken into account. In practice, fast
excavation and instantaneous backfilling at Antaibao open pit
coal mine have to be made under mining operation. Particu-
larly, in situ observation must be intensified during the raining
season to sufficiently monitor the variations of displacement
and stress, and effectively predict possible hazard of the slope
failure under mining.
ACKNOWLEDGEMENTS
This work was jointly supported by Major Project of National
Natural Science Foundation of China (contract no. 50490270),
Innovative Group Project of National Natural Science Foun-
dation of China (contract no. 50221402), Major Project of
Scientific Research of the Ministry of Education of the
Peoples Republic of China (contract no. 10405), National Nat-
ural Science Foundation of China (contract no. 10572008),
and Natural Science Foundation of Beijing (contract no.
3063019).
REFERENCES
Hoek, E. and Bray, J.W. Rock Slope Engineering. The Institution of
Mining and Metallurgy, London, 1977.
FLAC3D (version 2.0) Users Manual, Itasca Consulting Group Inc.
Minnesota, USA, 1997.
Griffiths, D.V. Stability analysis of highly variables soils by elasto-
plastic finite elements.
Griffiths, D.V. and Lane, P.A. Slope stability analysis by finite
elements. Geotechnique 49, 3, 1999, 387403.
Ping Shuo Project An Tai Bao Mine Geotechnical Investigation
HighwalI Stability. Chen & Associates Consulting Geotechnical
Engineers (here simplified as CACGE), March 8, 1985.
On slope stability of coal mine at Antaibao, Institute of Geotech-
nical Engineering, China University of Mining and Technology
(Beijing) (also simplified as CUMTB), 2005 (in Chinese).
627
2007 Taylor & Francis Group, London, UK
Smith, I.M. and Griffiths, D.V. Programming the finite element
method. Wiley, 2004.
Stead, D., Eberhardt, E. and Coggan, J.S. Developments in the char-
acterization of complex rock slope deformation and failure using
numerical modeling techniques. Eng. Geol. 83, 2006, 217235.
Yasitli, N.E. and Unver, B. 3D numerical modeling of longwall min-
ing with top-coal caving. Int. J. Rock Mech. Min. Sci. 2005; 42:
219235.
 Numerical modeling and shear strength estimates of bi-planar dip slope failures

B.R. Fisher
Geological Engineering/Earth and Oceanic Sciences, University of British Columbia, Canada
Kleinfelder Inc., Washington, USA

E. Eberhardt
Geological Engineering/Earth and Oceanic Sciences, University of British Columbia, Canada

ABSTRACT: A dip slope where there is no persistent discontinuity daylighting and dipping out of the slope face requires
a complex mode of toe breakout and internal secondary (inter-slice) shearing for failure to occur. A dip slope in this sense
is a natural or engineered/cut slope where prominent discontinuities (e.g. bedding, faults etc.) dip parallel to the slope face.
Results are presented that focus on distinct-element modeling of a dip slope in southern California, USA, for the purpose of
better understanding bi-planar failure modes. These show that the failure mechanism requires the development of secondary
shears, through an active-passive wedge, and the development of a step path along joints and through intact rock to enable
kinematic release. In these cases, numerical modeling is required together with relevant limit equilibrium solutions (e.g. Sarma)
to properly assess the stability state and establish safe setback distances behind the crest of the slope.

1 INTRODUCTION

A dip slope is a natural or man-made slope that is coinci-

dent with a prominent discontinuity. This discontinuity may
be bedding in sedimentary units, foliations in metamorphic
rock, or a fault or shear. The geotechnical literature describes
three modes of toe break failure where a prominent dis-
continuity does not daylight from the slope. These include
buckling, ploughing, and rock mass failure through the toe
(referred to as toe breakout). Buckling and ploughing failures
are shallow, do not extend behind the slope crest a great dis-
tance, and are generally encountered in thinly bedded rock,
for example as encountered in open pit coal mining (e.g.
Stead & Eberhardt 1997). The third mode of failure is that
Figure 1. Typical dip slope where structural setbacks are required.
of bi-planar sliding. Bi-planar failures involve sliding of the
upper slope along a slope-parallel prominent discontinuity
(e.g. bedding) and rock mass failure through the slope toe or 2 ACTIVE-PASSIVE CONTROLS
along a step path to accommodate kinematic release. These
failures may impact a significantly larger area behind the Kvapil & Clews (1979) describe planar and bi-planar failures,
slope crest. where the presence of a Prandtl wedge (or transition zone)
The potential for deep-seated, bi-planar rock slope fail- develops between the active and passive zones of the slide
ure in weak sedimentary rock types has become an issue in mass (Fig. 2). This transition zone is characterized by severe
establishing setback distances for land development, given fracturing and secondary shearing of the rock mass as the
the impact that a deeper rock mass failure would have rel- forces are transmitted from the active to passive block. The
ative to a shallower buckling or ploughing mode of failure. rock mass is literally squeezed between the active and pas-
Figure 1 shows a typical bedded slope where the stability sive sections, with large transverse displacements and bulging
of the slope will dictate the setback distance for structures of the rock mass being observed within the transition zone. In
built behind the crest. When establishing safe setbacks, the contrast, very little rock mass deformation occurs in the active
practitioner is faced with making simplifying assumptions zone; the majority of the deformation is concentrated along the
regarding the mode of failure and the rock mass strength at slope-parallel, persistent plane of weakness that serves as the
the toe, as there is no clear set of design guidelines, analyti- release surface in the upper part of the slope. Likewise, there
cal procedure, or precedents to guide these evaluations. This is minimal disturbance of the rock mass within the passive
paper begins to address these shortcomings by presenting the zone, although more than in the active zone.
results of a detailed investigation focused on toe breakout Thus, the rock mass strength within the Prandtl wedge, and
mechanisms in dip slopes where a bi-planar failure mode is at the slope toe, largely dictates the amount of movement and
expected. ultimately the stability of the rock slope.The strength along the

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Figure 2. Active-passive rock slope failure model (after Kvapil &
Clews 1979).
rupture surface in the upper slope is also important however,
as it controls the amount of driving force transmitted to the
Prandtl wedge and passive zone below.
3 TOE BREAK OUT MECHANISMS
3.1 Plasticity theory model
Within dip slopes, there is a fully persistent discontinuity
that is parallel to the slope, which facilitates sliding of the
active block and stresses the Prandtl wedge/transition zone.
The major principal stress in the upper slope is essentially
parallel to this discontinuity and thus the slope face.
Without a similar persistent cross-cutting discontinuity dip-
ping out of the slope face, toe breakout must occur through
rock mass failure, which can be described in part by plasticity
theory (again, assuming that there is no preferential failure
path along an adversely oriented discontinuity at the slope
toe). Plasticity theory is useful for describing the orientation
of failure within a soil or rock mass in relation to the orien-
tation of principal stresses in the slope. While generating the
Hoek-Brown failure criterion, Hoek & Brown (1980) discuss
the most critical failure surface of intact rock and the influ-
ence of the inclination of a joint during a triaxial test (Fig. 3).
They state that the angle between the principal stress and the
failure surface () is equal to:
Therefore, without a clear persistent discontinuity dipping
adversely out of the slope face near the slope toe, failure would
proceed at the angle described by . Because the major prin-
cipal stress within dip slopes is parallel to the slope face, it is
convenient to envision the orientation of as being the angle
between bedding and the orientation of the failure surface at
the toe. This is shown in Figure 1, where the angle also
describes the orientation of an interslice shear that develops
to accommodate slip along the toe breakout surface.
Hoek & Brown (1980) go on to state that a pre-existing
discontinuity, where is greater than 60 , has no influence on
the maximum principal stress. It then follows that in the case
of near orthogonal jointing, the cross-joints should not play
a significant role in the slope stability estimate, at least with
respect to toe breakout in the form of slip along a persistent
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2007 Taylor & Francis Group, London, UK
Figure 3. Relationship of shear failure surface to principal stresses
in triaxial test (after Hoek & Brown 1980).
cross-joint. Instead, the shear strength to use for the toe break-
out surface should be that of the equivalent continuum rock
mass shear strength.
3.2 Step-path model
A step-path failure is one where toe break out develops through
the combined sliding along non-persistent joints and through
intact rock bridges. Jennings (1970) presented a detailed and
theoretically correct model for estimating the stability of a
slope where step-path failure may occur. The model effectively
uses a weighted average of the shear strength of the joints and
the shear strength of the intact rock through which the slid-
ing surface develops. More recently, the Hoek-Brown failure
criterion (Hoek & Brown 1997) presents a means to weight
the combined influence of intact rock and non-persistent joint
strength as an equivalent continuum rock mass strength.
4 CASE HISTORY: SOUTHERN CALIFORNIA, USA
During the past five years, the lead author has been involved
with a consulting project in Southern California where the
stability of a dip slope required detailed evaluation.An account
of the investigation and slope stability analysis can be found in
Fisher & Eberhardt (2006). In summary, a developer proposed
building homes behind the crest of a 60-m high dip slope
composed of interbedded sandstone with minor amounts of
shale and siltstone.
The geologic structure of the slope was extensively mapped,
with the distribution of discontinuity orientations and spac-
ings determined through outcrops, core logging and downhole
imaging (i.e. borehole televiewing). The strength of the intact
rock and discontinuities were estimated by performing labo-
ratory testing following ISRM suggested procedures (ISRM
1981).
The rock slope was cut by three primary discontinuity sets,
which interconnected to form orthogonal blocks. Bedding
planes bounded the top and bottom faces of the blocks, lateral
joints bounded the sides, and cross-joints bounded the front
and back of the blocks in the direction of sliding. The cross-
joints truncated at the bedding planes, whereas the lateral
joints were continuous. Bedding was easily traced between
boreholes suggesting a very high persistence. The geologic
characterization completed for the case history is the basis for
the numerical models presented in the following section.
Figure 4. Distinct element modeling of a massively bedded dip
slope, where the toe breakout and interslice shear surfaces that
develop match those described by plasticity theory.
5 NUMERICAL MODELING
Distinct-element modeling was carried out using the com-
mercial code UDEC (Itasca 2006) to gain insights into the
failure mechanisms most common to dip slope failures. The
cases considered were: 1) failure of a simple bi-planar block
where jointing is, primarily, treated implicitly (i.e. in the
form of an equivalent continuum); and 2) thinly bedded
slopes cut by cross-joints truncated at their intersection with
the highly persistent bedding planes. The material properties
used were those based on laboratory testing and rock mass
characterization (Fisher & Eberhardt 2006).
5.1 Numerical modeling Influence of plasticity
The first phase of numerical modeling examined a simpli-
fied bi-planar block geometry, which included only a single
bedding plane and a persistent orthogonal cross joint at the
toe of the slope (Fig. 4a). This configuration differs from that
observed in the field, where the cross joints were seen to be
much more limited in persistence, but was one of the stability
conditions requested by the review board to be analyzed.
Results employing a Mohr-Coulomb elasto-plastic yield
criterion suggest that the toe failure mechanism follows that
predicted by plasticity theory (Fig. 4b). The plasticity indica-
tors from these models clearly show the localization of shear
bands that develop within the joint-bounded block. Both toe
breakout and interslice shear surfaces can be seen to develop at
angles of 25 , clockwise and counter-clockwise respectively,
from bedding (Fig. 4b). When combined with the friction angle
used for the intact rock, = 40 , these agree with the angles
predicted from plasticity theory (see Fig. 1). The angle mea-
sured between the two shear surfaces in the model results (Fig.
4b) is 130 , which agrees with the 90 + angle predicted from
plasticity theory.
The development of a bi-planar shear surface was also
observed for geometries more closely following that observed
in the field, namely thinly bedded rock with cross-cutting
joints. These results are discussed in the next section.
2007 Taylor & Francis Group, London, UK
Figure 5. Distinct element modeling of a thinly bedded dip slope,
dipping at: a) 35 and b) 45 .
5.2 Numerical modeling Influence of step path
To examine the influence of bedding and cross-jointing on
the development of toe breakout, models were analyzed that
more closely represented the spacings observed in the field.
Figure 5b shows the results for a thinly-bedded slope inclined
at 35 , where the angle between bedding and the cross joints
(measured clockwise from bedding) is also 35 . The plasticity
indicators for this model show that the breakout shear surface
is horizontal and sympathetic to the joint orientation. Figure
5c shows the results for a slope dipping at 45 , with a 45
angle between bedding and cross-joints. With the increased dip
angle, the toe breakout shear follows the cross joints initially
but then deviates to an angle of 20 to 25 from bedding. In
both cases, the interslice shear is sub-vertical (or normal to
the cross joints).
Comparing these results, it can be seen that the cross joints
play a more significant role in the development of the toe
breakout, especially for the 35 slope, as shearing and sliding
occurs preferentially along them. As such, the toe breakout
along the cross-joints and through the intact rock bridges
between departs from the 25 angle predicted by plasticity
theory.
In the case of the 45 slope, the toe breakout shear more
closely develops at 25 from bedding. Initially, sliding is
preferred along the cross-joints near the slope face where
confinement (and thus the normal stresses) is low. As the con-
fining stresses increase into the slope, sliding concentrated
along the cross-joints is no longer preferred and shearing
develops along a path that steps up and through cross-joints,
bedding and intact blocks, along the angle predicted by
plasticity theory.
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6 DISCUSSION & CONCLUSIONS
Results are presented that focus on distinct-element modeling
of a dip slope in southern California, for the purpose of better
understanding toe breakout and bi-planar failure where a per-
sistent discontinuity does not daylight and dip out of the slope
face. Model results show that a bi-planar failure mode devel-
ops through breakout and interslice shears that form through
an active-passive wedge mechanism. In thinly bedded models
with closely spaced cross-joints, the toe breakout shear devel-
ops as a step path along and through cross joints, bedding and
intact rock.
Plasticity theory was shown to accurately describe the
development of the toe breakout and interslice shear surfaces
relative to the slope parallel major principal stress. The com-
plex failure mode demonstrated the importance of considering
both the role of discontinuities and rock mass strength. Thus in
calculating a safety factor to establish safe setback distances,
a method of slices approach such as Sarmas (1979) method
that accounts for the strength along inclined interslice bound-
aries is required. Given the complexity involved, the use of
Sarmas method in tandem with rock mass characterization to
determine the interslice/rock mass shear strength and distinct-
element modeling to investigate the failure mode provides a
solid overall approach to base guidelines and decisions on.
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2007 Taylor & Francis Group, London, UK
REFERENCES
Brown, E.T. 1981. Rock characterization, testing and monitoring
ISRM suggested methods. Oxford: Pergamon.
Fisher, B. & Eberhardt, E. 2006. Dip slope characterization for resi-
dential development in Southern California using the Hoek-Brown
Failure Criterion. In 41st U.S. Symposium on Rock Mechanics,
Golden. CD: 06-1083, 9pp.
Hoek, E. & Brown, E.T. 1980. Underground excavations in rock.
London: The Institution of Mining and Metallurgy.
Hoek, E. & Brown, E.T. 1997. Practical estimates of rock mass
strength. Int. J. Rock Mech. Min. Sci., 34: 11651186.
Itasca 2006. UDEC (v.4.0). Minneapolis: Itasca Consulting Group.
Jennings, J.E. 1970. A mathematical theory for the calculation of the
stability of slopes in open cast mines. In Planning Open Pit Mines,
Johannesburg. Cape Town: A.A. Balkema, pp. 87102.
Kvapil, R. & Clews, K.M. 1979. An examination of the Prandtl mech-
anism in large-dimension slope failures. Trans. Instn. Min. Metall.
(Sect. A: Min. Industry), 88: A1A5.
Sarma, S.K. 1979. Stability analysis of embankments and slopes.
J. Geotech. Eng. Div., ASCE, 105: 15111524.
Stead, D. & Eberhardt, E. 1997. Developments in the analysis of
footwall slopes in surface coal mining. Eng. Geol., 46: 4161.
 Numerical modelling of composite large scale rock slope failure mechanisms
dominated by major geological structures

J. Franz, Y. Cai & B. Hebblewhite

School of Mining Engineering, University of New South Wales, Sydney, Australia

ABSTRACT: Current methods for analysis of slope stability are often unsuitable for design of todays very deep open pit mines.
Slope behaviour must be predicted accurately, because a small change of slope angle can have serious technical and economical
consequences. In this paper, large scale slope failure processes in hard rock deposits dominated by large scale geological
structures are systematically investigated by numerical stress analysis. The geological structures are explicitly modelled within
a certain range of parameters commonly reported from large scale open pit mines.A parametric study is conducted, concentrating
on critical factors affecting the development of large scale and deep-seated slope failure mechanisms. Identified slope failures
are found to be dominated by plane shear failure on modelled structures and subsequent local rock mass failure, resulting in a
step-path like failure surface. Particularly for very high rock slopes, behaviour of deep-seated structures can induce large scale
instabilities.

1 INTRODUCTION

Very deep open pit mines have become an economically

viable option compared to underground mines. This implies
the design and management of rock slopes of a depth in the
1,000 metre range. However, large scale rock slope failure
mechanisms are not completely understood, and often they
comprise a number of different mechanisms. Geomechanical
pit design parameters are subject to uncertainties, and experi-
ence from large scale pits within a similar geotechnical setting
is usually rare which makes a reliable prediction of slope
behaviour a complex task. On a large scale, a small change
of slope angle can have significant technical and economical
consequences. Therefore, the development of new systematic
approaches to identify and to investigate large scale rock slope
failures has been described to be perhaps the most impor-
tant geomechanics research need in open pit mining (Brown,
2004).
2 BACKGROUND AND OBJECTIVES
Major rock discontinuities can extend over several hundreds
of metres, and it is common practice to include them explicitly
into slope stability analysis. However, discontinuities that are
more limited in length but exceed bench scale size occur
more often. They can initiate failure mechanisms involving
both sliding on rock discontinuities and failure of the rock
mass in between them. The resulting failure surface can be
planar, step-path shaped, or of curved shape as illustrated in
Figure 1.
Step-path failure surfaces can be investigated by performing
a probabilistic analysis (Baczynski, 2000). This tool provides
a valuable and logical approach, however, it does not specifi-
cally consider the increased importance of the stress field and
deformation processes in very high rock slopes.
Well constructed numerical stress analysis models can over-
come the latter problem, but the explicit representation of
impersistent structure often gets lost in favor of an advanced
equivalent continuum, considering ubiquitous joint models
Figure 1. Step-path and curved failure surfaces in large scale rock
slopes.
or anisotropic rock mass. The latter approaches can yield
conservative and/or misleading results.
This study addresses this concern by investigating the influ-
ence of impersistent, large scale rock discontinuities on slope
behaviour by explicitly considering them in numerical models.
The rock mass between these major discontinuities is consid-
ered be an isotropic continuum, containing only small scale
structures not specifically contributing to a large scale, struc-
turally controlled slope failure. It is analysed which slope
conditions initiate the failure mechanisms described above,
and it is aimed to advance the understanding of interaction
between large scale discontinuities and the rock mass between
them.
Only models that are able to explicitly include discontinu-
ities and an elasto-plastic rock mass are suitable to systemat-
ically investigate this problem. For the purpose of this study,
the program UDEC (Universal Distinct Element Code) was
used (Itasca, 2005).
3 MODELLING METHODOLOGY
A UDEC model is divided by contact joints into deformable
blocks which can be discretized into triangular finite dif-
ference elements. This allows the analysis of discontinuity

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2007 Taylor & Francis Group, London, UK


Figure 2. Model plot for slope angle of 50 and structure dip angle
of 35 .
slip and separation behaviour as well as block deformation.
Explicit time-marching is used to solve the equations of
motion.
In this study, the Coulomb slip model was used for the dis-
continuities, and an elasto-plastic Mohr-Coulomb model was
used for the rock mass in between the discontinuities. A two-
dimensional model of 2700 m width and 2000 m height was
built that allowed for excavation in four stages (250 m, 500 m,
750 m and 1000 m). Plane-strain conditions were assumed,
and all simulations were run with a horizontal to vertical stress
ratio of 1.7. The overall slope angle in this study was varied
between 40 and 60 .
To improve computation speed, discontinuities were only
generated into a large model zone behind the slope surface.
An automated stochastic procedure was used to generate dis-
continuities with UDEC joint segment lengths between 100 m
to 200 m, considered to be long enough to cause instabilities
on an inter-ramp slope scale. The scope of the investigation
was limited to structures with the potential to slide, and hence
discontinuity dip angles towards the excavation were varied
between 20 and 50 degrees. The simulated discontinuities
were assumed to occur in widely spaced sets, and to contain
an infilling with thicknesses from centimetres to decimetres.
Main structures at a mine scale were excluded from the study.
A plot showing the established model zones used for different
discretization densities and the four excavation levels is given
in Figure 2 for the case of a slope angle of 50 , a dip angle of
35 and a spacing of 20 m.
Within the performed simulations, discontinuity shear
strength parameters, orientation and spacing were systemati-
cally varied between defined limits. A wide range of typical
values for the shear strength of the described structures can be
found in literature. Mostly, these values are related to very low
confinement conditions as existing in benches of an open pit,
and structure cohesion is often neglected when blast related
damage is to be considered. This study particularly concen-
trated on deep-seated slope failures and large scale structures,
and therefore cohesion values between 50 kPa and 200 kPa
were applied to the structures. Friction angles were varied
between 20 and 30 .
It can be expected that the majority of large scale open pits
will be mined in copper porphyry type ore deposits (Hoek
et al., 2000). Therefore, this investigation focused on hard
rock environments.
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2007 Taylor & Francis Group, London, UK
The rock mass (excluding large scale discontinuities) was
assumed to be isotropic, and for modelling purposes its
strength was derived employing the Geological Strength Index
(Hoek et al. 2002). A GSI in the range of 85 was anticipated
to reflect the assumed, competent rock mass conditions. The
intact rock uniaxial compressive strength was varied between
80 MPa and 120 MPa (mi = 20, assumed to be constant), and
the disturbance factor was chosen to be D = 0.5 in order to rep-
resent relatively undisturbed conditions of deep-seated rock
mass compared to bench slope analyses. The required Mohr-
Coulomb parameters for the UDEC block model were derived
from these assumptions.
This study is interested in slope instabilities caused by deep
seated failure processes. During the simulations, the major
discontinuities were therefore prevented from daylighting at
the slope surface which otherwise would cause local failure.
In recognition of blast related damage, a disturbance factor
of D = 1 was considered for rock mass in a layer of 30 m
thickness parallel behind the slope surface.
Critical slopes states can be identified by the formation of
a continuous failure surface throughout the slope, i.e. slip on
structures and failure of the rock mass between them. Other
indicators to assess the state of the UDEC model include grid-
point velocities, and the ratio of the maximum unbalanced
force to the representative internal force in the model.
4 RESULTS
Independent of the parametric configuration used in this study,
the development of a continuous failure surface that could lead
to a large scale slope failure was not predicted by the simu-
lations for an overall slope angle of 40 . Block movements
stabilized, and only for slopes deeper than 750 m localized
rock mass yielding was observed at the slope toe. Localized
slope failure due to daylighting structures was not included in
this study as outlined above.
Depending on parametric configuration of the geological
structures, critical slope states developed for slope angles
steeper than 50 . A further increase of slope angle, while
other parameters of relevance remained unchanged, resulted
in both increased rock mass failure and structure slip. A vari-
ation of rock mass parameters within the range used in this
study was not found to be very sensitive with regard to the
development of slope failure. Rather, and considering the
structure size implemented, it appears that the structure dip
angle and shear strength dominate slope performance under
the simulated conditions.
Modelled slopes containing structures that were assigned
a shear strength expressed by both a friction angle of at
least 25 and cohesion of 150kPa generally remained stable.
Stable slope conditions do not necessarily mean that the con-
ditions for structure slip would not be fulfilled. Large zones
reaching several hundreds of meters behind the slope sur-
face were identified where the structure slip criteria are met.
However, due to insignificant relative displacements and rock
mass deformation no failure occurs. An example is shown in
Figure 3.
For slope angles of 50 or steeper and structure shear
strength defined by both a friction angle of less than 25 and
a cohesion of less than 150 kPa, the key driver providing the
conditions for initiation of slope failure was the structure dip
angle. Due to the discontinuity shear strength parameters used
in this study, the failure potential on structures with relatively
Figure 3. Large scale discontinuities at shear limit ( = 25 ,
c = 150 kPa) for a 1000 m high slope with 50 slope angle (structure
dip angle/spacing 35 /40 m), intact rock UCS = 100 MPa.
Figure 4. Large scale discontinuities at shear limit ( = 20 ,
c = 100 kPa) for a 1000 m high slope with 50 slope angle (structure
dip angle/spacing 20 /20 m), intact rock UCS = 90 MPa.
shallow dip angles is limited. However, for slopes with a height
of 500 m or more, the slope stress state causes structure slip
to occur even if their dip angle is smaller than or equal to
the structure friction angle, which is unexpected if general
assumptions of limit equilibrium approaches are taken into
consideration.
Near surface zones where discontinuity slip can occur are
limited to the slope toe region as shown in Figure 4. Such zones
can be deep-seated and could potentially combine with failure
processes in slope regions located higher within the slope.
Although all modelled slopes with a dip angle of 20 reached
an equilibrium state, other factors as daylighting structures
could be a trigger for large scale slope failure in slopes higher
than 500 m.
For structure shear strength parameters and slope angle in
the critical range indicated above, an increased structure dip
angle results in an increased number of structures that fulfill
the slip condition. Relative structure displacements increase
and finally results in breakage of rock (mass) bridges. For
structure dip angles between 30 and 40 , a slope persistent,
combined failure surface forms, where both yielding of struc-
tures and of the rock mass between them occurs. The failure
surface has the form of a step-path, where mainly tensile
yielding causes the failure of rock bridges. Shear failure is
2007 Taylor & Francis Group, London, UK
Figure 5. Current rock mass yielding and structure shear dis-
placements ( = 20 , c = 100 kPa) for a 500 m high slope with
50 slope angle (structure dip angle/spacing 35 /40 m), intact rock
UCS = 100 MPa.
observed at the slope toe. An example for a 500 m high slope
is shown in Figure 5.
Referring to Figure 1, all failure surfaces identified in this
study were of planar shape, and failure paths of dominantly
circular shape were not predicted. For structures with moder-
ately steep dip angles between 30 and 40 , deep-seated slope
failure mechanisms may develop that are initiated by slip and
deformation of large scale structures. Slope failure initiation
itself is not essentially related to a certain slope height. All
slope models predicting step-path failure mechanisms for a
slope height of 1000 m also failed at heights of 750 m and
500 m. Failure mechanisms at increased height, however, are
much further developed and slopes with a height of 1000 m
produced overall slope displacements three times as large as
those that occurred for slopes of half the height. The structure
spacing has a significant influence on failure initiation. Gener-
ally, the closer the spacing, the more developed is the failure
surface. If slope failure occurred for a simulated structure
spacing of 20 m, the majority of models remained unstable
even if the spacing was doubled. Models containing widely
spaced structures (80 m) predicted no large scale instabilities.
Steep dipping structures, with dip angles steeper than 40 ,
cause failure paths that are located nearer to the slope surface.
Failure usually occurs on a scale that would involve multiple
benches rather than the overall slope. This is caused by local
crushing of near surface rock mass and tensile rock mass fail-
ure between several large scale structures. Also in this case,
the failure surface generally has a planar shape. The forma-
tion of large scale failure surfaces stops if structure dip angles
are subparallel or nearly subparallel to the overall slope angle.
The structure spacing has a significant effect on slope stability
for steep dip angles. Large scale failures only develop for rel-
atively close spacings (20 m), while no instabilities occurred
with wider spacings (40 m and 80 m).
Selected models that predicted critical slope states were
further investigated. A persistent set of structures perpendic-
ular to the direction of the non-persistent structures already
considered was introduced into the models. The properties
assigned to the new discontinuities were similar to those of
the non-persistent set, and spacings between 20 m and 40 m
were applied. The high rock strength used in the models would
prevent bending of the columns and thus initiation of large
scale toppling.
635

Figure 6. Large scale discontinuities at shear limit ( = 20 ,
c = 100 kPa) for a 500 m high slope with 50 slope angle (structure
dip angle/spacing 35 and 125 /40 m), intact rock UCS = 100 MPa.
Significant slope failure developed in these models. The
failure mechanism is predominantly driven by planar shear
failure but subvertical, toppling structures provide signifi-
cantly more release surfaces and potential for slope deforma-
tion. A plot indicating discontinuities at their shear limit for
the same slope as presented in Figure 5, but now including a
subvertical structure set, is shown in Figure 6.
The failure surface develops from the slope toe after slip
starts on the in-dipping structures. This action causes several
of the toppling structures to open up but they do not signifi-
cantly contribute to slope displacements in the lower part of the
slope. Release and deformation in the lower slope causes sig-
nificant opening of subvertical structures in the upper slope,
leading to tensile failure of rock columns and subsequent
downwards movement.
5 CONCLUSIONS
A theoretical parametric study investigating large scale slope
failure mechanisms using UDEC was performed, concen-
trating on hard rock deposits disturbed by large scale non-
persistent structures. A variety of critical factors influencing
slope behaviour were systematically varied throughout the
study. The study is intended to give insights into large
scale slope instabilities that are dominated by large scale
discontinuities.
The study showed that failure mechanisms in such deposits
can be controlled by non-persistent major structures rather
2007 Taylor & Francis Group, London, UK
than by the strength of surrounding rock bridges, consider-
ing the limits of rock mass strength applied in above models.
This slope behaviour particularly applies if structures occur
in sets with relatively close spacings (20 m40 m). For criti-
cal structure dip angle and geomechanical properties, planar
shaped step-path failure was observed. The failure mecha-
nism is driven by slip on major structures and subsequent
slope deformation and rock mass failure processes. Subcritical
slope states, where no significant slope instabilities have been
predicted by the models, showed that slip conditions can still
be fulfilled on deep-seated structures. These results become
particularly important for very high rock slopes subjected to
states of increased stress at the slope toe. In such cases, release
triggers like daylighting structures could initiate massive slope
failure.
It has been shown that such structures, although non-
persistent and deep-seated, can significantly influence large
scale slope performance. In a geological setting as used in
this study, a proper representation of discontinuities in stabil-
ity analysis could be as or more important than a very rigorous
program to quantify smeared rock mass strength.
ACKNOWLEDGEMENT
The authors would like to thank Newcrest Mining Limited Pty
Ltd for providing financial resources to this project. Technical
contributions and guidance given by several of their staff are
appreciated.
REFERENCES
Baczynski, N.R.P. 2000. STEPSIM4 step-path method for slope
risks. In GEOENG2000: An international conference on geome-
chanical & geological engineering, Vol. 2: pp. 86. Lancaster,
Pennsylvania, USA: Technomic Publishing Co.
Brown, E.T. 2004. Geomechanics: The critical engineering discipline
for mass mining. In Karzulovic, A. & Alfaro, M (eds), Massmin
2004, pp. 2136. Santiago, Chile: Chilean Engineering Institute.
Hoek, E., Carranza-Torres, C. & Corkum, B. 2002. Hoek-Brown
failure criterion 2002 edition. In R. Hammah, W. Bawden,
J. Curran, M. Telesnicki (eds), Mining and Tunneling Innova-
tion and Opportunity: 267273. Toronto, Canada: University of
Toronto Press.
Hoek, E., Rippere, K.H. & Stacey, P.F. 2000. Large scale slope
designs a review of the state of the art. In W.A. Hustrulid, M.K.
McCarter, D.J.A. Van Zyl (eds), Slope stability in surface mining:
310. Littleton, Colorado, USA: SME.
Itasca Consulting Group 2005. UDEC (Universal Distinct Element
Code) Version 4.00. Minneapolis, MN, USA.
636
 Optimization criteria for using dynamic rockfall protection systems

J. Gonzlez Gallego
Geotechnical Laboratory, CEDEX

R. J. Luis Fonseca
Geobrugg Ibrica, S.A.

ABSTRACT: During the last years there has been a noticeable increase in the use of dynamic rockfall protection systems. In this
paper we show some different and relevant aspects that can be helpful for the correct design and location of dynamic rockfall
protection systems. Aspects related to the variety of geometries of the ground where these dynamic barriers are usually placed
and the consideration of them in the system design, are emphasized. We also discus the important contribution of the combination
between the dynamic protection and the static systems to optimize the resources and to reduce the risks derived from rockfalls.

1 INTRODUCTION 3 BLOCK ENERGY

To avoid rockfall problems, suitable protection measures are
required for which a precise study that identifies the problems
and possible solutions or performances is needed that miti-
gate or lessen the risks that these falls could produce. In some
cases, the study is made by direct procedures, studying the
conditions of stability of the blocks in the slope and analyz-
ing the influence of the leading agents in the generation of
instabilities (water, ice, wind, temperature, etc).
For many cases, the study is approached by means of indi-
rect procedures that allow one to establish hypotheses on the
volume of the blocks susceptible to fall and the possible trajec-
tories. This approach of the study can be associated, generally,
with the fall slopes under consideration.
The protection measures will be taken after the accomplish-
ment of these studies, based on the possibility of falls and
the consequences, as well as on an exhaustive analysis of all
the existing conditions. Knowledge and characterization of the
rockfall problems are based on the field studies, that complete
the phase of initial information collection, and on analytical
studies. They must determine and quantify the parameters that
characterize the phenomenon such as: fall frequency, speed,
energy of impact and height.
2 INFORMATION COLLECTION
To establish the unstable zones, it is necessary to understand
the mechanisms of rupture. These studies allow one to deter-
mine possible movements. The interpretation of the data, aid
in determining the unstable masses and in defining the zones,
which require a detailed study. The previous impacts and their
consequences, can give information about the trajectories of
the blocks during the fall (Duffy, 1989).
The aim of this field study, allows us to understand the
geologic risks, arriving at the description of unstable zones,
characterizing their magnitude and possible volumes, as well
as the mechanisms of rupture, analysis of the discontinuities
and the estimation of the probability of occurrence of the
rockfall. The field recognition can be divided into two
stages: Survey and Geomorphologic Study, with characteri-
zation of the zones and the Geologic Study of the slope.
In order to be able to understand the energy approach, it is nec-
essary to make remarks, to understand the process of energy
balance that takes place at impact.
Independent of the rigidity of the considered element, a
block stops when the condition of equality is reached between
the energy of the rock during the fall and the work of the
resisting forces producing a deformation or displacement of
the protecting structure.
where:
E: energy, J
W: reaction forces work, J
R: reaction forces, N
D: displacement, m
The dynamic elements deformation, guarantee small reac-
tion forces and great energy absorption. The expression shows
that for the case of the rigid protective structure, the displace-
ment is almost null, and the reaction forces are very high. For
flexible protective elements, the impact force is neutralized
in a more rational way, due to the displacement absorbing the
same energy with smaller reaction forces. This situation is
shown in the following picture (Luis Fonseca, 1995).
To guarantee equal areas under the curves, the maximum
reaction R2 will have to be greater than R1 . The following
example, helps us to understand, the used energy values.
The impact of a light vehicle that travels at a speed of
90 km/h and weighs 1 t, is equivalent to kinetic energy of
312 kJ. On the other hand, a heavy vehicle, at 60 km/h,
but with a weight 40 t, moves with a kinetic energy of
5.780 kJ.
The potential energy case, is even easier to understand, e.g.
in the certification test with 5.000 kJ, a block of 16 t used
and falls from 32 m, which is equivalent to 5.022 kJ. In Fig-
ure 2, a test is made with 10% of his total energy. A block
of 964 kg falls from 32 m in free fall, representing 301 kJ of
energy.

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Figure 1. Diagram Force-Deformation.
where:
Ai areas under the curves, energies.
Ri maximum reaction forces.
Di maximum deformation.
Figure 2. Block impact test.
4 TRAJECTORY ANALYSIS METHODS
The main problem during the design is to determine the tra-
jectories of the unstable blocks. The variables, which mainly
affect the choice and the location of the barriers or protection
works are: the trajectory length, the height of the bounces, the
speed, and the energy of the blocks during the fall. In gen-
eral, blocks falling from a rocks face may have four types of
movement: free falling, bouncing, rolling and sliding.
Mathematical models set up in order to follow the trajectory,
should be able to describe this behavior of the block. The
problem becomes more complex if it will be necessary to
include within the model, the instantaneous passages from
one movement to another, or the combinations of rolling and
sliding or rolling and bouncing. In the last few years several
analytical procedures have been developed. The methods are
divided in two main groups: Rigorous methods and lumped
mass methods.
4.1 Rigorous methods
The rigorous methods are based on analytical procedures using
finite elements, considering the rocky mass like a system and
solving the dynamic equations of balance of the blocks. These
methods study the block trajectory, through a 3-D topography
(Descoeudres & Zimmermann, 1987).
In these methods the shape and dimensions of the blocks
are assumed to be known a priori and all movements of
the block are considered. The block travels through air with a
ballistic trajectory. The movements of translation and rotation
are transferred to the block by the impact against the slope
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2007 Taylor & Francis Group, London, UK
surface. The impact induces moment changes, depending on
the shape of the corners of the block and the shape of the
surfaces, the angle of the trajectories at the point of impact,
the roughness of the slope surface and the friction between
the block and the slope face.
4.2 Lumped mass methods
In these methods the single block is considered like a simple
point with mass (m) and speed (v). The point describes a bal-
listic trajectory while the air resistance is usually neglected.
When the block impacts with the slope surface, the normal
component of the velocity changes in sign and is reduced
by a Kn coefficient (normal coefficient of restitution) and
the tangential component of the speed may also change signs
and is reduced by a Kt coefficient (tangential coefficient of
restitution).
The two coefficients of restitution consider all the character-
istics of the impact, including the deformation, the sliding and
the transfer from rotational to translational movement and vice
versa. Diverse numerical methods based on these hypotheses,
have been developed (Bozzolo, Pamini & Hutter, 1982).
4.2.1 Block movements
When the rock falls, it hits the slope surface. This movement is
governed by a restitution coefficient, representing the amount
of energy dissipated during the impact. The dissipated energy
depends on the elasto-plastic behavior of the surface which
the block hits, on the material of the block, and the resistance
to rolling and the sliding. To determine the restitution coeffi-
cients, that include all the phenomena of energy dissipation,
tests in situ and in a laboratory have been made.
A large group of investigators uses a factor K (restitution
coefficient) to predict the behavior of the block. This coeffi-
cient varies between 0 and 1 and can be defined in different
ways. The value of K will be (Spang & Rautenstrauch, 1998):
where:
Vi , Vi represent the velocity before and after the impact of the
particle respectively.
In the case of rock falls, the expression can be simplified
to:
where:
K is the restitution coefficient
V, V are the speeds of the block before and after the impact.
For free fall, the preceding equation becomes:
h, h represents the original falling height and the rebound
height after the impact respectively.
With the aim to reproduce this phenomenon, mathemati-
cal models have been developed, that give a better definition
of the bounce of rocks, establishing a difference between
the normal and tangential components of the movement: the
coefficients Kn and Kt (normal and tangential restitution coef-
ficients to the slope surface). These coefficients have been
Figure 3. Change in block shape. The initial block shape becomes
rounded.
obtained experimentally by several researchers. These coeffi-
cients are different, based on the characteristics of the surface
of the ground, which the rock blocks hit. The field tests allow
one to include the influence of other factors in the block jump,
such as: the shape, dimensions and resistance of the block.
4.2.2 Block shape
Different blocks shapes are compared, in some tests. In the
case of soft rocks, it is possible to corroborate that prismatic
blocks tend to round-off progressively, during the fall. Experi-
ments on a limestone block showed that the shape and the size
of the face of the block in contact with the slope, determines
the bounce mode and consequently its subsequent movement
(Giani, 1992).
When the impact occurs on a face of the block, the surface
absorbs a great part of the energy of the impact and sliding will
be its main subsequent movement. This movement of sliding
prevails until the moment at which, the block stops or hits
some irregularity of the surface, that changes the movement
to rolling and bouncing.
When the impact occurs in a corner of the block, a transfer
of translational movement into rotation and bouncing prevails
over sliding. Tests with blocks, such as cubes and others with
parallel faces, on a granite surface, showed that the length
of the trajectory, depends considerably on the block impact
modes. Observations made on blocks of tabular shape, show
that they move on the face where it has the greatest area. Cubes
slide until some irregularity causes it to turn upside down and
bounce.
When a flat block has a disc shape, the restitution coeffi-
cients are surprisingly high and the friction angle is small. This
phenomenon causes an unexpected trajectory (big bounce and
high speed) at small inclination slope angles.
4.2.3 Block size
The influence of the block size is tested during the falling of
different blocks sizes on different sizes of rock surface. When
the size of the block is less than the mean size of the blocks
that compose the surface, impacts take place from rock to
rock. The block that falls can be stopped, when the height is
not sufficient to overcome the local slope roughness.
In other cases, when the size of the block surpasses the
average of rocks of the slope surface, rolling movement
prevails.
4.2.3.1 Procedure of data collection for a computer
simulation
The data consist of: size of the blocks, roughness of the slope
surface, coefficients that represent the materials of the slope
and coordinates (x, y), to define the profile of the slope. The
selection of the input parameters begins with the identification
of the trajectory of the rockfall, from where they originated to
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2007 Taylor & Francis Group, London, UK
Figure 4. Slope surface rocks.
the area that needs protection. This profile must be entered as
a series of line segments. This topographic profile, is obtained
from a direct survey of the slope or drawings at scale 1:1.000
or greater. The division of the profile into sections must be
done in situ, where the changes in the slope and the materials
can be observed.
The best way to collect the data, is to directly scale the tra-
jectory of the fall, whenever this can be done without danger.
If the trajectory is not accessible, then the data will have to be
taken from a distance.
The values of roughness of the surface, coefficients of
tangential and normal restitution, should correspond to the
selected section. The size of rocks involved in the fall depends
on the blocks in the source area and its behavior in the rockfall.
It is possible, that a rock breaks during the fall or several small
rocks can cause a worse condition; the most unfavorable case
is usually when the biggest rock falls. Rocks found at the base
of the trajectory that can be identified from the source area,
are a good alternative for the determination of the block size.
In case that no rocks are found at the base of the path, the
size of the rock must be determined in the source area. In the
collection process in situ, it is advisable to identify the shape.
In the simulation, one generally uses a spherical block shape
because it increases the inertia. In order to define the limits
of the sections, the profile of the slope is subdivided into the
areas of the same inclination. The limits will be selected, gen-
erally, where slope angle or the slope material change. The
number of sections to use depends on the length and the com-
plexity of the slope. To use too few can reduce the precision of
the simulation, but to use too many, makes the investigation
unnecessarily difficult.
Experience shows, that it is important to increase the quan-
tity of points near the collection area. The speed can be
determined, if the source location is identified perfectly and if
the block characteristics are knows. The range of values com-
monly used in the scientific literature, is between 1 to 3 m/s.
The roughness of the surface is an estimation of how much
the slope can vary, within the radius of the block.
The vegetation has less of an influence. The values of the
coefficient of tangential restitution, for slopes with vegetation
of more than a few meters of height are difficult to evaluate,
because while the coefficient for an individual rock can be
low, the first rocks that fall, are clearing the way for following
rocks.
The normal restitution coefficient Kn it is determined by
the rigidity of the slope surface.
The rigidity of soft surfaces can be determined by looking
at traces, but this does not work if the ground is frozen during
the winter.
4.2.4 Simulation results
Before designing the protection, based on the results of the
rockfall simulation, one must decide on the accuracy of the
Table 1. Swiss standard parameters, internationally accepted (Gerber, 2001).

Part-test b) (50%) Part-test c) 100%)

Length of Mass of Mass of Max. admiss. Min. height

post Energy test body Edge length s Energy test body Edge length s braking distance bs of net hn
Category (m) (kJ) (kg) (m) (kJ) (kg) (m) (m) (m)

1 1,5 50 160 0,41 100 320 0,52 4,0 0,90

2 2,0 125 400 0,56 250 800 0,70 5,0 1,20
3 3,0 250 800 0,70 500 1,600 0,88 6,0 1,80
4 3,0 375 1,200 0,80 750 2,400 1,01 7,0 1,80
5 4,0 500 1,600 0,88 1,000 3,200 1,11 8,0 2,40
6 4,0 750 2,400 1,01 1,500 4,800 1,27 9,0 2,40
7 5,0 1,000 3,200 1,11 2,000 6,400 1,40 10,0 3,00
8 6,0 1,500 4,800 1,27 3,000 9,600 1,60 12,0 3,60
9 7,0 2,500 8,000 1,51 5,000 16,000 1,90 15,0 4,20

results. The first test is to see if the results seem reason-
able based on the experience and ones judgment. If the results
do not seem reasonable or they are not in agreement with
observations made in situ, then the input parameters must be
changed to examine the accuracy and the applicability of the
simulation.
If the values seem reasonable, then it will be necessary
to run additional simulations taking in account input values
within a reasonable range. In many cases the results of the
simulation will fall within a small range; if the range is great,
then the investigator must decide.
The effectiveness of roadside ditches and berms can be
verified by performing the simulation using the appropriate
configuration. The program is used to help locate the barriers
by identifying the areas where the bounce heights are minimal.
The interception barriers can be designed using the speed
and total kinetic energy. For proposing the most suitable pro-
tection system, it is necessary to take into consideration the
important factors relative to the sizing of these protection
systems.
6 CONCLUSIONS
Knowing the characteristics of dynamic protection systems,
allows us to understand the advantages of the flexible systems
over rigid systems (concrete galleries, walls, etc).
The use of simulation programs, for the study of the bar-
rier location, is without doubt a very useful tool although its
effectiveness depends largely on the calibration level of the
coefficients.
The knowledge of the behavior of the barriers before the
impact allows one to determine the position of the barrier in
the slope.
In the last years the use of Dynamic Barriers has been
increased gradually where it demonstrated that it constitutes
the best alternative to the concrete galleries from the technical
and economical point of view.
In the case, where the impacts are free fall, it is essential
that the used barrier is 100% guaranteed, by means of tests on
the 1:1 scale. The barriers, must be effective in the entire the
area, i.e., the boundary sections must be equally effective.

REFERENCES

5 CHOICE AND LOCATION OF THE SYSTEMS
For selecting a protection system, including its location, it is
necessary take in to account:
Conditions in situ for the installation, mainly the foundation
and conditions.
Transportation of materials and machines.
Safety during the installation.
Deformation, after the impact. Control the distance between
posts.
Guarantee residual height after the impact.
Operation guarantee in all the sections even on the boundary
(100% of the service load).
Effective height in the contiguous sections, after the impact.
Design so that the protection system works in the range of
elastic deformation (to decrease maintenance).
Possibility to sustain multiple impacts
System properly tested at a 1:1 scale officially certified,
by means of a vertical test, in free fall (Gerber, Bll &
Ammann, 2001), following standards recognized world-
wide, e.g. the Swiss Guideline for Approval of Rockfall
Protection Kits (see Table 1).
Bozzolo, D., Pamini R. & Hutter, K. (1982). Modello Matematico Per
Lo Studio Delle Cadute Massi. Laboratorio Di Fisica Terrestre,
Icts, Lugano.
Descoeudres, F. & Zimmermann, T. (1987). Three-Dimesional
dynamyc calculation of rockfalls.
Duffy, J. (1989). Rockfall Test Report Caltrans.
G.P. Giani (1992). Rock Slope Stability Analysis.
Gerber, W. (2001). Swiss Guideline for the approval of rockfall
protection kits. SAEFL.
Gerber, W.; Bll, A. & Ammann, W. (2001) Field testing of rockfall
protection barriers. A comparison between inclined ropeway and
vertical crane testing. WSL.
Geobrugg (2006). Rockfall protection systems.
Hungr, O. & Evans S.G. (1998). Notes on Dynamic Analysis of
Flowslides.
Luis Fonseca, R. (1995). Desarrollo de Nuevos Sistemas de Pro-
teccin de Taludes y Laderas Rocosas: Pantallas Dinmicas.
Cantabria University. Spain.
Spang R.M. & Rautenstrauch R.W., (1998) Empirical and math-
ematical approaches to rockfall protection and their practical
application. Rock Mechanics and Rock Engineering.
Spang R.M. (2001). Rockfall Simulation.
Swiss Federal Research Institute. Department of Natural Hazards,
Switzerland (1988). Field Studies.

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2007 Taylor & Francis Group, London, UK

 Probabilistic rockfall encounter analysis using a three-dimensional simulation model

T. Nishimura & H. Kiyama

Department of Civil Engineering, Tottori University, Japan

ABSTRACT: A probabilistic rockfall encounter model using a three-dimensional numerical simulation is presented to study
the traffic safety for roadways in mountainous terrain. The model consists of a rockfall simulation and an encounter analysis.
The three-dimensional rockfall simulation produces all possible trajectories and end points of potential falling rocks to delimit
the endangered zone at a given site. The probability of encounter is dependent on the probability that a vehicle and a rock will
be in the same spatial section along the road in the zone. The location of the most endangered section is considered to be the
location where the number of the calculated trajectories which intersect a trial-section is the largest zone. Vehicle presence in
the section is assumed to be based on average vehicle velocity and average daily traffic volume at the site. To estimate the
length of the section, we require the average vehicle velocity.

1 INTRODUCTION the block makes successive impacts on the ground surface.

Rockfall is a significant hazard to roadways in mountainous
regions. The protection of human life and traffic lines is a
major task in rock engineering. When assessing rockfall haz-
ards, at first, the detection of potential falling rock blocks on
slope is important, and it is also important to estimate travel
distance of the rock blocks and their velocities at any points on
the topographical map (Jaboyedoff et al. 2005). Estimations
of them affect protection measures against rockfall. Often
numerical simulations are conducted with considerations of
uncertainty of input parameters (Dudt & Heidenreich, 2001).
The statistical outputs, such as flight height and kinetic energy,
can be used for the design of protective measures at a given
site. However, we, engineers, often face with the compari-
son of conditions at several rockfall sites to make decisions
related to the allocations of the protective measures with lim-
ited resources. Some contributions on this issue have already
reported (e.g. Neil & Steven, 2003).
A probabilistic rockfall encounter model using a three-
dimensional numerical simulation is presented to study the
traffic safety for roadways in mountainous terrain. The model
consists of a rockfall analysis and an encounter analysis. The
three-dimensional rockfall analysis produces all possible tra-
jectories and end points to delimit the endangered zone on the
road at a given site. The probability of encounter is dependent
on the probability that a vehicle and a falling rock will be in
the same section in the zone.
When destabilizing factors, e.g. piezometric pressure, tem-
perature variations and external forces acting to rock block
(e.g. earthquake), exceed the stability of rock block, rock will
start falling. These factors are not introduced to this procedure.
It is important to recognize that the probabilistic model should
be regarded as a tool to provide a comparison of relative risk
to moving vehicles from rockfall at several sites.
These impacts involve frictional contact and viscous damping
response. The solution algorithms are briefly described in the
following sections.
2.1 Block motion
The equation of translational motion for a single block is
expressed as:
where xi denotes the acceleration of the block centroid, fi is
the sum of the contact forces to the ground, m is the block
mass and gi is the gravity acceleration vector. Index i takes
the values 1 to 3, and denotes components of a vector in the
global co-ordinates system.
The rotational motion of an undamped rigid body is
described by Eulers equation, in which the motion is referred
to the principal axes of inertia of the block:
where I , I and I are the principal moments of inertia of
the block; , and are the angular velocities about the
principal axes; and M , M and M are the components of the
applied moment.
The finite-difference procedure is used to integrate the
equation of motion (Cundall, 1971). The following expres-
sions describe the translational and rotational velocities at
time t:

2 A THREE-DIMENSIONAL SIMULATION
The updated position of the block centroid is given as follow:
The numerical model described here is a fully three-
dimensional model for single block dynamics (Nishimura,
et al. 2003). The driving force is gravity. During its motion,

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The increments of rotation are given as follows:
where 1 , 2 and 3 express the total rotation in Euler angles
between the global co-ordinate axes and the principal axes.
The new location of the block vertices are given as follows:
where xvj denotes the coordinates of the block vertices in the
principal system. [Tij ] is the transformation matrix from the
principal coordinate system to the global system.
2.2 Contact detection and contact forces
The ground surface is discretized in triangular elements as
shown in Figure 1 in a way which approximates the three-
dimensional topographical map as closely as possible. The
triangular meshes are searched for a vertex of the block that
might lie on the ground surface. Possible contact ground ele-
ments are identified by the comparison of the coordinate xi
v(t)
v(t)
with the corresponding surface point xi . If the block is
touching with the ground surface, the gap, dz, is negative:
An interpolation is introduced to get the coordinate of the
surface point:
where X3l denotes the coordinate of the nodal points of the
triangular element which a vertex of the block contacts, while
S is the projection area of the triangular element to the hori-
zontal plane. Sl is the subdivided triangular of the projected
triangular element. At contact points, the spring-dashpot sys-
tem is assumed to calculate contact forces. The contact forces
are transformed into the global system and the components in
the global system are appeared in the equation (1).
2.3 Considerations on the values of input variables
The block is assumed to be unbreakable and defined by:
dimensions
shape (parallelepiped, hexagonal prism)
its initial position and angular orientation, initial velocity
density
The characteristics related to the ground surface are also
input variables.
Characteristics of the topography:
the macroscopic geometry of the ground
local asperities
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2007 Taylor & Francis Group, London, UK
Figure 1. Perspective view of the discretized topographical map
and a falling block.
Characteristics of the ground surface:
the contact stiffness
the coefficient of normal restitution
the coefficient of friction
Uncertainty of these parameters can be treated from the
two manners (Dudt & Heidenreich, 2001). In this paper,
values of the parameters related to the rock block and the
geometry of the ground are deterministically assumed. The
coefficient of normal restitution is only treated with the Monte
Carlo method, generating values based on the predefined
distribution when the value is used.
3 ENCOUNTER ANALYSIS
The encounter analysis presented in this paper estimates the
probability of an encounter P(E) between a vehicle and a rock-
fall, that is the probability that a vehicle and a rock will be in the
same location at the same time.The event tree on Figure 2 illus-
trates the overall structure of the analysis. Branch 1 requires
the frequency of rockfall. Branch 2 gives the endangered zone
which is determined by the three-dimensional numerical sim-
ulation. Branch 3 requires the probability of a vehicle presence
in the endangered zone and produces the target probability of
encounter. Branch 4 produces an evaluation of loss (or conse-
quences) of the encounter, that is given by the probability of
damage of vehicle and persons.
When the annual frequency F of a rockfall of magnitude m
is given, the probability of a rockfall, that is the probability of
a rock of magnitude m in time T seconds, will be given by:
The rockfall simulation used here produces the distributions
of trajectories and allows determining the possibility that a
boulder crosses a spatial distance on the roadway. We have
defined this spatial distance to be the average travel distance
of moving vehicle in T . The probability of crossing, that is
 Branch 1 Branch 2 Branch 3 Branch 4
Rockfall Trajectory Encounter Consequances
occurrences
Vechicle and rock exist
at the same time Damage
Encounter (Level 1)
Rock will
Volume Vi and reach road Damage
Frequancy Fi (Level 2)
V1 No encounter Damage
(No damage) (Level 3)
Not reach
(No damage) No damage
V2

: Continuation of branch
V3

Figure 2. Event tree for assessment of rockfall consequences.

the probability that blocks cross the distance of length L, is

given by:

where Nc is the number of trajectories which cross the distance

and N is the whole number of the Monte Carlo simulation.
The most endangered location of the section of length L is
considered to be the position where the number of the calcu-
lated rockfall trajectories which intersect a trail-section is the
largest in the zone.
Vehicle presence at the location was assumed to be repre-
sented by average vehicle velocity (Vavg ) and average daily
traffic volume (ADT ) at the given site.

Figure 3. Projection of calculated trajectories to the horizontal

By assuming that rockfall occurrence and vehicle presence
are independent, the probability of encounter is determined
by:
The mean number of encounters per year can be given by
multiplying the annual number of vehicle through the study
area as shown below.
plane (ridge-shaped slope).
for both sites exist. Therefore, we examined this encounter
analysis with the values of F = 1 (once per year), V = 2.6 m3
(m = 5.78 Mg) for both shapes and ADT = 200. Initial posi-
tions of the falling block are assumed to be at three points
deterministically as shown in Figure 3. The value of the resti-
tution constant e is assumed to be uniformly distributed in the
range of 0.1 0.02. The damping constant is calculated by:

Since the block element used in this analysis is one single
unbreakable, the equation (15) shows the probability of one
encounter in T in the one section. Therefore, this analysis
can not determine the probability of two or more encounters
that will occur in the case of rockslide and large rockfall.
4 APPLICATION TO A ROCKFALL
The probabilistic model was applied to estimate the probabil-
ity of rockfall encounter at two sites. Figure 3 sketches the
projections of the topographical maps of the two sites. Fig-
ure 1 shows the three-dimensional map of the ridge-shaped
slope with input values and the block shapes. No available
data on the frequency-magnitude relation of rockfall event
where 0 is the critical damping.
1000 simulations for one starting point were done and
Figure 3 also shows a projection of possible trajectories to
the horizontal plane. The result shows the lateral dispersion of
the block trajectories. This may mean that the starting point of
rock block and the geometry of slope are also the important
factors to analyze rockfall trajectories, especially for such a
ridge-shaped slope. We have assumed the average velocity of
50 km/hr at both sites and the period T of 1 second, then,
this resulted in the length of L, 14 m. Making the trial sec-
tion shifted along the line AA , the probability of encounter
is calculated by applying the above procedure. The values of
the probability for each starting point are found in Table 1. At
the valley-shaped slope, the number of trajectories crossing
one trial section is larger than that of the ridge-shaped valley

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 5 CONCLUSION

In this paper, a procedure to calculate the probability of rock-

fall encounter is presented. The procedure does not include
when destabilizing factors, e.g. piezometric pressure, tem-
perature variations and earthquake, exceed the stability of
rock block. Historical approaches for rockfall occurrences
at a given site will be introduced to estimate the frequency-
magnitude relation. It is important to recognize that the value
of the probability may be affected by a number of physical
factors related to the rock slope properties which may change
in the future, and by the assumptions in the three-dimensional
numerical simulation, of course. The calculated value may
not necessarily be correct on any absolute basis. The model
should be regarded as a tool to provide a comparison of rel-
ative risk to moving vehicles from rockfall at several sites. It
is essential that quality and/or quantity of both input data and
tools for modeling must be improved in order to provide the
required validation.

REFERENCES

Cundall, P. A. 1971. A computer model for simulating progressive

large-scale movements in blocky rock systems, Proceedings of
the symposium on rock mechanics, Nancy, France, Vol. 1:Paper
No.II-8.
Jaboyedoff, M, et.al. 2005. An attempt to refine rockfall hazard
zoning based on the kinetic energy, frequency and fragmentation
degree. Natural Hazards and Earth Sciences. 5. 621632.
Figure 4. Projection of calculated trajectories to the horizontal Neil, K. S. & Steven, G. V. 2003. Probabilistic rockfall hazard
plane (valley-shaped slope). assessment for roadways in mountainous terrain, 3rd Canadian
Conference on Geotechnique and Natural Hazard.
Table 1. Summary of the encounter analysis. Nishimura, T., et. al. 2003. A three-dimensional simulation model
for rockfall using distinct element method. Proceedings of the
Block P(R) P(V) P(E) E 3rd international symposium on rock stress. RS Kumamoto 03:
449454, Balkema.
(a) Ridge-shaped slope
Cubic a 2.73 109 0.002 5.46 1012 3.98 107
b 1.59 109 0.002 3.18 1012 2.32 107
c 0 0.002 0 0
Hexagonal a 1.12 108 0.002 2.24 1011 1.64 106
prism b 5.33 109 0.002 1.07 1011 7.81 107
c 1.59 1010 0.002 3.18 1013 2.32 108
(b) Valley-shaped slope
Cubic a 3.17 108 0.002 6.34 1011 4.63 106
b 1.89 108 0.002 3.78 1011 2.76 106
c 3.17 108 0.002 6.34 1011 4.63 106
Hexagonal a 3.17 108 0.002 6.34 1011 4.63 106
prism b 7.64 109 0.002 1.53 1011 1.12 106
c 3.17 108 0.002 6.34 1011 4.63 106

and this resulted in the difference of the encounter probability

between the two slopes. This procedure also could display the
width where the probability of encounter exceeds a certain
value and this would allow one to determine the length and
the place of a protective structure.

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 Proposed thrust failure analytical method for slope collapse in open pit mines

M.F. Handley
Department of Mining Engineering, University of Pretoria, Pretoria, South Africa

K.N. Karparov
Agricultural Engineering Services, National Department of Agriculture, Pretoria, South Africa

ABSTRACT: Slope failures in open pit coal mines all over world often do not yield to analysis by widely accepted slope
failure theories, such as wedge and blocky failure, or circular failure, amongst others. This means that slope designs based on
these approaches may therefore be inappropriate in many instances, and have led to unexpected failures with all the attendant
consequences. An open pit coal mine in South Africa experienced several unexpected slope failures over a number of years
that defied objective analysis. This led to an in-depth study of the geotechnical conditions in which these failures occurred,
and the mechanisms that resulted in the failures. The purpose of the work was to provide the mine with a practical analytical
method that could provide an objective assessment of slope stability, and therefore guidelines for more stable slope designs.
Although the geotechnical conditions at the mine are unique, the literature suggests that failures of the type observed at the
mine are not; hence, the work may be more widely applicable. This paper presents the Block Thrust Failure Mechanism, which
has made reasonable account of two failures studied at the coal mine. It also provides guidelines for slope stability assessment,
and appears to provide objective slope stability factors in the practical mining environment. With modifications and additions,
it could well be applied to a much wider range of geotechnical environments worldwide, and become an accepted slope stability
analytical technique.

1 INTRODUCTION Joint controlled failure

Every rock or soil slope cut in open pit mining is suscep-
tible to instability and eventual collapse. Not only is this
dangerous, it forces a mine to perform some out-of-schedule
clearing up, which can in some instances affect production
plans, and therefore revenues, severely. The factors that reduce
pit slope stability, and therefore increase the probability of
failure, are mining-induced, geological, and hydrological in
origin. Most pit slopes are inhomogeneous structures com-
prising anisotropic layers of soil and rock characterised by
different material properties. In addition to the variability of
the properties of the natural materials, they are in various
states of decomposition from weathering and groundwater,
and they are discontinuous because of jointing, bedding or
layering, and other large-scale geological structures such as
igneous intrusions, faults, and folds. These composite struc-
tures often present unpredictable behaviour, raising questions
about internal processes that take place once the slope has
been cut, and their effect on stresses and deformations within
the slope. Changes in groundwater and weathering processes
initiated by the slope cut can also play important roles in slope
failure.
Hoek & Brays (1973) book on rock slope engineering is
one of the most recognised in the field of rock slope design,
and was first published 34 years ago. The means for predicting
the potential and size of structurally controlled failures in rock
slopes (wedge, plane shear, and step-wedge models) are also
well developed in the CANMET Pit Slope Manual (1997).
Some slope failures observed in South African and Australian
coal fields, involve a layer of weak rock in the slope with thick-
ness approximately of the slope height (Harries, 2006). The
weak layer is commonly shale, and is usually exposed at the
boundary
Tension fracture
Mine
Slope
failure A
Spoil pile
A failure Passive P
block
P thrust
towards pit
Active block subsides under its own weight
Figure 1. Slope and spoil failures reported by Boyd (1983).
toe of the slope, and usually dips toward the pit. This failure
mode is characterised by significant downward movement of
the ground surface behind the slope crest, accompanied by
the horizontal thrust of the rock in front of it out into the pit,
see Figure 1. The horizontal thrust is usually facilitated by the
weak layer dipping toward the pit. This failure mechanism is
known as the Block Thrust Mechanism. Similar slope failures
to the block thrust mechanism have also been reported else-
where (Sturman, 1984, Singh & Singh, 1992, Malgot et al.,
1986, and Boyd, 1983).
Skempton & Hutchinson (1969) defined three major classes
of slope movement, namely falls, slides, and flows. They have
defined a number of schemes of classification, but none can
include the block thrust mechanism satisfactorily. Stead &
Scoble (1983) analysed 226 slope failures that took place in
British coal mines, where they found that in about 66% of the

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2007 Taylor & Francis Group, London, UK

 Slab failure 4 2 DESCRIPTION OF SLOPE FAILURES
Mine workings collapse 4
Rock fall 5
Toppling failure 6 of brevity, the stratigraphic column is not included in this paper
Wedge failure 7 because the slope profiles (Figures 3 and 4) give an idea of
Circular failure 8
Multi-planar failure 21
Planar failure 21
Biplanar failure 24
0 5 10 15 20 25
Percentage
P Slope Failures According to Type
Figure 2. Typical failure modes, given in percentages, based on 226
study cases in coal mines in the United Kingdom (after Stead and
Scoble, 1983).
failures, the sliding occurs along a single-, double- or multi-
planar surface angled toward the pit (see Figure 2). Because
of the chaotic nature of a rock slope failure, it is not easy to
recognise the mechanism of failure except in the first six cases
shown in Figure 2, which account for only 34% of the failures
studied. The remaining 66% could easily have included block
thrust failures of one sort or another.
There are many methods to assess the stability of a rock
slope. All these methods can be classified into two groups
(Anderson & Richards, 1992):
limit equilibrium methods;
methods based on the upper and lower bound theorems of
plasticity.
This paper considers only the former, namely limit equi-
librium methods, but applies them to non-rigid bodies. The
limit equilibrium methods can be divided on two sub-groups:
linear and non-linear methods, but the procedures are broadly
similar in concept (Bromhead, 1992). The linear methods of
analysis, which are most amenable to hand calculation, are the
two-dimensional slope analysis technique adopting undrained
shear strength, the method of slices, and wedge failure. These
methods are simple to use since there is a linear equation for
the factor of safety; for this reason they are extremely useful
in practice. The non-linear limit equilibrium methods apply
effective stress analysis of a slope, where the effective stress
is to be determined around an assumed failure surface or set
of failure surfaces inside the slope. In practice, this is also
achievable by dividing the material composing the slope into
a number of imaginary slices.
The block thrust mechanism is also a limit equilibrium
technique, but is more complex than the toppling, sliding,
or collapse mechanisms already mentioned. In this case, a
wedge-like block with the sharp end down forms in the rock-
mass behind the highwall, by fracture processes that occur as a
result of gravity loading and horizontal stresses present in the
highwall. The wedge, by its formation, forms a second sepa-
rate block of rock between the highwall side of the wedge, and
the highwall face itself. If the wedge then thrusts downwards
under its own weight, it thrusts the second block outwards (i.e.
the highwall face) into the pit (see Figure 1). This mechanism
is only possible if both blocks are deformable.
This paper first reviews two slope failures in a SouthAfrican
coal mine, and then introduces the Thrust Failure Analysis
Technique as a new approach to slope stability prediction in
mines, and applies it to the two failures reviewed earlier.
2007 Taylor & Francis Group, London, UK
Opencast Colliery A strip mines three coal seams with an
average total thickness of approximately 16 m. In the interests
the geology. There was an operating underground mine in the
area, but none of the coal seams had been previously mined
at either slope collapse site. The two slope failures took place
during different seasons and in different pits, and in both cases
the strata dipped towards the pit.
30 The first case of slope failure took place in PitA1 on the con-
tact between shale and the middle coal seam, both of which
dipped at 10 to 12 towards the pit. The top coal seam in
the area was very thin (about 1 m thick). The failure took
place in two stages: the initial failure (involving only the sandy
overburden) and the major collapse, which slipped along the
bottom contact of the shale layer above the middle coal seam.
The slope profiles (after Canady, 2006) before and after the
initial and major failures appear in Figure 3. The initial failure
was probably circular because applied limit equilibrium meth-
ods for circular failure yielded a factor of safety of 0.72 for
the slope. The major collapse followed the cleaning operations
after the circular failure, when the slope profile had a flatter
slope angle than it had prior to the circular failure (see Fig-
ure 3). None of the rigid-block limit equilibrium methods pre-
dicted failure in the slope after the minor circular failure had
occurred. The major failure indicates a multi-planar or blocky
type of failure, but an applied block-specified technique used
for the slope factor of safety calculation was not successful
because it was higher than unity, indicating a stable slope.
Figure 3 is a clear indication that the theoretical blocks
labelled A and P for the active and passive blocks respectively,
must have undergone deformation during failure. There must
have been deformations in the slope before the failure, but
these were not sufficiently noticeable to have warned mine
personnel, because the failure was unexpected. The volume
of rock in the slope bulked from 1702 m3 per m of slope to
2444 m3 per m of slope, resulting in a bulking factor of 43.6%
during failure. The conjectured boundary between the active
and passive blocks after failure is given by assuming that both
the active and passive blocks would bulk the same amount dur-
ing failure, and then finding the boundary for the equivalent
volume in the failed profile. It was also assumed that there was
no mixing of the material from the two blocks during failure.
The outer tensile boundary of the active block remains more
or less in the same place after failure (shown by dark green
dashed line to the right), if it is assumed that the active block
bulks to the same degree as the passive block.
What is clear from Figure 3 is that the active block has lost
gravitational potential energy, which would have provided the
thrust of the passive block into the pit. The overall loss of
gravitational potential energy for the whole slope is estimated
by noting that the centre of gravity of the unfailed slope is 33 m
above datum (right hand crossed circle in Figure 3), while the
failed slope centre of gravity lies 24 m above datum (left hand
crossed circle). Using the unfailed slope volume given above
and assuming a unit weight of 25 kN/m3 , the potential energy
change during failure is estimated at 383 MJ per m of slope.
If the whole slope moved 25 m to the left during failure (this
is a crude estimate, because the centre of gravity of the failed
slope is 25 m to the left, but the width of the failed material
has increased, while its height has diminished), then energy
consumption due to friction loss using a friction angle of 10
646
 Overburden involved in
Repaired slope after circular failure
80 circular failure and before
major collapse
Inner shear surface
60 Slope before Outer shear surface
Vertical distance (m)

circular failure
T T
Prrofile after A Sandy overburden
40 Weathered shale and sandstone
major collapse Top coal seam
P Sandstone
S S Shale
Middle Coal Seam
20 Bottom Coal Seam
Shale
Conjectured boundary between
blocks after failure
Sliding surface (shale-middle coal seam contact
0

0 20 40 60 80 100 120 140

Horizontal distance (m)

Figure 3. Slope profiles in Pit A1 before and after circular failure, and after major collapse (after SRK, 1995).

80 Spoil pile
(not surveyed)

Slope profile
after collapse
60
Vertical diistance (m)

FLAC Model T T
Window
40 A
Sandy overburden
Weathered shale and sandstone
a' b' ab
Top coal seaml
P S
20 Sandstone
Shale
Outer shear surface Middle Coal Seam
Bottom Coal Seam
Sliding surface (shale-middle coal seam contact)
0
0 20 40 60 80 100 120 140
Horizontal distance (m)

Figure 4. Slope profiles in Pit A-2 before and after major collapse (after Canady, pers. comm.).

for the shale-middle coal seam contact is about 187 MJ per m After the cleaning operations, the failure surface, again on
of slope. This leaves nearly 200 MJ per m of slope for breaking the contact between the shale and the middle coal seam, was
the rock up and comminuting it. These cal-culations are rather clearly visible in the pit. At the site of this failure, the strata
crude estimates, but they indicate that a thrust mechanism is dipped at an average angle of 16 towards the pit. The esti-
possible, at least from an energy balance calculation. mated factor of safety for circular failure of this slope varied
The second slope failure took place in Pit A-2 of the same between 2.4 and 2.6 depending on the method of calcula-
colliery. Figure 4 presents the slope profile before and after tion (Fellenius Ordinary Method, 1936, Bishops Modified
the failure. Mine spoils in piles between 20 m and 25 m high Method, 1955, Janbus Procedure for Slices, 1957, Morgen-
had been dumped at a distance of approximately 20 m behind stern & Price, 1967, and Spencer, 1967). Clearly, this failure
the slope crest. Any joints that might have been responsible could not have taken place by a circular mech-anism. Using the
for wedge failure were not observed in the area. Without any above methods to analyse a blocky type of failure mechanism
visible indications or warnings of impending failure, the slope gave very low safety factor values (0.11 to 0.14 for the
collapsed, and this failure involved the spoils, overburden, top Morgenstern & Price 1967 method, and 0.15 for the other
coal seam, and the interburden between the top coal seam methods), which suggest that the slope would have collapsed
and the middle coal seam. This failure also took place above immediately, even while it was being cut. Fellenius Ordinary
unmined ground. Method (1936) yielded a factor of safety of 1.2, which could

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2007 Taylor & Francis Group, London, UK

be considered to be the best result, even though it did not
predict failure.
Assessing this slope using the volume-energy approach
above is not so simple, because there is an approximate
1178 m3 per m of slope missing, if we assume that the spoil pile
retains a constant volume during the failure process (it could
have become compacted during collapse, but this would not
account for the discrepancy). It is not clear from communica-
tion with the mine whether any spoil and sandy overburden
had been removed or not before the failed slope profile was
measured, and there is no evidence that the spoil piles became
compacted during failure (Canady, pers. comm.). The geom-
etry of the failed slope strongly suggests a thrust mechanism,
since points a and b are displaced 22 m into the pit to positions
a and b (see Figure 4). The failed profile gives 704 m3 per
m of slope as opposed to 625 m3 per m of unfailed slope, if
the volume is computed while ignoring the spoil pile and the
sandy overburden behind the constructed active block. This
accounts for a bulking factor of 13%, which is also credible if
the individual blocks involved in the failure stayed more or less
intact. Another factor that could account for the discrepancies
found in the drawing could be the out-of-plane variation of the
slope profile, and possible out-of-plane material movement.
The spoil piles are generally never surveyed, therefore it is not
known whether they are accurately represented in the profile.
The limit equilibrium methods fail because they assume
rigid, homogeneous, and isotropic rock and soil without inter-
nal structure. Other failure mechanisms such as wedge failure
or toppling failure listed by Stead & Scoble (1983) and illus-
trated in Figure 2, were also not appropriate. Although the
two failures were very different in character, it appears that
both resulted from the same mechanism, since there were five
features common to both:
the slope fails by horizontal movement towards the pit by a
front block (passive block) which can show varying degrees
of disintegration;
the forward movement of the passive block is driven by the
vertically downward movement of the active block behind,
which ends up with a final elevation significantly lower than
that of the original slope profile, and this block undergoes
significant disintegration;
in both cases the slope is situated on strata dipping towards
the pit;
in both cases the failure surface is on the contact between
the shale and the middle coal seam;
the failure surfaces daylight at the toe of the unfailed slope
in both cases;
almost vertical tensile fractures were present on surface
behind the slope crest, usually above the crest of the
undulation in the coal-bearing strata.
The authors conclude that some sort of block thrust
mechanism is responsible for both failures, even though they
originated in two very different slope geometries, and yielded
very different final results. In order to understand more clearly
how the failures could have developed, it is necessary to review
the likely pre- and post-mining stress states in the mine slopes.
3 ESTIMATED SLOPE STRESS STATE
In the only references relevant to the coal mine in question,
van der Merwe (pers. comm.), and van der Merwe (2002)
stated that horizontal stress near the surface in coal mines is
648
2007 Taylor & Francis Group, London, UK
of the order of twice the vertical stress. The vertical stress in
turn, must be equal to the overburden weight from equilibrium
considerations. In the absence of any other convincing data,
the authors assume that the horizontal stresses in the slope
before it was excavated were of the order of twice the vertical
stress for the following reasons:
van der Merwe (2002);
Hoek & Brown (1980) indicate that horizontal stresses are
between one and three times larger than vertical stresses at
shallow depth;
the undulations in the coal-bearing strata were the result of
draping the strata over a previously uneven terrain rather
than folding due to horizontal compressive stresses (see
Karparov, 2007).
From the above, the authors assumed a vertical stress equiv-
alent to the overburden weight, and a directionally isotropic
horizontal stress double the vertical stress. In addition to the
above, the authors assumed that the underground coal mine
would not have resulted in significant changes to the original
stress state before mining this is confirmed by numeri-
cal modelling (Karparov, 2007), but not shown here. Slope
failure took place after the slope was cut; hence it was neces-
sary to compute the stress state in the slope after it was cut.
This was done using the two-dimensional finite difference
scheme FLAC (Itasca, 1999). The FLAC (Fast Lagrangian
Analysis of Continua) model developed contains the undulat-
ing geological structure described above, and also takes into
account the anisotropic properties of the shale above the mid-
dle coal seam. The other strata in the model are each assumed
to be isotropic, homogeneous, and intact, even though they
do not all have the same mechanical properties (Karparov,
2007). The slope as a whole is therefore heterogeneous,
because it consists of several layers, each with its own set of
properties.
The mine slope models were developed using the pre-failure
profiles shown in Figures 3 and 4 in order to estimate the stress
in the slopes using FLAC. The stress states estimated from the
model are therefore a result of the undulating geologic struc-
ture, excluding the effect of discontinuities, tectonic history,
and weathering, all of which cannot be taken into account in
the model. The effects of groundwater are dealt with in the
thrust failure analysis later. The results of the stress state after
mining are not reproduced in this paper. The stress state calcu-
lated by FLAC is that for a continuum and therefore represents
the stress state that would have existed in the slope before the
blocks had formed. The most important features of the stress
distribution are:
the formation of a tensile horizontal stress near the surface
behind the slope;
the rotation of the principal stress tensor to lie parallel with
the inclined strata;
the discontinuous change (at this level of approximation)
in magnitude of the minor principal stress parallel to the
strata between the shale and the sandstone;
the continuity of the stress tensor across the shale coal
contact;
the uniformity of the stress state in each stratum because of
the block deformability.
These features are critical to the development of the failure
model for the slope, and they support our assumption that
the stresses on the block boundaries will be uniform, and
independent of each other.
4 BLOCK FORMATION IN SLOPE 1 - from weight of active block

R P R'

Mo
Unexpected slope failures occurred in two instances, in both

hr-

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tio
Y

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-fr

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of which it is probable that active and passive blocks were first

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P ac

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tu 45*/2

pre

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re

mb
formed by the growth of failure surfaces within the slope after

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mb

84
19
ulo
it had been cut. These failure surfaces combined to form inde- 45*/2

r(
Co

ee
45
pendent deformable blocks, which were suff-iciently unstable P'

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Mo

Ve
to result in the collapse of the slope into the mine pit.
45 3 - zero or near zero frm tensile cracks
4.1 Vertical fracture formation
Vertical tensile fractures commonly develop in the ground
behind a mine slope crest, and the coal mine in question was no

Sh
e
ar
exception. The stress modelling confirms that tensile cracks

should develop, and that there is a significant increase in the
tensile stress component together with an increase in depth of
the tensile zone when a slope has been cut (Karparov, 2007).
The significance of these results is that conditions conducive
to surface tensile cracking are generated by a combination of
mining and the subsurface geological structure.
In a series of very detailed model studies on slope failures,
Barton (1971) found that the tension crack behind the slope
crest was generated by small movements within the rock mass,
and that it appeared after slope excavation. Although these
individual movements were very small, their cumulative effect
was a significant displacement of the slope surface sufficient
to cause separation of material behind the slope crest and to
form tension cracks. The vertical active block boundaries are
defined by vertical tensile cracks. We therefore assume the
existence of these fractures before failure, because they are
favoured in the model, and have been observed in the coal
mine in question, both at the slope failures, and elsewhere.
4.2 Failure along coal-shale contact
Although it is not a central theme to the study, Karparov (2007)
investigated how a failure surface could develop on the shale-
middle coal seam contact by recourse to the study of thin
sections of the shale under the microscope, fracture mechanics
theory, and the modelled stress state in the slope after mining,
and before slope collapse. This work did not produce incon-
testable results, but it does point to possible mechanisms by
which a failure surface could slowly develop along the shale-
middle coal seam contact. This surface is clearly central to the
slope collapse (see Figures 3 and 4), and because the collaps-
ing rockmass slid on it, any features that may have pointed to
the mechanism of its for-mation have been obliterated. Even
though the mechanism of its formation remains unconfirmed,
this failure surface is accepted as being critical in the slope
collapses because sliding took place on the shale-middle coal
seam contact in both cases.
4.3 Block wedge formation
The authors conjecture that sometime after the formation
of the tensile fractures, shear fractures must have started
developing in the slope to define the block wedge. Whether or
not this took place before or after the formation of the failure
surface on the shale-middle coal seam contact is debatable,
and should form the subject of further research. Even in solid
rock material (where jointing and other structures are insignif-
icant), shear failure remains a complex process resulting in
complex fracture structures (Riedel, 1929, Lade et al., 1984,
Sylvester, 1988, Vermeer & de Borst, 1984, Ortlepp, 1997,
and Gammond, 1983). A synthesised shear fracture contain-
ing all the features, and based on the work of Riedel (1929)
Zo
en
T
Figure 5. Riedel structures in brittle material (after Riedel, 1929).
Vermeer & de Borst (1984) and Ortlepp (1997), appears in
Figure 5.
The purpose of presenting all this detail is to recognise that
the formation of shear zones in the slope will be complex, just
as they are in any geological material.Although the structure of
a shear fracture zone is complex, its overall orientation is sim-
ple, i.e. it can be assumed to lie parallel with the direction of the
maximum shear stress in the slope. Shear bands or fractures,
however, need not occur at only one specific angle, but could
occur over a range of angles in relation to the maximum prin-
cipal stress direction together with the effects of anisotropy in
the shale (e.g. Jaeger & Cook, 1979). Note that only one pos-
sible Riedel Shear Structure is drawn in Figure 5, in which the
conjectured Vermeer & de Borst (1984) dilation solution has
been applied. The other possible Mohr-Coulomb alternative
is not shown for purposes of keeping the drawing clear.
We conjecture that as the active block starts becoming sep-
arated from the surrounding rockmass in tension by small
movements, the stress tensor in the upper half of the active
block has only a vertical and no horizontal component. This
condition persists to the base of the tensile zone determined
by the FLAC model. The authors deduce that shear fractures
develop downwards from the bottom of the tensile fractures at
45 to the horizontal, since the stress state is more favourable
for shear zone development because the horizontal stresses
there are effectively zero. These fractures probably grow in
Mode II (sliding, Broek, 1987) through the shale to form the
wedge apex on the contact with the middle coal seam (see
Figures 3 and 4).
5 COMPUTING COLLAPSE POTENTIAL
Based on the above conjectures and assumptions, it is possi-
ble to sketch an approximate picture of the block formation
and the subsequent slope failure. When the artificial cut is
made, the vertical tensile fractures develop at ground surface
behind the slope crest, and the possible tensile fracture at
the toe of the slope along the shale-middle coal seam con-
tact surface forms for a short distance into the toe. Karparov
(2007) presents a criterion for estimating the depth it pene-
trates, but further research will be necessary to confirm this.
The shear zones develop at approximately 45 to the horizontal

649

2007 Taylor & Francis Group, London, UK

through the unbroken shale between the tensile fractures and I + O 900
the shale-middle coal seam contact. During the shear fracture PAI
growth process, small-disp-lacement sliding along the shear
PAO
zones will force the rock in the shear zones to dilate. This will cIlI PTAI
PTAO
generate a horizontal force on the passive block, which will N
PAO N
PAI
accelerate the development of the purely frictional surface on 90 I
0 0
90 I
the shale-middle coal seam contact. At some point (probably
before the two shear zones converge) the material between the T
N
RP
shear zones will begin to crush under the weight of the overly- RP
RP cOlO
ing material comprising the active block. This will accelerate av I
horizontal rock dilation, both in the shear zones and in the
PP O
crushed rock at the base of the wedge. These dilationary forces PPN I
may be sufficient to thrust the passive block into the pit, and cBlB
as this happens the active block will continue to slump down-
wards under its own weight, forcing the passive block further PP
T
a
out into the pit. The whole process comes to an end when N
PP
the active block ceases to slump downwards, thereby dissipat-
ing the dilationary forces that are driving the passive block
into the pit. During this process both blocks become commin- PAI
uted, the active block perhaps more so than the passive block. PAO
Based on this mec-hanism, the constructed blocks appear in cIlI PTAI
T
Figures 3 and 4. N PAO N
PAO PAI
Once these fractures have formed, continued slope stabil- 90 I
0 0
90 I
ity is seen to be only a consequence of the balance of forces
existing between the blocks in the profile. It is important to N
RP
recognise that this analysis considers only force equilibrium RTP
avI RP cOlO
and assumes that all forces pass through the block centroids.
In other words, moment equilibrium is not considered in this
PP I O
model because observations of the failures at the mine did PPN
not reveal any significant rotational motion in the failures. cBlB
Karparov (2007) provides a very detailed account of how
all the forces, including those derived from groundwater, are PP
T
b
computed. The computations are based on Newtons Laws N
PP
of Motion, while the block stability is estimated assuming
deformable active and passive blocks and a factor of safety Figure 6. Key to variables used in factor of safety equations (after
approach to the potential of slip failure on the block sides Karparov, 2007).
and on the shale-middle coal seam contact. Since the blocks
are deformable, the authors assume that the stresses along the Finally, the factor of safety combined as a weighted average
block boundaries are approximately constant, and indepen- for the slope is given by:
dent of each other. This makes it possible to calculate factors of
safety for each boundary, and then finding a weighted average
using the lengths of the respective fracture surfaces that define
the active and passive blocks. The details are too lengthly to
include here, so only the resultant formul necessary for the The authors called the failure mechanism the Thrust Failure
calculations are presented below. Mechanism, because slope collapse occurs when the active
The inner surface factor of safety for failure is given by (see block subsides under its own weight, thrusting the passive
Figure 6 for definition of variables): block into the pit. The mechanism is illustrated in Figure 1,
while the contrast between the unfailed slope profile and failed
slope profile shown in Figures 3, and 4 strongly suggest the
mechanism.
The failure models which were applied to the mine collapses
appear in Figures 3 and 4.The results from these computations,
The outer surface factor of safety is given by: together with comparable results from accepted slope stability
analyses appear in Table 1, using rock parameters contained in
Table 2. It is apparent from the safety factor computations that
circular failure is unlikely in all cases excepting in the case of
the initial failure in the overburden in Pit A1. Observations at
the mine confirm this in both cases. Blocky failure results for
Pit A-2 were essentially meaningless excepting for the result
The safety factor for the basal surface (shale-middle coal seam obtained from the ordinary method, while the initial circular
contact) is: failure in PitA1 was equally likely to manifest as blocky failure
according to the Bishop (1955), Janbu (1957), and Ordinary
Methods (Fellenius, 1936), while the Morgenstern & Price
(1967) method produced meaningless results. As far as the

650

2007 Taylor & Francis Group, London, UK

Table 1. Slope collapse safety factors, calculated for the failures presented in Figures 3 and 4 (after Karparov, 2007).

Thrust Morgenstern Price

failure
Analytical technique mechanism Ordinary Bishop Janbu Moment Force

Pit A1 Initial failure

Circular failure 0.709 0.729 0.708 0.722 0.716
Blocky failure 0.738 0.733 0.715 0.103 0.104
Pit A1 Major collapse
Circular failure 1.506 1.516 1.507 1.513 1.509
Blocky failure 4.718 4.619 4.329 4.870 4.870
Upper contact 1.224
Bottom Contact 0.908
Pit A2
Circular failure 2.434 2.649 2.354 2.572 2.569
Blocky failure 1.198 0.157 0.152 0.113 0.144
Upper contact (spoil) 1.375
Lower contact (spoil) 0.777
Upper con. (no spoil) 1.287
Lower con. (no spoil) 0.794

Table 2. Rock parameters used in the factor of safety calculations (after Karparov, 2007).

Sandy Shale (normal Shale (parallel

Rock properties overburden Sandstone to bedding) to bedding)

Density, kg/m3 1900 2600 2700

Shear modulus, GPa 1.6 5.2 2.3
Bulk modulus, GPa 2.6 5.9 4.5
Tensile strength, MPa 1 5.5 3.5 1
Cohesion, kPa 40 700 400 100
Friction angle, degrees 32 22 14 8
Layer thickness, m 20 12 8

major collapse was concerned in Pit A1, all accepted methods
indicated that circular failure was unlikely, and that blocky
failure was extremely unlikely.
The thrust mechanism failure potential was applied to the
two major collapses assuming a slip surface on the upper shale
contact, and a second failure surface on the lower shale contact
with the middle coal seam. The purpose of this was to test the
potential of the mechanism to diff-erentiate between potential
collapse on one failure surface and another. In both cases,
no failure was predicted for the upper shale contact, while
collapse was predicted for the lower shale contact. This is in
line with the observations at the mine. Interestingly, the spoil
pile in Pit A-2 had a slight stabilising effect, although this was
insufficient to prevent collapse.
The thrust failure mechanism appears to be promising
as a new slope stability analysis technique because it can
pot-entially be applied to a wide variety of geotechnical con-
ditions. It has been tested in two well documented cases, and
has been shown to be successful, in contrast to the other
inappropriately applied methods. This does not mean that the
method is infallible proof of success is only acceptable if
the proposed technique can be shown to work in nearly every
possible case where the block thrust mechanism is suspected,
and where all failures of the method can be shown to be the
result of inappropriate application.
6 CONCLUSIONS
The proposed thrust failure analysis is a versatile method for
slope stability assessment in complex geotechnical conditions
in cases where the block thrust mechanism is suspected. The
complexity of the analysis should loosely reflect the complex-
ity of the geotechnical conditions in which potential failure
may take place. It will not be infallible as an approach because
of subjectivity on the part of the engineer involved. Suc-
cessful application will depend on a careful balance between
simplicity, in which the block thrust model is analytically
tractable, and complexity, where the essential features of
the geotechnical conditions that affect failure potential are
included.
Typically, mines are situated in more or less uniform min-
ing environments, which are the result of a combination of
the palo-geological conditions that existed at the time of the
formation of the orebody, and the subsequent geological his-
tory up to the time of mining. Within the mining environment
there will be one or more geotechnical areas, for example
faulted ground and unfaulted ground. The block thrust failure
mechanism may then only be possible in faulted ground for
example, while other slope stability problems may be extant
in the unfaulted ground. It will be the duty of the engineer and
geologist to identify these conditions, determine the potential
for slope collapse, and then propose appropriate precautions
where necessary.
The following conclusions can be drawn:
The analysis technique takes into account the most likely
virgin and resultant stress state of the slope profile, and
their effect on slope collapse;
With the aid of this method a more realistic slope stability
safety factor and appropriate general slope angle design are
possible;

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 The methodology includes the effect of pore-water pressure
on collapse potential.
This study is a practical study of evaluating the possibility
for the block thrust failure mechanism to take place, and the
safety factors derived for two observed failures in the field
appear to be reasonably accurate. The authors recommend
that this method should be applied to as many case stud-
ies from the worldwide mining industry as possible, where
sufficient detail of each individual failure and the geological
conditions are available. Secondly, fracture development in
rock will receive a boost from an investigation into Riedels
work, and this should be applied to predicting the growth of
shear fractures, and the resulting potential instability, in all
geotechnical conditions.
REFERENCES
Anderson M.G. & Richards K.S. 1992: Slope stability geotechni-
cal engineering and geomorphology. Reprinted, New York: John
Wiley & Sons.
Barton N.R. 1971: A Model Study of the Behavior of Excavated
Slopes. Unpubl. Ph.D. Thesis, University of London, Imperial
College of Science and Technology.
Bishop A.W. 1955: The use of the clip circle in the stability analysis
of earth slopes. Geotechnique, Vol. 5, pp. 717.
Boyd G.L. 1983: Geomechanics research applied to open strip coal
mining in Australia. Second International Surface Mining and
Quarrying Symposium, 46 Oct. 1983, Bristol, UK, pp. 193204.
Bromhead E.N. 1992: The Stability of Slopes. Surrey University
Press, Chapman and Hall, New York, pp. 109165.
Broek D. 1987: Elementary Engineering Fracture Mechanics. Dor-
drecht: Martinus Nijhoff Publishers.
CANMET 1997: Pit Slope Manual, Mining research Laboratories,
CANMET, Canada.
Fellenius W. 1936: Calculation of the stability of earth dams. Trans.
2nd Congr. on Large Dams, Washington, Vol. 4, pp. 445459.
Gammond J.F. 1983: Displacement features associated with fault
zones: a comparison between observed examples and experimental
models. Journal of Structural Geology, Vol. 5, pp. 3345.
Harries N. 2006: Personal communication at the International
Symposium on Slope Stability, Cape Town, 47 March 2006.
Hoek E. & Bray J.W. 1981: Rock Slope Engineering. The Institution
of Mining and Metallurgy, London.
Hoek E., & Brown E.T. 1980: Underground Excavations in Rock.
The Institution of Mining and Metallurgy, London, p. 100.
Itasca Consulting Group 1999: FLAC2D: Fast Lagrangian Analysis
of Continua. Minneapolis, Minnesota, USA.
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Jaeger J.C. & Cook N.G.W. 1979: Fundamentals of Rock Mechanics,
3rd Ed. New York: Chapman and Hall.
Janbu N. 1957 Stability analysis of slopes with dimensionless
parameters. Harvard University Soil Mech. Series, No. 46.
Karparov KN 2007: Slope Stability Analysis in Complex Geotech-
nical Conditions Thrust Failure Mechanism. PhD Thesis,
University of Pretoria, Pretoria, South Africa, March 2007.
Lade P.V., Cole D.A., & Cummings, D. 1984: Multiple failure sur-
faces over dip-slip faults. Journal of Geotechnical Engineering,
Vol. 110, No. 5, May 1984, pp. 616627.
Malgot J., Baliak F. & Mahr T. 1986: Prediction of the influence of
underground coal mining on slope stability in the Vtacnik moun-
tains. Bulletin of the International Association of Engineering
Geology, Vol. 33, pp. 5765.
Morgenstern N.R. & Price V.A. 1967: The analysis of the stability of
general slip surfaces. Geotechnique, Vol. 15, pp. 7993.
Ortlepp W.D. 1997: Rock Fracture and Rockbursts: an illustra-
tive study. South African Institute of Mining and Metallurgy,
Johannesburg: Monograph Series M9.
Riedel W. 1929: Zur mechanik geologisher brucherscheinungen.
Zentralblatt fur Mineralogie, Geologie und Paleontologie B, pp.
354368 (Abhandlung).
Singh T.N. & Singh D.P. 1992: Assessing stability of voids in
multi seam opencast mining. Colliery Guardian, July 1992,
pp. 159164.
Skempton A.W. & Hutchinson J.N. 1969: Stability of natural slopes
and embankment foundations, State-of-the-art report, Proc 7th Int
Conf SMFE, Mexico City, 2, pp. 294335.
Spencer E.E. 1967: A method of the analysis of the stability of
embankments assuming parallel inter-slice forces. Geotechnique,
Vol. 17, pp. 1126.
SRK 1995: Failure analysis of the North Pit Failure, Colliery Pit A1.
Unpublished internal mine report.
Stead D. & Scoble M.J. 1983: Rock slope stability assessment in
British surface coal mines. Second International Surface Min-
ing and Quarrying Symposium, 46 Oct. 1983, Bristol, UK,
pp. 205216.
Sturman J.M. 1984: Influence of slope stability on economics of
opencast coal mining in the east and north midlands of England.
Second International Surface Mining and Quarrying Symposium,
46 Oct. 1983, Bristol, UK, pp. 217224
Sylvester A.G. 1988: Strike-slip faults. Bulletin of the Geological
Society of America, Vol. 100, pp. 16661703.
van der Merwe, J.N. 2002, Horizontal stress: The root of all evil?,
Proc. 19th Conf. on Ground Control in Mining, Teheran, Iran.
Vermeer P.A. & de Borst R. 1984: Non-associated Plasticity for Soil,
Concrete and Rock, Delft University of Technology: Heron, Vol.
29, No. 3.
 Re-evaluation of an anchored slope using a digital terrain model

P. Fritz
ETH Zurich, Switzerland

M. Hauser
Geotest, AG, Zollikofen, Switzerland

ABSTRACT: In the eighties the road tunnel Chlus with an overall length of about 800 m was constructed between Landquart
and Davos in Switzerland. It consists of two parts excavated by the traditional mining method and a connection part of 70 m
length built as a cut-and-cover tunnel. During construction more than 800 permanent anchors were installed, 86 of which in
the surrounding slopes in form of prestressed cable anchors.
The aim of the current investigation was twofold: firstly to apply modern design aids to determine potentially unstable rock
blocks, and secondly, based on these findings, to re-evaluate the anchor system for ensuring stability.
Preliminary work included high resolution photogrammetric recordings which were digitized in the form of a network of
triangles and quadrilaterals, exploration of the various discontinuity sets, their spacing and continuity, and laboratory tests to
determine the strength along the discontinuities.
Due to the complex geometry of the slope it was decided to carry out the numerical investigations with the computer
program AutoBlock, which runs all computations directly on arbitrarily detailed Digital Terrain Models (DTM). First the
digitized surface was imported into AutoBlock and automatically extruded to depict a three-dimensional body, a so called
Solid Model. This was then intersected by all possible combinations of the discontinuities encountered, which led to all the
kinematically admissible potentially unstable blocks. At this point, based on an engineering validation facilitated by AutoBlock,
many of these theoretically possible blocks could be excluded, e.g. rather small blocks were not of interest, rather large blocks
were highly improbable. For the remaining blocks the factor of safety (FS) against sliding was automatically determined. The
results were discussed by considering the value of FS, the anchors installed during construction, and possibly additional anchors
required to reach a stable state. These investigations led to an overview about the safety of the present state and recommendations
on where additional anchors were necessary.

1 MOTIVATION To overcome these problems the CAD-based computer pro-

For the permanent rock anchors of the slopes near the tunnel
portals the question arose, if, after 20 years of service, they
needed to be replaced, or, considering the actual conditions of
the rock and the engineering structure, they were mainly of
use during construction. If a replacement of the 39 prestressed
cable anchors could be avoided, substantial gains would result.
To answer this question the geologic and rock mechanics con-
ditions were re-evaluated, and the project revised by means
of the computer program AutoBlock (Amiguet and Hauser,
2005). The following items were of predominant interest:
were the rock mechanical characteristics be taken into
account too pessimistic?
was the natural stability of the rock mass underestimated
and were unvavorable joint patterns overestimated?
why despite the measured reduction of the anchor force of
up to 25%, no collapse or damage occurred?
is a factor of safety for the cable anchors of 1.5 still required?
Two factors complicate the analysis of such stability prob-
lems in steep and rather inaccessible areas: firstly, determining
magnitudes of sliding areas of potentially unstable blocks
based on topographic maps involves a considerable effort,
and secondly finding the critical blocks that are formed by
an intersection of various discontinuities (e.g. bedding planes,
joints, zones of disturbance, tension cracks, etc.) in a complex
topography is, to say the least, demanding.
gram AutoBlock developed at the Swiss Federal Institute of
Technology (ETH) was used: it is an add-on to AutoCAD and
allows a unified investigation of stability problems of slopes
and foundations by integrating topographic and geologic data,
rock mechanics, solid modeling, visualization and a solution
procedure tailored to engineers, by allowing them to narrow
down critical areas by filtering results and putting what-if
questions.
The main advantages of AutoBlock are twofold: firstly, it
runs all investigations on arbitrarily complex Digital Terrain
Models (DTM), which are digitized beforehand using a topo-
graphic map, images or laser scans, and secondly, for each
analysis step it provides extensive visual aids which enable
the engineer to determine potentially unstable blocks with
minimum expenditure and maximum reliability.
2 PRESENTATION OF PROJECT
2.1 Topography
The project under consideration, the Chlus Tunnel, is situated
in the Eastern Swiss Alps, about 5 km east of the confluence
of the rivers Landquart and Rhine (Fig. 1). It connects the
Rhine Valley with the Prttigau and the tourist resorts Klosters
and Davos. Before, the old road passed through an impressive
gorge with up to 500 m high vertical rock walls (Fig. 2).

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2007 Taylor & Francis Group, London, UK

Figure 1. Topography of the Chlus tunnel.
Figure 2. Old road passing though the gorge.
This report is limited to the discussion of the anchorage in
the cut-and-cover zone of Fig. 1.
2.2 Lithology
The strongly folded and cleaved rock sequence consists of
decimeter-bedded sandy limestones and arenitic limestones,
separated by thinly-bedded limestone shales. The texture is
equigranular granoplastic with partly intercrystalised calcite-
und quartz crystals. The sheet silicates, mainly clay minerals,
occur in millimeter-thin layers parallel to the lamination. The
fillings of the joints consist of idiomorphic to hypidiomorphic
calcite and inequigranular quartz.
2.3 Discontinuities
The discontinuity pattern is characterized by the following
elements:
Banking: primary structure typical of sedimentary rocks. It
is bounded by parallel bedding planes.
Bedding planes: they separate characteristic zones of the
corresponding sedimentation conditions.
Schistosity: secondary, parallel structure within the rock in
the order of millimeters thickness, created by deformation
and mechanical stressing of the rock.
Cleavage: closed or slightly opened joints and discontinu-
ities, that have been created in a secondary stage.
The discontinuity pattern is formed by four nearly vertical
joint sets K1 to K4, and a tectonically formed banking, or
stratification S. The nearly vertical joints give rise to a more
or less cubic intersection of discontinuities in the rock mass.
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2007 Taylor & Francis Group, London, UK
Figure 3. Visualization of bedding plane S and joints K1, K2 and
K3 a) Isometric view about normal to the slope b) from top c) in
y-direction (North) d) in negative x-direction (West).
Figure 4. Original cable anchors discussed in this presentation:
Beam A/B/C/D: 1/5/5/6 anchors.
The tectonically characterized, subhorizontally running
banking and stratification planes S lead to a horizontal
structuring of the whole rock mass.
A simplified discontinuity model produced by AutoBlock
is depicted in Fig. 3. Joint 4 is missing in this figure and also
in the following discussion due to its limited continuity.
2.4 Original anchorage
The Chlus tunnel itself was equipped with 744 pemanent
anchors, and the slopes in the portal and the cut-and-cover
zones with 86 prestressed cable anchors with a service load
of 2,600 kN each.
3 PROGRAM AUTOBLOCK FOR STABILITY
INVESTIGATIONS OF ROCK SLOPES
The CAD-based program AutoBlock (Fritz and Bergamin,
2004) enables engineers to analyze the stability of discrete
blocks in a Digital Terrain Model (DTM). These so-called
potentially unstable blocks are endangered by sliding along
known discontinuities or by separating from them.
The DTM is created from a digital terrain surface, which
may be obtained from a digitized terrain map, images or laser
Figure 5. Menu structure of AutoBlock.
scans with practically any desired accuracy. This surface is
then extruded into a so-called Solid Model or DTM, a closed
subset of the 3D space, a prerequisite for simulating intersec-
tions with discontinuities. Additionally, foundations or parts
to be excavated (e.g. a tunnel) may be subtracted from the
DTM.
To determine potentially unstable blocks, the DTM is inter-
sected by one or more sets of discontinuities. The geometry
and strength properties of these discontinuities may be defined
individually for each set. Each block cut-out corresponds
to a potentially unstable block, which, based on kinematic
considerations, may fail.
Additionally its susceptibility to fail depends also on its
strength properties and the loads acting. The latter may have a
driving effect, usually the self-weight, or may also stabilize it,
e.g. an anchor. AutoBlock checks each block if it is susceptible
to sliding, lifting off or if its movement is hindered. In the case
of sliding, the factor of safety is computed using the limit
equilibrium method.
AutoBlock is an add-on to the popular program Auto-
CAD and exploits its possibilities and its power (e.g. for
3D-visualizations). A specially implemented user interface
with menus and dialog boxes enables engineers to use Auto-
Block even without a detailed knowledge of AutoCAD. It
provides all the tools necessary for representing and visual-
izing the results and facilitates a stability analysis with any
number of potentially unstable blocks.
Thanks to these tools and by exploiting the services of
AutoCAD, AutoBlock enables one to overview and handle
the geometry of the topography and the discontinuities in the
ground, and to determine potentially unstable blocks.
The sequence of investigation with AutoBlock is reflected
by the arrangement of its main menu items (Fig. 5).
4 ANALYSIS OF UNSTABLE BLOCKS
Fig. 6 shows the complete DTM representing the actual
problem area of the Chlus project. In the lower middle the cut-
and-cover zone of Fig. 4 may be recognized. N.B.: all figures
of this article have been taken directly from AutoBlock.
This model is intersected by sets of bedding planes S and
joints K1 to K3 as depicted in Fig. 3. Investigations in both
the field and the laboratory revealed an average spacing of the
discontinuities of about 10 m, an angle of friction of 25 and
a cohesion of about 30 kN/m2 .
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2007 Taylor & Francis Group, London, UK
Figure 6. Digital Terrain Model of the Chlus area.
Before starting a computation it is a good idea to esti-
mate the importance of the individual discontinuity sets. From
Fig. 3a) it may be expected that the predominant sliding sur-
face will be S, possibly by including also wedge type sliding
on S and K1. Blocks formed by S and K3 will usually be hin-
dered by K1. K2 is overhanging (Fig. 3b) and will act as a
tension cut face, but not as sliding surface. The joint sets K
alone may only lead to failure in an overhanging area, i.e. near
the portal, and may therefore form smaller blocks only.
The DTM may thus be intersected by the four predominant
discontinuity sets, varying each one over the whole DTM. Dur-
ing this process AutoBlock checks several tens of thousands
of intersections and finds nearly 900 kinematically admissible
potentially unstable blocks. Because the present study aimed
to investigate the stability in the neighborhood of the construc-
tion works only, all blocks in the upper and the left hand part
of the DTM may be excluded, reducing the number of critical
blocks to 140.
NB: at this point it may be recognized, that instead of vary-
ing the discontinuity sets over the whole DTM, which requires
many hours of computational time, and then to exclude remote
blocks, it is preferable to vary the discontinuity sets from the
beginning just in the area of interest, which leads to the same
results, but reduces the computer time to minutes.
In a further step all uninteresting blocks below 1 m3 may
be excluded, and also the ones above 100 m3 m, because they
have never been encountered in reality.
The present publication limits itself to the discussion of the
area in the vicinity of anchors A-D of Fig. 4, in which 21
potentially unstable blocks remain. Individual investigation
of each block is appropriate, however already displaying the
blocks in the DTM may lead to the recognition of endangered
zones and to technical discussions.
The last step of the investigation consists in estimating the
safety of the remaining blocks for various strength and load
scenarios, and discussing its implication for a replacement of
the anchors.
 1.6
1.4
1.2
Factor of Safety
0.8
0.6
0.4
0.2
0
13 3455 9 17 17 19 41 71
Block Volume [m ]
3
Figure 7. Factor of Safety vs. Block Volume (conservative sce-
nario).
Figure 8. Potentially unstable block in the anchored area.
Firstly, a conservative strength scenario is investigated
with an angle of friction of 25 and zero cohesion. Taking
self-weight as loading shows that of the 21 blocks under con-
sideration more than one half will slide on S and K1 together,
some on S and K3 together, or on S or K1 individually, and
one will lift off from K2. The corresponding safety factors are
shown in Fig. 7.
Most blocks exhibit a satisfactory factor of safety (FS)
above 1.5. Striking are the two with an FS of only 0.1: the
first is located over the tunnel and does not therefore present
any immediate danger; the second is restrained by the current
anchors (which have not been taken into account for above
Figure). From the 4 blocks with an FS of 1 one also lies above
the tunnel, two in the region of influence of the anchors, and
only one in a critical position above the portal.
In a second scenario a predicted cohesion of 30 kN/m2 is
taken into account, but also a water pressure of 25 kN/m2 (0.25
at) uniformly acting in all discontinuities.A reduction of safety
in most blocks occurs. Representative for the others the block
of Fig. 8 is discussed here. It has a volume of 17 m3 , and its FS
drops down from a value of 1 to 0.1. However two anchors of
2007 Taylor & Francis Group, London, UK
beam D stabilize it. Considering an anchor force of 5% of their
service load increases its FS to 1 again. Applying the whole
anchor force will increase its safety even substantially more.
However it may be expected that blocks outside the anchor
beams may be affected critically by this loading scenario.
5 REMEDIAL MEASURES
Based on the computations outlined above and similar ones it
71 73 73 76 78 78 91 95 95 was decided that for blocks which are stable in the conservative
strength scenario no remedial measures are needed.
On the other hand if in the region of influence of an anchor
a block with an unsatisfactory level of safety has been found,
the corresponding anchor must be replaced due to its age.
6 CONCLUSIONS
Analyzing the stability of slopes is time-consuming due to
the difficulties of extracting the topology and calculating
geometric data from geographic maps.
The computer program AutoBlock allows one to import
digitized terrain surfaces in any desired detail, which may
then be intersected by various sets of planar discontinuities
with little effort, leading to the geometry and the factor of
safety of all potentially unstable blocks. Additionally, but not
less important, a graphical discussion of all results is possible
at any stage.
The results obtained with the new computer program Auto-
Block differ considerably from those of earlier rock mechanics
investigations with respect to the quality (the decisive regions
are recognized), the quantity (more variations and sensi-
tivity analyses in very quick time are possible) and the
meaningfulness (clarity, closeness to reality).
However it should be kept in mind that a especially
geotechnical computer program should not be used as a
black box, but as a basis for technical discussions among civil
engineers and geologists. AutoBlock aims to facilitate this
demand.
REFERENCES
Amiguet, J.-L., Hauser M. 2005: Chlus Tunnel, Nationalstrasse A28
Prttigau. Internal Report G0307.1, Geotest Davos, Switzerland.
Fritz, P., Bergamin, St., 2004: Rock Slope Analysis based on Digital
Terrain Model. 3rd ARMS, Kyoto, Japan [http://www.igt.ethz.ch/?
publ=765].
Fritz, P., Bergamin, St., 2004: Computer ProgramAutoBlock forAna-
lyzing the Stability of Foundations and Slopes in Rock based on
a Digital Terrain Model. 72th Annual Meeting of ICOLD, Seoul
[http://www.igt.ethz.ch/?publ=761].
656
 Rock avalanches: Experimental study of the main parameters
influencing propagation

I. Manzella & V. Labiouse

Rock Mechanics Laboratory, LMR Swiss Federal Institute of Technology Lausanne, EPFL
Bt. GC, Station 18, Lausanne, Switzerland

ABSTRACT: This paper analyses experiments of not-constrained granular flows to identify parameters influencing rock
avalanches deposit characteristics. Factors varied are material, drop height, volume, number of releases, slope inclination
and friction coefficient. Fringes projection method is applied to evaluate deposit morphology. Experiments have shown that
morphology is dependent on the type of material used: sand or gravel. Aquarium gravel deposit seems closer to real cases. An
increase of the mass released induces a homogeneous increase of all the deposit characteristics maintaining the same morphology.
If a certain mass is released in several times, final deposit characteristics depend on the individual smaller volumes. Low base
friction coefficient and steeper slope lead to different morphologies, higher runout values but no remarkable influences on
width, which turns out to be dependent mainly on volume and height. However, using the ANOVA method it has been found
out that friction and inclination play a role among the significant parameters influencing width if their interactions with the
releasing height are taken into consideration.

1 INTRODUCTION of material are laid out in a wood parallelepiped container

Large rock avalanches (sturzstorms) are gravity-induced phe-
nomena that consist in a rock mass movement of more than
one million cubic metres, involving a great amount of energy
and travelling farther than expected if one considers a normal
sliding friction law. For these reasons the most effective way to
prevent them to cause damages and victims would be to be able
to forecast their runout and consequently to define areas that
could be affected by their occurrence. Now, at the present state
of the art in this field, there is still a large range of unknown
factors as well as various and contradictory hypotheses about
the cause of their abnormal runout.
In this framework the EPFL rock mechanics laboratory
(LMR) is carrying out an experimental research by means
of a small-scale physical model to study the main parameters
influencing runout and final deposit characteristics (such as
length, width and morphology). In this paper a classical sys-
tematic analysis is first considered to evaluate the qualitative
influences between each parameter and each characteristics
then preliminary quantitative results are shown.
Even if the quantitative interpretation of the results is not
straightforward, owing to the difficulty in matching the scal-
ing laws, laboratory experiments are very helpful for the
phenomenology study and the assessment of relevant phys-
ical parameters to improve runout prediction as well as for
numerical models validation.
2 DEVICES AND TESTS DESCRIPTION
2.1 Testing device
The experimental set-up (see Figure 1) mainly consists of two
rectangular boards (3 m 4 m) placed one after the other and
joined by a hinge. The first panel is fixed horizontally on
the soil and the second one can be positioned at different
angles. Tests mainly consist in simulating a rock avalanche
creating a not constrained granular flow. Different amounts
measuring 20 cm height * 40 cm width * 65 cm length and
placed on the tilting panel. The box is opened in an almost
instantaneous way and the material is released.
Each test is filmed by a digital high speed camera placed at
a height of about 5 m from the horizontal panel.
The parameters varied during the examined experimental
campaign are:
material volume (10, 20, 30, 40 litres);
releasing height (1, 1.5, 2 m);
slope angle (30 , 37.5 , 45 );
nature of released material: Aquarium gravel and Hostun
sand;
the number of releases (40 litres in one or in two consecutive
releases of 20 litres);
base friction coefficient (high roughness using wood and
low roughness using forex, a light PVC sheet, to cover the
model boards).
Due to limits in space and time these factors have limited
ranges of variation.
2.2 Measuring devices
Runout, length and width of the final deposit are manually
measured after each test. These measurements are done taking
into account only the main part of the deposit, neglecting the
band around it formed by a layer of one grain height and where
the particles become less and less concentrated.
As shown in Figure 1 runout is considered as the distance
travelled by the mass front on the horizontal panel. This choice
has been made to have homogeneous results, which depend
only on one parameter at a time, even if this definition of
runout is not the one commonly used in literature.
The displacement and the velocity of the mass front on the
horizontal panel during the sliding are evaluated from the high
speed camera films using the software WINanalyze.

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2007 Taylor & Francis Group, London, UK

 Table 1. Material properties.

Friction angles
Grains Unit
size weight Internal On wood On forex
Material [mm] [kN/m3 ] [ ] [ ] [ ]

Gr2 0.53 14.9 34 32 27

Hs 0.320.8 12.6 34 3440

Figure 2. Influence of materials used on deposit morphology: com-

parison between Hostun sand and aquarium gravel; 1 release, 30l, 1 m
drop height, 45 .

Figure 1. Experimental set-up and measurements.

Volume and deposit morphology are evaluated by means

of the fringes projection method. According to the thesis of
Desmangles (2003), this method can be divided in three main
steps:
creation of fringes and their projection on the object surface
registration of the object optical print (phase map)
retrieval of the height information from the phase map
The necessary instruments are a projector (normally LCD
beamers of structured light or lasers are used), a digital
camera (with high quality resolution) and a computer. The
beamer projects the fringes on the object and the camera takes
the pictures that are successively used to retrieve the height
information with the computer.
The precision that has been obtained with the tools available
at the laboratory is in average of 4 mm, which is adequate for
the tests considered since it is in the order of the maximum
grain diameter of the material used.
Figure 3. Similar morphology of the deposit for 20 l (on the left)
and 40 l (on the right hand-side); Gr2, 1 release, 2 m drop height,
wood, 45 .
inclined). A similar morphology has been noticed in situ at
the Six des Eaux Froides (Valais, Switzerland). Among all
the tests reviewed in the literature, it has been noticed that
gravel is seldom used and that most of the tests are performed
with different kinds of sands or beads. (Manzella & Labiouse,
2007).
Nonetheless, the tests at LMR show that the deposit mor-
phology of gravel materials is closer to that observed in real
cases. The observed difference in test deposits morphology
is probably caused by the shape and angularity of the grains
rather than by the grain size distribution. This point remains
nevertheless to be clarified in the future.

3 RESULTS QUALITATIVE INTERPRETATION

In this Chapter the influence of each parameter studied is
evaluated.
3.1 Granular materials
The granular materials used for the tests are:
Hs : Hostun sand;
Gr2 : Aquarium gravel.
The experiments have emphasised a clear dependency
of deposit morphology on the use of sand or gravel (see
Figure 2). The shape of the sand deposit, regular and compact,
agrees with many experiments described in the literature (e.g.
Hutter et al 1988 and 1991; Bagnold, 1954) while the aquarium
gravel deposit has well marked angular discontinuities (cen-
tral zone with a small slope, but front, rear and sides strongly
3.2 Volume and height
As it can be supposed an increasing of the volume leads to
an increasing of all the deposit characteristics. On the other
hand the deposit morphology doesnt suffer any significant
change: the deposit is bigger but has mainly the same shape.
This is valid for all the studied parameters combination (see
Figure 3).
Nonetheless deposit morphology depends on the releasing
height. When dropped from a higher point, the mass tends to
flatten out. This is probably due mainly to the more significant
mass potential energy.
When released from 1 m the mass appears to follow a tri-
angular propagation with an angle of about 15 , on the other
hand, when released from a higher point, the mechanism is
composed of two parts, one at the beginning that follows a tri-
angular shape with the same opening angle (about 15 ), and

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 2.4
37.5
2.1
45

front velocity [m/s]

1.8
1.5
1.2
0.9
Figure 4. Different propagation mechanisms for two different 0.6
releasing heights; Gr2, 1 release, 20 l, wood, 45 .
0.3
0.0
0 0.2 0.4 0.6 0.8 1
runout [m]

Figure 6. Front horizontal speed comparison between different

Figure 5. Morphology comparison for different base material and
inclination: (a) base material wood, 45 slope inclination; (b) base
material forex, 45 slope inclination; (c) base material forex, 37.5
slope inclination; Gr2, 1 release, 20 l, 1.5 m drop height.
a second one which continues almost straight along the deep-
est slope after the mass front has reached a certain width (see
Figure 4).
3.3 Different roughness and different inclination
The deposit morphology is found to be dependent on the
friction coefficient on the base material: in the case of high
roughness (wood panel), when the mass starts reaching the
horizontal panel, it comes rapidly to rest. This first deposit
acts as a barrier for the material still sliding, that is obliged to
move on the sides forming a kind of lateral wings. In the case
of low friction coefficient (forex panel), the rear and the mass
front come to rest at about the same time avoiding the above
mentioned dam effect (see Figure 5a and 5b).
However, in some experiments with a lower inclination of
the tilting panel (37.5 instead of 45 ), one observes the same
effect as with a high roughness. In fact, both factors induce
a similar decrease of the active sliding forces, the first one
by a higher friction coefficient and the second one by a lower
slope inclination. So, when the inclination becomes smaller,
the deposit morphology changes going from a homogeneous
semielliptical shape to the formation of a mass with lateral
wings (see Figure 5b and 5c).
Logically, it comes out that an increase in the active forces,
either by increasing the slope inclination or decreasing the
base friction coefficient, leads to higher front mass velocities
and longer runout. On the other hand the width doesnt change
significantly.
As shown in Figure 6, the front velocity remains rather sim-
ilar for different slope inclinations until the mass is nearly at
rest. It only differentiates in the last part of the run-out where,
for the experiments with 45 inclination, the rear part of the
mass seems to push or to run over the distal part of the deposit
almost at rest.
3.4 Number of releases
The same total volume of 40 litres has been released:
At once (40 litres) or
At two different times (20 over 20 litres).
slope angle; Gr2, 1 release, 20 l, forex, 1.5 m drop height.
The results obtained in the testing campaign presented in
this paper confirm previous results stated in Manzella & Labi-
ouse (2007): by increasing the number of times by which
the release of a certain volume is divided, height increases
significantly and run-out decreases.
As a matter of fact, it is the first release which determines
how far the entire volume will travel. The following release
is hindered by the deposit that has already taken shape at the
base and it contributes mainly to building up the height of the
deposit.
In addition, the deposit morphology proved to be very
dependent on the number of consecutive releases. When the
mass is released at several times, a relatively conical deposit
can be observed. This kind of shape is very similar to the coni-
cal pile built up by sand particles flowing in a hourglass and is
in agreement with in situ observations, like the rather conical
and narrow deposit of the Randa event in the Matter Valley
(1991, Swiss Alps) which occurred over several hours. Even
if the total volume of the failed mass was of 20 million m3 , the
run-out distance is significantly shorter than the one observed
for other large rockslides of comparable volume.
4 PRELIMINARY QUANTITATIVE INTERPRETATION
The purpose of the quantitative interpretation is to obtain
mathematical relationships, between the varied parameters
and the deposit characteristics.
This work is still in progress but first results are hereafter
presented.
4.1 ANOVA
The method used to obtain these relationships is the ANOVA,
analysis of variance method. See the E-Handbook of Statistical
Methods (NIST/SEMATECH, 2006) for further information.
The following tests conditions have been considered:
Material Gr2
Slope angle (a) 37.5 45
Volume (v) 20l40 l
Drop height (h) 1 m1.5 m
Friction (f ) 27 32
Studying statistically the changes induced by each parame-
ter and by their interactions, this method can establish which
are the significant parameters influencing each considered
characteristic.

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Table 2. ANOVA analysis.
Parameters Interactions
Factor a h v f a&h h&v a&v a&f h&f
Runout
Length
Width
highlight the parameters that have a strong influence on the
considered deposit characteristic.
As already mentioned due to limits in space and time
these factors have limited ranges of variation, which will be
extended in further campaign.
The results shown in Table 2 confirm the qualitative consid-
erations made in the previous chapter and give some additional
information.
All the parameters studied have a strong influence on runout
while length is dependent mainly on volume and friction.
Width is actually dependent mainly on volume and height.
Nonetheless it is possible to see that friction and slope angle
are also important since their interactions with the releasing
height have a strong influence on width and they have to be
taken into consideration for an analytical study.
Interactions are not significant in the other cases.
These first considerations will be useful to write the analyt-
ical relationships, a work still in progress and which requires
deeper investigations.
5 CONCLUSIONS AND FUTURE DEVELOPMENTS
The parameters varied during the examined experimental
campaign are:
material volume;
releasing height;
slope angle;
nature of released material;
consecutive releases;
base friction coefficient.
The experiments have shown that deposit morphology is
dependent on the type of material used: sand or gravel. The
sand deposit shape, regular and compact, agrees well with
many experiments described in the literature, while the aquar-
ium gravel deposit, which is quite irregular (a central zone with
a small slope, but front, rear and sides strongly inclined), is in
accordance with deposit characteristics of some real events.
There is also a considerable difference in deposit morphol-
ogy and dimensions when the event is the consequence of one
large volume released at once or when the same volume is
2007 Taylor & Francis Group, London, UK
released in sequence. In the latter case, the characteristics of
the final deposit do not depend on the entire volume but on
the volume of the individual released masses. This kind of
behaviour is in agreement with in situ observations, such as
f&v
the rather conical and narrow deposit of the Randa event in
the Matter Valley (Swiss Alps) which occurred over several
hours.
On the other hand deposit morphology doesnt depend on
volume. An increase of the mass released induces a homoge-
neous increase of all the deposit characteristics maintaining
the same deposit shape.
Base friction and inclination of the panel have a strong influ-
ence on runout but almost no influence on width. This result
is confirmed also by the ANOVA analysis of the data, which
can quantitatively assess the relevance of the parameters stud-
ied. Width turns out to be dependent mainly on volume and
height, but friction and inclination are found to influence width
through their interaction with the releasing height.
The results presented in this paper will be deepened and
generalised in the future to implement analytical relationships
between all the parameters studied.An experimental campaign
is in progress to study the behaviour of little bricks flow and the
use of larger volumes of gravel is foreseen. Finally, laboratory
tests will be used for the validation of numerical codes, aiming
to improve rock avalanches runout prediction.
ACKNOWLEDGEMENTS
LMR thanks the Canton of Valais, the OFEG and the SECO
for fundings. Further acknowledgements go to Professor
P. Jacquot, S. Cochard and L.-S. Bieri for the development
of the fringes projection method and to Sophie Desprez and
Marina Rossetti for the help given during their stage.
REFERENCES
Bagnold, R.A. 1954. Experiments on a gravity free dispersion of large
solid spheres in Newtonian fluid under shear. PRSL 225: 4963.
Desmangles, A.I. 2003. Extension of the fringe projection method to
large object for shape and deformation measurement. Ph.D. thesis
no 2734. Ecole Polytechnique Fdrale de Lausanne, CH.
Hutter, K., Koch, T. 1991. Motion of a granular avalanche in an expo-
nentially curved chute: experiments and theoretical predictions.
Phil. Trans. R. Soc. Lond. 334: 93138.
Hutter, K., Savage, S.B. 1988. Avalanche dynamics: the motion of a
finite mass of gravel down a mountain side. ISL 1: 691697.
Manzella, I., Labiouse, V. 2007. Qualitative analysis of rock
avalanches propagation by means of physical modelling of non-
constrained gravel flows. Accepted for publication for Rock Mech.
Rock Eng. J.
NIST/SEMATECH 2006. E-Handbook of Statistical Methods.
http://www.itl.nist.gov/div898/handbook/
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 Rock engineering in karst: Belgian case histories

R.M. Schmitz
ULg-ArGEnCo, Lige, Belgium

C. Schroeder
ULg-ArGEnCo, Lige, Belgium
ULB-BATir, Bruxelles, Belgium

A. van Cotthem
Tractebel, Brussels, Belgium

B.Dethy
BRRC-CRR-OCW, Brussels (formerly Tuc Rail Brussels, Belgium

ABSTRACT: A site investigation is needed prior to any civil engineering construction. The results of this site investigation
must lead to recognition of problems related to geology. If the problems related to the geology-structure interaction cannot be
handled economically, the structure has to be relocated into more suitable terrains. In some cases, as for line infrastructures
(e.g. highways, railroads etc.) this relocation is not always possible. In these cases the problems related to the implementation
of the structure into the geology have to be overcome. In this light, karstified areas belong to the most difficult engineering
terrains. Although the presence of karst in a certain region can be identified during a site investigation, the exact location of
karst voids cannot be predicted with a precision accurate enough for construction. In this contribution, an inventory is made
of the possible presence of karst in Belgium. Then 2 case studies are presented in which the particularities of karst of different
age (Palaeokarst, Mesozoic karst and Caenozoic karst) are presented.

1 WHERE CAN WE FIND KARST IN BELGIUM

One method to analyse the extent of karst in a region consists

in mapping outcrops of the lithologies prone to dissolution. In
Belgium the areas that could be affected by karst are restricted
predominantly to Wallonia. In Wallonia the karst is restricted
predominantly to Palaeozoic rocks1 . In these Palaeozoic rocks
the karst is restricted to those that consist of limestone and
dolomite, most karst can be found in the limestone (Ek 1996).
The occurrence of the outcrops2 of these formations is
shown in figure 1.
Our contribution will, on the basis of the karst features in
Belgium, discuss only the carbonate karst.
Brussels the largest city in Belgium, Antwerp the largest
city in Flanders and Lige the largest city in Wallonia: in fact
94% of the population of Belgium is fenced in by the karst
belt, shown in figure 2, which starts in the west near Tournai
Figure 1. Palaeozoic limestone, which outcrops in Wallonia, con-
and continues via Mons and Charleroi to the German border, tains most karst in Belgium (Schmitz and Schroeder 2003).
then it turns north between Lige and the Netherlands border
but here in the subsurface. If one wants to connect Belgian
cities to Germany or France one has unavoidably to pass this
1
Belgian karst belt.
Karst features outside Wallonia can be found in the Cretaceous
rocks NW of Lige.
2
The occurrence of these Palaeozoic rocks should be considered in
subcrop maps up to 50 m depth from the surface. These subcrop maps 2 KARST FORMED DURING THREE DIFFERENT
are at present not available. It should therefore be acknowledged that GEOLOGICAL ERAS
the actual extent of the karst belt is even larger. An example is given
by Calembert & Monjoie (1970) discussing the problems related to Karst encountered in Belgium was formed either during
the construction of the highway Lige to the Netherlands related to the Palaeozoic (Visean), Mesozoic (Lias) or during the
karst in Palaeozoic rocks north of Lige. Caenozoic.

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Figure 2. The Belgian karst belt.
Why should we care about these facts? Karst formed during
the Palaeozoic can, due to various mountain forming processes
which occurred since then, be found at virtually any depth
in the subsurface, at any inclination and orientation (due to
folding and faulting accompanying mountain forming pro-
cesses). Mesozoic karst can extend hundreds of meters below
the present hydraulic base level and Caenozoic karst can be
found in a zone +/ tens of meters below and above the
present drainage system given by the large rivers. This shows
that information about the age when the karst was formed can
be used to estimate the location and extent of karst. Although
karst formation continues even today, it is too slow to develop
during construction. The sudden appearance of voids during
construction are related to changes in the local hydrogeolog-
ical system which affects the consistency of karst void plugs
and karst infill but not dissolution of carbonate rocks on a
scale relevant to engineering. To sum up:
Palaeokarst
As we have seen karst in Belgium is dominantly related to the
karst of Palaeozoic limestone.
The Palaeozoic limestone is of Carboniferous age, in
Wallonia represented by e.g. the Visean, Namurian and West-
phalian3 . The contact between the Visean and the Namurian,
stratigraphically a normal contact (Bouhenni 2003), corre-
sponds on the regional scale to an old erosional surface
with important karstification of the limestone of the Visean
(Couchard et al. 1994), the karst is filled in by Namurian sed-
iments (Bouhenni 2003). The geotechnical properties of the
infill material of the Palaeozoic karst on the contact Visean
Namurian is very heterogeneous: silt, sand, weathered shale,
clays, breccias etc. (Calembert 1975). After karstification the
Westphalian, Namurian and Visean were extensively folded
and faulted during the Variscan/Hercynian orogeny (Bouhenni
2003). Palaeokarst can therefore be found at any depth where
the Visean meets the Namurian. This Palaeokarst was encoun-
tered during the construction of the Soumagne tunnel (case
study I) discussed below.
3
Note that it was this Westphalian coal that outcrops in the town
centre of Lige and the proximity to the Ardennes that delivered the
ore, that the independency of the principality of Lige was founded
in the middle ages and maintained during 800 years. Coal seams in
the Namurian have never been mined because of they are too thin.
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2007 Taylor & Francis Group, London, UK
Mesozoic karst
Mesozoic karst can be found in the Palaeozoic carbonates in
the southwestern part of Belgium.
These carbonates are like the carbonates described above,
of Carboniferous age but a little older and were deposited
during the Tournaissian. Tournaissian limestones were highly
karstified during the Lias and are filled by Tertiary sediments
(Schmitz 2004). This Mesozoic karst was encountered during
the construction of the Arbre railroad viaduct (case study II),
as will be highlighted later in this contribution.
Recent karst: Caenozoic
The Ardennes massif is currently uplifting. This means that
rivers are incising into their beds. Thereby steep valleys
are formed and the regional groundwater level decreases.
Karst proceeds downwards too, leaving caves higher up
into the terrain dry. In general karst can be found to a
depth of 60 m below the actual riverbeds (Fetter 1994). This
Caenozoic karst was encountered during the construction of
the Remouchamp highway viaduct (literature overview by
Schmitz and Schroeder 2003).
3 CASE I: TUNNEL DE SOUMAGNE
Introduction
A major achievement of the Belgian railway was the recent
construction of a high-speed railroad from Brussels via Lige
and Aachen to Cologne. The track Brussels Lige has been
inaugurated 2003. Thereafter construction focused on the sec-
tion Lige Aachen. To be able to maintain a high travel
velocity the path of the former, rather curved railroad, was not
be followed. Unavoidably a tunnel needed to be constructed to
pass through some hills on the way from Lige to the plateau de
Herve. This tunnel is the Soumagne tunnel (the breakthrough
occurred in October 2004).
Karst near Soumagne
The karst that is encountered near Soumagne is Palaeokarst.
Well known and feared (Couchard et al. 1994) is the contact
between the Namurian (Carboniferous; coal and shales) and
the Visean (Carboniferous; limestone). This contact is infa-
mous because it contains a Palaeokarst on the top of the Visean
(figure 3).
In the Soumagne tunnel this contact was crossed (figure 5).
Due to the local tectonic setting the tunnel remains close to the
former (a large part of the Namurain has been weathered away)
Visean Namurian interface. This is explained in a highly
simplified way in figure 4 (a detailed geological description
can be found in Monjoie et al. 1994 or Couchard et al. 1994).
Predominantly limestone was deposited during the Visean.
During the Namurian the environment changed and the depo-
sition of limestone was followed by a series of shales with
coal layers. During this time the limestone was highly karsti-
fied. During the Westphalian following the Namurian, again
coal, shale and sandstone were deposited but this time the
coal seams were thicker and therefore exploited from the
Middle Ages up to the late 20th century. During the Hercy-
nian/Variscan orogenesis and later during the extension of the
Rhine graben (Bouhenni 2003) the formations were folded
and faulted.

Figure 3. Palaeokarst in an outcrop in Vis, type-location of the
Visean (extract from Schmitz et al. 2005). Very strong good (RMR
class I) limestone changes abruptly into a unconsolidated soil. These
abrupt changes cause major problems in tunnelling and foundation
engineering.
The site investigation consisted of:
Tunnelling through karst
The difficulties of karst phenomena in tunnelling are:
Figure 4. A simplified geological draft of the geology of the Sou-
magne tunnel. Due to tectonic disturbance the tunnel remains close
to the Visean-Namurian interface thus within the paeokarst. Not indi-
cated in this section is the faulting and folding of the coal and schist
layers of the Westphalian (from: Schmitz and Schroeder 2003).
One of the reasons that the tunnel remains within the
Palaeokarst (figure 5) is its proximity to the Magne fault
an overthrust, which pushed the Visean over the Westphalian.
In the footwall the first tens of meters shale and sandstone are
deconsolidated in the hanging wall the limestone is karstified
with partial clayey infill (Couchard et al. 1994).
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2007 Taylor & Francis Group, London, UK
Figure 5. Tunnel front during the construction of the Soumagne tun-
nel (radius 5.5 m) showing the Palaeokarst on the Namurian-Visean
interface (Photo: Courtesy of S.M. Soumagne Tunnel; Schmitz et al.
2005).
Site investigation
105 boreholes (length 8 km) geophysical, geotechnical and
geohydrological measurements
a pilot gallery
Microgravimetry was used (Monjoie et al. 1994) to deter-
mine the location of karst voids. Especially in the proximity
of the future shaft a large anomaly indicated that karst could
occur. It was verified during the tunnelling in 2002, that this
anomaly was indeed related to Palaeokarst on the Visean
Namurian contact and in the Visean self.
complexity of the geometrical form of the cavity created
by Karst and its orientation with respect to the tunnel axis
(Pttler 2003)
the heterogeneity of the infill of the cavity (Pttler 2003)
changing interactions between the karstified rock mass
and the tunnel structure. The relationship between karst
and overbreak was discussed by Viroux (2003) and Viroux
(et al. 2005).
Karst affects surface and subsurface structures in the same
way: loss of foundation (even in tunnels). In subsurface con-
struction however the karst can endanger the workforce not
only because the lack of foundation but as well by cave-ins.
Methods to deal with karst
Support measures to deal with open karst cavities and karst
holes with boulders in soft rock:
are spiles ahead of excavation
is the sealing off cavities4
is the backfilling of cavities above support in roof with
sand
These measures have to be planned schematically and have
to be adapted to the dimensions of the karst structures on site.
4
For more information on injection of karst cavities: Kutzner (1991).

Figure 6. The installation of the micropiles.
Figure 7. Detailed radar tomography revealed the presence of low
velocity zones. With the knowledge of the geological history of the
region these zones were interpreted correctly as karstified zones.
An essential requirement for an effective excavation procedure
is the availability of all necessary tunnelling equipment both
for excavation by drilling and blasting and for excavation of
soft rocks on site (John and Strappler 2003).
In Soumagne this flexible approach was followed. Differ-
ent support methods (steel arches, swellex, shotcrete) were
applied depending on the geomechanical requirements. Dif-
ficult stretches were mastered using support in advance of
the tunnel front like forepoling or spiling, a method com-
monly used in Europe to pass difficult zones like karst, e.g.the
Irlahll tunnel in Germany.
Tunnel through karst: the groundwater
In the case of the tunnel of Soumagne the major advantage is
that the water table is located below the invert of the tunnel
throughout the Visean: near the Magne fault at 25 m below
the invert (Couchard et al. 1994) and near to the shaft foot at
about the level of the invert. Therefore a large inflow of karst
water had not to be feared at the Namurian-Visean contact
(Couchard et al. 1994).
4 CASE II: TGV CONNECTION BRUSSELS TO PARIS
Introduction
The TGV link between Brussels and Paris was the first TGV
link to be developed in Belgium. The high speed railroad
link crosses the karst belt near Arbre, where a viaduct was
constructed.
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Figure 8. The operational Arbre viaduct.
Karst near Arbre
Arbre is located on the Palaeozoic rocks of the karst belt.
The Palaeozoic rocks were deposited during the Tournaissian.
Quaternary deposits cover the Palaeozoic rocks (Couchard &
Detandt 1999). The bedrock itself is affected by Mesozoic
Caenozoic karst. The karst is filled with Tertiary sediments.
Site investigation
It is known that the depth of the karst phenomena, even if
they are not of Palaeozoic age, is independent of the current
regional base level in the region, which is often linked to a large
river system. Cave systems can be formed above, at, or below
the water table but the depth of major solution openings below
base level is probably less than 60 m (Fetter 1994), but can
attain 100 m in the Palaeozoic limestone and dolomite rocks
of the Belgian karst belt (Calembert & Monjoie 1973). Cav-
ernous zones found at these depths are well below the present
water table. Warned by this, an extensive site investigation
was performed, relying on e.g. radar tomography, figure 7,
(Couchard & Detandt 1999) and it was shown that the depth
of the karst extended to a remarkable 80 m below the surface.
This needed to be taken into account during the planning of
the viaduct.
Construction
Such deep karst voids cannot be filled economically. Normal
piles cannot be used in these terrains. Because compressive
and tension forces (deceleration of trains on the viaduct)
needed to be transmitted to the subsurface choice was made
to stabilise the karstified bedrock with micropiles, regularly
used as means of foundation of line infrastructure in karst. In
Arbre, 88 micropiles were installed per footing in the worst
ground conditions. The micropiles (figure 6) were constructed
to a depth of 30 m (Couchard & Detandt 1999). With this
method the bedrock was stabilised and the viaduct could be
constructed (figure 8).
5 CONCLUSION
Karst in Belgium affects predominantly Palaeozoic carbon-
ate rocks. The rock masses showing karst near the surface or
at least in the upper region where civil engineering construc-
tion takes place can be found as a half circle fencing 94% of
the population in Belgium from France and Germany. Thus
at any instant when line infrastructure was constructed or is
being constructed to France or Germany, karst will be encoun-
tered. The karst encountered is either: Palaeokarst, Mesozoic
or Caenozoic karst. This Palaeokarst can be found at any depth
where the Visean meets the Namurian; this contact is infamous
among rock and soil mechanic engineers. Mesozoic karst is
found e.g. in Tournaissian, were the karst holes are filled by
Tertiary sediments up to 100 m deep. Caenozoic karst affects
nearly all carbonate formations. It was developed during the
ongoing uplift of the Ardennes. As a consequence the rivers
started to erode into their riverbeds, lowering the regional
water table, thereby the karst formation continued at a lower
level: dry caves can be found above the present river lev-
els. Nice examples are the touristic well-known Han-sur-Lesse
and Remouchamp show caves.
Two cases of line infrastructure through karst were dis-
cussed. Both passed the karst belt and encountered problems
related to karst. These difficulties were solved differently:
Arbre: The site investigation revealed the presence of karst
in the bedrock. The karstified rock mass was stabilised using
a large number of micropiles.
Soumagne: The intensive geophysical prospection led in an
early stage to the acknowledgment that a flexible construction
method was needed throughout construction. The karstified
zone was successfully mastered by pre-support in front of the
excavation.
With a mix of geophysical methods, analysis of geological
maps, information provided by locals and speleologists, anal-
ysis of aerial photographs etc. it is possible to indicate possible
presence of karst but neither its size, geometry, depth or extent
can be determined with an accuracy that is precise enough to
satisfy engineering design. But it is important that this investi-
gation is done as early as possible during the project. Then the
construction firm knows that not a 100% detailed planning is
required but flexibility.
If a bridge has to be constructed in a karstified area the
position of piers might have to shift, this needs to be consid-
ered in the initial design. The permission of the controlling
authority must be obtained for several ranges of pier position.
If the statistical prove and permission for an adapted variant
have to be obtained at a later stage e.g. during construction
then valuable time is lost to get through the red tape.
When tunnelling through karst be prepared and make sure
that the equipment to deal with hard rock and soft soil is
on site. Select a site manager who knows that geology dic-
tates more than in other circumstances the rate of advance.
Before construction starts prepare a catalogue in which the
support measures dealing with many possible karst encoun-
ters are described. Obtain the permission of the controlling
officials for all these variants before the construction begins.
In all these cases there is a double task for the responsible
rock or soil mechanical engineer very early, less detailed, to
change the psychology of the construction approach and then
later on during construction on a day to day basis directly at the
front or on the construction site. It was shown that when line
infrastructure crosses the Belgian karst belt, that this approach,
where applied, was successful to deal with the unpredictability
of karst.
REFERENCES
Bouhenni, S (2003) Gologie du site du tunnel du Soumagne. Pre-
sentation ISRM IAEG Belgium visit to the tunnel Soumagne
April 8th 2003.
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Calembert, L (1975) Problems de Gologie de lingnieur en regions
karstiques. Bulletin of the international associationof engineering
geology. N 12. pp. 93132.
Calembert, L, Monjoie, A (1970) Phnomnes gologiques et golo-
gie de lingnieur dans la rgion de Vis (Belgique). First IAEG
Conference. Paris.
Calembert, L, Monjoie, A (1973) Gologie de lingnieur en relation
avec les roches solubles en Belgique. Proceedings Symposium
Sinkholes and subsidence. Hannover 1972. Publisher: Deutsche
Gesellschaft fr Erd- und Grundbau.
Couchard, I, Detandt, H (1999) Le Viaduc dArbre. Rail Interna-
tional Schienen der Welt. Edition Franaise. Vol 12.
Couchard, I, Dethy, B, van Cotthem, A, Wauters, J P, Cocinas, I,
Compere, J M, Halleux, L, Monjoie, A (1994) Tunnel TGV de
Soumagne Reconnaissance Gologiques et Gotechniques. Col-
loque National Nationaal Colloquium Belgisch Comite voor
Ingenieursgeologie Comite Belge de Gologie de Lingnieur.
Louvain-la-Neuve.
Ek, C (1996) Les Calcaires de Wallonie. In : Atlas du Karst Wal-
lon, Province de Lige. Tome 1. C. de Broyer, G. Thys, J. Fairon,
G. Michel, M. Vrolix (eds). Commission Wallon dtude et de
protection des sites souterrains.
Fetter, C W (1994) Applied hydrogeology. 3rd ed. Prentice Hall.
Hwing, K D, Eder, S, Plank, M (2003) Baugrunderkundung
fr Verkehrswege in Karstgebieten. Felsbau, Fachzeitschrift fr
Ingenieurgeologie, Geomechanik und Tunnelbau. sterreichische
Gesellschaft fr Geomechanik. Vol. 21. N 1. pp 521.
John, M, Strappler, G (2003) Manahmen fr den Tunnelvortrieb
im verkarsteten Gebirge der NBS Nrnberg-Ingolstadt. Felsbau,
Fachzeitschrift fr Ingenieurgeologie, Geomechanik und Tunnel-
bau. sterreichische Gesellschaft fr Geomechanik. Vol. 21. N 1.
pp 2227.
Kutzner, Ch (1991) Injektionen im Baugrund. Enke Verlag.
Monjoie, A, Schroeder, Ch, Read, D, Couchard, I, Dethy, B, Wauters,
J P (1994) Prospection Gravimetrique pour le tunnel de Soumagne.
Colloque National Nationaal Colloquium Belgisch Comite voor
Ingenieursgeologie Comit Belge de Gologie de Lingnieur.
Louvain-la-Neuve.
Pttler, R. (2003) Zum Geleit. Felsbau. Fachzeitschrift fr
Ingenieurgeologie, Geomechanik und Tunnelbau.sterreichische
Gesellschaft fr Geomechanik. Vol. 21. N 1. pp 812.
Prinz, H. (1997) Abriss der Ingenieurgeologie. Ferdinand Enke
Verlag. Stuttgart.
Richter, D. (1989) Ingenieur- und Hydrogeologie. De Gruyter.
Schmitz, R M (2004) Nano-engineering geology of clay-leachate
interaction. Dr.Sc.Ap. thesis. Universit de Lige.
Schmitz, RM, Schroeder, C (2003) Line infrastructure and the role of
engineering geology in the Belgian karst belt. Ingeokring Newslet-
ter, published by the Dutch association of engineering geology.Vol.
10, N 2, 2003, pp. 1019.
Schmitz, RM, Polo-Chiapolini, C, Schroeder, C (2005) Famous
rock outcrops in the Dutch (Limburg)-Belgian (Lige) frontier
region. Submitted to Ingeokring Newsletter, published by the
Dutch association of engineering geology. Vol. 12, N 1, pp.1829.
Schultz, J R, Cleaves, A B (1955) Geology in Engineering.
Chapman & Hall London.
Viroux, S (2003) Caractrisation gotechnique de lapparition de
hors profils lors du creusement dun tunnel. MSc-Eng thesis.
Department: GomaC. Universit de Lige.
Viroux, S, Schmitz, RM, Charlier, R (2004) Caractrisation gotech-
nique de lapparition de hors profils lors du creusement dun
tunnel: application au tunnel de Soumagne. Tunnels et Ouvrages
Souterrains, N 181, Janvier/Fvrier 2004, pp. 4748.
665
 Rock slope stabilization and numerical modelling with pretensioned metallic meshes

J.E.T. Quintanilha de Menezes

Faculty of Engineering, Porto, Portugal

A.I. Soares Cardoso

EP, Coimbra, Portugal

ABSTRACT: State of the art design of rock slope stabilization solutions using nailed liners is based mostly on mechanical
factors that involve geometric parameters of applied nails. Hence, the contribution of liners to rock structure stabilization being
quantitatively ignored, as a rule, the present study aims at quantifying liner contribution to the increase of stability in rock
slopes. The capability of mechanical modeling of a metallic mesh was achieved with regard to a number of laboratory results
found in the literature. Simple three-dimensional rock structures have been considered and the respective safety factors were
determined, both analytically and numerically, for three different stages: without support, nailed and with nailed liner. Next,
results of numerical calculation, respectively with and without the steel wire mesh, were compared against each other in order
to determine the mesh contribution to the rock structure stability.

1 INTRODUCTION adapting to irregular surfaces, confining and avoiding pro-

High-tensile steel wire meshes and cable nets are stabiliza-
tion solutions known as nailed linings. A nailed lining is a
membrane structure applied over the slope face combined
with unidimensional resistant elements (nails or rockbolts)
introduced in the rock formation.
According to draft European Standard Soil Nailing (CEN,
2000) slope linings applied with nailed elements are defined
as a cover of the rock formation exposed face with stabiliza-
tion functions between nailed elements and/or as protection
means against erosion considering also esthetic and scenery
concerns. In the same document there is a distinction between
several types of linings: rigid, flexible and soft, according to
the deformation level admissible by the structure. Figure 1
shows an example of flexible facing that was used in presented
subsequent numerical analysis.
Metallic meshes are examples of flexible linings. They
receive and apply forces to the terrain in a continuous form.
They have a stabilization function, supporting any materials
that detach between nails or rockbolts. Its behavior depends
on spacing between nails, as there is an interaction between
these elements. They are light and flexible support structures,
Figure 1. Example of flexible facing (CEN/TC 288, 2000).
gressive erosion on the terrain surface.
There are several sorts of metallic meshes on the market.
Conventional meshes of hexagonal type with double or triple
torsion are made with steel wire having a tensile strength
between 400 and 700 N/mm2 .
There are also metallic meshes with even higher tensile
strength (over 1200 N/mm2 ) which, by having more support
capacity, allow combinations with active nails or rockbolts.
Steel wire meshes are flexible membranes used in the last 10
to 12 years as surface support for slope stabilization. Initially
combined with passive nails its application was extended by
using active nails or rockbolts (Torres Vila, 2002).
2 MECHANICAL CHARACTERIZATION OF STEEL
WIRE MESH
The wire mesh in study is made of steel wire with 3 mm of
diameter. After simple torsion wire is arranged in rhomboidal
shape with 143 and 83 mm diagonals and an internal diameter
of 65 mm (TECCO mesh G-65, Fatzer AG, Geobrugg Pro-
tection Systems, Switzerland; Ruegger, Flum & Haller, 2000).
A steel wire mesh is an orthotropic material with elastic lin-
ear behavior. Orthotropy is due to mesh geometry with main
directions defined by rhombus diagonals and normal direc-
tion to the mesh plane. Higher rigidity direction is the roll
direction and is layered along the vertical slope direction. So,
lower rigidity direction is coincident with the horizontal slope
direction.
Fresno & Munoz (2001) and Torres Vila (2002) carried out
several laboratory tests to determine mechanical parameters
of the wire mesh (Figure 2):
a) Longitudinal tensile strength tests with deformation over
the larger diagonal direction (y-direction) and restricted
displacements in the x-direction;
b) Transversal tensile strength tests with deformation over
the smaller diagonal direction (x-direction) and restricted
displacements in the y-direction;

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2007 Taylor & Francis Group, London, UK

 151.46 kN/m
y y ratio between real material shear strength and required shear
strength to reach a failure state (2) (Dawson, Roth, & Drescher,
68.86 kN/m
1999).

67.00 kN

x x x
Numerically, a way of computing FS is to reduce the mate-
rial shear strength parameters until collapse occurs. Bracket
Figure 2. Loading and supporting conditions presented on labora- and bisection method was used to determine FS (Dawson,
tory tests and numerical analysis: a) larger diagonal tensile strength
test (y); b) smaller diagonal tensile strength test (x); c) puncture test.
Roth, & Drescher, 1999). Simulations were performed, for a
series of factors of safety, adjusting strength parameters in
Table 1. Laboratory tests results with 3.0 mm wire diameter com- interfaces according to equation (2).
pared with numerical analysis on FLAC3D (Cardoso & Quintanilha, Founding FS value in a numerical calculation depends on
2004). the results interpretation to identify the beginning of system
instability. There are several indicators that can be used to draw
Loading Parameter Tests FLAC3D some conclusions about the system equilibrium in a general
way (Itasca, 2002):
Larger diagonal (y) Breaking load (kN/m) 151.46 151.50
tensile strength test Elongation (mm/m) 83.80 84.28 1. Numerical calculation convergence when there is a failure
Smaller diagonal (x) Breaking load (kN/m) 68.86 69.00 state within the model, force equilibrium is not reached, that
tensile strength test Elongation (mm/m) 340.73 342.90 is, there are unbalanced forces;
Puncture Breaking load (kN/m) 67.34 67.00
2. Velocity history convergence (units of displacement
test Elongation (mm/m) 202.48 202.40 divided by number of steps) the field of velocity vec-
tors must not show a pattern and have a low amplitude to
denote an equilibrium state;
c) Puncture tests with sample mesh displacements restricted 3. Plastic indicators a failure mechanism will correspond to
along its perimeter and a single load applied in the band zones where velocity pattern and magnitude indicate
center. occurring displacement increase.
The stiffness matrix was obtained with the laboratory test
results assuming the validity of generalized Hookes law. 4 APPLICATION OF A NAILED MESH TO BASIC
In order to simplify Hookes law some hypothesis were ROCK STRUCTURES
considered:
i) An equivalent material thickness; Three slopes with different three-dimensional rock structures
ii) Steel mesh as a thin membrane, with zero normal stresses are analyzed:
on mesh plane and zero distortions in planes xz and yz, A. Wedge structure where one single tetrahedral block slides
which allows a bi-dimensional analysis as this is a stress over two intersecting planes;
plane state case. B. Wedge structure where one single tetrahedral block slides
The values of the stiffness matrix coefficients were after- over a single steep plane;
wards confirmed using program FLAC3D (Itasca, 2002) with C. Steep layers forming a blocky structure with toppling slope
numerical simulations of boundary conditions and laboratory failure.
tests loading, assuming large displacements and deformations. Figures 3 and 4 shows models geometry.
Table 1 shows numerical displacement values quite similar The numerical calculation for each model was performed
to those obtained in laboratory. in three steps (using FLAC3D ) with differences in application
This way was obtained the constitutive law of an orthotropic and capacity of support elements:
material with linear elastic behavior (1). This stiffness matrix,
Rock mass without support;
with units in kPa, was used in numerical models to simulate
Rock mass with pretensioned nails or rockbolts;
flexible lining behavior when applied in slopes stabilization.
Rock mass with steel mesh system (characterized in point 2
Gxy value had to be estimated in order to have a maximal
displacement in numerical model similar to that obtained in and the same linear pre-tensioned elements used in phase 2.
puncture tests. FS values were obtained as described in point 3, using
program FLAC3D, for each model and for each numerical
calculation phase.
Additionally, FS analytical values were also obtained with
the limit equilibrium method for the same geometric and
geotechnical conditions of numerical models. Comparing sta-
bilizing with unstabilizing forces, which induce sliding of each
block in sliding failures, or comparing stabilizing with unsta-
3 DETERMINATION OF SAFETY FACTOR IN bilizing moment, in case of failure by toppling, values for FS
NUMERICAL ANALYSIS where calculated for each phase 1 and 2 in models A, B and
C (Hoek & Bray, 1999).
The factor of safety (FS) is an intrinsic concept and is very Table 2 shows both numerical and analytical results that
common in slope stability analysis. FS is defined as the show a good similarity. The exception goes to model C with

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2007 Taylor & Francis Group, London, UK

 0.0

-0.1

Displacement (mm)
-0.2

Horizontal
without support

disp.
with nails
nailed wire mesh
-0.3
without support

Vertical
disp.
with nails
nailed wire mesh
-0.4

-0.5
1.0 1.5 2.0 2.5 3.0
Factor of safety

Figure 5. Horizontal and vertical displacement variations for

Figure 3. Rock slope models A and B. model A.
25

Maximum traction force in nails (kN)

with nails
nailed wire mesh

20

15

10
1.0 1.5 2.0 2.5 3.0
Factor of safety

Figure 6. Maximum traction force variations for model A.

0.0

Vertical Horizontal
without support

disp.
with nails
nailed wire mesh
-0.1
without support

disp.
with nails
Displacement (mm)

nailed wire mesh

-0.2

-0.3

-0.4

3D
Figure 4. Rock slope model C: FLAC mesh and geometry.
-0.5
0.5 1.0 1.5 2.0 2.5 3.0
Factor of safety
Table 2. Safety factors obtained in analytical and numerical
calculations for models A, B and C.
Figure 7. Horizontal and vertical displacement variations for
Without With pre-tensioned model B.
support nails 39
With mesh and
Analyt. Numer. Analyt. Numer. tensioned nails with nails
Maximum traction force in nails (kN)

nailed wire mesh

A 1.26 1.31 1.50 1.67 1.75
38
B 0.89 0.84 1.50 1.38 2.15
C 0.66 0.67 1.50 0.72 2.31

37
nails where difference in results is probably due to the fact of
analytical FS being a global FS while numerical FS refers to
the block with higher aptitude for unstabilization. The signi-
ficative increase in safety with the flexible lining introduction 36
is notorious (Figure 10). 0.5 1.0 1.5
Factor of safety
2.0 2.5

Some graphics are presented with displacements variation

in particular points monitorized during numerical calculations Figure 8. Maximum traction force variations for model B.

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2007 Taylor & Francis Group, London, UK

 0.0 Other conclusions can be stated:
Safety factors values obtained in analytical solutions and
-2.0
numerical calculations are very similar, with the model C
exception for the slope stabilized with nails;
Displacement (mm)

-4.0 The steel mesh simulation in numerical models, under

Horizontal
without support
different conditions of stability and structure of rock for-

disp.
with nails

-6.0
nailed wire mesh mation, has always induced an increase of safety with
without support
displacements reduction when compared with the stabiliza-

Vertical
disp.
with nails
nailed wire mesh tion exclusively made with rockbolts; safety increase is very
-8.0
variable being 56% for model B and 221% for model C;
There was a slight reduction of traction values in rockbolts
-10.0 with the steel mesh application.
0.5 1.0 1.5 2.0 2.5 3.0
Factor of safety
The steel mesh contribution in general improvement of rock
Figure 9. Horizontal and vertical displacement variations for slopes stability is checked by numerical results. Its quantifi-
model C. cation by the numerical model is quite variable but clearly
positive.
Besides promoting slope stability, metallic meshes
42 improves the support structure behavior and gives a major
independence of rockbolts meshes relatively to rock mass
Maximum traction force in nails (kN)

41
structure. The consideration of the metallic mesh, or other
nails type of lining, will allow the increase in nail or rockbolt mesh
nailed wire mesh spacing and, consequently, a cost reduction.
40

39
ACKNOWLEDGMENT

This paper (or document) reports research developed under

38
37
0.5 1.0
Figure 10. Maximum traction force variations for model C.
(lower vertex in wedges A and B; top vertex in model C) and
maximum traction force in nails or rockbolts, for different FS
values obtained numerically.
In interpreting these graphs it must be noted that, under
the FS concept described in point 2, an increase of FS value
means that strength parameters in discontinuities decrease
thus reflecting an incoming failure slope state.
5 CONCLUSIONS
The three models considered in this study draw some expected
conclusions (Cardoso. 2005):
For safety factors increasingly higher, that is, for shear
strength parameters (c and ) increasingly lower, displace-
ments values increase in slope formation;
Rockbolts use as structural support elements do have a
beneficial contribution reflected in blocks displacements
reductions;
When compared with displacement curves from previous
calculation steps, one can identify the capacity of a support
system composed of steel mesh and nails or rockbolts for
lowering displacements values.
financial support provided by FCT Fundao para a Cincia
e Tecnologia, Portugal.
1.5 2.0 2.5 3.0
Factor of safety
REFERENCES
Cardoso,A.I.S. 2005. Rock slope stabilization with pretensioned steel
wire meshes (in Portuguese). Master Thesis, FCTUC/FEUP.
Cardoso, A.I.S. & Quintanilha, J.E. 2004. Numerical modeling of
nailed wire and cable metallic meshes for rock slope stabiliza-
tion. In W. Schubert (ed.), EUROCK 2004 & 53rd Geomechanics
Colloquium, Salzburg, 79 October, 2004.
CEN Technical Committee 288 Working Group 9 2000. Draft
European Standard. Execution of special geotechnical work soil
nailing.
Dawson, E.M., Roth, W.H. & Drescher, A. 1999. Slope stability
analysis by strength reduction. Gotechnique 49, No 6: 835840.
Fresno, C.D. & Munz, B.F. 2001. Las membranas flexibles como
elemento de soporte para la estabilizacin de taludes e laderas.
XVII Congreso Nacional de Ingenieria de Proyectos, Murcia,
http://www.aeipro.com.
Hoek, E. & Bray, J. 1999. Rock Slope Engineering. E & F.N. Spon
Editors.
Itasca 2002. FLAC3D . Fast Lagrangian Analysis of Continua
in 3 Dimensions. Version 2.1. Itasca Consulting Group, Inc.
Minneapolis.
Ruegger R., Flum D. & Haller B. 2000. High-performance steel wire
mesh for surface protection in combination with nails and anchors.
Contribution to the 2nd Colloquium Construction in soil and rock.
Technical Academy of Esslingen.
Torres Vila, J.A. 2002. Flexible membranes made of high strength
steel wire in the slope stabilization technology. Proc. ISRM-Int.
Symp. on Rock Eng. for Mountainous Regions Eurock 2002:111
120. Funchal.

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2007 Taylor & Francis Group, London, UK

 Slope stability in heterogeneous materials

A. Serrano
E.T.S.I.C.C.P., Universidad Politcnica de Madrid, Madrid, Spain

A. Perucho & J. Estaire

Laboratorio de Geotecnia, CEDEX, Madrid, Spain

ABSTRACT: The complexity of some slopes formed of heterogeneous materials with a geometry that is complicated to model
makes it very difficult to estimate a reliable safety factor. Moreover, if the materials are governed by non-linear strength laws
with peak and residual values depending on their deformability, it seems that in these materials the usual stability analyses
using limit equilibrium methods or the study of wedges in rocks are difficult to carry out reliably in the majority of cases. Many
slopes from different geological formations, such as flysch or in volcanic areas, present these problems and can be studied using
the method proposed. This paper studies the stability of slopes formed of heterogeneous materials by dividing whole slopes into
several blocks or macroelements whose behaviour model is defined as a combination of the behaviour of simpler elements
(microelements). The complexity of the behaviour of these macroelements means that different calculation scenarios need
to be analysed. The study gives some solved examples and compares their results to those obtained from a homogeneous slope
with the same mean strength.

1 INTRODUCTION A slope formed of heterogeneous materials is replaced by

Limit equilibrium methods assume the existence of a sur-
face separating the potentially unstable mass and along which
failure can occur. A safety factor (F) is determined for each
potential failure surface in such a way that if F > 1, the mass
is stable.
Implicit in this safety factor definition is the assumption
that the material involved is ductile. If the material is fragile,
the safety factor depends on the level of deformation since, as a
function of this, some part of the slope may enter into residual
strength when other has still not reached peak strength. This
gives rise to the phenomenon of progressive failure at the end
of which only residual strength remains.
The analysis of the stability of slopes containing materials
subject to fragile strength laws is a complicated process if the
following circumstances arise:
1. the slope consists of heterogeneous materials;
2. the different materials are so intermingled that it
is extremely difficult to model their geometrical
arrangement;
3. the peak and residual strength criteria for the materials are
not linear;
4. non-associated plasticity is considered in the materials.
All these complications concur in different formations such
as the so-called flysches or slopes in volcanic formations.
one with homogeneous zones (corresponding to zones with a
constant proportion of materials).
The now homogeneous slope is composed of macroele-
ments showing highly complex stress-strain behaviour,
obtained from the simpler behaviour of the materials making
up the macroelement.
The complexity of the macroelement behaviour leads to the
need to study the stability for different calculation scenarios.
The aim of this work is to reduce each of these individual
scenarios to the classic stability analyses already available for
homogeneous materials.
3 GEOLOGICAL AND GEOTECHNICAL CONDITIONS
3.1 Geological structure
The paradigm for the geological structure to which this method
of analysis can be applied is a slope like the one illustrated in
Figure 1, composed of alternating hard layers (Bi ) and softer
layers (Ai ). This could be the case, for example, of a volcanic
slope or a flysch slope, as indicated above. The proportion in
B1
A1 A = Ai y B = Bi

A2 B2 A
nA =
2 GENERAL DESCRIPTION OF THE METHOD B3 A+B
A3
B
B4 nB =
This approach to stability analysis in slopes involving hetero- A4 A+B
geneous formations entails the following basic ideas: B5 nA  nB  1
the formation is only composed of two materials; A5
the two materials are present in a constant proportion (the
constancy of this proportion extends to a failure surface Figure 1. Geological structure with alternating hard (Bi ) and soft
zone) in any differential element. (Ai ) layers.

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2007 Taylor & Francis Group, London, UK

 k k
pk
1 2
Ek rk
Gk
1 2
k pk k Failure
1 2 1 2 surface
= Ek =Gk
1
, k: normal and shear stress, respectively
, : normal and shear strain, respectively
Ek, Gk: deformation and shear moduli, respectively
n1 n2
Figure 2. Stress-strain laws of k material. 1

which these materials are present can be determined by visual

observation or by surveying, as shown in Figure 1.
Figure 3. Macroelement composed of microelements 1 and 2.
3.2 Deformability conditions Acting stresses.

Prior to failure, each k material (k = 1, 2) is assumed to behave
in a linear manner, as shown in Figure 2.
During failure, a dilatancy () is assumed to occur, such
that sin k = vk /k is verified for each material, where vk is
the change in volumetric strain of k material and k is its
change in distortion.
3.3 Strength conditions
A Mohr strength is assumed to be present, given by a Hoek-
Brown non linear law (1980), defined by the Serrano & Olalla
parameters (1994) and a Coulomb strength law on the failure
planes, as indicated in Serrano et al (2007).
The material is deemed to be fragile, that is to say a sud-
den drop in strength is assumed to occur at failure. Different
laws exist for peak and residual strengths, for each material.
Assuming a Hoek-Brown failure criterion, the strength laws
are defined, for each k material, by the following parameters:
The lengths crossed by the failure surface in each microele-
ment are proportional to proportions n1 and n2 in which
they appear in the geological structure.
Normal stresses 1 and 2 act in microelements 1 and 2
and tangential stresses 1 and 2 act on the failure surface,
respectively.
Normal stress and tangential stress act in the macroele-
ment on the failure surface crossing it.
4.2 Basic assumptions
4.2.1 Strain-related assumptions
The macroelement undergoes and strains whereas the
k microelements undergo k and k strains. Taking the
continuity into account, it is admitted that = k a nd = k .

pk , pk , pk : in peak strength
4.2.2 Stress-related assumptions
rk , rk , rk = 0 : in residual strength.
Stresses and act on the macroelement and k and k stresses
The distortion pk , for which peak strength (Rp ) is pro- act on the microelements. Based on force equilibrium in the
duced, is pk = ,Rpk /Gk since the behaviour is linear until macroelement, the following expressions can be written:
the peak is reached.
Taking these ideas into account, the strength laws for each
k material are defined by the following expressions:
Peak strength: Taking into account the stress-related assumption gives:

where E = nk Ek n1 E1 + n2 E2 is the modulus of deformabil-

Residual strength: ity of the macroelement. Similarly, it can be verified that:

where G = nk Gk n1 G1 + n2 G2 is the modulus of transverse

4 STABILITY ASSESSMENT rigidity of the macroelement.
Bearing in mind the strain-related assumptions, it can be
4.1 Macroelement definition verified that

The slope is assumed to be composed of differential macroele-

ments that the failure surface has to cross, as illustrated in
Figure 3.
The macroelements are formed of microelements 1 and 2
corresponding to materials 1 and 2.

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2007 Taylor & Francis Group, London, UK

 The ca /cb ratio is calculated. If ca /cb > 1, then material a is
1 2 considered to be microelement 1. If ca /cb < 1, then material
b is microelement 1.
k
(i1)p

(i2)p 4.6 Calculation parameters

(i1)p i1 Once determined which material constitutes each individual
(i2)p
(i1)r i2 microelement, the next step is to calculate the parameters
(t(i2i)r
2)r
given in Table 2.
?
i1 i2
4.7 Critical stress
The critical stress is defined as the normal stress for which the
peak strains of the microelements are equalled:

j=1
j=2

j=3

? 4.8 Total case identification code

i1 i2
Figure 4. Fragile behaviour of macroelements.
4.3 Stress-strain laws
The microelements have the fragile behaviour represented
in Figure 2. Combining the behaviour laws governing the
microelements, and according to the assumptions made above,
the stress-strain law for the macroelement that is represented
in Figure 4 is reached.
The following facts should be highlighted in relation to the
stress-strain law governing the macroelement.
1. The macroelements stress-strain law has two peak
strengths and one final residual strength. These three
strengths define three relevant states of stress which are:
1) first peak; 2) second peak and 3) residual strength.
2. For each normal stress, the combination of strength param-
eters and deformability parameters determines in which
microelement the peak strain will first occur. Two possibil-
ities exist: the first peak is produced in microelement k = 1
or in microelement k = 2.
3. Each k microelement collaborates in the strength of
the macroelement with a strength, ijk . The final result
obtained is:
Table 3 can be deduced as a result of all the theoretical
study carried out. Its end column, headed 1st Peak, indicates
the material in which the first peak strength is produced (i1 ).
The cases where more than one number appears in this cell
are complex cases in which there are zones throughout the
failure surface where the first peak is produced in one or the
other material, indicated in the cell by its number. For exam-
ple, when the numbers 1 and 2 appear in the same cell it means
that in one part of the failure surface the first peak is produced
in material 1 whereas in another part of the failure surface the
first peak is produced in material 2.
Of the 11 cases possible and shown in the table, the seven
with a single number in the end column (i.e., those in which
the first peak is produced in the same material throughout
the failure surface) can be treated as a homogeneous slope
in whose failure surface the same peaks will be produced. In
these cases the safety factor can be estimated as if the slope
was homogeneous formed by a material with the strength of
one or other of the microelement materials, as indicated in the
following section.
5 SAFETY FACTORS IN THE DIFFERENT SLOPE
SCENARIOS THAT CAN BE ASSIMILATED TO
HOMOGENEOUS SLOPES

Table 4 gives the safety factors obtained for each case (1st and
where ij is the macroelements strength. 2nd strength peaks and both materials in residual strength).
where:
4.4 Strength criteria for the microelements
These are the criteria for peak and residual strength given
above, in Equations (1) and (2).

4.5 Problem data

Along with a slope diagram, Table 1 compiles the problem
data, grouped under three headings of geometrical, geological
and geomechanical data.
The following values must be calculated in order to deter-
mine the subindices:
ni1 and ni2 : the proportions of materials 1 and 2 in the slope,
as previously defined
Fkp : slope safety factor, calculated as if it were homogeneous,
taking for the macroelements strength that of the k element,
with kp = (E/Ei1 )kp , kp and kp peak parameters
Fkr : idem, with, kr = (E/Ei1 )kr , kr and kr = 0 residual
parameters.
It is not easy to know whether the slope contains materials in
peak or residual conditions, in other words, which of the three

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2007 Taylor & Francis Group, London, UK

Table 1. Problem Data.
Geomechanical

Geometrical Geological Microelements Macroelement

Peak strength Residual strength

E = n1 E1 + n2 E2
H: slope height n1 , n2 : proportions in which 1p , 2p 1r , 2r
: slope gradient materials 1 and 2 appear in 1p , 2p 1r , 2r
the slope. The equation 1p , 2p 1r , 2r
n1 + n2 = 1 must be verified. Deformability
Elastic moduli: E1 , E2
Shear moduli: G1 , G2 G = n1 G1 + n2 G2
E
Poissons coefficient: 1 , 2 =
2(1 + v)

Table 2. Calculation Parameters. Table 4. Safety factors in each scenario.

Primary Secondary Tertiary First Peak ( j = 1) Second Peak ( j = 2) Residual Strength ( j = 3)

Gk2 Ei Ei
ak = [a1] = a1 a2  = [b1]2 + 2 [a1] [c1] Fi1 j = i1 Fi1 p Fji = ni1 1 Fi1 r + Fji = ni1 1 Fi1 r +
Ek kp cos2 kp E E
[b1] = b1 b2 Ei Ei
+ ni2 2 Fi2 p + ni2 2 Fi2 r
Gk 1 sin kp E E
bk = [c1] = c1 c2 B = [a1] [ca] [b1] [ab]
Ek cos2 kp
[ab] = a1 b2 a2 b1
kp kp
ck = [bc] = b1 c2 b2 c1 C = [ca]2 + 2 [ab] [bc] Table 5. Material parameters used in calculations.
Ek
[ca] = c1 a2 c2 a1
kp = kr kp
Material (kN/m2 ) kp = kr (kr = 0) k Ek
Table 3. Identification codes for the different cases.
Soft (a) 1700 0,001 4 0,3 Variable
Parameters 1st Peak i1 Stiff (b) 82000 0,074 12 0,2 Variable

<0 2

>0 [a1] > 0 criI < 0 1 level of safety present in the slope. Logically, this method must
criI > 0 2 be applied with caution as the slope can fail as a result of pre-
21
existing fractures or zones with poor strength characteristics,
[a1] < 0
[b1] < 0 2 which need to be the subject of prior analysis.
[a1] < 0 C > 0, B < 0 2
[b1] > 0 C<0 1
12 6 CASES STUDIED
C > 0, B > 0 2
21 6.1 Description of cases
212
About 100 cases were analysed using the theory developed in
this paper. The cases studied are the result of combining the
different following parameters:
safety factors to estimate. If the slope has not undergone move-
ment, it is likely that the most suitable factor will be the one Heigth of slope: 25, 50 and 100 m
corresponding to the first peak, whereas if the zone involved Gradient of slope: 45 and 60
has clearly undergone movement, the residual conditions in The slope is formed by two materials, whose strength
both materials could be considered. parameters are collected in Table 5
This is obviously a simplification of the reality, as always In calculations, the deformability of materials changed
occurs when it is modelled, meaning that certain parameters in the different cases analysed. The values of material
need to be estimated. Even so, it can serve as a guideline to the deformability used in calculations are collected in Table 6.

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2007 Taylor & Francis Group, London, UK

Table 6. Values of deformability used in calculations.

Material E (kPa)

Soft (a) 3*104 3*104 3*105 3*105

Stiff (b) 3*106 3*107 3*106 3*107

Table 7. Proportions of materials used in calculations.

Material na and nb

Soft (a) 12,5% 25% 50% 62,5% 75% 87,5%

Stiff (b) 87,5% 75% 50% 37,5% 25% 12,5%

Figure 6. Safety factors for a 50 m high slope whose gradient is 60 .

Figure 5. Safety factors for a 100 m high slope whose gradient

is 60 . Figure 7. Safety factors for a 25 m high slope whose gradient is 60 .

The proportions, in which the two materials appear in the

slope, in the different cases, are collected in Table 7.
In all the cases analysed, the safety factor, correspond-
ing to first peak scenario, was calculated according to the
method developed. Furthermore, those safety factors were
compared with the ones corresponding to a homogeneous
slope formed of only one material. The strength parame-
ters of this material were determined calculating the mean
of the parameters as a function of the proportions in which the
materials appear in the slope:

To calculate all these safety factors for homogeneous slopes

the abacuses referred to in Melentijevic et al (2005) and in
Serrano et al (2002) may be used. Figure 8. Safety factors for a 50 m high slope whose gradient is 45 .

6.2 Results obtained 7 SUMMARY AND CONCLUSIONS

The results corresponding to the safety factors of the first
peak are given in Figures 5 to 8 as a function of the ratio of
deformation moduli and of the proportion of the materials.
Figure 9 shows, as a function of the ratio of the deforma-
bility rates and of the proportion of the materials, the regions
in which the calculation for the slope taken as homogeneous
with a strength proportional to that of the materials would be
on the side of safety and on the side of non-safety.
It is important to remark that the line discriminating the two
zones coincides for the four different geometrical slopes anal-
ysed in this work, although it can change for other parameter
materials.
The study involved a method of calculating the safety factor
for heterogeneous slopes formed of layers of two materials,
taking into account the deformability of the materials and
their peak and residual strengths.
The method proposed was applied to calculate the safety
factor of almost 100 different cases composed of a combi-
nation of two materials in different proportions and with
different deformabilities. The results were compared to
the ones obtained when the calculations assumed that a
homogeneous material is involved with a mean strength
value between that of the materials denominated a and b,

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2007 Taylor & Francis Group, London, UK

 100 in others. In the examples studied, the calculations made as
90 if the slope were homogeneous would leave the study erring
Calculation of the slope as homogeneous
80 in the side of safety on the side of non safety for the Ea /Eb ratios that depend
70
on the proportion of the materials under study, as shown in
Figure 9.
60
The authors are working on the comparison of a larger
na (%)

Calculation of the slope as homogeneous

50 in the side of non-safety
number of cases.
40

30

20
10
0
0.000 0.005 0.010
Ea / Eb
Figure 9. Safety of the calculation for a slope taken as homogeneous
as a function of the ratio of deformation moduli.
depending on the proportion of each material in the slope
( = na a + nb b ; = na a + nb b ; = na a + nb b ).
The safety factor increases for lower Ea /Eb ratios and
logically drops with a smaller proportion of the hard
material.
The results indicate that the differences are really substan-
tial in all the cases studied and that the calculation carried
out taking the slope to be homogeneous can lead to a very
conservative estimation in some cases or to a very risky one
REFERENCES
Hoek, E. & Brown T. 1980. Empirical strength criterion for rock
0.015 0.020
masses. J. Geotech. Eng. Div., ASCE 106 (GT9), 10131035.
Melentijevic, S., Serrano, A., y Olalla, C. 2005. Clculo de taludes en
medios rocosos con deslizamiento plano y deslizamiento circular
con el criterio de rotura de Hoek y Brown. VI Simposio Nacional
sobre Taludes y Laderas Inestables. Valencia, 2124 de Junio.
Serrano, A., y Olalla, C. 1994. Ultimate Bearing Capacity of Rock
Masses. Int. Journal of Rock Mechanics and Mining Sciences. Vol.
31, No 2, pp. 93106.
Serrano, A., Olalla C. & Perucho A. 2002. Planar failure surfaces on
rock assuming a non linear strength law and constant dilatancy.
ISRM International Symposium on Rock Engineering for Moun-
tainous Regions and Workshop on Volcanic Rocks, Eurock 2002.
Funchal, 27 Nov.
Serrano, A., Olalla C. & Perucho A. 2007. Active and passive earth
pressures on retaining walls assuming a non-linear strength crite-
rion and constant dilatancy. ISRM 11th International Congress on
The Second Half Century of Rock Mechanics. Lisbon, 913 July.

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2007 Taylor & Francis Group, London, UK

 Stability analysis and deformation features of Yinshuigou deposit at the dam
abutment of Xiaowan Hydropower Station

Zhao Hua, Li Shisheng, Dong Zerong, Huang Shijun & Xiao Shengchang
Scientific Research Branch Institute of Kunming Design & Research Institute for Hydroelectric Projects,
Kunming, China

Jiang Yunhui, Yuan Peijin & Lu Zhengchao

China Institute of Water Resources and Hydropower Research, Beijing, China

ABSTRACT: Deformation features of the Yinshuigou deposit at Xiaowan Hydropower station were presented in this paper.
Based on the factors of excavation, rainfall, drainage and reinforcement treatment, quite a lot of monitoring information
is analyzed, the deformation mechanism of the slope is verified, and synchronized reinforcement effect is also evaluated.
It provides much scientific reference for many aspects such as making hazard elimination plans, adjusting reinforcement
parameters, optimizing construction organization and speeding the job schedule. It is also a typical case in the successful
warning making and highly effective treatment of slopes large deformation which may provide reference for similar projects.

1 INTRODUCTION Dec. 4, 2003. After the rainfall on Jan. 9, the deformation

Xiaowan hydropower station is located in the midstream of
Lancang Rive of Yunnan province in China. The 292m high
Xiaowan arch dam that is the highest concrete arch dam under
construction in the world. Yinshuigou deposit is located in
front of the dam on the left bank between EL.1130m and
EL.1590m, with a wide top, slender bottom and a total vol-
ume of about 4 million m3 . The deposit rocks structure is
compact and is mainly composed of rock blocks and boulders,
debris-contained sand loam and debris. At the bottom where
the deposit rock and the bedrock contact, there is usually a
layer of slope wash, with the thickness between 0.15m and
2.45m; and in local areas, there are layers of diluvial deposit.
When the slope was excavated from the top to EL.1276m,
obvious deformation was detected by monitoring since
increased and on Jan. 29, the rate of deformation increased
and the slope between EL.1245m and EL.1480m became
deformation body with a clear boundary. On Jan. 29, 2004,
the abnormalcy of the slopes stability raised the alarm again
which drew great attention from all parties.
2 LAYOUT OF INSTRUMENTATION AND
TECHNICAL PLAN
Fifty two surface survey points, 14 GPS measurement points,
20 inclinometer holes, 34 anchorage load cells, 12 sets of
multi-point extensometers and 7 underground water level
holes were arranged on the deposit. The layout of the primary
measurement points is shown in Fig. 1.

Figure 1. Distribution of deformation of the deposit rock and layout of main monitoring points.

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2007 Taylor & Francis Group, London, UK

 One high-precision TCA2003 monitoring robot is used for which discontinuously distributed along the outside of the
surveying. According to the actual conditions at the site and berm and those vertical fine cracks which, with aperture being
the requirements for precision, the measurement distance is several millimeters, distributed on the slope.
kept within 100700 m and the horizongtal and vertical errors
are within 3.5 mm.
The internal deformation was observed by deforma-
tion monitoring instruments provided by Sinco, Geokon, 4.2 Deformation of the slope surface
RocTest, etc. In Fig. 2, it can be seen from the deformation-time curve
The most advanced GPS position monitoring system was that, the slope began to deform on Nov. 26th 2003, and
installed By adopting multi-antenna technique, data were after the rainfall on Jan. 9th 2004, the deformation increased.
transmitted by GPRS and solved by GPS Single Epoch Algo- Till Jan. 29th, the rate of deformation had been accelerat-
rithm. The observing-time period of each solution is 12 h ing. The average deformation rate of the slope surface above
and the precision is 1.03.5 mm and the whole-day unattended EL.1380m is 1.47 mm/d; in which, at the upstream side at
monitoring was realized. EL.1420m, the measurement point 1$$-TP-35 observed max
rate of 3.0 mm/d. During the acceleration period between
Jan.13th and 29th, the acceleration of the displacement
was 0.16 mm/d2 . During Feb. 1st and Feb. 10th, the aver-
3 DESCRIPTION OF THE PRIMARY age deformation rate of the slope below EL.1380m is
ENVIRONMENTAL VARIABLES 2.56 mm/d.
On Jan. 9, there was continuous light rain and it drizzled on
Feb. 7, 2004. The precipitation in April totaled 145.1 mm
(the precipitation from 19:00 April 13 to April 18 was
119.9 mm);The amounts of precipitation from May to Septem-
ber were 199.4 mm, 161.5 mm, 117.5 mm, 166.5 mm and
227.3 mm, respectively.
The primary measures include placing anti-sliding piles and
backfilling at EL.1245m, EL.1310m and EL.1520m, reinforc-
ing with 1338 pre-stressed cables, 9 underground drainage
tunnels and surface drainage facilities.

Figure 2. surface deformation time curve of typical measurement

4 DEFORMATION FEATURES OF THE SLOPE points.

4.1 Macro-deformation of the slope

Up to Jan. 29, the deposit between EL.1245m and EL.1600m
had evolved into a deformation body with certain deformation
and clear boundaries.
Upstream boundary: crack aperture, 10 mm30 mm; strike,
EW; extending upward about 1600 m and about EL.1300m
downward along the central line of Yinshuigou. Cracks above
EL.1460m form a right arrayed belt of cracks. An obvious
sliding plane could be found at the upstream side, beyond
the open crack at EL.1480m, with aperture and misplacement
both being 50 mm. The cracks below EL.1380m had obvious
misplacement of 200 mm.
Downstream boundary: between EL.1250m and EL.1500m,
the contact plane between deposit rock and bedrock was totally
connected. And a series of discontinuously distributed slant
transtension joints grew between EL.1500m and EL.1580m.
Between EL.1290m and EL.1310m, obvious dislocation was
detected in local regions of the steep excavated slope. At the
downstream side of EL.1274m, two small landslides, with sev-
eral hundred cubic meters volume, occurred at Jan. 21st and
24th 2004 respectively.
Trailing edge: cracks had developed to EL.1600m, and they
were transverse gapping fissures growing along the outside of
the berm; Local landside of about 400m3 happened between
EL.1565m and EL.1588m in the morning of May 19th. Cracks
between EL.1500m and EL.1540m were mainly discontinu-
ously distributed slant gapping fissures along the slope (strike,
N20 30 E), with aperture 3 mm10 mm. Cracks between
EL.1540m and EL.1620m were mainly transverse fine cracks Figure 3. Curve of inclinometers depth VS displacement.

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2007 Taylor & Francis Group, London, UK

4.3 Internal deformation of the slope
From the depth-displacement curve of the inclinometer
hole 1$$-IN-13 in Fig. 3, it can be found that there is a
discontinuous displacement belt between 33.5m and 36.5m
of the holes depth on Jan. 17, with average deformation
rate being 1.26 mm/d and maximum deformation rate being
2.4 mm/d. The inclinometer hole 2I- IN-07 at EL.1256m had
a discontinuous deformation belt at 10 m12.5 m of the holes
depth. The deformation belt had average deformation rate of
1.04mm/d and maximum deformation rate of 4.35 mm/d in
January, with direction of 250 .The inclinometer hole 1$$-
IN-06 at EL.1560m had deformation belt at 32.5 m34.5 m
of the holes depth; the multi-point extensometer 2I-M-14 at
EL.1388m had discontinuous displacement belt at 56 m75 m
of the holes depth.
5 CAUSAL ANALYSIS OF THE SLOPE
DEFORMATION
(1) It can be seen from the curve in Fig. 4 that, dur-
ing the slope excavation of the between EL.1240m and
EL.1276m, the deformation is small and the deposit
is stable. Once the slope wasexcavated to EL.1276m,
measurement points1$$-TP-28 and 1$$-TP-36 begunto
deform at the beginning of Dec. 2003. After the rainfall at
Jan. 9th 2004, the deformation was accelerated.
(2) The deformation rate at the upper and lower parts of the
slope is 1.47 mm/d and 2.56 mm/d respectively, and the
deformation rate of the lower part is higher than the lower
part.
Figure 4. Curve of surface displacement and excavation VS time.
Figure 5. Curve of surface deformation rate and strengthening load VS time.
679
2007 Taylor & Francis Group, London, UK
(3) Prior to slope excavation, deposit between EL.1325m and
EL.1245m was thick, with heavy gravity and great friction
force which was strong enough to resist the sliding force
from the upper part. When the slope was excavated to
EL.1276m and big part of the deposit rock was excavated
away, the friction forces at the upstream and downstream
boundaries were lowered, thus, large deformation was
induced.thus, this is pull deformation.
6 ANALYSIS AND EVALUATION OF
REINFORCEMENT EFFECTS
One slope stability Management and analysis software was
developed. In the analysis of deformation rate, a statisti-
cal method with three factors of time function including t,
Ln(1+t) and ekt for regression analysis of the displacement is
adpoted to achieve the optimal fitting equation and thus the
deformation rate of each measurement points deformation
in every stage. Then, through the correlation between slope
deformation and reinforcement, the reinforcement effect is
analyzed and evaluated.
From the monitoring results shown in Fig. 5 and table 1,
since the drainage facilities was not finished, the slope defor-
mation increased a little after the rainstorm between April 17
and 19. With the increase of strengthening force, the defor-
mation rate decreased gradually and after the strengthening
of the 1904000kN, the deformation rate of zone $$, $$, $$,
$$ and $$ decreased to 0.23 mm/d, 0.21 mm/d, 0.16 mm/d,
0.17 mm/d and 0.08 mm/d, respectively. The deformation rate
decreased further as the completion of the construction of anti-
sliding piles.
It can be seen that, after the strengthening of 1101200kN in
June 2006, the deformation rate at 10 m12.5 m depth of the
2$$-IN-07 inclinometer hole at EL.1256m began to slow down
towards zero; After the strengthening of 1904000kN, defor-
mation rate of deformation belts at higher altitude such as,
1$$-IN-13, 1$$-IN-06 and 2$$-M-14 decreased to 0.16 mm/d,
0.16 mm/d and 0.13 mm/d respectively.
From the monitoring results shown in Fig. 6, as the con-
struction of the pre-stressed cable and the anti-sliding pile
reinforcement, the displacement rate had lowered towards
zero gradually from low altitude to high altitude since June
2004. Now the slope below EL.1480m is basically stable.The
slope above EL.1480m still remains a certain deformation. But
statistical regression analysis shows that the slope deforma-
tion converges gradually, especially as the accomplishment
of the anti-sliding pile and back-pressure system, the slope
deformation will be constrained further.
 05.11.105.12.31

0.14
0.08
0.08
0.02
0.00
Verti.

0.13
0.00
0.02
0.06
0.00
Hori.
After construction of anti-sliding piles

04.11.104.12.31
Hori. Verti.

0.19
0.05

0.21
0.11
0
Figure 6. Curve of slope deformation rate VS time.
0.32
0.13

0.05
0.1
0.1
7 CONCLUSIONS
04.9.104.10.31
Hori. Verti.

0.03

0.17
0.21
0.18

By analyzing the correlation between slope deformation, exca-

0.2

vation, reinforcement and geological conditions, the mecha-

nism of slope deformation was decided and. reasonable hazard
0.23
0.21
0.16
0.17
0.08

elimination and reinforcement plans were made.And the effect

of hazard elimination and reinforcement was analyzed in real
04.7.104.8.30

time and measures such as adjusting reinforcement parameters

Hori. Verti.

0.26
0.24
0.21
0.26
0.09

were put forward which played important role in the effective

treatment of the deposit rock slope. With the accomplishment
of the reinforcement project, the deposit rock will go stable
0.52
0.41

0.25
0.28
0.3

gradually.
0.01
04.6.404.631

0.28

0.08
0.24
0.18
Hori. Verti.

REFERENCES
prestressed cable in 2004
After reinforcement with

Zerong Dong, Hua Zhao et al. Summary on the safety and stability
0.62
0.56
0.42
0.52
0.36

monitoring of the high side-slope in Xiaowan hydropower station

[J] WATER POWER, 2004, Vol.30 No.10.
Hua Zhao, Zerong Dong et al. Experimental study on rock-bolt rein-
04.4.104.6.3
Hori. Verti.

0.46
0.48
0.45
0.37
0.31

forcing in Xiaowan hydropower station [J], Anchor technique in

geological engineering and west development, 2002 (9)105111.
0.88
0.82
0.83
0.86
0.93
04.3.104.3.31
Hori. Verti.

0.41
0.64

0.57
0.62
0.7
0.76
1.11
0.96
1.35
1.41
04.2.104.2.28
Hori. Verti.

0.47
0.69
0.78
0.55
0.7
Table 1. Statistics of slope surface deformation rate (mm/d).

Before reinforcement

0.83
1.19
1.13
1.58
1.64
Verti.

0.99
0.99
0.99
0.74
0.74
Hori.

1.47
1.47
1.47
2.55
2.55
Deformation
zone

IV

VI
III

V
I

Below 1380 m
Above 1380 m
Location

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 Stability analysis of the Miduk mine pit slopes

S.H. Khoshrou
Department of Mining, Metallurgical and Petroleum Engineering, Amirkabir University of Technology, Tehran, Iran
National Iranian Copper Industries Company, Tehran, Iran

M. Jamali
Department of Mining, Metallurgical and Petroleum Engineering, Amirkabir University of Technology, Tehran, Iran

ABSTRACT: Miduk open pit copper mine is located in the Kerman province of Iran. Miduk mine was analyzed to assess the
potential slope instability problems. A detailed geotechnical program was undertaken to gather the geological and geotechnical
information required for the mining area. A comprehensive discontinuity survey of the existing pit was carried out by the mine
personnel and the compressive strength properties were obtained for any part of the pit. Mine area divided into the blocks with
similar properties, resulted in dividing the pit into separate geotechnical zones for which unique slope management programs
were initiated. An equivalent continuum is used to model the discontinuum of the rock mass for any zone in the mine. The
safety factor of the designed pit slope in the final Miduk pit was determined in 2D sections per zone. Slope stability analysis
indicated that the designed pit slope would have an overall safety factor above 1.0; and the pit slope is stable.

1 INTRODUCTION stability assessment. Also, their presence affects the mechan-

Miduk open pit is located in the north-east of Shahrebabak,
Kerman province, in south-east Iran. It is one of the largest
copper mines in Iran. Miduk open pit was commissioned in
1992, and since then, a number of slope designs have been
developed. The current open pit is roughly circular in shape
with diameter of 1100 m and 100 m in depth in some areas.
The open pit is located at an average elevation of 2500 m and
has a projected depth of 400 m. At present, the production
level is almost at 2615 m. Mine life is predicted 30 years with
excavation of 5 million ton ores and waste rocks per year. The
designed pit is shown in Figure 1. Rock types of the Miduk
mine are Miduk Porphyry, Andesite and fine grained Porphyry
with Potassic, Phyllic, Argillic and Propilitic alterations.
In the past, geotechnical work undertaken at Miduk open
pit was limited and unknown, so pit slope designing have
been done based on the Sarcheshmeh open pit copper mine
which is located at approximately 130 km south-east of the
Miduk mine. Both of mines are geologically similar.A detailed
geotechnical program was implemented at Miduk open pit to
increase and improve the geotechnical data. The project was
focused on practical use of geotechnical information to assess
the pit slope stability. In these studies, field and laboratory
measurements of rock mass strength, are incorporated into
the numerical analysis in order to assess the pit stability. At
last, the potential instability of the pit in 2D sections is ana-
lyzed. This paper examines the eastern side slopes that are the
highest slopes in the pit.
ical and hydrogeological properties of the rock masses.
A comprehensive discontinuity survey of the existing pit
was carried out by the mine personnel and the data were later
clustered by the author. The DIPS software program was used
to generate the stereonets from the collected scanline survey
data. For each scanline survey a contoured pole data stereonet
with joint set windows was constructed. The stereonets then
were analyzed in order to assess potential modes of failure,
thereby allowing potential failure zones to be identified (Hoek
and Bray, 2004). From a slope design perspective four major
joint sets can be seen continuously throughout the eastern side
of the Miduk pit (Table 1, Fig. 2) that were studied in detail to
assess potential failure mechanisms.
Rock slopes generally fail along existing geological defects,
notably discontinuities. It is only in very high slopes or weak
rocks that failure through intact material becomes significant.
Most rock slope problems therefore require consideration
of the geometrical relationships between discontinuities, the

2 DISCONTINUITIES

Discontinuities play a major role in the design and mainte-

nance of open pit mines. As the presence and character of
discontinuities have an important influence upon the stability Figure 1. Mine geometry of the final Miduk Pit with drillhole
of rock slopes, their assessment forms a critical part of any locations and the cross-sections of the slope.

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2007 Taylor & Francis Group, London, UK

slope and force vectors involved. In order to assess the stabil- modes of failure are not satisfy by 2 major joint sets. More
ity of individual benches, so as to aid stack and overall slope investigations defined that the south-east highwall was also
design, detailed kinematic failure analyses were undertaken. stable from the major joint sets in this part. Field investigation
Using the structural data presented in Figure 2, a kinematic showed that no failure occurred in the 100 m excavation in the
failure analysis was used to define the dominant modes of eastern highwall of the pit.
failure for the various zones of the pit (Hoek and Bray,
2004). The pit analyzed for planar, wedge, toppling and cir-
cular failure. The dominant modes will vary according to the 3 ROCK MASS STRENGTH
intersection of the pit slope orientation and dominant joint
orientation. Figure 3 shows 2 major join sets of the north- Definition of the rock strength properties is necessary for iden-
east highwall. Kinematic analysis define that the dominate tification of the rock mass strength properties. Using core
logs is best choice to define rock mass strength properties
of a mine. Sixty core logs (see Fig. 1 for locations of drill-
Table 1. Averaged joint sets data from Miduk open pit. holes) were available to the investigator in the eastern side of
the mine. The logs provided detailed descriptions regarding
Dip Dip Joint
( ) direction ( ) Filling spacing (m) lithology, types of discontinuities, filling, core recovery, and
RQD that were recorded in the detailed exploration programs.
North-east JS1 82 277 Iron oxide 1.45 Rock strength properties obtained by using of point load test.
side JS2 83 204 Iron oxide 4 Point load Index of the rock types was determined in any parts
South-east JS3 88 185 Iron oxide 1.1 of the pit. A Schmidt hammer, also used in the field to obtain
side JS4 82 285 Iron oxide 3.15 a rough estimate of the intact rock strength for all rock types
within the pit.
Uniaxial compressive strength estimated from correlation
between point load Index of core logs with 50 mm diameter
(IS(50) ) and uniaxial compressive strength (Co) (Bieniawski,
1974):

And, ISRM (1985) status that IS(50) is approximately 0.8

times the uniaxial tensile strength (To):

Average strength of rock types with various alterations in

the Miduk mine were shown in Table 2, which based on the
laboratory tests.
An equivalent continuum is used to model the discontinuum
of the rock mass for any zone in the mine, because the joint
sets would not cause any failure to the pit wall base on the
kinematic analysis. Rock mass strength parameters estimated
Figure 2. Stereonet showing the families of joint sets at north-east based on the following main equations:
Miduk. The generalized Hoek-Brown failure criterion is
expressed as:

And the equivalent Mohr-coulomb criterion can be written

in the following form:

Table 2. Average strength of rock types with various alterations in

the Miduk mine.
Rock type Alteration type IS(50) (MPa)

Andesite Argillic <0.5

Miduk porphyry Phyllic 0.51
Figure 3. Stereonet of join sets data at north-east Miduk open pit, Argillic <0.5
which indicates no potential failure.

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2007 Taylor & Francis Group, London, UK

 Intact uniaxial compressive strength (ci ), GSI, rock type
(mi ), disturbance factor (D) and unit weight () are necessary
data to calculate the rock mass strength parameters at differ-
ent depth of the pit. Therefore, rock mass properties of the
mine determined by gathered discontinuities and core loges
information.
In this paper, 2D numerical software (FLAC) used to slope
stability analysis. In order to analyze pit slope stability, it is
necessary to select some vertical sections from the mine and
then pit slope should be analyzed for each section, separately.
Identification of the geotechnical zones could help to select
the best sections for 2D analyses. Therefore, geotechnical
conditions were investigated in the Miduk open pit.
Mine area is divided into the blocks with 100 m in dimen-
sion, so as the drillholes intervals were 100 m. Schematic view
of the block model is shown in Figure 4. The model included
455 blocks in the eastern side of the pit (13, 7 and 5 blocks in
x, y and z directions, respectively). Geotechnical information
such as discontinuities and rock mass properties data, were
gathered from scanline survey and core loges, recorded for
each block of the block model. Table 3 shows the characteris-
tics of the block FF2, at 2500 m elevation. Block model was
investigated in order to find blocks with similar properties
resulted in dividing the pit into separate geotechnical zones
that the quality of the rock masses at the mine varied from
very poor to good.
4 STABILITY ANALYSIS
The safety factors of the eastern side of pit slopes were
determined using the limit equilibrium method and the finite
difference method.The designed pit highwall and bench slopes
were analyzed to slope stability. Three slope cross-sections
were studied in detail to assess the variations of rock mass
quality in the eastern side of the mine area on the overall pit
wall and bench stability. The paper presents the results of the
eastern side slopes analysis in the Miduk pit. As shown in
Figure 5, the slope on the eastern side of the pit has an over-
all angle of 39 measured from toe to crest of the slope. The
bench angle is about 64 in every bench of the cross-section.
FLAC, finite difference program, was used to model the pit
slopes. The FLAC modeling of the pit slopes was undertaken
Figure 4. Schematic view of the block model in the eastern side of
the mine.
Table 3. Characteristics of the block FF2.
Rock Alteration Joint
type type frequency Filling
Miduk Phyllic moderate Quartz, Pyrite
porphyry
2007 Taylor & Francis Group, London, UK
based on the data derived from the geotechnical program. The
cohesion (c) and friction angle () of each zone with different
rock mass quality were calculated for equivalent continuum.
In this study, the rock masses below the groundwater table
were considered saturated. As a criterion, the strength/stress
ratio is used to evaluate stability of each slope element. FLAC
calculated the strength/stress ratio based on the relationship
between the state of stress and mechanical strength. Also,
FLAC calculated the overall safety factor of a slope.
As shown in Figure 6, the slope elements near bench faces
are stable, having a strength/strain ratio above 1.0 for poor
rock mass quality. The obtained safety factor of the slope is
1.29.The same slope under high water table condition was ana-
lyzed to assess the stability of the slope (Fig. 7). The slope has
a safety factor about 1.06. The highwall failure was probable,
so that the groundwater should be low under the poor-case
scenario. Slope stability was also analyzed with limit equi-
librium method. When compared with the finite difference
method and the limit equilibrium method, the results were
similar. The safety factor of the slopes with good rock mass
quality increases to above 2.0. However, the eastern side slopes
of the Miduk pit under most conditions would have an overall
safety factor above 1.0 and the pit slope is stable.
Figure 5. Cross-section of the eastern side of the Miduk pit slope.
Figure 6. The strength/stress ratio for poor rock mass quality under
low water table condition.
Rock mass
Elastic
IS(50) (intact Friction Cohesion modulus
RQD (%) rock) (MPa) angle ( ) (MPa) (GPa)
75 0.62 25 0.95 1.8
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Figure 7. The strength/stress ratio for poor rock mass quality under
high water table condition.
5 CONCLUSIONS
This project investigated pit slope stability for the eastern
side of the Miduk mine. From a slope design perspective,
four major joint sets can be seen continuously throughout the
Miduk pit. Rock strength properties obtained by using of point
load test. Uniaxial compressive strength estimated from cor-
relation between point load Index and uniaxial compressive
strength. Average point load index of rock types was 0.5 MPa
in the eastern side. Mine area was divided into the blocks
with geotechnical condition that resulted, division of the pit
into separate geotechnical zones based on the geotechnical
investigation.
The joint sets would not cause any failure to the pit wall base
on the kinematic analysis and in order to model the pit slopes,
the discontinuum equalized with a continuum per zone. FLAC
was used to model the pit slopes. The strength/stress ratio was
used to evaluate stability of each slope element. The safety
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2007 Taylor & Francis Group, London, UK
factor was, also, used to slope stability analysis. Under most
conditions, poor to good rock mass quality, the safety factor of
the slope is above 1.0. Therefore, the eastern side of the Miduk
pit is stable. In this regard more investigations are suggested
for increase the ultimate angle of the pit wall.
ACKNOWLEDGEMENTS
This work is made possible by grants from the National
Iranian Copper Industries Company (NICICo), the Miduk
Copper Mine and the Department of Mining, Metallurgical
and Petroleum Engineering (DMPE) of Amirkabir University
of Technology of Iran.
REFERENCES
Bye, A.R. & Bell, F.G. 2001. Stability assessment and slope design
at Sandsloot open pit, South Africa. Int. J. of Rock Mech. Min.
Sci. vol. 38: pp. 449466.
Cai, M. & Kaiser, P.K. & Uno, H. & Tasaka, Y. & Minami, M. 2004.
Estimation of rock mass deformation modulus and strength of
jointed hard rock masses using the GSI system. Int. J. of Rock
Mech. Min. Sci. vol. 41: pp. 319.
Hoek, E. & Bray, J. 2004. Rock slope engineering. 4th ed., London:
Institution Mining and Metallurgy.
Huang, S.L. 2004. Stability analysis of mine pit slopes in interior
Alaska. Int. J. of Rock Mech. Min. Sci. vol. 41: pp. 3B 08.
Itasca Consulting Group Inc. 2002. FLAC (Fast Lagrangian Analysis
of Continua), Version 4.0. Minneapolis, Minnesota, USA.
Romana, M. 1999. Correlation between uniaxial compressive and
point load (Franklin test) strengths for different rock classes.
9th international congress on rock mechanics. Ed. G. Vouille &
P. Berest: pp. 673676. Paris, France.
 Stabilization of the Arrbida Cliffs, on the EN 379-1, in Setbal

R.S. Pistone, A.G. Coelho, R. Freitas & J. Santos

COBA, Engineering and Environmental Consultants, Lisboa, Portugal

P. Sousa
Estradas de Portugal, EPE, Lisboa, Portugal

ABSTRACT: The national road EN-379-1, between Outo and Portinho is the main access to several beaches of beautiful
landscape and great tourist value, which are located at the foot of the southern slope of the Arrbida Mountain. In this coastal
stretch, the road runs along the base of a line of abandoned sea cliffs, which cut the core and the inverted limb of an overturned
anticline, where the Miocene sandstones are overlaid by a thick mass of Jurassic limestone. Due to this previous intense tectonic
deformation and recent undercutting by wave action, these steep rock slopes are prone to frequent rock falls of different sizes
putting at risk the circulation in the road. During the summer the traffic intensity and the quantity of parked cars increase
strongly, increasing also the risk of accidents. In August of 2004, the ESTRADAS DE PORTUGAL, EPE (Portuguese Road
Authority) decided to close the road to the traffic of vehicles and people and awarded to COBA, SA a basic design for the
integral stabilization of the slopes in order to reduce the inherent risks to acceptable limits. This paper is about the studies
carried out and the proposed solutions developed to reach that objective. Most of the available technical resources were used:
reinforced mesh, rock anchoring, dynamic and rigid barriers, concrete rock-shed structures, retaining walls, always privileging
the minimization of the environmental impact of the solutions.

1 INTRODUCTION
The national road EN 379-1 between Outo and Portinho, is
the main access to several beaches of beautiful landscape and
great tourist value. All this coastal stretch of the road run-
ning along the foot of the Formosinho, the highest peak of
the Arrbida mountain range (501 m), is dominated by high
steep rock scarps prone to frequent rockfalls of different sizes,
putting at risk the circulation of vehicles and pedestrians. The
situation deteriorated with the occurrence of fires that dec-
imated the vegetal cover, thus reducing the stability of the
hillsides. In August 2004, Estradas de Portugal, EPE (the Por-
tuguese RoadAuthority) decided to close the road and awarded
to COBA SA a Basic Design for the integral stabilization of
the slopes in order to reduce the inherent risks to an acceptable
level.
The Basic Design was carried out in a short period of four
moths due to the urgent need of promoting the works and
opening the road to people and vehicles in the shortest term
possible. It was delivered in March of 2005. In September of
2005, the works, including the detail design, were awarded
to Teixeira Duarte, SA, and the inspection was contracted to
Brisa EG. The works were inaugurated on the 1st of August
of 2006.
2 TOPOGRAPHIC BASE
Due to the rough morphology, with almost vertical scarps
reaching more than 90 m, it was necessary to resort to laser
scanning of an area of 241 ha, with a flight altitude of 60 to
70 metres above the ground. Concerning the horizontal geode-
sia, data processing was undertaken at Datum 73, using the
Hayford ellipsoid. Data processing enabled the production of
topography and ortho-rectified images, as well as the produc-
tion of transversal detailed topographic profiles of the slopes
along the EN 379-1.

3 GEOLOGY

3.1 Structural geology

Figure 1. Location of Arrabida mountain.
The Arrabida mountain range is mainly calcareous, consist-
ing of an anticlinal mount with a roughly ENE-WSW axis.
Its formation began in the transition from the Middle to the
Upper Jurassic with the emergence of the first anticlinal struc-
ture. A new important folding period late in the Miocene was
particularly marked in the eastern zone, where the anticline
is asymmetric, overturned to the south and present faulted
laminated southern limbs. This overturned anticline caused a
tectonic inversion where thick rocks mass of Jurassic lime-
stone overlay the Miocene sandstones. The EN 379-1 runs
along the foot of the steep marine cliffs that cut the southern

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2007 Taylor & Francis Group, London, UK

flank and the core of the overturned anticline. For this rea-
son, rocks are strongly folded and fractured, and due to the
predominant calcareous nature of the rocks, exhumed karstic
voids and cavities are also present, contributing to the fuzzy
structure of this complex rock mass. Besides the effects of
intense tectonic deformations, the steep rock slopes formed at
the coast are still complicated by a number of geomorphic fea-
tures due to erosion during the Quaternary: exfoliation joints
caused by unloading and stress release, abandoned scarps,
terraces and hanging valleys, as well as notches formed by
undermining by wave action and corrosion.
3.2 Lithostratigraphy
Road slopes and scarps cut the following lithostratigraphic
units:
Recent: Scree and talus materials made of reddish silty
deposits, including gravel, rock fragments and blocks of all
sizes. These deposits are often hard and well consolidated by
calcium carbonate cement.
Miocene: Areias da Torre, consisting of coarse sandstones
with conglomeratic seams, presenting cross-bedding, dipping
north about 25 . This unit is overthrusted by Lower Jurassic
limestone, outcropping by this reason in the lower part of the
marine cliffs.
Lower Jurassic: Calcrios de Pedreiras, consisting of
micritic limestone and dolomite, often densely karsified.
These limestone and dolomite may be classified as high
strength rock (unconfined compressive strength 60 to
150 MPa).
4 ROCKFALL DATA ACQUISITION
The history of past rock fall occurrences along the EN 379-1
was a fundamental element of the hazard and risk assessment
concerning this type of instability.
Search and gathering the historical and recorded data con-
cerning past instability events was carried out with the aid
of the following entities: EP Estradas de Portugal; ICN
Instituto de Conservao da Natureza (Nature Conservation
Institute Arrbida Mountain Range Natural Park), Cmara
Municipal de Setbal Servio Municipal de Proteco Civil
(Setbal City Hall Civil Protection Services); Newspaper
O Setubalense, as well as through enquiries to residents.
This research enabled to assemble the most important occur-
rences in the last decades, as far as the size of the rockfalls,
their frequency, location and time of year is concerned.
4.1 Classification of rock fall
The size of fallen material in numerous occurrences through-
out the road is very variable, ranging from stones with a size of
approximately 1 dm3 to blocks larger than 4 m3 , to which cor-
respond, in terms of weight, values between 2,6 kg and more
than 10 tons.
Five classes of occurrences, depending on the volume of
the fallen material, were considered:
Small stones and debris (v 1 dm3 ; m 2,6 kg)
Big stones (1 dm3 v < 10 dm3 ; 2,6 kg m < 26 kg)
Small block (10 dm3 v < 100 dm3 ; 26 kg m < 260 kg)
Block (100 dm3 v < 1 m3 ; 260 kg m < 2600 kg)
Large block (v 1 m3 ; m 2,6 t)
2007 Taylor & Francis Group, London, UK
Figure 2. A 10 t. block fallen in 2002 in the Outo area, similar to
the one fallen in 1996 in the same area.
4.2 Frequency of rockfall
As it was to be expected, the larger the volume of the falls the
less frequent they are. In spite of the scarcity of available data,
the assessment of the gathered data concerning the volume
of rockfall elements and their distribution in time enabled
to assume the following conclusions with some degree of
probability:
The fall of small stones and debris is common every year
and frequently more than once a year, indistinctly along
several long sections of the EN 379-1.
The fall of big stones is very frequent and occurs almost
every year, namely in the following sections:
Between the PK 1+200 to PK 1+580;
Throughout the kilometres that follows the Figueir-
inha beach.
The fall of small blocks is frequent and occurs several
times a decade in localized areas, namely:
The zone immediately before the curve at PK 1+580;
At the zone close to the eastern entrance of the Figueir-
inha Tunnel (PK 2+200);
In the approximately 100 m section that precedes the
deviation to the Outo Hospital (PK 3+840);
The fall of blocks and large blocks is less frequent and
more localized, having occurred twice in ten years, namely
in the section close to the Outo Hospital (PK 3+840).
4.3 Time of the year when occurrences are registered
Available data indicate that rockfalls occur between November
and March, during or just after more intense and prolonged
rainfall.
4.4 Type and mechanisms of failure
Rockfall sources are generally located in very high limestone
and dolomite scarps (up to approximately 100 metres above
the road level) throughout EN 379-1) being thus character-
ized by very high potential energy. Exception made to a few
zones subject to direct free fall upon the road, rockfall gen-
erally occurs by rolling and rebounding, its kinetic energy
being dissipated according to slope declivity, presence of col-
luvial deposits, type and density of vegetation, and eventual
obstacles encountered during the path of the fall.
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Figure 3. Arrabida mountain view after the 2004 forest fire.
Block detachment may be due to several mechanisms,
namely tensile fracture of blocks in hanging beds, plane and
wedge sliding, toppling and buckling failure.
4.5 Influencing Factors
Besides the rain, runoff and internal percolation of rock
masses, the action of the wind and temperature variations,
which in a long term reduce the conditions of stability, there are
other factors which are to be taken into account as direct and
indirect causes of instability, namely the occurrence of fires,
vibrations including earthquakes, and man-made topographic
changes.
5 ROCKFALL HAZARD ZONING
In this study, the following concepts of hazard or risk were
adopted:
The hazard is the probability of occurrence, in a given time
period, of a phenomenon that exceeds a certain intensity.
In the present case, the phenomenon refers to rockfall, the
intensity is the volume of the fallen materials (>>1 dm3 )
and the time period of interest is that of the roads service
life.
The risk is related to the consequences, i.e. the amount of
damage provoked upon what is exposed to hazard, may it
be patrimonial values or human lives.
The zoning undertaken was fundamentally based on the
analysis of the following elements:
The history of past occurrences;
Observation of the slopes throughout EN 379-1;
Systematic analysis of rock fall in slope profiles throughout
EN 379-1, taking into account the topography as well as
the physical and mechanical characteristics of the materials
forming the slopes, resorting to the computer programme
ROCFALL 4.02.
On the other hand, observation of the slopes enabled to
identify zones of the scarps susceptible to be sources of rock-
fall and allowed a subjective evaluation of the probability of
occurrence, taking into account the topographic features and
the detection of factors that might indicate a significant to
high hazard potential.
Based on the evaluation of this data, three zones were
defined:
Zone A High Hazard (49 % of total extent)
Zone B Medium to Low Hazard (18 % of total extent)
Zone C Low to Null Hazard (33 % of total extent)
Besides the zoning in terms of hazard, special reference was
made to two very high hazard zones which correspond also
2007 Taylor & Francis Group, London, UK
to high risk zones zones with a high rockfall probability
that may have severe consequences in terms of casualties and
damages. It is the case of the initial section of EN 379-1, in
front of the Outo Hospital and parking lot and the section of
the road along the Figueirinha beach.
6 GEOTECHNICAL INVESTIGATION
In order to identify the foundation conditions of the main struc-
tures along the EN 379-1, a ground investigation program was
carried out, composed of nine boreholes with SPT tests. This
program was adjusted to several predictable difficulties such
as the heterogeneous nature of the terrains of the road embank-
ment (composed of earthfill materials, including limestone
and sandstone blocks) and to the existing underground ser-
vices (water pipes and communication wires), that lead to a
slow careful execution and casing of the boreholes with the
consequent delay in obtaining the required information.
The boreholes were made along the site of the five main
structures, such as porticos and concrete retaining walls,
reaching between 10 and 17 m in depth.
7 MEASURES OF STABILIZATION/PROTECTION
The stabilisation and protection measures adopted followed a
specific methodology adapted to the local conditions (national
park of natural protected landscape and patrimony), which
concerned primarily the several features of the cliffs and
scarps, allowing the definition of zones with similar char-
acteristics and for which the type of solution may also be
adjustable.
The all area of the cliff adjacent to the EN 379-1 road
study section was thoroughly analysed viewing the main
topographic features, the type and status of the vegetation,
the geological (lithology and hydrogeology) and structural
features of the bedrock and outcrops, the typical and most
unfavourable cross-sections in terms of slope inclination and
blocks paths, the history of past rockfall events, accidents and
incidents, the marks of recent rockfall events as well as the
identification of potential rockfall situations, and the exist-
ing retaining and protection structures. The interaction with
the local Environmental Authorities also permitted to survey
special flora/fauna sites, as hawks nests, to be accounted in
the interventions. Each of these factors were carefully char-
acterised using several computing approaches and methods,
which permitted to proceed to the evaluation of their level of
hazard and risk according to the above classification from low
to very high hazard or risk. This methodology followed essen-
tially three main steps: risk perception, risk assessment and
risk management.
Table 1 presents the synthesis of the referred features to
each one of the 15 zones considered, their levels of hazard or
risk and the corresponding adopted solutions that significantly
increased the safety in the area of the road, also representing
a sustained agreement between the local environmental and
road authorities.
8 RETAINING STRUCTURES
The retaining structures were contemplated in this project
when the need arose to create a barrier between the slope and
the EN 379-1, or whenever it was not possible to carry out a
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 Table 1. Features of the zoning considered, level of hazard and adopted solutions.
Type of Site / Section
Zone of the road
Zone 1 Beginning section of 875 m.
Zone 2 Section of 250 m, from km
0+875 to 1+125.
Zone 3 Km 1+125 to 1+200, km
2+080 to 2+120 and
km 2+825 to 2+860.
Zone 4 Section of 400 m, from
km 1+200 to 1+600.
688
Zone 5 Section: km 1+600 to
1+700.
Zone 6 Sections: km 1+700 to
1+770 and km 1+850 to
1+980.
Zone 7 km 1+980 to 2+080,
km 2+120 to 2+170,
km 2+200 to 2+300 and
km 2+725 to 2+825.
2007 Taylor & Francis Group, London, UK
Topographic features
Cliff maximum height 8085 m.
Cliff max. height 90 m. Two levels
of scarp above elevation 70.
Cliff max. height 80100 m. Two
levels of scarp with great slope.
Cliff max. height 95 m. Two
levels of scarp: lower (elevation
7595) and upper (adjacent
to the road, elevation 1130).
Cliff max. height 85 m. Level of
scarp above elevation 50 with
2 successive levels of
1520 m each.
Around km 1+910 the cliff has
max. height 60 m, with a single
scarp of very high slope.
Cliff max. height 90 m, with a
scarp of very high slope and
about 40 m height face.
Accidents/Incidents Observed
Slight rockfall, recent, dont affecting
the road.
Slight rockfall, recent, dont
affecting the road.
Local rockfall, wedge shape, on the
lower scarp.
Recent rockfall on the lower
scarp, affecting the road. Rockslide
wedge shape and toppling in the
upper scarp.
Wedge shape rockslide and toppling
in the upper scarp.
Recent rockfall in debris soil
slope, leading to partial ruin
of existing masonry wall.
No recent rockfall signs, but there
are nasty zones that may lead to
rockfall. Lower scarps with
blocks dispersed.
Hazard/risk level
Low to null level.
Random rolling blocks may reach
road. Medium to low level, to local
high.
Random blocks and weathered rock
masses may split-up and reach the
road. High level of hazardousness.
Easy rockfall events may affect the
road. High level of hazardousness.
Rockfall may occur from scarp
with enough kinetic energy to
reach road, as well as from the
road nearby cliff.
High risk of local rockfall, block
split on impact at base of cliff,
leading to projection of small
blocks to the road.
High risk of rockfall from the upper
scarp to split on impact, rollover
and reach the road. High to
medium level of hazardousness.
Adopted Solutions
No intervention on the cliff.
Road protection with a
dynamic barrier.
Lower scrap coverage with
protection nailed steel net and
dynamic barrier between
scarps.
Steel cable reinforced mesh
with nails in the lower scarp;
rigid barrier over the existing
masonry wall at the toe of the
scarp. 2 levels of dynamic
barriers.
Rigid barrier over the existing
masonry wall. 2 levels of
dynamic barriers.
Rock-shed structure over
the road.
Dynamic barrier underlying
the scarp and concrete wall
bounding the road without
existing wall. Rigid barrier
over the existing wall.
 Zone 8 Section of the ancient Very vigorous relief, with Over the tunnel there is a High risk level. Extension of the existing
Figueirinha tunnel, profile of 1015 m cover over fault gauge zone with signs Figueirinha tunnel in the
km 2+190. the tunnel. of differential erosion. open, making visible a fault
study area (environmental
interest).
Zone 9 Section: km 2+300 to Well defined erosion relief profile Due to the existing protection High risk level due to the Concrete wall by the road,
2+625. by the toe of the cliff, max. height net, there were no rockfall proximity of an area of high making an artificial ditch
3550 m by the road (single scarp). events in the last decade. concentration of public and behind the wall to retain blocks
vehicles. and rock masses.
Zone 10 Sections: km 2+625 to Cliff max. height 80 m, with 1 Wedge shape rockslide and High to medium risk level. Concrete wall at toe of cliff, to
2+725 and km 2+860 to scarp above elevation 40 and toppling in the lower scarp. extent the new wall constructed
2+825. a backward level at elevation 110. in the Figuerinha beach area.
2 levels of dynamic barriers.
Zone 11 Section: km 3+000 to Cliff max. height 80 m by the road. Recent rockfall signs of small High rockfall risk of reaching Rock-shed structure over the
3+090. road. masses and blocks in scarp. High to medium hazard. road.
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Zone 12 Section: km 3+090 to 1520 m height scarp with modest Signs of rockfall of masses Medium to null risk level. Steel mesh in scarp and
3+260. inclination. and blocks in the scarp. concrete walls to prevent cut-
slope erosion.
Zone 13 Section: km 3+360 to Cliff 2025 inclination, vertical Signs of recent rockfall in Medium risk level. Nailed steel mesh in cut-slopes;
3+675. 10 m height road cut-slopes. road cut-slope, wedge shaped. concrete wall by the toe of the
south slope.
Zone 14 Section: km 3+675 to Cliff max. height 70 m Relatively recent Transition low to high Steel mesh in scarps and dynamic
3+780, overlying the by the road. rockfall of blocks of risk zone, due to the barriers in the underlying slope.
Outo Hospital. significantly size. proximity of the road and to Rigid barrier over the existing
the local instability history. masonry wall.
Zone 15 Section: km 3+780 to Cliff max. height 70 m Relatively recent rockfall High hazardousness Nailed steel mesh on upper scarp,
3+900, overlying the by the road. of blocks of significantly and high risk level dynamic barrier underlying the
Outo Hospital. size, around 1012 tons. zone, due to instability scarp, rigid barrier over the
history, proximity of existing masonry wall.
the road and of a hospital.

2007 Taylor & Francis Group, London, UK

Figure 4. A 5 m height retaining wall in the Figueirinha beach Figure 5. Road view before construction of rock-shed.
section.

smooth transition with current earthworks between these two

platforms.
Three types of solutions were resorted to: steel reinforced
concrete walls (L cross section), cyclopean concrete walls,
and nailed reinforced concrete wall (shot concrete).
Reinforced concrete walls were built to guarantee the sta-
bility of the talus debris and define waiting yards for eventual
rock fall in high hazard zones, such as zone 9 (Figueirinha
Beach). An attempt was made to recover parking spaces and
bus stops, adapted to the alignment of these walls when-
ever possible. These walls present variable sections, with
a maximum height between 2,25 and 5,0 m and maximum
longitudinal extension of 300 m. For landscaping purposes,
the visible faces of the walls were finished with limestone
covering small slabs.
Besides their retaining function, cyclopean concrete walls
arose in order to give continuity to the existing masonry walls Figure 6. Rock-shed structure over the NR 379-1.
with filled joints or to interventions implemented within the
scope of the project. The maximum height of these walls Tearing strength of the reinforcement, calculated in order
is approximately 2,5 m. These walls were also finished with that the service strength does not exceed 75% of the steel
limestone covering small slabs. yield point.
The nailed wall was the ideal solution for a zone with high Resistance to sliding during the contact sealing / massif,
spatial constraints and need to minimize reshaping of the soils which is guaranteed by the mobilization of surface friction
affected. The latest was particularly important in order to avoid in that contact.
the execution of large cuttings in talus debris. The nailing
was 6,0 m long, with 25 mm steel rod, placed in a 50 mm
diameter hole previously carried out and sealed with cement 9 ROCK-SHED STRUCTURES
grout in its entire extension. The nailing mesh had 2,0 2,0 m
spacing, and the nails were executed orthogonally against the The structure proposed for the zones 6 and 11 was a steel
wall. Due to the definitive character of the nails and to the reinforced concrete rock-shed, whose upper slab covers the
marine environment, the steel rods were subject to a previous existing road in order to protect it from rock fall. Three rock-
treatment against corrosion. shed structures with a total lenght of about 270 m, have been,
As far as drainage is concerned, several devices were placed were designed and constructed.
in these structures, namely cross drains covered in geotextile, The transversal profile adopted is likewise perfectly adapted
300 mm half section gutter and draining geotextile. to the characteristics of the existing one and includes:
With regard to the design of the steel reinforced concrete and
New-Jersey side safety rails, 0,30 m wide;
gravel concrete, the loads considered were static and seismic,
Two 0,25 m shoulders; and
following the Portuguese regulation.
Bi-directional roadway 6,0 m wide.
In the design of nails it was considered that merely ten-
sile strength shall be mobilized, since the shear strength and Since the main objective of the structure was to protect the
bending moments shall be difficult to mobilize, given the road from rockfall, this was the fundamental constraint aspect
type of nail adopted, as well as the high magnitude of the for the design of the upper slab.
displacements required for that mobilization. It was also constructed an extent to the eastern side of the
Safety verification was undertaken taking into account the existing Figueirinha Tunnel, of about 12 m in length and with
following limit states: the same arch type structure, in order to prevent the rockfall

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2007 Taylor & Francis Group, London, UK

Figure 7. Arch rock-shed at the Figueirinha beach section.
to the road platform from the eastern portal and to preserve a
case study geological monument over this portal.
It was assumed a maximum block size, detaching from the
scarps around the tunnel, corresponding to a block of about
500 kg in weight falling off a 100 m slope height.
The dissipation of the energy of blocks hitting on the top of
the shed is done by a sand cushion 1,0 m thick, covering the
upper slab.
The structural solution was also limited by the need to
guarantee adequate landscape integration in the surround-
ing environment, since it will be installed in an area of great
visibility and landscape value.
In this sense, the structure was covered with a suitable
vegetation cover deemed to harmonize with the surrounding
landscape. The solution was also designed aiming at minimiz-
ing the visual obstruction to the observer travelling in the EN
379-1, adopting strait 9,0 m spaced piles to the sea view.
From the sea side point of view, the covering slab was also
provided with a variable geometry verge in order to assume a
smooth continuous longitudinal arch section.
The pedestrian passages through the rock-sheds were
designed as an individual wooden structure attached to the
seaside exterior of the shed structure. The objective was to
provide safe conditions for pedestrians promoting at the same
time a tourist and sportive continuous environment along the
seaside.
10 PROTECTION BARRIERS
10.1 Rigid barriers
The objective of rigid barriers is to create an obstacle to the
displacement of small blocks and rock debris, between the foot
of slopes and the road. Its a barrier made of a rigid steel mesh
and by steel and wood poles installed either over the existing
masonry walls or new concrete walls.
10.2 Dynamic Barriers
The dynamic barriers were foreseen for situations in which
the slopes and cliffs are located further away from the road,
with a good visibility of the blocks and where the landscape
constraints assume greater importance.
These dynamic structures were placed underlying scarps
zones, in order to prevent and avoid the blocks from rolling
on or rebounding to the road.
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2007 Taylor & Francis Group, London, UK
Figure 8. Block trajectory calculation for dynamic barriers.
These structures were built with high resistance steel rein-
forced mesh, about 5 m high, supported by steel poles fixed
transversally to the slope by anchored cables articulated at the
base and founded on the ground by a concrete mass and rock
bolts.
In order to ensure the passage of the fauna, open inter-
vals with regular spacing and adequate overlapping were
maintained.
The ideal location of the slope barriers was approached by
analysis of blocks trajectories, resorting to numerical mod-
els, allowing the calculation of the blocks trajectories in
a probabilistic manner and the development of the related
kinetic energy, allowing the verification and assessment of
the required energy absorption capacity of the barriers.
Throughout the cliffs, the need to consider medium or high
energy dynamic barriers, was verified, being the first able to
resist to a 1500 kJ energy impact and the second a 3000 kJ
energy impact.
The features of the typical displaced block were analysed in
a conservative manner, considering an average typical block
of 1 ton. (about 0,5 m3 ) for the entire cliff extent, exception
made to zones Z14 and Z15 (Outo zone), where at least two
falls of 10 ton-blocks were recorded in the last twenty years.
11 STEEL MESHES
Steel meshes were applied in cases where the collapse of rock
blocks was recorded or deemed possible close or directly on
the road. These slopes were treated with steel cables reinforced
mesh, nailed in the cases where the need to preserve the struc-
ture of the rock mass had been identified, or simple protection
mesh in the cases where the rock mass structure was stable
but the possibility of scattered rock fall still existed.
In slope sections where potentially unstable blocks were
observed and measured based on the conjugation of existing
discontinuities, the chosen solution was the application of an
active support based on systematic nailing, linked by a network
of steel cables and a double or triple torsion wire mesh, in order
to avoid the fall of small blocks.

Figure 9. Draping and fixation of the steel meshs.
Figure 10. Grouting procedures for rock-bolt installation.
In the cases of isolated blocks in a situation of eminent
rupture or sliding, the chosen solution was the application of
isolated or systematic nailing.
In some cases, it was decided to remove unstable blocks
and limited rocks masses, taking into consideration that the
scaling and trimming operations should be undertaken with
the utmost care to avoid increasing the instability situation of
the remaining rock slope namely by undermining the upper
slope.
The definition of the designs geotechnical parameters, rep-
resentative of the rock mass, was made using the following
methods:
Classification of the rock mass using the GSI system
(Geological Strength Index);
Back-analysis method.
The mechanical parameters of the rock mass were adjusted
through limit equilibrium criteria by back-analysis, in order
to achieve a limit stability situation on the most unfavourable
sliding surface: F.S 1,0. In this way and taking into consider-
ation all the data, the design geotechnical parameters indicated
in table 2 were assumed.
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2007 Taylor & Francis Group, London, UK
Table 2. Design Geotechnical Parameters.
Unit Friction
Weight Cohesion Angle
(kN/m3 ) (kPa) ( )
Miocene sandstone 20 18 40
PK 0+000 to 1+600
Jurassic limestone 21 25 40
PK 1+600 to 3+900
Figure 11. View of one of the main structures from the seaside.
12 FINAL REMARKS
The characteristics of rock slope along EN 379-1 signifi-
cantly conditioned and limited both the survey of rock mass
conditions and the design solutions.
Given the inaccessibility of high steep slopes to direct
observation and measurement of fracture conditions and ori-
entation, both strength properties of rocks and rock mass
strength had to be assumed based on very incomplete informa-
tion. The same may be said about the geomechanical models
adopted to verify de design of consolidation measures. For
these reasons, engineering judgement had a decisive role in
the assessment of design parameters and making decisions.
Landscaping of reinforced concrete structures (walls and
frames) was a permanent concern throughout the development
of the project.
It should be finally stressed out that, in light of the local
topographic and geotechnical constraints, the adopted solu-
tions revealed to be the most viable from a technical point of
view, taking into account the need to guarantee an acceptable
level of safety to traffic circulation.
REFERENCES
COBA 2005. EN 379-1 between Outo and Portinho da Arrbida,
Treatment and Stabilization of the Cliffs. Basic Design for
ESTRADAS DE PORTUGAL, EPE (Portuguese Road Authority),
March 2005.
Japan Road Association, 1984. The Manual for Slope Protection.
Highway Earthwork Series, May 1983.
Japan Road Association, 1983. The Design Manual of Protective
Structures for Falling Rocks. p. 1359, July 1983.
Peila, Daniele & Oggeri, Claudio 2004. Barriere Paramassi a Rete.
Tecnologia e Criteri Progettuali. Quaderni di Studi e Documen-
tazione. Politecnico di Torino.
 Step-path characterization in rock slopes: An integrated digital
imaging- numerical modeling approach

Ming Yan, Doug Stead & Matthieu Sturzenegger

Engineering Geology and Resource Geotechnics Department of Earth Science, Simon Fraser University, Burnaby, BC, Canada

ABSTRACT: The importance of considering step-paths and intact fracture within rock bridges in rock slope stability has been
recognized for a considerable time. Recent years have seen the development of both sophisticated finite-discrete element codes
with fracture capability and true three-dimensional remote sensing data collection techniques. This paper presents methods
of characterizing step-paths in rock slopes using combined field surveys, terrestrial LiDAR and digital photogrammetry.
Observation of discontinuity networks and step-path geometry are constrained by two- and three- dimensional discrete/distinct
element codes (ELFEN/3DEC). The importance of step-path geometries in three-dimensional space is illustrated using point
cloud data from selected rock slopes. The development of three-dimensional step-path failure surfaces is demonstrated using
firstly a non-fracture code (3DEC) followed by a preliminary two-dimensional analysis using a fracture propagation code
(ELFEN). The results of this research have important consequences when considering the kinematics of block movements
along persistent discontinuities. It is shown, both through field observations and numerical simulation, that consideration of
both block rotation and translation is essential in stability assessment and that routine application of daylighting concepts in
three dimensions must not ignore such failure mechanisms.

1 INTRODUCTION

Step-path failure surfaces and intact rock bridges have been

recognized as an important component of rock slope failure
since Jennings (1970) first introduced the concept of two-
dimensional and three-dimensional step-path geometries. A
wide variety of analytical techniques have been used to analyze
the stability of rock slopes with step-path fractures includ-
ing deterministic limit equilibrium methods (Jennings, 1970),
probabilistic Monte-Carlo simulation (Baczynski, 2000) and
finite element/boundary element codes. This paper presents
a recently developed integrated digital imaging-numerical
modeling approach to characterize step-path discontinuity
geometries and intact rock bridges in the field, and to analyze
their influence on rock slope stability.
A methodology for characterizing step-paths in rock slopes
using combined field survey, terrestrial LiDAR and digital
photogrammetry has been developed. Step-path geometries
in three-dimensional space are characterized using point
cloud LiDAR and photogrammetric data, and constrained
using field surveys. The formation of three-dimensional step-
path failure surfaces in rock slopes is demonstrated using
firstly a non-fracture distinct element code (3DEC) followed
by a preliminary two-dimensional analysis using a fracture
propagation code (ELFEN), based on the input of observed
discontinuity networks and step-path geometry.
The results of this research show, both through field obser-
vation and numerical simulation, that consideration of both
block rotation and translation is essential in stability assess-
ment and that routine application of daylighting kinematic
analysis concepts in three-dimension must not ignore such
failure mechanisms.
2 STEP-PATH DISCONTINUITIES AND ROCK
SLOPE FAILURE
Step-path fractures and failure surfaces are prevalent in
numerous rock slopes. Steps at varying scales can be
Figure 1. Three-dimensional step-path discontinuities observed at
Kananaskis, Alberta.
observed in large natural slopes in both the dip and strike
directions, Figure 1.
Step-paths may also be important at the scale of road cuts.
Figure 2 shows a major road cut slope near Porteau Cove, B.C,
where step-paths were involved in translational failure modes.
Step-path geometry is again evident along both dip and strike.
This slope provides evidence that the kinematics of section
and plane block rotation may be as important as simple block
translation.
3 IDENTIFICATION OF STEP-PATH GEOMETRY BY
DIGITAL-IMAGING TECHNIQUES
Traditional field survey techniques, i.e. scanline mapping and
cell mapping provide important information on discontinu-
ity networks for use in stability analyses. Recent work has
involved far more emphasis on the importance of adequate
characterization of discrete fracture networks. Block size,
persistence and spacing are all inherently associated with
the definition of intact rock bridges and step-path geome-
tries. To date predominantly two-dimensional techniques
have been used in step-path research and it is emphasized
that true step-path failure mechanisms must be studied in

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2007 Taylor & Francis Group, London, UK

 (a)

Figure 2. Porteau Cove rock slope showing step-path discontinu-

ities along strike and dip.

a three-dimensional block network with the recognition of

three-dimensional rock bridges. As a preliminary stage in
this research the authors are adapting digital-imaging tech-
niques including digital photography/photogrammetry and
three-dimensional laser scanning in an attempt to develop (b)
more comprehensive, safer and three-dimensionally efficient
step-path mapping methodologies. Figure 3. (a) DTM of Porteau Cove rock cut with 5 m contours
Digital photogrammetry may be used to remotely measure derived from photogrammetry images using a Canon30D camera.
x-y-z coordinate points on a rock slope allowing the produc- (b) Grayscale coded image showing lateral, rear and failure surface
joints and step-path geometry.
tion of a digital terrain model (DTM). This process can be
performed semi-automatically using the Sirovision software,
which also allows the extraction of discontinuity data. Fig-
ures 3a and 3b show a DTM of the Porteau Cove rock cut
with (a) 5m contours superimposed and (b) grayscale coding
showing lateral, rear and failure surfaces.
Ground based LiDAR is the principal technique used in this
paper. Laser scanning point clouds were obtained using an
Optech ILRIS-3D laser scanner. Figure 4 shows a laser scan-
ning point cloud (x, y and z coordinates). Each point has an
associated intensity level which in the grey scale image clearly
shows step-path joint characteristics in addition to vegetation
etc. Using the Split-FX code (Split Engineering, 2006) a tri-
angulated mesh is produced from the point cloud allowing the
determination of joint orientation data.

3.1 LiDAR survey and block rotation

The following sections, describe a 20 meter high slope, Figure 4. Three-dimensional laser scan point cloud of Porteau
Figure 5, near Lake Louise, Alberta, Canada, which was Cover rock cut and structural data derived using the Split-FX code.
selected as a case study to characterize the step-path discon-
tinuities using LiDAR.
Following rock slope characterization a three-dimensional
numerical modeling study to illustrate the importance of block
rotation was based on this site. More than three sets of fractures
were identified from Figure 5. The bedding planes are very
persistent; whereas, in contrast, the persistence of the other
joint sets is more limited. The movement of blocks formed by
the joint sets is through a combination of rotation and transla-
tion. A three-dimensional laser scanning point cloud model for
the area shown in Figure 5 is presented in Figure 6a. The orien-
tation of discontinuities represented in the point cloud model
can be calculated automatically using Split-FX, Figure 6b and
Table 1. A conventional joint survey was conducted on the
lower portion of the slope surface and the results are shown in Figure 5. Step-path discontinuities and rotational block move-
Figure 6c and Table 1. The stereonet plot from the joint survey ments, near Lake Louise, Alberta.

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2007 Taylor & Francis Group, London, UK

 Table 2. Slope properties used in 3DEC modeling.

Slope height (m) 20

Orientation of joint sets J1 220 /60

J2 125 /75
J3 15 /60
Spacing of joint sets (m) J1 0.40.8
J2 1.02.0
J3 1.22.4
Friction angle of joint sets J1 25
J2 35
J3 15

(a)

(b) (c)

Figure 6. (a) 3-D point cloud model and (b) stereonet plot gener-
ated by combined digital-imaging techniques and traditional field
survey (c) stereonet plot generated from conventional field survey.
Figure 7. 3DEC model geometry.

Table 1. Orientation of joint sets conducted from point

cloud data and conventional joint survey.
surface with persistent discontinuities. Three joint sets (J1, J2
Joint sets Joint survey Point cloud data and J3) are selected based on the LiDAR and conventional
joint survey data. The orientation of the joint sets is listed in
Bedding-J1 225 /60 209 /57
Lateral-J2 125 /85 120 /60 Table 2. Joint spacing is measured from the point cloud directly
Rear-J3 015 /65 10 /50 (Table 2). The three-dimensional model geometry is shown in
Rear-J4 355 /35 325 /23 Figure 7. The basal blocks in the model were removed to sim-
ulate the road cut. Selected three-dimensional model results
are shown in Figures 8a and b to illustrate the influence of
joint spacing on the final block failure modes. The spacing of
in Figure 6c closely agrees with the laser scanning derived J1 is unchanged in both Figures 8a and b. The spacing ratio
joint sets in Figure 6b. However, they appears to be a 3 of J2 to J3 is varied from 5:3 to 5:12. The block movements
30 difference in dip directions and a 3 25 difference in at the slope toe in Figures 8a and b demonstrate block rota-
dip angles. This error is slightly larger than reported by Monte tion involved in the rock slope failure in addition to block
(2004). Possible reasons are that the scanning area includes translation. Figure 8b, however, shows a difference in block
the whole slope whereas the field data is derived from the movement modes to Figure 8a at the slope toe. The block fail-
slope toe. The bedding planes are also folded in a plunging ure modes also appear to vary from the slope crest to the slope
synform which would lead to spatial variation in collected toe, Figure 8a.
joint data in both the dip and dip directions. Several forms
of bias are inherent in laser scanning including both azimuth 5 SIMULATION OF STEP-PATH FRACTURE USING A
and elevation angle orientation bias (laser line of sight) and HYBRID FINITE/DISTINCT ELEMENT CODE
censoring.
A two-dimensional hybrid finite/discrete element code
(ELFEN) can be used to simulate the fracture propagation
4 SIMULATION OF THREE-DIMENSIONAL within intact rock bridges and final step-path failure in rock
STEP-PATH FAILURE USING 3DEC slopes with different failure modes (Figure 9). These simple
examples illustrate the importance of considering intact rock
Block rotation and translation involving three-dimensional fracture in large open pit slopes. Research shows that fracture
step-path discontinuities, Figure 5, can be simulated using through intact rock bridges is a function of persistence, joint
the distinct element code 3DEC and the hybrid discrete/finite spacing, dip, shear strength and rock mass tensile strength.
element code ELFEN. 3DEC is used in this study to simu- Current research is aimed at examining the role of fracture in
late block movement and the formation of a step-path failure three-dimensional step-path failure.

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2007 Taylor & Francis Group, London, UK

 6 CONCLUSION

Step-paths and intact rock fracturing may be an important

component in rock slope failure. Digital imaging using ground
or airborne LiDAR and terrestrial photogrammetry is well
suited for deriving three-dimensional data for rock slope
characterization, including the role of step-paths in failure
mechanisms. New techniques of field mapping are being
developed to emphasize the role of block geometry, persis-
tence, spacing and intact rock bridges. A three-dimensional
DEM approach can be used to realistically simulate both block
rotation and translation during failure. Three-dimensional
step-path failure simulation provides important information
on failure mechanisms not captured by two-dimensional anal-
yses. A hybrid finite/discrete element approach is able to
(a) realistically simulate brittle step-path fracture propagation and
final failure. Current research is focused on extending numer-
ical simulation with ELFEN from two-dimensional to true
three-dimensional failure of intact rock bridges.

REFERENCES

Jennings, J.E. 1970. A Mathematical theory for the calculation of the

stability of slopes in open cast mines. Planning of Open Pit Mines,
Proceedings, Johannesburg, pp. 87102.
Baczynski, N.R.P. 2000. STEPSIM4 Step-path method for slope
risks. GeoEng 2000, Proceedings of the International Conference
on Geotechnical and Geological Engineering, Melbourne, 6pp.
Monte, J.M., 2004. Rock mass characterization using laser scanning
and digital imaging data collection techniques.
Split FX version 1.0. Split Engineering LLC, Tucson, AZ, USA.
(b)

Figure 8. Selected 3DEC modeling results showing step-path fail-

ure surface generation, block rotation and translation, assuming three
joint sets with spacing of (a) 0.4 m, 2 m and 1.2 m and (b) 0.4 m, 1 m
and 2.4 m.

Figure 9. Variable failure modes involving failure through intact

rock bridges: (a) biplanar, (b) step-path and (c) toppling.

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2007 Taylor & Francis Group, London, UK

 Strength and deformation properties of the concrete-to-rock contact

I. Vrkljan
Civil Engineering Institute of Croatia, Zagreb, Croatia
Faculty of Civil Engineering University of Rijeka, Rijeka, Croatia

B. Kavur
Civil Engineering Institute of Croatia, Zagreb, Croatia

N. tambuk Cvitanovic
Civil Engineering Institute of Croatia, Split, Croatia

ABSTRACT: The testing of shear strength and deformability characteristics of the contact between the limestone and concrete
was carried out for the purpose of foundation of the high arch dam, using the test of constant normal load. Nine blocks with
contact surface of 707 707 mm were tested in the underground testing adits. The results of the peak and residual strength of the
contact are presented through the Mohr-Coulomb linear and nonlinear strength criteria. It is shown that at the determination of
residual strength, the application of normal stress reducing procedure is more adequate than normal stress increasing procedure.
The deformability of the contact zone is described by the shear stiffness and dilation angle. The analysis of shearing results
shows that the concrete to limestone contact behaves in accordance with the constant peak displacement model.

1 INTRODUCTION conducted in laboratory, and this practice is even more rare in

The contact between concrete structures and the rock mass
(concrete-to-rock contact) represents a discontinuity between
two distinct media, and can therefore be regarded as a specific
case of the rock mass discontinuity.
The strength and deformability of the concrete-to-rock con-
tact is a significant element in every study of interaction
between the concrete structure and the rock mass (piles, dams,
retaining walls, tunnels). This contact is modelled in the way
that is similar to the modelling of discontinuities in the rock
mass. A great attention is paid to the behaviour of discontinu-
ities since the times the discontinuities were first recognized as
a factor of dominant significance for the strength and deforma-
bility of the rock mass. Test methods and empirical procedures
developed for testing discontinuities in the rock mass can also
be applied to the contact (discontinuity) between concrete and
rock. Two procedures, the use of which depends on the way in
which normal stress is applied, are used in the laboratory and
field testing of shearing behaviour of discontinuities. In case
of structures where the displacement perpendicular to discon-
tinuity is not limited (dams, slopes), the decision is normally
made to use the test procedure in which the normal stress
is not changed during the testing (CNL constant normal
load). If normal displacements are limited (piles, tunnels),
the testing is conducted at constant normal stiffness (CNS).
The CNL method is applied for the testing presented in this
paper.
The behaviour of discontinuities in the rock mass, and hence
the behaviour at the concrete to rock contact, is normally
defined based on laboratory testing which is for economic rea-
sons usually conducted on small samples. The tests normally
conducted in laboratory are the direct or triaxial shear tests,
and the samples are either natural or artificially created dis-
continuities.Artificial materials (such as mortar, gypsum, etc.)
are often used instead of the rock. Big sample testing is rarely
field conditions. In fact, big samples for laboratory testing are
difficult to extract, transport, protect against change in humid-
ity, etc. The field testing of such samples is extremely costly
as the tests are usually conducted in underground galleries of
appropriate dimensions.
Although numerous tests (Krsmanovic 1967, Ladany &
Archambault 1970, Barton 1976) have shown that the discon-
tinuity strength criterion is highly nonlinear, the discontinuity
strength is still in many cases quite unjustly approximated
using the Mohr-Coulomb linear strength criterion. It is speci-
fied in national regulations relating to the design of concrete
dams that the dam stability should be checked according to
limit equilibrium methods using the Mohr-Coulomb strength
criterion, as defined by the cohesion and angle of friction
(Ruggeri 2004). The only difference between individual reg-
ulations lies in the fact that some explicitly allow the use
of peak strength parameters, while others permit the use of
residual parameters, which is dependent on the expected shear
displacement in the contact zone.
In this paper, the strength of contact after the attainment of
peak strength is marked as residual strength. This term is also
used in the ISRM Recommended Methods (1974). It should
be noted that this strength is reached after a relatively small
displacement, and that it should be differentiated from the
strength that would be attained following a displacement of
several meters.
In addition to contact strength, the deformational properties
are also significant in the numerical analysis of interaction
between the concrete and the rock mass. The deformability at
the contact zone is described by the stiffness and dilation angle.
The shear stiffness is highly significant as the deformation at
contact is much greater at the shear plane when compared
to deformability in the line perpendicular to the contact. The
level of shear-generated displacement at the contact zone is
highly significant for its behaviour.

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2007 Taylor & Francis Group, London, UK

 5,0
p = 0.52 MPa
p = 1.04 MPa
4,0 p = 1.55 MPa
p = 2.06 MPa
p = 2.59 MPa

Shear stress (MPa)

3,0

2,0

1,0

0,0
0 5 10 15 20 25
Shear displacement (mm)

Figure 2. Shear stress vs shear displacement at the first applied

normal stress.

1 = 2.06 MPa, 2 = 1.53 MPa

3 = 1.01 MPa, 4 = 0.51 MPa
4,0 4,0
Shear stress

Normal displ. (mm)

Normal displacement

Shear stress (MPa)

3,0 3,0
Figure 1. Location of testing.
2,0 2,0
The aim of research conducted in this paper is to determine
the shear strength (peak and residual) and deformability (shear 1,0 1,0
stiffness and dilation angle) of the concrete to rock contact.
A great quantity of tests conducted so far has enabled a critical 0,0 0,0
evaluation of various methods that are currently used for the 0 20 40 60 80
residual strength testing. Shear displacement (mm)

Figure 3. Shear stress vs shear displacement for test with reduction

2 MATERIAL AND METHODS of normal stresses after the attainment of peak shear strength.

The testing was conducted in underground galleries that were
excavated in order to perform geotechnical and geophysical
testing and engineering-geological mapping at the site of a
large arch dam. The dam mostly rests on high-strength com-
pact limestone formations (u > 150 MPa). The shear strength
at the contact between the concrete and the compact limestone
formations was tested at two positions (9 blocks). The test
locations corresponded to the contact between dam founda-
tions and the rock mass as specified in the design. The testing
was conducted in accordance with recommendations formu-
lated by the International Society for Rock Mechanics (ISRM,
1974). After removal of the rock mass damaged during blast-
ing, the limestone surface was flattened as much as possible by
hand tools (chisel and hammer). The shear plane was bounded
by a channel 2 cm in depth, which was filled with water during
the testing.
The normal force was generated with two and shear force
with three hydraulic jacks 1000 kN in capacity. Vertical dis-
placements of concrete blocks were measured with 4 dial
gauges accurate to 0.01 mm, while horizontal displacements
were measured with 4 dial gauges (two in the direction of the
shear and two at block sides). The reduction of the contact area
during the shear was taken into account in the calculation of
shear and normal stresses.
The testing was conducted at normal stresses of = p = 0.5,
1.0, 1.5, 2.0, and 2.5 MPa. Once the residual contact strength
was attained during the initial normal stress, the following
normal stresses were either reduced or increased so as to
obtain more values of residual strength. After the peak and
first residual strength was obtained, the residual strength was
determined for another three normal stress values. Thus one
pair of peak stresses, and 4 pairs of residual shear and nor-
mal stresses, were determined at each block for the strength
criteria definition purposes.
3 TEST RESULTS
A clear differentiation between peak and residual strengths
was obtained on all blocks (Fig. 2). The results for the testing
in which normal stress values were reduced or increased to
obtain additional residual strength values, are presented in
Figures 3 and 4. As could have been expected, the dilatancy
continuously increased when normal stresses were reduced
(Fig. 3), while it decreased with an increase in normal stresses
(Fig. 4).
The peak strength occurred at shear displacement in the
order of 0.1% of the contact length, followed by a sharp soft-
ening and a dilatancy increase. A clear residual condition
was observed at a relative displacement of 1%. The observed
sharp peak conditions were due to an effective locking of
the rock to concrete. The peak and residual strength criteria
for the concrete to compact-limestone contacts are presented
in Figure 5. All data were used in the definition of residual
strength criterion, and this regardless of whether they were
obtained immediately after the peak strength was attained, or
after reduction or increase of normal stress values.
A considerable number of tests conducted on compact lime-
stone (the total of 9 blocks were tested at 34 normal stress
values) made it possible to analyze in which way the increase

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2007 Taylor & Francis Group, London, UK

 1 = 0.52 MPa, 2 = 1.05 MPa 0,7
p = 0.52 MPa
3 = 1.53 MPa, 4 = 2.04 MPa p = 1.04 MPa
2,5 2,5 0,6 p = 1.55 MPa
Shear stress p = 2.06 MPa

Normal displ. n (mm)

Normal displacement 0,5 p = 2.59 MPa

Normal displ. (mm)

2,0 2,0
Shear stress (MPa)

0,4
1,5 1,5 0,3

0,2
1,0 1,0
n
0,1 d1
0,5 0,5 d2
0,0 0
0,0 0,0 -0,1
0 20 40 60 80 0,0 0,5 1,0 1,5 2,0 2,5 3,0
Shear displacement (mm) Shear displ. (mm)

Figure 4. Shear stress vs shear displacement for test with increase Figure 7. Normal vs shear displacement (dilation/dilation angle).
of normal stresses after the attainment of peak shear strength. Pointed displacements correspond to peak shear strength.

= tan 44 + 0.218 (MPa) residual criteria 40

= tan 54 + 0.713 (MPa) peak criteria
5,0 35

Dilation angle d1, d2 ()

30
4,0 25
Shear stress (MPa)

20
3,0
15
2,0 10 Only displ.>0; d2
Peak All displ.; d1
Resid. 5 Linear (Only displ.>0; d2)
1,0 Linear (Peak) Linear (All displ.; d1)
Linear (Resid.) 0
Power (Resid.) 0,0 0,5 1,0 1,5 2,0 2,5 3,0
0,0
0,0 1,0 2,0 3,0 4,0 Normal stress (MPa)
Normal stress (MPa)
Figure 8. Initial dilation angle vs normal stress.
Figure 5. Peak and residual strength criteria.

6,0 peak shear strength defines the contact stiffness during shear-
Normal stress reduction ing. This is an input information of highest significance in
Normal stress increase
5,0 After peak analytical modelling, as the rock-concrete contact is in fact
Shear stress (MPa)

Linear (Normal stress reduction)

4,0 Linear (Normal stress increase)
Linear (After peak)
3,0
2,0
1,0
0,0
0,0 0,5 1,0 1,5 2,0
Normal stress (MPa)
Figure 6. Residual strength criterion depending on test method.
or reduction in normal stress values influences the residual
strength criterion in the contact zone. If we take as relevant
criterion the residual strength obtained at the first normal
stress (after the peak value is attained), it can be observed
that it is similar to the criterion obtained by reducing nor-
mal stresses during one block testing (angle of friction = 48 ;
cohesion = 0.13 MPa). The normal stress increase following
attainment of the peak strength provides a smaller residual
angle of friction (41 ) and a greater cohesion (0.24 MPa)
(Fig. 6).
Shear displacements and normal displacements of concrete
blocks, as measured during the testing, enabled definition of
contact zone deformation parameters, shear stiffness, and dila-
tion angle. The shear displacement (peak) needed to obtain the
the most deformable in the direction of shearing. The peak
shear stiffness (Ks ) is obtained by dividing the peak shear
strength (peak ) by the shear displacement at which the peak
shear strength (peak ) was obtained. Small shear displacements
at which the peak shear strength was obtained provide high
shear stiffness values for the contact zone. In addition to shear
stiffness, the contact deformability is also expressed by means
2,5 3,0 3,5 of the dilation angle. Negative normal displacements at the
start of the shearing process were measured at all blocks in
the manner similar to the procedure used when rock mass dis-
continuities are tested. The method used for calculating the
initial dilation angles is shown in Figure 7.
Two values of the initial dilation angle, one including (d1)
and the other not including (d2) the negative vertical displace-
ments at the start of the shearing process, are presented in
Figure 8.
Goodman (1974) differentiates two models that determine
the shear behaviour of joints, i.e. the constant stiffness model
and the constant peak displacement model. The analysis of
shearing results shows that the concrete-limestone contact
behaves in accordance with the constant peak displacement
model, because the peak strength was obtained, for 8 out of 9
tested blocks, at very small shear displacements ranging from
0.5 to 1.5 mm in size. Figure 9 shows achieved peak shear stiff-
ness as peak shear strength values divided by corresponding
shear displacements at different normal stresses.

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 7000
6000
5000
Ks (MPa/m)
4000
3000
2000
1000
0 the constant displacement model. The increase in normal
0 0,5 1 1,5 2 2,5
Normal stress (MPa)
Figure 9. Peak shear stiffness vs normal stress.
4 CONCLUSIONS
The results achieved for the compact limestone are as follows:
peak angle of friction is 54 (residual amounts to 44 ) and
cohesion is 0.71 MPa (residual amounts to 0.22 MPa). It was
established that the application of procedure of normal stress
reduction at the determination of residual strength is more
adequate than application of the procedure which increases
the normal stress.
As in-situ tests are very demanding (both in terms of cost
and time), it is sometimes acceptable to perform the testing
using one block only. In such cases, the residual strength is
determined with several points, and the peak strength crite-
rion is parallel to the residual one, and traverses the single
measured peak strength point (peak residual angles of fric-
tion are the same, only the cohesions are different). As in
our case several blocks were tested at different normal stress
value, we were able to verify soundness of this approximation.
2007 Taylor & Francis Group, London, UK
The strength criteria shown in Figure 5 point to the high
difference between the peak and residual angle of friction
(amounting to approximately 10 degrees). Thus in this approx-
imation the peak angle of friction is underestimated while the
cohesion is overestimated, which points to the conclusion that
a very careful interpretation is needed in cases when only one
block is subjected to testing.
The analysis of the diagram of shear stress vs. shear dis-
placement shows that the contact behaves in accordance with
3 stress results in the corresponding increase in shear stiffness,
and it ranges from 1 to 6 MPa/mm for the compact limestone.
The initial dilation angle reduces with an increase in normal
stress and differs considerably depending on its definition
(i.e. whether it includes or does not include the part of the
shear-normal displacement curve showing contact closure).
REFERENCES
Barton, N. 1976. The shear strength of rock and rock joints. Int. J.
Rock Mech. Min. Sci. &Geomech. Abstr. 13: 124.
Ruggeri, G., Co-ordinator 2004. Sliding Safety of Existing Gravity
Dams Final Report. ICOLD EUROPEAN CLUB.
ISRM, Commission On Standardization of Laboratory and Field Test
1974. Suggested Methods for Determining Shear Strength.
Krsmanovic, D. 1967. Initial and residual shear strength of hard rocks.
Geotechnique 17: 145160.
Ladany, B. & Archambault, G. 1970. Simulation of shear behavior of
a jointed rock mass; Proc. 11 th Symp. Rock Mech. Vol.4, AIME:
105125.
Goodman, R. 1974. The mechanical properties of joint; Proc. 3 th
ISRM Congress, Denver,Vol.1A: 127140.Vol.4,AIME, 105125.
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 Stress evaluation experience at different quarry sites in the Apuane Alps (Italy)

G. Iabichino & M. Cravero

Istituto di Geologia Ambientale e Geoingegneria (CNR-IGAG), Torino, Italy

ABSTRACT: This paper reports on some experience of rock stress measurements gained by the authors in a marble basin in the
Apuane Alps with reference to three different quarry sites. The experience refers to two open pit quarries where the Hydraulic
Fracturing (HF) was applied: the first one is located in the lower part of a valley at the base of a high rock face while the
other one is located at the base of a rock spur which is left over from past exploitations in two neighbouring quarries. Another
example refers to an underground exploitation room where both the (HF) and the Stress Relief (SR) techniques were applied.

1 INTRODUCTION

Rock stress measurements play a basic role in the stability

estimation of large excavations resulting from open pit and/or
underground quarry activities. Huge modifications of the
mountain morphology due to quarry exploitations, like those
of the examples reported here concerning a white Carrara
marble basin, lead to important alterations of the pre-existing
equilibrium condition induced by the stress distribution pro-
cess around excavated, permanent rock structures. Although
the specific type of application (activity to be monitored,
depth, rock mass condition) could suggest one method that
is particularly suitable for stress measurements, when possi-
ble, it is useful to apply different methods, to obtain a separate
check of the measurement consistency. Among the different
stress measurement procedures (Amadei & Stephansson, 1997
list six groups of methods), the Hydraulic Fracturing (HF)
and the Stress Relief (SR) methods are those that are most Figure 1. Plan of the Canalgrande quarry showing the high rock
frequently applied for borehole stress measurement in civil slope, the quarry yards and the HF borehole locations.
and mining applications (e.g.: Franklin & Hungr, 1978, Kim
et al., 1986, Enever 1993, Matsui et al., 1997, Myrvang, 2006). Table 1. Mean orientation and spacing of the joints sets.
Accordingly HF (and in one case HF and SR) was used in the
stress measurements in the quarries mentioned in the paper. Sets Dip ( ) Dip Dir. ( ) Spacing (m)
A small portable HF equipment (46 mm diameter), developed
at CNR-IGAG, was used for the measurements in the three K1 80 134 0.20.6
quarry sites, all located in the Apuane Alps mountain range, K2.1K2.2 8080 99297 0.20.6
K3 66 230 0.62
and the stress evaluation was made according to the classical K4 83 34 0.62
HF technique (Haimson, 1993), while the CSIR doorstopper K5 42 306 >2
cell (Leeman, 1964) was used for the borehole bottom stress
measurements.
at the lower level of the quarry, below the high rock face
(figure 1). A tensile strength, tHF , of 22.5 5.1 MPa was
2 THE QUARRY SITES AND THE RESULTS
obtained by fifteen HF tests on isolated rock blocks and this
was used for data analysis. The induced HF fracture direction
2.1 The Canalgrande quarry
was identified using both an impression packer and a bore-
The Canalgrande quarry site is located in the lower part of hole TV camera inspection system. Table 2 reports a synthesis
a valley on the West side of the Campanili mountain. Past of the results, while Figure 2 shows the stereographic projec-
quarry exploitation, prevailingly open pit and near surface tions of the HF fracture poles and planes, respectively, for the
excavations to a lesser extent, led to the creation of a 150 m vertical and horizontal boreholes.
high rock face on a steep rock slope impending onto the quarry The results appear acceptably consistent above all for the
yard (Figure 1). deeper tests where, according to the HF planes, the orientation
The rock mass is intersected by subvertical or steeply of the maximum principal stresses prevailingly lie sub-parallel
dipping joints grouped into five sets (Table 1). The HF to the high rock face, that is the HF planes tend to follow the K2
measurements were performed at different depths in three or K1 joint set directions in the vertical borehole and the K4,
boreholes (HF01 vertical, HF02 and HF03 horizontal) located K5 or K2 directions in the horizontal boreholes. In general,

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Table 2. Synthesis of the HF results: borehole label; d = depth;
3 , 1 = mean and std. dev. of minimum and maximum stresses.

Borehole label Tests d (m) 3 (MPa) 1 (MPa)

HF_01 (V.) 5 4.034.8 1.9 0.3 3.6 1.4

HF_02 (H.) 9 2.524.7 2.0 1.4 11.2 4.1
HF_03 (H.) 7 2.716.9 2.6 1.0 12.7 3.0

Figure 2. Stereographic projections of the HF pole intensity and

planes: a) vertical hole HF_01; b) horizontal holes HF_02 and HF_03 Figure 3. Plan of the Gioia quarries showing the large fault (dashed
(the light dashed line represents the vertical plane parallel to the blue line) and the alignments of HF boreholes (dashed red lines).
borehole axes).

Table 3. Orientation and spacing of the principal joints sets.

the stress evaluation suggests that the rock mass is moderately
stressed in comparison to the mean compressive strength of Sets Dip ( ) Dip Dir. ( ) Spacing (m)
the rock material (80 100 MPa). The orientation of the stress
components appears compatible with the geo-morphological K1.1K1.2 7567 24369 0.62
and geo-structural settings of the site. K2.1K2.2 7176 116288 0.62
K3 52 201 0.62
K4 48 258 0.62
2.2 The Gioia quarry site K5.1K5.2 7164 331161 0.62
The exploitation activity in the basin is developed both as open
pit exploitation and by underground excavations, and these
activities give rise to unusual geometries such as the high
residual rock spur. The whole site is subjected to a regional
fault (80 /120 ) that crosses the different exploitation yards in
correspondence to the crest of the rock spur (Figure 3). Apart
from the fault, five principal joint sets were defined in the
marble basin (Table 3). The aim of the stress measurements
was to define the intensity and, in particular, the orientation
of the horizontal stresses acting on the two opposite sides of
the fault plane. Stress measurements were performed at dif-
ferent depths in vertical boreholes located on both sides of the
fault, along two different alignments, as shown in Figure 3.
Four of these (HF_01 HF_04) were drilled in the eastern
side of the basin starting from 580 m a.s.l. while two (HF_05,
HF_06) were drilled in the western side, starting from an
underground floor located at 600 m a.s.l.. A tensile strength,
tHF , of 20.8 2.5 MPa, was evaluated from ten tests per-
formed in situ inside isolated marble blocks. Figure 4 shows
a stereographic projection of the HF pole intensity and mean Figure 4. Stereographic projection of the HF pole intensity and
plane while Table 4 reports a synthesis of the main results. The mean plane.
analysis of the stress measurements shows that the horizon-
tal maximum principal stress 1 acts with a mean direction
which is almost parallel to the trend of the fault, and only a stress and rock mass structure (Sugawara & Obara, 1993) and
few determinations (HF_03_03, HF_04_02) show very low suggests that the regional fault is prevailingly trusted in the
stress levels. strike direction.
The measurements made in the western part of the basin
(HF_05, HF_06) show slightly higher stress values, as the
2.3 The Piastriccioni B quarry site
measurements were made in the surveyed rock portion near the
underground excavation. However, it is important to underline This quarry exploits the SE side of the Zucco dellUrlo
that, in general, 2 directed orthogonally to the fault assumes partly open mountain pit and underground rooms with a max-
very low values compared to 1 , which is directed along the imum rock overburden of about 110 m. The morphology of
fault. This kind of evidence show an alignment between the the mountain side above the quarry yard, undergoes to a

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Table 4. Synthesis of the HF results: borehole label; d = depth; Table 6. Mean and st.dev. of the mechanical marble parameters:
3, 1 = mean and std. dev. of the minimum and maximum stresses. Et ,Es = tangent, secant Youngs modulus; t , s = tangent, secant
Poissons ratio; tHF = HF tensile strength.
Borehole label Tests d (m) 3 (MPa) 1 (MPa)
Et (GPa) Es (GPa) t (-) s (-) tHF (MPa)
HF_01 (V-E) 3 5.717.8 2.6 1.4 9.1 3.9
HF_02 (V-E) 3 5.215.3 1.9 1.2 11.8 5.7 75.7 4.7 78.6 11.6 0.25 0.06 0.29 0.13 17.7 1.6
HF_03 (V-E) 5 7.026.0 2.2 1.2 4.6 2.4
HF_04 (V-E) 4 7.228.2 2.4 1.3 6.1 3.8
HF_05 (V-W) 4 7.526.5 3.2 0.5 10.6 4.3
HF_06 (V-W) 4 6.724.5 2.7 1.1 11.6 5.8

Table 5. Mean orientation and spacing of the joint sets.

Sets Dip ( ) Dip Dir. ( ) Spacing (m)

Ks 47 225 >3
K1 72 73 2
K2 79 186 5
K3 78 147 5
K4 82 33 10
K5 85 109 10
K6 71 217 6

Figure 6. Graphical representations: a) of the principal stress com-

ponents evaluated at each doorstopper location in the F1, F2 and F3
boreholes. 1 = dashed line; 2 = continuous line; b) the 3D stress
state; c) HF poles and mean plane (_S1, _S5).

show the strain cells (C1C12) located between 5 and 20 m in

Figure 5. Map of the underground exploitation room at 789 m a.s.l.
level with the location of the (F1 F3) boreholes for the SR tests
and of the (HF S1 HF S5) boreholes for the HF tests.
sharp change in slope which represents the outcropping of the
geological contact between the marble and the selciferous
limestone overburden.
The marble ore body shows evident veins along the schis-
tosity (Ks ) and allows the six joint sets in Table 5 to be
recognised.
An in situ stress measurement program was carried out to
experimentally check the underground stress condition at the
Piastriccioni B quarry site, using both the Stress Relief SR
(doorstopper strain cell) and HF methods (Figure 5). The lines
marked F1F3 represent the almost horizontal boreholes and
depth. The lines and locations marked HFS1 HFS5 represent
the boreholes (three horizontal, two vertical) used for the HF
tests, and show the depth of the testing intervals.
The mechanical characteristics of the marble cores used for
the SR and HF stress estimations are shown in Table 6.
The recovered cores were in general more than 50 cm long,
and allowed 70% of successful SR tests.
The resulting set of principal plane stresses and directions
is reported in Figure 6. The biaxial principal stress compo-
nents are essentially compressive with 1 directed against the
marble schistosity and mean values of 6.2 MPa and 2.7 MPa,
respectively, but are characterized by rather high variability.
The procedure suggested by Martinetti & Ribacchi (1970)
based on the biaxial stress data, allowed a trial evaluation to
be made of the 3D stress state (1 10.2 MPa, 2 8.5 MPa, 3
4.5 MPa) which is reported in figure 6d, where the computed
stress directions appear in acceptable agreement with the rock
mass structure. Stress of tectonic origin (Otria et al., 2004) and
stress induced by the exploitation could be the reason for the
difference between the observed stress intensity and a purely
gravitational overburden stress of 3.0 MPa.
The results of the HF tests are summarized in Table 7.
HF_S1 shows slightly higher principal stress values than those
in HF_S5. The mean stress orientation is instead practically
the same, as shown by the vertically induced HF planes which
are in the same direction as the K3 joint and are released by
the minimum principal stress.
The HF tests made in the HF_S3 horizontal borehole gave
HF planes that were aligned with the borehole axis and striking
according to the K4, K6 joint sets and the Ks schistosity.

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Table 7. Synthesis of the HF results: borehole label; d = depth;
3 , 1 = mean and std. dev. of minimum and maximum stresses.
Borehole label Tests d (m) 3 (MPa) 1 (MPa)
HF_S1 (V) 3 7.820.6 2.6 0.4 15.1 2.0
HF_S2 (H N32) 8* 5.127.1 1.5 0.5 10.1
HF_S3 (H N298) 3 6.123.7 1.8 0.4 9.8 4.3
HF_S4 (H N204) 3* 17.742.1 0.9 0.5
HF_S5 (V) 3 11.132.4 1.8 0.4 9.5 1.7
* The HF planes tends to follow the schistosity, which is inclined to
the borehole axis.
3 CONCLUSIONS
The Hydraulic fracturing (HF) measurement method has been
applied at three marble quarry sites (Canalgrande, Gioia and
Piastriccioni B), located in the Carrara marble basin, while
the stress relief (SR, doorstopper) method was applied at the
Piastriccioni B site. The essential information that resulted
from this investigation can be summarized as follows:
The HF results obtained at the Canalgrande quarry site
appear acceptably consistent above all for the deeper tests,
where the prevailing trend of the HF planes tends to follow
the K2 or K1 joint set directions, which are sub-parallel to
the high rock face. The evaluation suggests that the rock
mass is moderately stressed in comparison to the mean
compressive strength of the rock material. The orientation
of the stress components appears compatible with the geo-
morphological and geo-structural settings of the site.
The HF measurements carried out at the Gioia quarry
site show that the horizontal maximum principal stress
acts with a mean direction which is almost parallel to the
trend of the regional fault that traverses the rock spur. Fur-
thermore, a high ratio (2 to 6) is estimated between the
maximum and the minimum stress components.
HF and SR tests were made in an underground room at
the Piastriccioni B quarry site. The estimated stress inten-
sities, obtained using the two methods, suggest a mean
maximum stress 10 MPa and a mean minimum stress
of about 2 MPa. These values cannot be explained with
only reference to the overburden morphology and the exca-
vation process (maximum stress 3 MPa). A significant
proportion of stress should be considered of tectonic ori-
gin. The maximum stress obtained from the SR appears
to be tendentially against the marble schistosity. A similar
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2007 Taylor & Francis Group, London, UK
result is given by the HF test performed in the vertical
boreholes, where the HF fracture consistently trends as
K3. The estimation of the 3D stress state appears to be
in acceptable agreement with the rock mass structure.
The HF stress estimation from all the quarry sites seems to
be reliable and consistent, above all when the HF tests were
carried out inside vertical boreholes. Furthermore, the expe-
rience from Piastriccioni site shows that the results obtained
from HF and SR tests are in acceptable agreement, therefore
HF could be applied with a consistent saving of investigation
effort.
REFERENCES
Amadei, B. & Stephansson, O., 1997, Rock stress and its measure-
ment, Chapman & Hall, London, 490 pp.
Enever, J.R., 1993, Case studies of hydraulic fracture stress measure-
ments inAustralia, Comp. Rock. Eng., (ed. J.A. Hudson), Pergamon
press, Oxford, Ch. 20, Vol. 3, 498531
Franklin, J.A. & Hungr, O., 1978, Rock stresses in Canada: their
relevance to engineering projects, Rock Mech., Supp. 6, 2546
Haimson, B.C., 1993, The hydraulic fracturing method of stress
measurement: Theory and Practice, Comp. Rock Eng. (ed. J.A.
Hudson), Pergamon Press, Oxford, Ch. 14, Vol. 3, 395324
Kim, K., Dischler, S.A., Aggson, J.R. & Hardy, M.P., 1986, Chrac-
terization of the state of in situ stress by hydraulic fracturing for a
nuclear waste repository in basalt, Proc. Int. Symp. On Rock Stress
and Rock stress measurements, Stockholm, Centek Publ., Lulea,
465472
Leeman, E.R., 1964,Absolute rock stress measurements using a bore-
hole trepanning stress-relieving technique, 6th Symposium on Rock
Mechanics, 407426, U.S.A
Martinetti, S. & Ribacchi, R., 1970, Un criterio statistico per
linterpretazione dei risultati di misure dello stato di sollecitazione
negli ammassi rocciosi, Rivista Italiana di Geotecnica, 4, 2132
Matsui, H., Sato, T., Sugihara, K. & Nakamura, N., 1997, Compar-
ison of the results of stress measurements determined by various
methods at the Kamaishi mine, Proc. Int. Symp. On Rock Stress,
Kumamoto, Balkema Publ., Rotterdam, 95100
Myrvang, A.M., 2006, Rock stress Measurements as a practical rock
engineering tool, Proc. Int. Symp. on In situ rock stress,Trondheim,
Taylor & Francis Publ., 1122
Ottria, G., Molli, G. & Cortopassi, A., 2004, Studio geologico strut-
turale dei sistemi di deformazione fragile dei marmi delle Alpi
Apuane, finalizzato alla ricostruzione del campo di paleo-stress:
Cava Piastriccioni B., Bacini di Piscina Boccanaglia, Carrara,
CNR-IGG, Technical Report
Sugawara, K. & Obara, Y., 1993, Measuring rock stress, in Com-
prehensive Rock Engineering, (ed. J.A. Hudson), Pergamon Press,
Oxford, Ch. 21, Vol. 3, 395324.
 Study on shear strength characteristic of coal bearing strata

Suseno Kramadibrata, Ridho K. Wattimena, Budi Sulistianto & Ganda M. Simangunsong

Department of Mining Engineering, Institute Technology Bandung, Indonesia

Armstrong Tobing
PT. Kaltim Prima Coal, Indonesia

ABSTRACT: It has been well known that the stability of permanent slopes in the open pit coal mines in Indonesia does not
remain constant over long periods of time. This has been mainly attributed to the weathering process that intensively occurs in
the tropical regions.
It is therefore appropriate to carry out an investigation of shear strength characteristics on rock samples of the predominant
coal bearing strata such as claystone and mudstone which are obtained from a number of open pit coal mines in Indonesia. The
investigation includes the behaviour of long term strength.
The research reveals that the long term strength of those two kinds of rock is significantly lower than their peak strengths. It
is also found that the Burger reology model does fit to the rehology of these rock samples.

1 INTRODUCTION Thus, it is worth thinking about whether the slopes of

A series of studies on time dependent shear strength behaviour
at the Department of Mining Engineering (DME) Institute
Technology Bandung (ITB) Indonesia was initiated by the
occurrences of considerable slope failures at MuaraTiga Besar
open pit coal mine of Tanjung Enim PT. BukitAsam (PTBA) in
South Sumatra and at Melawan west open pit coal mine of PT.
Kaltim Prima Coal (PT. KPC) in Sangatta, East Kalimantan.
The interesting part of the former one was that despite the
bedding planes were obviously oriented against the slope face
direction, significant failure of slopes still occurred. The cause
of the failure was much involved with intact material charac-
teristics of claystone rather than developing along a plane of
weakness, and this type of failure being common in highly
weathered geo-materials. It was recorded that the failure area
was poured with heavy rains for a period of about a week prior
to the slope failures. In addition, subsequent to heavy rain for
more than 4 consecutive days a huge low wall slope failure
took place at night shift at the Melawan pit. The failed mate-
rials were mudstone sitting on top of a coal seam. The failure
was previously believed attributed to geological structure. On
the contrary, a thorough research carried out not long after the
failure indicated that this slope failure was convinced primarly
due to a deterioration process of the geomaterials constituting
the slope and geometry rather than that of weak geological
structure. Laboratroy test confirmed that the rock materials
in this particular area was classified as weak materials (UCS
less than 7.5 MPa).
It is not unusual phenomenon in many Indonesian open
pit mines that slope monitoring did not make much available
of slope movement indications preceding to the slope fail-
ures including in the Muara Tiga Besar and the Melawan pits.
Having learned to a number of slope failures and considering
the weathering process, particularly, in open pit coal mines in
Indonesia, it can therefore be said that these failures may have
been owing to slope geometry, heavy rainfall, weathering, and
cohesion reduction. In essence, the last one could observably
be estimated through time dependent behaviour study.
active and non active benches remain stable over its prescribed
functional operation. Accordingly, long-term strength of geo-
material structures becomes one of the critical issues to be
taken into account in the success of the implementation of a
long-term open pit mine plan. Hence, this paper describes the
parameters controlling the stability of open pit mines. These
can be elaborated as follows; the overall geology of Indonesia,
tropical weather and long term behaviour of coal bearing strata
and determination long term shear strength of intact rock.
2 THE UNIQUENESS OF GENERAL GEOLOGY AND
CLIMATE OF INDONESIA
In general, there are three interesting geology phenomena
of Indonesia as indicated by the fact that about 8090%
of Indonesian land is covered by quarter sediment resulted
from volcanic activities, as well as trass alluvial, and soils
resulted from rock weathering. Second, the rock formation
in Indonesia is very young, and third there are many tectonic
activities occurring in Indonesia. These types of geo-materials
do not seem quite dense and consequently the porosity is
relatively high.
It is believed by many that about 13%17% of the active vol-
canoes in the world are located in the Indonesian archipelago
and there are 3 volcano magmatic belts, stretching from Suma-
tra to West Papua. In fact, sedimentary rock and rock formation
formed from volcanic activities are dominant in Indonesia.
In addition, mineral belts also relatively occupying the same
magmatic belts, even larger in Indonesia.
Regarding the tectonic activities, it should be borne in mind
that there are three tectonic plates i.e., Eurasia Australia
Indian Pacific Ocean, intersect each other in Indonesia. Thus,
it is not unusual if strong and many tectonic activities take
place in Indonesia.
Due to the proximity of the Indonesian archipelago to the
Equator and continents of Asia and Australia and being sur-
rounded by Pacific and Indian oceans, it is not uncommon

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for Indonesia to experience a very high average rainfall rate
annually being 30004000 mm. This turns out mostly in the
areas of Sumatra, Kalimantan and Java. A combination of high
rainfall, high ambient temperature and intensity of ultravio-
let rays over a year period causes chemical weathering taking
place frequently. Thus, the weathering process turns hard rock
formation into so-called soft rock that is sometimes difficult
to handle. Consequently, regardless the mining method, the
rapid mining development coupled with soft rock behaviour,
problems related to the geomechanical or rock engineering
have been obvious.
3 LITERATURE REVIEW
3.1 Failure criteria
Determination of Safety Factor (SF) for slope stability analy-
sis by using limit equilibrium method is based upon the ratio
of resistance force against moving force at a failure plane.
Thus, failure criteria which include shear strength is the most
appropriate method to be used for slope stability analysis and
Mohr-Coulomb criteria is the most well accepted. Despite of
criticism on the accurracy of this criteria in predicting rock
strength, the Mohr-Coulomb failure criterion has been widely
used both for soil and rock stability analysis (Schofield, 1998;
Swan & Seo, 1999). The Mohr-Coulomb failure criteria sug-
gests that shear strength () is a function of cohesion (C),
normal stress (n ), and internal friction angle (), and can be
written as follows:
This criteria can be used to predict whether the applied
stresses on a plane are strong enough to overcome the shear
stress so that displacement along the plane occurs. Consider-
ing its wide application, many have put forward methods to
determine c and of other failure criterion such as failure
criteria of Drucker-Prager (Chen & Saleeb, 1982) and failure
criteria of Hoek-Brown (Hoek & Brown, 1997).
It is important to note that that the Mohr-Coulomb failure
criteria is associated with a contact problem, meaning that
in order two surface planes move across each other under
frictional circumstance those two planes must be intact. This
condition will only prevail if the normal stress being compres-
sion, and when the normal stress is tension, the failure criteria
will no longer valid (Brace et al., 1966; Jaeger & Cook, 1979;
Price & Cosgrove, 1990; Brady & Brown, 1993).
3.2 Time dependent behaviour
From time dependent strength can be defined as the maxi-
mum stress sustained by geo-materials at which failure just
not occur or just occur, no matter how long the force has been
applied. The strength has been described by various terms
namely fundamental strength, true strength, time safe stress,
and long term strength.
Regarding the time dependent behaviour of geo-materials
this may be approached by a combination of two fundamen-
tal rheological models, namely Hooke and Newton. In view
of the basic equations of the time dependent behaviour, it
appears that no general equation exists to adequately define
the rheological properties of geo-materials.
So far, uniaxial compressive creep testing at laboratory
scale has been the most suitable method to derive the appro-
priate time dependent behaviour equation and description of
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Strain ()
I
II III
Failure
T
P
U
0
Q V
R
Time (t)
Figure 1. Creep curve of uniaxial compression (Goodman, 1989).
this is available elsewhere including Lama & Vutukuri (1978).
Goodman (1989) classifies uniaxial compression creep into
four stages; instantenous elastic strain (0 ), primary creep (I),
secondary creep (II), and tertiary creep (III) as depicted in
Figure 1.
The instantenous elastic strain occurs as soon as load is
applied onto a specimen and followed by primary creep. At
this stage the specimen will recover to the intial state when load
is taken off (OQR). Secondary creep is indicated by constant
strain rate, and when the load is taken off, the specimen will
undergo permanent strain (TUV). At the tertiary creep, elastic
strain rate will increase until the specimen fails.
3.3 Rheology model
Rheology is branch of science which is related to a study on
phenomena of flow or displacement of a substance. There are
several models in the rheology that can be used to describe
mechanical behaviour of a material, encompasing from sim-
ple to complex models. Table 1 shows a number of rheology
models with their symbols which are generally used for
mechanical analysis and assumed applicable for shear strength
determination.
3.4 Long-term strength
Stress level applied on a specimen in a creep test is usually
lower than that of applied in standard tests such uniaxial com-
pression, uniaxial tension and shear tests. By plotting the stress
level against failure time that is obtained from creep test, the
long-term strength of the rock specimen can be predicted as
shown in Figure 2.
It is known that the creep test can be carried out based
on continuous constant and multistage loads. The continuous
constant load test needs a lot of samples whereas the multistage
load test only requires few samples, although the constant load
to be applied are influenced by the previous load.
4 SHEAR CREEP BEHAVIOUR OF COAL BEARING
STRATA OF OPEN PIT COAL MINES
4.1 Tanjung Enim open pit coal mine PT. Bukit Asam
An interesting planar failure was encountered at an area of
southern part of the North Muara Tiga Besar open pit mine.
The failure occurred within the sandstone interburden BC
coal seams, that contained thin layer of claystone of the mon-
morilonite clay minerals. Failure direction was apparently in
the same with that of bedding. The area accounted for this fail-
ure was of 500 m long (along the strike) and 100 m wide (down
 Table 1. Rheology models.

Model Symbol Rheology equation

Newton

Maxwell

Kelvin

Generalized Kelvin

Burger

Before failure After failure

Stress Level (%)

o
24
15 m
40 m
Long-term Strength

Laminated claystone
a

Before failure 10 m
Failure Time
After failure
Figure 2. Determination of long-term strength. 30 m

dip), broken into blocks with size of about 2 3 5 m3 , and
displaced down at average of 15 m down dip (Figure 3a).
It is worth mentioning that heavy rains for a period of about
a week happened prior to the failures. About 200 away from
the slope failure, along the strike, there were surface sticks
to monitor the anticipated slope area. Surprisingly, failure
at this anticipated area did not even occur until a consider-
able period of time. The surface sticks were connected with
a small diameter of wire rope, and at another end of which a
steel weigh was suspended and attached to a slide ruler. Slope
movement was recorded every day by taking a reading on the
ruler. Unpredictably, there were no significant indications of
slope movement.
At the northern part from the location of the planar failure
mentioned above, a number of single slope circular failures
had happened. This type of failure develops independent of
geological structural features as can be seen that the bedding
planes are obviously oriented against the slope face direction
and this is illustrated in Figure 3b. The phenomenon behind
this may be self explained that as the materials constituting the
slope was categorized being soft materials and led to shear
strength reduction. It can then be said that this should had
been attributed to the fact that pressure induced might have
exceeded the inherent strength of the material and these types
of failure are common in highly weathered or soft rocks.
Circular
failure
o
A1
18
A2
b
Figure 3. Cross-section of the planar and circular slope failures at
North Muara Tiga Besar open pit mine.
A research on time dependent behaviour on slope stabil-
ity was afterwards carried out using samples obtained from
the northern part of the Muara Tiga Besar which circular fail-
ure happened. Taking account the fact that the overburden in
north Muara Tiga Besar is dominated by claystone, the average
annual rainfall is of 3000 mm, and the overall height of slopes
is up to 80 m, the average overall slope of 20o would there-
fore be deemed optimum. The individual slope would remain
stable at maximum height of 40 m and 35o. These essentially
attribute to the designed Safety Factors of overall and indi-
vidual slopes that vary from 1.35 to 3.6, depending on the
material types making up the slope and the geological com-
plexity. Nevertheless, having remained standing for periods
of about 18 months, failure took place at some of the slopes.
In order to further find out the cause of this particular plane
failure, shear creep tests on claystone samples obtained from

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2007 Taylor & Francis Group, London, UK


Figure 4. Shear creep test frame.
Shear stress levels (%)
120
100
y = 139,42x-0,23
80
R2 = 0,67
60
40
20
0
0 200 400
Time (days)
Figure 5. Long-term shear strength of a claystone specimen.
the failure area were carried out at the Laboratory of Geome-
chanics DME ITB. The shear creep tests were performed using
a modified shear creep test frame that previously employed
for uniaxial creep test (see Figure 4) at the Laboratory of
Geomechanics DME ITB (Kramadibrata & Kushardanto,
2002).
Prior to the creep tests a series of standard direct shear test
to determine the shear strength of the claystone was conducted.
The same normal stresses (n ) used in the standard direct
test were applied constantly to the specimens, but the applied
constant shear stresses (nt ) were varied depending on the cor-
responded normal stresses in the standard direct shear test.
The shear displacements were recorded and plotted against
time. The long-term shear strength was then determined using
the method proposed by Lama and Vutukuri (1978). The tests
and its analysis revealed the following (see Figure 5);
Claystone time dependent behavior follows the Burger
rheology model and the long-term shear strength of clay-
stone levels off at about 40% of its peak strength after about
240 days (8 months).
The slope stability study found out that the Safety Factor of
the slope decreases from 3.6 to 1.4, meaning that the slope
could still be assuredly stable.
Cohesion (C) and internal friction angle () decrease
with time and they can be estimated using the equations
of: C = 513.8 t0.24 ; = 73 t0.20 respectively, where t is
the day.
4.2 Melawan West pit coal mine, PT. Kaltim Prima Coal
Even though slope stability analysis based on limit equilibrium
suggesting that slopes would be stable and yet slope failure
still happened. It could therefore be said that this method
of analysis could not apparently take account the long-term
behaviour of the geo-materials which governs the long-term
shear strength characteristics of the in situ materials.
2007 Taylor & Francis Group, London, UK
Table 2. Shear strength parameters of Melawan mudstone
(Wattimena et al., 2006).
Shear strength parameter Peak Residual Long-term
Cohesion (kPa) 275 0 156
Angle of int. friction (0 ) 58 39 43
Subsequently, a research was conducted and the results
show that the failure was obviously brought about by low
shear strength of the mudstone material and the geometry of
the slope. A follow up shear creep tests was then carried out
at the Laboratory of Geomechanics DME ITB to observe the
creep characteristics as well as the long-term shear strength
of the mudstone material.
Similarly to the previous case of the shear tests on clay-
stone samples of Muara Tiga Besar, standard direct shear
tests were also conducted to determine the shear strength
of the mudstone samples of the Melawan West. Shear creep
tests were then performed using five mudstone specimens.
The same normal stresses (n ) used in the standard direct
test were applied constantly to the specimens, but the applied
600
constant shear stresses (nt ) were varied in the range of
46%71% of those used for corresponded normal stresses in
the standard direct shear test.
Using the same principle as mentioned in Point 4.1 (Lama
and Vutukuri, 1978), the test results revealed that creep charac-
teristics of the mudstone obeyed the Burger Rheology model.
Furthermore, long-term cohesion and tangent of long-term
angle of internal friction of the mudstone was 57% of the
peak values obtained in the standard direct shear test (see
Table 2). Consequently, any slope stability analysis performed
for the mudstone should use the reduction factor of 57% for
the cohesion and 70% for the angle of internal friction (equiv-
alent to the 57% reduction for the tangent of angle of internal
friction).
5 CLOSING REMARKS
Having gone through the foregoing analysis the following
points may be worth suggested;
1. Prior to the design of working bench, it is important to con-
duct detailed site investigations and this should be directed
to determine possible potential failure. Moreover, time
dependent analysis may be included in order to provide
an indication on how durable the slopes against weathering
phenomenon such as heavy rainfall.
2. The time dependent behaviour of rock slope can be obtained
by performing laboratory test of shear creep and the creep
test frame designed and manufactured in-house which
is the first time in Indonesia is apparently proven to
repeatedly used for other creep tests.
3. Shear strength time dependent behaviour of coal bearing
measures, especially claystone and mudstone samples had
been obviously fitted to the Burger rheology model.
4. For long term slope design pruposes it is important to take
account the long term factor meaning the cohesion and
internal friction angle should be reduced down between 40
to 50% from the their peak values.
5. A major deficiency of laboratory testing of rock specimens
is that the specimens are limited in size and therefore repre-
sent a very small sample of the rock mass from which they
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 were removed. Thus, in order to gain a better understanding
of long term shear strength of rock mass, scale effect study
of shear creep testing may be worth carried out.
ACKNOWLEDGEMENTS
The authors wish to extend their gratitude to all the final
year students who participated in conducting the shear creep
studies of the mentioned coal bearing strata, and Labora-
tory technicians, Mr. Sudibyo and Mr. Iwan, without whom
the research work would have not possibly been well per-
formed. Our sincere thanks are also due to the Management
of PT. Bukit Asam and PT. KPC who have provided invaluable
support to these studies.
REFERENCES
Brace W.F., Paulding B., and Scholz C. 1996. Dilatancy in the
fracture of crystalline rocks. Journal Geophysical Research, 71,
39393953.
Brady B.H.G. and Brown E.T. 1993. Rock Mechanics for Under-
ground Mining. 2nd edition. Chapman and Hall, London.
Chen W.F. and Saleeb A.F. 1982. Constitutive Equations for
Engineering Materials, Vol. 1. Elasticity and Modelling. Wiley,
New York.
Girsang A.H. 2004. Analysis of slope failure at east slope open pit
of Melawan west coal mine, PT Kaltim Prima Coal. Final year
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2007 Taylor & Francis Group, London, UK
student project report, Department of Mining Engineering Institut
Teknologi Bandung.
Goodman R.E. 1989. Introduction to Rock Mechanics. 2nd edition.
Wiley, New York.
Hoek E. and Brown E.T. 1997. Practical estimates of rock mass
strength. International Journal Rock Mechanics and Mining Sci-
ences, 34(8), 11651186.
Jaeger J.C. and Cook N.G.W. 1979. Fundamentals of Rock Mechan-
ics. 3rd Edition. Chapman and Hall, New York.
Kramadibrata S. and Kushardanto H. 2002. The role of time depen-
dent analysis to improve environmental management system in
mine closure plan in open pit mine. International Workshop of
Life Cycle Assessment and Metals. Montreal.
Lama R.D. and Vutukuri V.S. 1978. Handbook on Mechanical
Properties of Rock. Vol. 3. Division of Applied Geomechanics,
CSIRO.
Price N.J and Cosgrove J.W. 1990. Analysis of Geological Structures.
Cambridge University Press.
Schofield A.N. 1998. The Mohr-Coulomb Error. Technical Report
No. 305, Cambridge University Engineering Department, Division
D Soil Mechanics Group.
Swan C.C. and Seo Y.K. 1999. Limit state analysis of earthen
slopes using dual continuum/FEM approaches. International Jour-
nal Numerical and Analytical Methods in Geomechanics, 23,
13591371.
Wattimena R.K. Suseno Kramadibrata and Boydo Damanik,. 2006.
Study on shear creep behaviour and long-term shear strength at lab-
oratory. Internal Report of the Department of Mining Engineering
Institute Technology of Bandung.
Vutukuri V.S. and K. Katsuyama K., 1994. Introduction to Rock
Mechanics, Editor: Industrial Publishing & Consulting, Inc.,
Tokyo.
 The shear strength of joints in existing dam foundations

G. Ballivy, C. Gravel, T. El Malki & P. Rivard

Rock Mechanics and Engineering Geology Laboratory, Civil Engineering Dept.,
Universit de Sherbrooke, Qubec, Canada

B. Rousseau
Centre de Dveloppement des Gosciences Appliqus, Universit de Bordeaux I, France

J. Gagnon
Barrages et Ouvrages Civil, Hydro-Qubec, Qubec, Canada

ABSTRACT: The shear strength mobilized at the joint of a concrete dam over its rock foundation is the main element
governing its stability. Realistic values of this strength are determined from laboratory direct shear tests of concrete-rock joint
specimens obtained from core drilling investigations at dam sites using triple tube coring system to recover core specimens of
150 mm. A special direct shear apparatus has been built to conduct shear tests under the actual effective stresses. Experimental
work is presented to evaluate the joint shear parameters of a core rock section by casting concrete on it. To this end, granite
bricks were used as preliminary studies. The residual friction angles obtained from two dam foundations, a gneiss and a shaly
limestone, are given and are much higher than the conventional values applied in stability studies. Surface measurements using
3D laser profilometry were made on rock samples from the dams. This technique will be evaluated as future development in
our research.

1 INTRODUCTION

The safe management of concrete dams requires a precise eval-

uation of the shear strength of concrete-rock contacts, concrete
lift joints or discontinuities in the rock mass. Several factors
govern the shearing strength of a rock or concrete joint such as:
in situ characteristics (block size, rock bridges, wall strength),
fracture and void geometry (Gentier et al. 2000, Marache et al.
2003), roughness (Belem et al. 2000, Lanaro et al. 1999),
direction of shearing and flow (Koyama et al. 2006) and level
of applied normal stresses (Kulatilake et al. 1999).
Laboratory shear testing consists of holding a jointed sam-
ple under a normal stress (vertical axis) and applying a force
to shear the sample (horizontal axis). The peak and residual
shearing strength are obtained from this test, as well as the
two displacements: horizontal (shear displacement) and ver-
tical (normal displacement called dilatance). Analysis of the
results is made using a Mohr-Coulomb stress diagram.
Figure 1. Direct shear apparatus.
2 EXPERIMENT
both cases the core diameters (concrete and rock) are 150 mm.
The experiment described in this paper is made of two parts. A large direct shear apparatus, built at the Civil Engineering
The first one consists of optimizing the use of core drilling Department of the University of Sherbrooke, Qubec, was
samples from a concrete dam. This experimental protocol used for the tests. It can accommodate samples up to 200 mm
proposes to carry out many shear tests on rock-concrete spec- in diameter. Figure 1 shows the shear apparatus assembled
imens by using the rock section of the drill core to prepare inside a 3500 kN press.
rock-concrete samples. To develop this protocol, a homoge-
neous granite was used as a rock substrate onto which mortar
was cast (El Malki, 2006). The second part of this paper 3 SHEAR TESTS ON COMPOSITE ROCK/CAST
describes parts of the laboratory shear testing program carried MORTAR
out on core samples from the concrete and rock sections of two
concrete dams. The rock foundation for one dam is a gneiss This study (El Malki, 2006) was conducted with five manufac-
and the other rock foundation is a shaly karstic limestone. In tured Barre granite bricks. These bricks were used to prepare

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2007 Taylor & Francis Group, London, UK

ten half specimens two replicas for each original specimen
by breaking them mechanically and casting mortar onto them.
Shear took place along the longer side of the sample. After
rupturing the brick, the surface of the two joint walls are not
exactly perpendicular to the sides of the block. The obtained
slope was 0 to 5 . Choosing a shearing direction amounts to
defining uphill or downhill shearing the first factor to eval-
uate. The two matching samples can also be tested in the same
or opposite directions of roughness the second factor to be
evaluated.
The choice of the shearing direction is made on one replica.
By keeping the same shearing direction on the second replica,
the slope effect will be evaluated. On the other hand, by using
the opposite shearing direction, the roughness effect will be
evaluated.
Figure 2 shows the two half specimens used as a substrate
for the composite sample (right). Figure 3 shows two typical
shear planes: almost horizontal and an uphill slope of 5 . The
shearing direction was from left to right. The moving half of
the specimen was always the mortar side, while the granite
was kept stationary.
The shear tests were carried out under a constant 0.5 MPa
normal stress which is about the stress of a 20 m high con-
crete dam. The displacement rate was 0.12 mm/min. The tests
were stopped when the shearing displacements reached 4 mm
(although a 1015 mm of displacement could have been more
appropriate). Residual shear strength was evaluated when the
shear strength was found to be constant.
After analysis of these results, it became clear that the num-
ber of samples was too low to obtain reliable mean values for
the different effects, due to high variability in results. The
residual friction angle r varied from 41 to 54 (standard
deviation of 3.5 ). A dilation angle i was calculated by using
the inverse tangent of the normal displacement slope over the
Figure 2. Granite specimens: two halves after rupture (left); rock-
mortar after casting (right).
Figure 3. Samples after shear test: horizontal shear plane (top),
uphill (5 ) shear plane (bottom).
2007 Taylor & Francis Group, London, UK
shear displacement when the shear strength remained con-
stant (at about 3 mm). The values are from 7 to 23 (standard
deviation of 6 ). One objective of the study was to define a
relationship between r and i with the effects of roughness
and slope. To this end, a corrected friction angle corr was
calculated by subtracting the slope, when uphill shearing (or
adding it when downhill shearing), and the dilation angle to r .
Unfortunately, due to the low number of samples and the high
variability of the results, no valid relationship was found. It is
planned to continue the research on this subject.
4 SHEAR TESTING OF CONCRETE DAMS
The first investigated dam is a 10 m high concrete gravity
dam lying over a gneissic rock foundation. Two core drilling
investigations were performed on the dam: the results of the
first one are presented. The drilling program was intended
to recover core samples from a horizontal fissure visible on
the downstream face of the dam, to evaluate its shear strength
parameters, and to investigate the shear parameters at the rock-
concrete contact.
During the first phase of the drilling program, two vertical
150 mm diameter cores drilled from the crest did not recover
intact samples from the fissure and no shear testing could be
done. The second drilling phase is planned to recover more
contacts. However seven samples of concrete discontinuities
from other locations within the dam were taken and shear
tested. The average residual friction angle obtained for these
samples was 61 .
Vertical core samples were taken near the bottom of the
downstream face of the dam to investigate the concrete-rock
contact and the rock foundation. Figure 4 shows unbonded
and bonded contacts. The average shear residual friction angle
obtained for the contacts was 57 . Following the second phase,
the number of bonded contacts versus unbonded contacts will
permit attribution of a value of cohesion to the dam foundation.
The second dam investigated is also a small concrete gravity
dam. It is founded on a karstic grey limestone with small layers
of black shale. It must be recognized beforehand that for this
particular type of karstic foundation, there are two different
and separate problems.
The first problem is related to the evaluation of the size of
the cavities, the mineralogy of the rock, its stability related
to further erosion/dissolution and whether remediation mea-
sures, such as injection, should be taken. The core drilling
program could answer some of these questions, if enough bor-
ings are made. More practically, the extent and size of the
cavities should be investigated with surface or borehole geo-
physics in preliminary works to help locate probable voids.
The second problem is to find the values of shear parameters
to attribute to the rock foundation.
Figure 4. Unbonded (left) and bonded (right) rock-concrete contact
at Dam 1.
712
 For this dam, the drilling was performed with a special triple
tube coring system to recover intact large samples of 150 mm
diameter. Two vertical core drillings from the crest were made
to sample a 10 m section of concrete and 15 m of rock. Over
these lengths of drill core in the rock, relatively few cavities
were encountered. The rock section is composed of different
units. The critical unit, whose shear strength is questioned, is
the limestone with small millimetre thick beds of black shale
located a few meters below the rock-concrete contact. Figure 5
shows a plan view of the surface roughness of the wall joint
of one shear specimen and Figure 6 shows the side view for
the two wall joints of the same specimen.
Shear testing was performed on the shale beds on nine spec-
imens. It was decided to test most of the shale samples in
a dry condition because of the deterioration of shale when
immersed in water. The residual friction angle, using a 15 mm
shear displacement, on six dry samples, was 48 . A second
set of tests were carried out on samples for which the surfaces
were wetted just before the shear testing. Three specimens
were tested this way and the residual friction angle obtained
was 41 . There is then a difference of seven degrees between
dry and wet surfaces. This observation reinforces the fact that
careful specimen preparation is an important step in shear test-
ing. The value of 41 for the residual friction angle was not
corrected for the dilation. A dilation angle of about 5 was
obtained for all specimens. When subtracting this angle from
the friction angle, a basal friction angle of 36 is obtained. This
value is higher than what is usually assigned to basal friction
angles for shale, namely between 20 and 30 , measured on
saw cut surfaces. This points out that performing shear test-
ing on rough surfaces, instead of saw cut polished surfaces,
is more realistic and can give strength values higher than the
conventional ones applied in stability studies by dam safety
guidelines. We should acknowledge that this residual friction
angle is quite different from the basal angle measured on saw
cut surfaces. It seems more realistic at this point to use the
residual friction angle, with a roughness angle included in it,
than the basal friction angle, which is believed to have too
much scatter (Nicholson, 1994).
Figure 5. View of shale bed roughness surface at Dam 2.
Figure 6. Panoramic view of the shear joint at Dam 2.
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2007 Taylor & Francis Group, London, UK
5 LASER SURFACE ROUGHNESS MEASUREMENTS
The surface roughness of the Dam 2 samples were scanned
using a 3D laser profilometer (Kron Zephyr KZ25).
Figure 7 shows the profilometer scanning a sample. The
scanned surface is shown in a 3D view on Figure 8. Figure 9
shows that several roughness profiles can be obtained from
the scan. Different techniques, 2D or 3D, for surface analy-
sis are available. Broadly speaking, there are three classes of
techniques: fractals, geostatistics and amplitude/texture anal-
ysis. Fractals could be scale invariant (Castelli et al. 2001),
geostatistics has a solid mathematical foundation and the
recent set of 14 parameters (amplitude, texture and functional)
developed by Stout et al. (1993) are promising.
Future work is planned to evaluate the best surface analysis
techniques for surface roughness measurements of the Dam 2
samples. It is intended to extract parameters to define an equiv-
alent roughness angle i that can be used in the Mohr-Coulomb
shear strength criterion. The extracted parameters could then
be used to evaluate damage that occurs during shearing.
6 CONCLUSION
This article presents different testing cases and the inherent
difficulties in conducting shear testing, which is quite complex
and where many factors must be taken into account. Large
diameter core recovery using a triple tube system improves
the reliability of shear testing results, together with the use of
Figure 7. Dam 2 sample scanned by 3D laser profilometer.
Figure 8. 3D view of a Dam 2 scanned sample surface.
 REFERENCES

Belem,T., Homand-Etienne, F., Souley, M. 2000. Quantitative param-

eters for rock joint surface roughness. Rock Mech. Rock Engng.
33(4): 217242.
Castelli, M., Re, F., Scavia, C. 2001. Experimental evaluation of scale
effects on the mechanical behavior of rock joints, Proc. Eurock
2001, Rock Mechanics a Challenge for Society. (eds Srkka &
Eloranta), Helsinki, 205210.
El Malki, T. 2006. Dvelopement dun protocole exprimental pour
estimer la rsistance au cisaillement dun contact roc-bton,
Mmoire de matrise, Dpartement de gnie civil de lUniversit
de Sherbrooke. Qubec, Canada. 98 p.
Gentier, S., Riss, J., Archambault, G., Flamand, R., Hopkins, D. 2000.
Influence of fracture geometry on shear behavior. Int. J. Rock.
Mech. & Min. Sci. 37(12): 161174.
Koyama, T., Fardin, N., Ling, L., Stephansson, O. 2006. Numerical
simulation of shear-induced flow anisotropy and scale-dependent
aperture and transmissivity evolution of rock fracture replicas. Int.
J. Rock. Mech. & Min. Sci. 43(1): 89106.
Kulatilake, P.H.S.W., Um. J., Panda, B.B., Nghiem, N. 1999. Devel-
opment of new peak shear strength criterion for anisotropic rock
joints. Journal of Engineering Mechanics. 125(9): 10101017.
Lanaro, F., Jing, L., Stephansson, O. 1999. Scale dependency of
roughness and stationarity of rock joints, Proc. 9th Congress Int.
Society of Rock Mechanics, Paris, 13911395.
Marache, A., Riss, J., Gentier, S. 2003. Simulation of the behaviour of
a fracture in shear: Implication of the distribution of the void space.
Proc. 10th Cong. ISRM, Johannesburg, South Africa, 803808.
Nicholson, G.A. 1994. A test is worth a thousand guesses a paradox,
Roch Mechanics Models and Measurements, Proc. 1st NARM
Symposium, Texas, USA, 523529.
Stout, K.J., Sullivan, P.J., Dong, W.P., Mainsah, E., Luo, N.,
Mathia, T., Zahouni, H. 1993. The development of methods for the
characterization of roughness in three dimensions. Commission
of the European Communities EUR 15178 EN, Luxembourg
Figure 9. Roughness profiles from Dam 2 scanned sample.

a large frame shear apparatus. Laser profilometry appears to

be much valuable in future work to decide in which direction
the samples should be sheared. It is also anticipated that a
value for the roughness angle i could be obtained from 3D
laser profilometry.

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2007 Taylor & Francis Group, London, UK

 The use of geomechanical indices to predict the settlement of a 40-storey tower
in jointed basalt

J.L. Justo, E. Justo & P. Durand

Department of Continuum Mechanics, University of Seville, Spain

ABSTRACT: The highest apartment building in Spain, a 132.70 m high tower (Fig. 1) has been successfully completed at
Tenerife Island. The foundation of the tower is supported by jointed, vesicular and weathered basalt, and scoria. A three-
dimensional, elastic, finite element calculation, carried out with Plaxis 3D Foundations program, has permitted to calculate the
displacements of the tower and the stresses in the slab. The installation of rod extensometers at different depths below the slab
has provided a comparison between measured and calculated settlements, and the estimation of in-situ deformation moduli. The
moduli deduced from the simple empirical equation proposed by Hoek et al. (2002) and Gokceoglu et al. (2003) as a function
of GSI, and Verman et al. (1997) that incorporates the influence of the confining stress in the deformation modulus, provide a
good fit with the measured settlements in this type of rock.

1 INTRODUCTION 2 GENERAL GEOLOGY

Twin towers are integrated in a privileged expansion zone of
Santa Cruz (Tenerife Island), near outstanding structures such
as the Auditorium and the Congress Palace both designed
by the well-known Spanish Architect Santiago Calatrava. The
first tower, with a height of 132.7 m (above foundation) has
been recently completed (Fig. 1).
The building, with 35 storeys above ground level and 5 base-
ments, is the highest apartment building in Spain. It was
decided to found the tower on a 2 m thick concrete slab. This
paper deals with the foundation of this tower.
Santa Cruz is located in the NE of the island of Tenerife.
Quaternary lava flows, alternating with levels of scoria, are
the main constituents of the substrate of this town. They are
interbedded with thin red volcanic tuff and whitish pumice
layers that had been carried to the site by westerly winds
(Fig. 2). Lava flows are typical fresh alkaline basalts with
olivine included in a fine-grained plagioclase and pyroxene
matrix. The stratification is sub-horizontal. Both the basalt
and the levels of scoria present cavities of variable size. The
sea level and tides control the water level. The volcanic mate-
rial constitutes a very pervious mass, which cannot take any
pressure during Lugeon tests.

3 STRATIGRAPHY

Figure 2 shows the excavation front, 17.5 m deep. The follow-

ing layers appear from top to bottom in the geological with
respect to the sea level:
a) Fill and volcanic tuff from 16.3 to 18.1 m.
b) Jointed, blue, upper basalt from + 6.9 to + 16.3 m.
c) Red volcanic tuff and whitish pumice from + 0.6
to + 6.9 m.

Figure 1. Section of tower and attached building. Figure 2. Excavation front showing the jointed basalt (dark).

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2007 Taylor & Francis Group, London, UK

d) Jointed lower basalt below level +0.6 m, with small cav-
ities. Within this stratum, the one situated below the
foundation of the tower, there are scoriaceous, vesicular
and massive levels. This layer was divided into three sub-
types: d1 (vesicular and massive basalt), d2 (weathered)
and d3 (scoria).
Six pressuremeter tests were carried out in the boreholes. In
basalt the pressuremeter moduli ranged from 0.8 to 2.6 GPa,
with an average value of 1.7 GPa. In the pyroclastic breccia a
modulus of 0.4 GPa was found. The pressuremeter modulus is
around forty times lower than the uniaxial compression one.

5 ROCK MASS CLASSIFICATIONS

4 STUDY SITE
Justo et al. (2006) carefully applied Bieniawskis (1979) RMR
Ten boreholes were drilled up to a depth of 30 m below the to the strata of the site. Hoek (1994) and Hoek et al. (1995) pro-
bottom of the excavation. Unconfined compression tests were posed the geological strength index (GSI) based upon visual
performed on the samples. In some tests carried out in basalt, impression on the rock mass structure. This index has been
the vertical and horizontal strains were measured with strain modified by Sonmez and Ulusay (1999).
gauges (Fig. 3), allowing to find the deformation modulus and
Poissons ratio.
The average uniaxial compressive strength was 83 Mpa in
the upper basalt (type b in section 3), 69 MPa in the lower
vesicular and massive basalt, 24 Mpa in the lower weathered
basalt, 3.3 MPa in the red volcanic and tuff 0.8 Mpa in the
whitish pumice.
The behaviour of the samples under stress was almost elastic
for vertical stresses up to 52.5 MPa, with small plastic strains.
The modulus is little dependent upon basalt type or stress level.
Average moduli of 61 GPa for loading and 71 GPa for reload-
ing were obtained. The corresponding Poissons ratio values
were 0.34 and 0.37 respectively. As it will be expounded later,
in this case there is reloading up to the end of construction.
The ratio Er /ci have an average value of 1023.
Figure 4. Location and depth (m) of boreholes and rod
extensometers.
horizontal vertical
16 -0,50 35
14 0,00 30
STRESSES (Mpa)

0,50
Settlements (mm)

12 25
1,00
10 20

Storeys
1,50
15
8 2,00
10
6 2,50
3,00 5
4 1st cycle
3,50 0
2 2nd cycle 4,00 -5
0 15/12/2001 25/03/2002 03/07/2002 11/10/2002 19/01/2003 29/04/2003 07/08/2003 15/11/2003
Dates
-150 -100 -50 0 50 100 150 200 250 300 350 400
STRAIN (10-6 ) EV-1 EV-2 EV-3 EV-4 EV-5 EV-6 Work advance (storeys)

Figure 3. Stress-strain graphs obtained from the uniaxial loading Figure 5. Settlements at rod extensometers (Figure 4 shows the
performed on massive basalt. position and depth of the extensometers).

ATTACHED
BUILDING TOWER +18
FILL (a) +16
UPPER
BASALT (b)
SLAB +7
EV2 EV4
VOLCANIC EV6 EV5 +2.60 EV3
EV1
TUFF (c) SLAB +0.6
0 LOWER
BASALT (d) LAYER 1
-5.4
6
LOWER
BASALT (d) LAYER 2 -11.65
12.25
below slab bottom

LOWER
LAYER 3
DEPTH (m)

BASALT (d)

-29.4
30

LOWER LAYER 4
BASALT (d)

50. 6 -5.0
END OF DISCRETIZATION

Figure 6. Section of tower and attached building, showing the geological profile, vertical position of the extensometers and layers for FE
calculations.

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2007 Taylor & Francis Group, London, UK

 Figure 6 shows the rock layers considered in the FE calcu-
lations. The foundation rocks of the tower have been divided
into depth increments corresponding to the positions of the
extensometers and the end of discretization (layers 14).
Research was undertaken to find the moduli, obtained from
correlations with rock indices that best fit the measured set-
tlements. The corresponding moduli have been calculated as
the weighted harmonic mean with respect to the thicknesses
of each ground type (d1 to d3). The moduli obtained for layers
b, 1, 2 and 3 are collected in Table 1. The moduli of layer 4,
not explored because the boreholes did not go so deep, have
been estimated.
6 FINITE ELEMENT CALCULATIONS
Finite element calculations have been carried out using the
Plaxis (2005) 3-D Foundation program. It operates with
15-node wedge elements. Tables 2 and 3 compare the results
obtained with the moduli of equations (1), (3) and (6) of
Table 1 and the measured results. The best agreement with
the settlements measured at extensometers, given by the sum
of squares of the errors, corresponds to Eq. (3) (Hoek et al.,
2002), but Eq. (6) and (1) give also acceptable results.

Table 1. Rock mass deformation moduli (in GPa) for the foundation basaltic layers according to different authors.

Hoek Palmstrm
Gokceaglu et al. (2003) et al. and Sing Boyd Verman et al.
Depth (2202) (2002) (1993) (1997)
Layer under Em = 0.15 e0.065GSI Em = 0.074 e0.076RMR Em = 0.2 ci Em = 0.4 H 10(RMR20)/38
(Fig. 6) slab (m) (1) (2) (3) (4) (5) (6)

b 2.75 4.68 4.4 16.5 13.5 5.3

1 06 2.08 1.44 2.79 6.2 4.05 1.72
2 612.25 2.35 1.73 3.28 7.0 5.13 2.46
3 12.2530 2.38 1.78 3.38 7.1 5.91 2.91
4 3050.6 2.8* 4.7* 4.4* 17* 13.5* 5.3*

(3) Em = (1-D/2) (ci /100)1/2 10(GSI 10)/40 for ci < 100 MPa * estimared value.
(5) Em = RMR4 /106 for p = 10 kPa Em = RMR3 /104 for p = 1 MPa.

Table 2. Comparison between the settlements measured at the end of construction and those calculated using Plaxis 3-D Foundation program
and an elastic material model. Moduli obtained from Eq. (3) in Table 1.

Calculated
Settlement (mm) Deformation settlement
Depths of modulus at slab
Extensometer Depth (m) Measured Calculated layers (m) (GPa) bottom (mm)

1 012,25 1.95 0.62 06.00 2.79 1.59

2 031.20 2.13 1.24 6.0012.25 3.28 1.61
3 012.2 0.68 0.70 12.2530.0 3.38 1.58
4 012.7 0.49 0.63 30.0050.6 4.4* 1.50
5 06.00 1.97 1.18 3.99
6 029.2 3.32 3.29 3.87

Sum of squares of the errors = 3.21 mm2 .

Table 3. Comparison between the settlements measured at the end of construction and those calculated using Plaxis 3-D Foundation program
and an elastic material model. Moduli obtained from Eq. (6) in Table 1.

Calculated
Settlement (mm) Deformation settlement
Depths of modulus at slab
Extensometer Depth (m) Measured Calculated layers (m) (GPa) bottom (mm)

1 012,25 1.95 0,83 06.00 1.72 1.83

2 031.20 2.13 1.55 6.0012.25 2.46 1.87
3 012.2 0.68 0.92 12.2530.0 2.91 1.83
4 012.7 0.49 0.83 30.0050.6 5.3* 1.73
5 06.00 1.97 1.88 5.16
6 029.2 3.32 4.58 5.09

Sum of squares of the errors = 3.37 mm2 .

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2007 Taylor & Francis Group, London, UK

7 CONCLUSIONS
1. The construction of the tower on fractured and weathered
vesicular basalt and scoria has been successfully completed
with negligible settlements and rotations.
2. Correlations with different geomechanical indices may
give an acceptable fit between measured and calculated
settlements (Tables 2 to 3). A similar fit is reached with
the simple statistical relationships given by Hoek et al.
(2002) and Gokceoglu et al. (2003) that relate the modulus
with GSI:
A good correlation is obtained also with the empirical equa-
tion given by Verman et al. (1997) that takes into account the
influence of depth:
where H is the height of the overburden in m
= 0.042 + 0.00378 RMR
REFERENCES
Bieniawski, Z.T. 1979. The geomechanics classification in rock engi-
neering applications. Proceedings of the Fourth Cong. ISRM: 2,
4148. Montreux.
718
2007 Taylor & Francis Group, London, UK
Boyd, R.D. 1993. Elastic properties of jointed rock masses with
regard to their rock mass rating value. In The Engineering Geol-
ogy of Weak Rock, Eds. Cripps et al., Rotterdam: Balkema,
pp. 329336.
Gokceoglu, C., Sonmez, H. and Kayabasi, A. 2003. Predicting
the deformation moduli of rock masses. Int. J. Rock Mech. Min.
Sci. , 40, 701710.
Hoek, E. 1994. Strength of rock and rock masses. ISRM New Journal,
2, 2, 416.
Hoek, E., Kaiser, P.K. and Bawden, W.F. 1995. Support of Under-
ground Excavations in Hard Rock. Rotterdam: Balkema,.
Hoek, E., Carranza-Torres, C. and Corkum, B. Hoek-Brown fail-
ure criterion-2002 edition. 5th North American Rock Mechanics
Symposium and Tunneling Association of Canada Conference:
NARMS-TAC, 2002, 267271.
Justo, J.L., Justo, E., Durand, P. and Azan, J.M. 2001. The founda-
tion of a 40-storey tower in jointed basalt. Int. J. Rock Mech. Min.
Sci., 43, 257281.
Palmstrm, A. and Singh R. 2001. The deformation modulus of rock
masses-comparisons between in situ tests and indirect estimates.
Tunnelling and Underground space Technology, 16, 115131.
Plaxis 2005. 3-D Foundation. Version 1.5 manual. Eds.
R.B.J. Brinkgreve and W. Broere. Delft Univ. and Plaxis BV, the
Netherlands.
Sonmez, H. and Ulusay, R. 1999 Modifications to the geological
strength index (GSI) and their applicability to stability of slopes.
Int. J. Rock Mech. Min. Sci. , 36, 743760.
Verman, M., Singh B., Viladkar M.N. and Jethwa, J.L. 1997. Effect
of tunnel depth on modulus of deformation of rock mass. Rock
Mech. Rock Eng., 30, 3, 121127.
 The use of rock mass characterization in the development of founding
criteria for dams

G.N. Davis
Engineering Geosciences Unit, Council for Geoscience, Pretoria, South Africa

ABSTRACT: Recent years have seen a move away from the simplistic, experience-based approach for determination of
excavation depths for the larger dams in South Africa, towards the more numerically-based, systematic definition of founding
criteria. Amongst the key design requirements for various dam types is that of foundation deformability. Minimum Deformation
Moduli values for the founding rock mass, for the various dam types, are defined by dam designers. Actual measurement of
strength and deformation properties is, however, associated with well-known problems of scale and representivity, as well as cost.
For this reason there is some reliance on empirical approaches, with strength and deformation properties of the founding rock
masses being determined in accordance with standard rock mass characterization principles. As a check, the paper compares
actual excavation depths with depths predicted using defined founding criteria.

1 INTRODUCTION 2.1 Assessing rock mass properties

In the past, assessment of expected excavation depths for
dams in SouthAfrica largely followed a simplistic, experience-
based approach. Reliance was placed on the geo-practitioner
having sufficient experience not only in terms of geological
aspects, but also in terms of knowing what would con-
stitute acceptable founding conditions for respective dam
types. A methodology such as this is, however, fraught
with obvious problems and there was a clear need for a
more objective, numerically-based assessment of excavation
depths.
To this end, the concept of defined founding criteria was
developed, with the aim of compiling a numerically-based
system which could accommodate geological input, as well
as engineering requirements, and in this way move away from
the more subjective experience-based approaches.
2 DEFORMATION MODULUS AS FOUNDING
CRITERIA
Each dam type has a requirement of certain minimum quality
in respect of the founding conditions. This may be expressed
in terms of the deformation modulus for the founding rock
mass, although other parameters could also be used. Typi-
cal minimum deformation moduli for respective dam types,
as required of the foundation by the dam designer, are
summarized in Table 1.
Table 1. Typical minimum foundation deformation moduli.
Minimum foundation
Dam types deformation moduli (GPa)
Concrete arch 30
Concrete gravity 10
CFRD plinth 810
Earth-/rockfill core 1,82
Rockfill shoulders 0,51
In an effort to assess realistic rock mass strength and defor-
mation properties, and at the same time overcoming the
constraints of actual testing, several workers have looked to
rock mass classification systems to provide geological input
in the determination of rock mass parameters.
The RMR rock mass classification of Bieniawski (1976),
for example, was used by Bieniwaski and Orr (1976) as
the basis for allocation of rock mass strength parameters
(c, ). The modulus of deformation (Em ) for the rock mass
was estimated from the relationship between the laboratory-
determined modulus and the in situ modulus, and the RMR
value.
In 1980, Hoek and Brown developed their original failure
criterion for rock masses. Further developments and refine-
ments followed over the years, including the introduction of
the Geological Strength Index (GSI) to overcome deficiencies
in Bieniawskis RMR for very poor quality rock masses. In
1997, Hoek and Brown presented a summary of the interpreta-
tion of the Hoek-Brown failure criterion, including calculation
of equivalent Mohr-Coulomb parameters.
It is not the intention of this paper to present a detailed
explanation of the development of the Hoek-Brown failure
criterion, and a thorough review of the development is pre-
sented in Hoek and Brown (1997). A brief outline of the input
and output parameters is, however, warranted.
In short, Hoek and Brown have, since 1980, developed a
method for estimating the strength and deformation charac-
teristics of isotropic rock masses. Only three input parameters
are required, namely;
The uniaxial compressive strength ci of the intact rock
material,
The Hoek-Brown constant mi for the rock material, and
The Geological Strength Index (GSI) which considers the
structure of the rock mass as well as the condition of the
discontinuities.
Ideally, values for the uniaxial compressive strength ci and
the constant mi should be determined from triaxial testing.
Tables provided by Hoek and Brown present an alternative
to actual triaxial testing. The Geological Strength Index (GSI)

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2007 Taylor & Francis Group, London, UK

may be obtained by visual assessment of the rock mass, where
the structure is described in terms of the degree of block-
iness and the condition of the discontinuities is appraised in
terms of surface roughness and alteration, or presence of infill
material. Hoek & Brown (1997) provided a table to facili-
tate estimation of the appropriate numerical GSI values, with
subsequent further extensions to the GSI system being pro-
posed to cater for very weak and sheared rock masses (Hoek
et al, 1998).
From the above input parameters, the methodology
described by Hoek and Brown may be used to determine
strength and deformation parameters for the rock mass,
including friction angle , cohesion c, uniaxaial compres-
sive strength of the rock mass cm , as well as the defomation
modulus of the rock mass Emod .

2.2 Importance of rock mass characterization

Although the estimation of strength and deformation proper- Figure 1. Comparison between deformation moduli determined
from empirical GSI tables, and that calculated from the Rock Mass
ties for the rock mass therefore requires three input param-
Rating value.
eters, in the case of better rock masses ( ci > 100 MPa) the
deformation modulus is solely related to the RMR (or GSI)
value, as per Equation 1 after Serafim & Pereira (1983). For
poorer quality rock masses ( ci < 100 MPa), on the other hand,
the uniaxial compressive strength ci is also brought into con-
sideration (Equation 2). The selection of representative GSI
values therefore assumes great importance.

According to Hoek and Brown, the value of the GSI may,

for the better quality rock masses (GSI > 25), be estimated
directly from Bieniawskis (1976) Rock Mass Rating. As men-
tioned, the GSI value may also be assessed directly from tables
provided by Hoek and Brown, and based on visual appraisal
of the rock mass structure and the surface condition of the
discontinuities.
A previous comparative assessment of these two approaches
in determining the GSI value, using data from the proposed
De Hoop dam site, and the discrepancies in the resulting defor-
mation modulus values, highlighted difficulties in assigning
truly representative GSI values (Davis, 2002).
Comparison between the Deformation Modulus Emod esti-
mated using GSI values obtained by visual assessment of
the rock mass, and that obtained using GSI values deter-
mined from Bieniawskis Rock Mass Rating system reveal
consistent underestimation, with regression analysis yielding
a coefficient of determination in the order of 60%.
Others have also recognized difficulties with the rough esti-
mates of GSI values. In order to provide a more quantitative
basis for estimating GSI values, Sonmez & Ulusay (1999)
proposed a modification which introduced a rating system for
the rock mass structure and joint surface condition. Briefly,
the surface condition rating SCR is estimated from the input
parameters of roughness, weathering and infilling, with rat-
ings after Bieniawski, while the structure rating SR is based
on the volumetric joint count Jv .
Limited comparison using data from the proposed De Hoop
dam site suggests incorporation of this rating system intro-
duces greater reproducibility. This is illustrated in Figure 2 in
Figure 2. Comparative plot of GSI values, illustrating effect of
using rating system of Sonmez & Ulusay (1999), rather than reliance
on empirical determination.
which GSI values estimated from the Hoek and Brown chart
are plotted against values determined in accordance with the
rating system of Sonmez & Ulusay (1999). The regression
analysis for this yields a correlation coefficient of 69%.
3 FOUNDING CRITERIA
As mentioned above, in the South African context past practice
regarding dam site assessment and determination of excava-
tion depths has largely been a relatively simplistic, experience-
based approach. As a rule, characterization of the founding
conditions followed an exploratory core drilling programme,
with additional inputs from rock mechanics tests, primar-
ily rock material strengths either from uniaxial compressive
strength testing or point load strength testing. Excavation
depths were then assessed based to a large extent on inter-
pretation of the geological profile and experience relating to
the foundation requirements.
The move, within South Africa, towards a more
numerically-based, systematic approach to determine founding

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2007 Taylor & Francis Group, London, UK

levels for dams followed international trends. Evolution of
these methodologies was initiated in the mid- to late 1990s
for a number of very large dams in southern Africa (Meintjies,
et al, 1997; Thukela Basin Consultants, 1998). More recently
the approach has been refined for the 70 m high, concrete-
faced rockfill, Berg River Dam currently nearing completion
in the Cape Winelands, and the design of the soon-to-be-
constructed 80 m high, mass concrete, De Hoop Dam.
3.1 Development of criteria
As stated above, each dam type has a specific minimum foun-
dation requirement which can be expressed in the form of the
Modulus of Deformation.
Accepting that there is a relationship between rock mass
characterization and rock mass properties, including the defor-
mation modulus, it becomes possible, via a process of back
analysis, to define appropriate minimum Rock Mass Rating
(RMR) values which will, in turn, imply certain corresponding
minimum founding rock mass deformation parameters.
The process can be further extended to the definition of
various minimum input parameters for the RMR classification
system, including degree of weathering, joint spacing as well
as joint condition.
Other rock mass classification systems than Bieniawskis
RMR system have been used by others (Rama Sarma & Sarsby,
2005), but the RMR system appears to have gained the widest
acceptance perhaps because of ease of use.
It might be noted that there are later versions of Bieni-
awskis RMR system than the early 1976 version. There have
been some adjustments to the rating values for the various
parameters in later versions, but application of either ver-
sion is acceptable. Because of the differences in certain rating
values Hoek and Brown have specified that for the GSI to
be estimated directly from the 1976 version of the RMR,
the Groundwater rating should be set to 10 (dry) while the
Adjustment for Joint Orientation should be set to zero (very
favourable).
The argument for selecting a dry Groundwater Rating is
debatable. It may be argued that, in the case of a dam foun-
dation, a more realistic approach would be to assume the
condition of severe water problems, implying a rating value
of zero should be assigned rather than the rating of 10 for
completely dry conditions.
The defining of founding criteria described above is per-
haps best illustrated by means of an example. Consider the
case of a mass concrete, gravity dam. From a design point
of view, a foundation for such a dam would require a mini-
mum deformation modulus in the order of 10 GPa, as reflected
in Table 1. From back analysis using Equations 1 & 2, it
may be deduced that a RMR of 50 is required. With this
knowledge it is possible to link input values to the various
RMR classification parameters. This example is illustrated in
Table 2.
Note that the above summation (to produce the total RMR
value of at least 50) depends on strict application according
Hoek & Brown where a rating value of zero is included for
completely dry groundwater conditions. As stated above, the
case could be argued for inclusion of a more realistic rating of
zero for wet groundwater conditions. This would, however,
have the result of lowering the overall Rock Mass Rating
in borderline cases to the level where the RMR value of 40 is
obtained, which would then fail to meet the required minimum
deformation modulus of 10 GPa.
2007 Taylor & Francis Group, London, UK
Table 2. Example of minimum founding criteria (for mass con-
crete gravity dam), for minimum deformation modulus of 10 GPa.
Parameter Description
Weathering Moderately to slightly
weathered (non-friable)
Rock material strength (MPa) UCS 100200
Rock Quality Designation (RQD) 40%
Joint spacing Closely spaced (<50 mm)
Joint condition Slightly rough surfaces, joint
separation<1 mm, hard joint
wall rock
Rock mass rating Fair rock (RMR > 50)
3.2 Application of criteria
There would be a temptation, with the development of such a
numerically-based approach, to overly rely on these numerical
inputs, at the exclusion of the engineering geological inputs.
It is emphasized here that these engineering geological inputs
are essential and cannot be ignored.
Application of this approach of defining founding criteria
should not be seen as a replacement for geological charac-
terization; but rather emphasizes the importance of accurate,
representative foundation characterization.
Moreover, there can be no universally-defined founding cri-
terion, applicable to all situations. While the basic concept of
each dam type requiring certain minimum foundation proper-
ties certainly holds true, each foundation should be assessed
on its own merits.
It is therefore natural that the accepted approach of char-
acterizing the dam founding conditions is still a key step in
the process of defining and applying founding criteria. Fur-
thermore, rather than blindly applying these criteria to the
drilling results it is recommended that the foundations be char-
acterized in the accepted manner, namely defining zones of
similar conditions. Each defined zone would then be charac-
terized further, in terms of the standard rock mass parameters
with added input from rock material properties. This step in
rock mass characterization of the respective, defined zones
would lead to ascribing of rock mass parameters for these
zones, and the founding criteria would then be applied to
these geologically-defined zones. The culmination of this pro-
cess would be the assessment of foundation suitability and
appraisal of founding depths for the applicable structure.
It should be clear that to skip the step whereby the founda-
tion zoning is done, and to apply founding criteria directly to,
say, the point information comprising exploratory boreholes
would be to ignore valuable engineering geological inputs
regarding characterization of the founding rock mass.
4 EXAMPLES OF CRITERIA APPLICATION
Neither of the two examples quoted followed the discussed
approach of defining numerically-based founding criteria,
although the broad concept of what constitutes acceptable
founding conditions did form the basis of the predicted
excavation depths.
Both dams were investigated before the principle of defined
founding criteria had been developed, and provide opportu-
nity for back analysis where empirically-determined founding
levels may be compared to depths which could have been
determined from numerically-based founding criteria.
721
Table 3. Theoretical founding criteria concrete section,
Qedusizi Dam.
Parameter Measure
Weathering grade Slightly
Uniaxial 250300 MPa
compressive
Strength RQD 6585%
Joint spacing Close to medium
Joint condition Slightly rough, occasionally
smooth. Hard to soft joint wall
rock. Staining to thin clay
4.1 Qedusizi Dam
Qedusizi Dam is located almost 200 km inland of Durban, near
the town of Ladysmith. The dam was constructed for flood
management purposes and was completed in 1998. The 32 m
high composite dam comprises a central concrete spillway
section and earthfill embankment flanks.
Foundation geology comprises dolerite which has intruded
siltstones of the Karoo Supergroup.
Design-level engineering geological investigations did
attempt to define founding criteria, based on results of the
exploratory drilling programme. A deformation modulus of
16 GPa was estimated for the dolerite but it is uncertain how
this value was determined.
Founding criteria defined at the time of the investigation
(George, Orr & Associates, 1990) described the dolerite at the
recommended founding level as generally slightly weathered,
with close to medium joint spacing and clay infill less than
2 mm wide.
Should these criteria for the central, concrete section have
been assigned numerical values they might have been as
follows (Table 3);
By ascribing a value of 10 for dry groundwater conditions
would imply a RMR rating value of 70, i.e. Very Good Rock.
In the case of the concrete section of Qedusizi Dam the
founding conditions were very good and the recommended
founding horizon was generally self-evident. In such cases,
application of numerically-based founding criteria might not
obviously aid in determining excavation depths, but neverthe-
less does provide numerical support in the decision-making
process.
4.2 Nandoni Dam
Nandoni Dam is a composite structure with a central con-
crete spillway section and earthfill embankment flanks. The
dam is 47 m high and was constructed between 1998 and
2005. The dam is located approximately 500 km north of
Johannesburg.
The site geology comprises gneisses which have been
intruded by numerous diabase dykes.
While design-level engineering geological investigations
did not define numerically-based founding criteria, broad
foundation objectives were nevertheless defined (Schall,
1998).
Unweathered or slightly weathered rock was considered
suitable for founding of the concrete structure, while moder-
ately weathered rock was considered to be marginal. Founding
would, however, be considered acceptable if this moderately
2007 Taylor & Francis Group, London, UK
Table 4. Minimum founding criteria concrete section,
Nandoni Dam.
Assigned Rating which would
rating Parameter Measure have been assigned
Weathering grade Moderately
15 UCS 30100 MPa 7
RQD 5075% 13
15 Joint spacing Closely spaced 10
15 (50300 mm)
5 Joint condition Slightly rough, soft 12
joint wall rock
weathered material comprised hard rock (estimated UCS
values 2570 MPa), and clay-filled joints were not present.
Actual excavations revealed highly variable conditions
(Schall, 2003). Looking at positions of individual boreholes,
actual founding depths in places were shallower than pre-
dicted, but in other areas were substantially deeper. A major
reason for this discrepancy was the presence of an undetected
fault/shear zone which was associated with intense fracturing
and deep weathering. Localized poor rock conditions were
also reason for these discrepancies. It might be noted that
prior definition of founding criteria in such instances would
not necessarily aid in more accurate prediction of excavation
depths, but would rather substantiate later decisions.
Based on the descriptive foundation objectives, a
numerically-based system of founding criteria such as illus-
trated in Table 4 might have been defined, however.
As before, a value of 10 for dry groundwater condi-
tions would be incorporated, as prescribed by Hoek & Brown
(1997).
Together with the assumed dry groundwater condition,
these minimum criteria yield a RMR value of 52, implying
a rock mass deformation modulus greater than the required
10 GPa for a mass concrete structure.
Comparison of the geological conditions at the actual
founding depths for the concrete structure lends support to
those instances where these founding levels were at vari-
ance with those predicted. The decision to found at shallower
depths could invariably be justified when the numerically-
based founding criteria were applied, and herein lies one of
the greater benefits of such an approach.
5 CONCLUSIONS
There is a move away from empirical, experience-based deter-
mination of excavation depths for dams in southern Africa,
towards more numerically-based founding criteria.
Each dam type has certain minimum foundation require-
ments which may be expressed, for example, in terms of the
deformation modulus of the founding rock mass.
Actual measurement of in situ rock mass strength and
deformation properties is known to be problematic and great
reliance is placed on rock mass characterization to provide
empirical strength and deformation parameters.
Knowing the minimum required deformation modulus, for
example, allows a process of back analysis whereby input
parameters for a specific quality rock mass may be defined.
Such a systematic approach allows numerical justification
to underpin the determination of excavation depths.
722
 Preliminary comparison between actual excavation depths
for recently-constructed dams in South Africa and depths
predicted using numerically-based founding criteria provides
objective justification for determination of these depths.
The definition of founding criteria should not, however, be
seen as a simple panacea, to be blindly followed. Engineering
geological input cannot be ignored and judicious application
of such criteria is important. Some flexibility is required, and
there should be some allowance for revision of the criteria after
actual founding conditions are exposed during construction.
REFERENCES
Bieniawski, Z.T. 1976. Rock mass classification systems in rock
engineering. Proc. Symp. Exploration for Rock Engineering.
Johannesburg.
Bieniawski, Z.T. & Orr, C.M. 1976. Rapid site appraisal for dam
foundations by the Geomechanics Classification. Proc. ICOLD.
Mexico.
Davis, G.N. 2002. Application of the Hoek-Brown failure criterion
in the assessment of rock mass parameters for dam founda-
tions. International Association for Engineering Geology and
the Environment (IAEG). 9th Congress Engineering Geology for
Developing Countries. Durban.
George, Orr & Associates. 1990. Ladysmith Flood Attenuation
Scheme. Report on engineering geological dam investigations.
Unpublished report, No 1990010.
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Hoek, E. & Brown, E.T. 1980. Underground excavations in rock.
Inst. Min. Metall.
Hoek, E. & Brown, E.T. 1997. Practical estimates of rock mass
strength. Int. J. Rock Mech. Min. Sci. Vol 34, No 8, pp 11651186.
Hoek, E., Marinos, P. & Benissi, M. 1998.Applicability of the geolog-
ical strength index (GSI) classification for very weak and sheared
rock masses. The case of the Athens Schist Formation. Bull. Eng.
Geol. Env. 57: 151160.
Meintjes, H.A.C., de Graaf, P.J.H. & van der Vlugt, R. 1997. Assess-
ment of in situ modulus of deformation for dam foundations using
rock mass rating. Proc. Conf. Geology for Engineering, Urban
Planning and the Environment. SAIEG. Midrand.
Rama Sarma, K. & Sarsby, R.W. 2005. Empirical relationship
between Rock Structure Rating and modulus of deformation. J.
Geotech. Geoenvir. Engng. Vol 131, Issue 3, pp 390397.
Schall, A. 1998. Luvuvhu River Development: Mutiti Dam. First
engineering geological report for design. Unpublished Council for
Geoscience report, No 19900007.
Schall, A. 2003. Luvuvhu River GWS: Nandoni Dam. Engineering
geological construction completion report. Unpublished Council
for Geoscience report, No 20030243.
Serafim, J.L. & Pereira, J.P. 1983. Consideration of the geomechani-
cal classification of Bieniawski. Proc. Int. Symp. On Engineering
Geology and Underground Construction. Lisbon.
Sonmez, H. & Ulusay, R. 1999. Modifications to the geological
strength index (GSI) and their applicability to stability of slopes.
Int. J. Rock Mech. Min. Sci. 36, pp 743760.
Thukela Basin Consultants. 1998. Thukela Water Project (TWP)
feasibility study. Dam design criteria. Unpublished report.
 Toppling mechanism: Resolving the question of alignment of slope and discontinuities

P.M. Maurenbrecher
University of Technology, Delft, The Netherlands

H.R.G.K. Hack
ITC International Institute for Geo-Information Science and Earth Observation, Enschede, The Netherlands

ABSTRACT: The kinematic test for toppling developed by Goodman and Bray (1976) was based on a two dimensional
relationship (90 -) + j < (where = dip of discontinuity, j, = friction angle of the discontinuity and, = slope angle). The
steeply dipping discontinuities into a slope, which the relationship describes, must have a strike nearly parallel to the strike of
the slope. Nearly is defined as up to 30 out of alignment though in the original paper by Goodman and Bray the strike had
to be within 10 . By using the expressions for toppling failure and substituting instead for the apparent dip a (Hack, 1998,
Hack et al., 2003) it is shown that the zone for toppling can be much larger than the 30 as stated by Goodman (1989). The
relationship is derived in terms of principal stresses and apparent dip. The equation is more akin to a phenomena describing
limited flexural slip at the surface of the slope resulting in spalling of rock fragments from the slope surface. By making a
distinction between toppling resulting from over-turning and toppling by spalling results in the much more limited instability
zone on stereographic projections as described by Goodman 1989. It is the spalling that would eventually undermine the layering
to form leaning columns which can topple by over-turning as the term topple suggests. The slenderness of the columns
and the dip of the layering (lean of the columns) would indicate the likelihood of over-turning.

1 INTRODUCTION increased to 30 , stating that 15 (!) has been found too small.
The 30 limit probably defines the condition for full toppling
Toppling failure mechanism in rock slopes (and also observed by overturning from the initial spalling mechanism. For poles
in stiff clay slopes) is less obvious than sliding failures such as of discontinuities exceeding this value full toppling is less
planar or wedges. The model used by the original paper on this likely to develop so that the only instability remains degrada-
subject from Goodman and Bray (1967) shows a discontinuity tion of the slope through a process of spalling only. Figure 2
dipping downwards into a slope, which kinematically allows shows the kinematic condition as a stereographic projection.
for no movement (Fig. 1). Yet slopes observed in the field The model persists and was introduced for the first time into
with this configuration show distress, usually in the form of Rock Slope Engineering 4th Edition by Wyllie and Mah
flaking/spalling at the surface resulting in gradual deteriora- (2004) from Hoek and Bray (1981) 3rd edition using a direc-
tion of the slope to a less steep angle and development of scree tion up to 10 out of alignment between the true dip of the
deposits at its base. Sufficient undermining of the layers could
result in rock blocks toppling from the rock face. The equa-
tion (90 -) + j < is the condition for flexural interlayer-slip
which precedes toppling by over-turning.
The condition has been plotted on a stereographic projec-
tion to show which poles of plot within an envelope for
toppling. The envelope shows that for discontinuities having
apparent dips a steeper than (90 -) + j (re-writing the top-
pling equation) toppling can occur as long as the true dip
direction does not exceed a direction than 10 the opposite
direction of the slope angle. In Goodman 1988 this has been

90-
90-
1

Figure 2. Toppling envelope ( = 10 Goodman and Bray 1977,
= 30 Goodman 1989) together with sliding envelope (Markland
1973). The construction of the envelopes is shown in Richards et al.
Figure 1. Model for toppling failure (Goodman and Bray 1977). 1978 and Richards and Atherton 1987.

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discontinuity and opposite direction of the slope angle direc-
tion. Hence, the need after thirty years to resolve the question
for the toppling mechanism and the alignment condition of
the discontinuity dip directions with respect to the slope angle
direction.
2 FORMULATION TOPPLING RELATIONSHIP IN 3-D
To resolve the question of strike alignment of the discontinuity
and that of slope one could instead examine the slope steep-
ness in the opposite direction of the discontinuity dip. In the
extreme case if the discontinuity dip direction is the same as
the strike of the slope, the slope steepness is zero. A slope hav-
ing a fall line steepness of 70 has a steepness varying from
70 at the fall line direction and 0 at the strike direction. A
discontinuity of dip 80 can induce toppling failure for a slope
of minimum steepness of = 10 + . With a value of as
low as 22 , for example shear surfaces in faulted peridotites
in Oman (Maurenbrecher et al. 1990) a slope of steepness 32
will be at limiting equilibrium. For a 70 slope the 32 steep-
ness occurs at 75 from the direction of 70 slope fall line.
Even a of 55 would be at limiting equilibrium for a slope
steepness of 65 which for a 70 slope occurs at 38 from
the fall line. This exceeds the 30 limit recommended by
Goodman (1989).
Hack (1998, Hack et al., 2003) recommends calculating
the apparent dip of the discontinuity in the direction of the
slope fall line. Either way the same result is produced using
the apparent slope steepness or apparent discontinuity dip
resulting in the following relationship:
Toppling if
(Apparent dip, Hack loc cit., is negative for a direction
oppositre to that of the slope fall line).
If this criteria is satisfied then the discontinuity properties
have to be examined, essentially roughness, waviness, aperture
and infill. These values are weighted from which a more likely
friction value of the discontinuity is obtained.
3 MOHR-COULOMB RELATIONSHIP
GOODMAN-BRAY CRITERION
Goodman and Bray (1977) criterion can be derived using the
Mohr-Coulomb analysis with the principal stress 1 parallel
to the slope. The other principal stresses 2 is zero (strictly
atmospheric pressure acting on the slope surface) and 3 acts
in a direction of the strike line of the slope and is neglected.
The analysis only applies to the discontinuity at the slope
face and hence does not apply to conditions within the rock
mass where the stress conditions change so that not only 2
increases in value but that 1 and 2 rotate. As stated in the
introduction the kinematics of the Goodman-Bray criterion do
not allow for any movement. One may have to assume that at
macroscopic level differential flexural slip occurs due to shear
and that this sets a train of events in motion causing gradual
weakening and removal of rock fragments to such an extent
that part of the layer blocks are undermined causing them to
topple from the rock face by over-turning.
The Mohr-Coulomb solution is presented in would be as
follows (based on the model in Figure 1.):
Stress component initiating slip: 1 sin (-(90 -))
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Stress component resisting slip: 1 cos (-(90 -))tan
Slip occurs if 1 sin (-(90 -))> 1 cos (-(90 -))tan
sin (-(90 -))/.cos (-(90 -)) > tan
tan (-(90 -)) > tan , -(90 -) > , or > (90 -) +
In the stereographic projection - > (90 -) is used which
states if the angle of the slope less the friction angle is greater
than the dip of the pole of the discontinuity (flexural) slip will
occur.
The Mohr-Coulomb form of the Goodman-Bray criterion
also allows for determination of a factor of safety:
This equation allows examination of the influence of ver-
tical discontinuities and steeply dipping discontinuities in the
direction of the slope. Not surprisingly, the factor of safety
reduces further to zero to the point where the discontinuities
are parallel to the slope. The Mohr-Coulomb model shows that
the principal stress 1 component initiating slip far exceeds
the normal component mobilizing shear resistance. Further
rotation of the discontinuities would result in a sliding mode
with a flexural-buckling mode in between.
4 STEREOGRAPHIC TOPPLING ENVELOPE
4.1 Flexural slip (spalling phenomena)
Figure 2 shows the a lower hemisphere stereographic pro-
jection with both a toppling failure envelope as published
by Goodman and Bray (1977) and Goodman (1989) and the
planar sliding envelope originally developed by Markham
(1973). The method of a step-by-step construction is given
by Richards et al. (1978) and again in Richards and Atherton,
1987.A much-extended topplingenvelope would be required
to allow for the Mohr-Coulomb model, both for apparent dips
(or slopes) and discontinuities dipping more steeply than the
fall line of the slope but in the general direction of the fall line.
The original Goodman-Bray criterion states
The stereographic envelope states, besides the above,
for the discontinuity strike coinciding with that of the slope
(for illustrative purposes the strikes are considered North-
South and slope facing west, bearing 270 ). Figure 3 shows
the models used for analyzing the failure mode both for E
and W .
The second limit for friction would be
Goodman (1989) also sets the strike alignment, denoted
as , of the discontinuity to that of the slope at a maximum
of 30 . (Note: Though insignificant, all publications show an
incorrect plot for values of for either 10 in Goodman and
Bray (1977), Richards et al. (1978, 1987) and Wyllie (2004)
and 30 in Goodman (1989). The method of plotting is given
in Richards et al. (1979, 1987)).
 Figure 4. Toppling envelopes for flexural-slip to cover apparent
dips, for discontinuities dipping in any direction for a west-facing
slope.

Figure 3. Model as in figure 1 extended to cover both east and west

dipping discontinuities.

The Mohr-Coulomb failure criterion allows flexural slip to

occur up to values of up to 90 by substituting the appar-
ent slope angle or the apparent dip of the discontinuity. The
resultant envelope presented for two values of is given in
Figure 4.

4.2 Overturning condition

Hack (loc cit) recommends that the envelope be restricted
to E < 85 . Owing to constant spalling of the rock eventu-
ally the slope steepens resulting in overhanging columns that
can overturn. Considering a column (Figure 5) resulting from
inter-layering of length l and breadth b (corresponding to layer
spacing) then the ratio can be expressed as tan = b/l.
When < 90-E (by taking moments about the overturning
point of the column block, see Figure 5) the column will over-
turn. Hence, the overturning condition can be added to the
toppling stability envelope. For example when E approaches Figure 5. Over-turning model used to determine relationship
85 dip tan = tan 5 0.1. Hence a spacing of b = 0.5 m between slenderness and E for a west facing slope.
would require intact columns of l = 5 m. As is reduced to 2
the columns would require a height of 14 m (equivalent to a
4-story building). Such situations are seldom observed in of the column) exists to allow dislodgement before the ratio
slopes with the possible exception of special columnar basalts. b/l is too large to satisfy the overturning condition.
The other restriction for toppling failure is the alignment of In Figure 6 stereographic envelopes are presented showing
the strike of the slope and that of the discontinuity. When the the influence of over-turning based on the slenderness values
alignment angle value increases so would the value b increase of and on the discussion with regard to alignment of the strike
making over-turning toppling less likely unless a tertiary joint of the slope with that of the discontinuities superimposed on
system (in addition to the tensionjoint developing at the base the envelopes for flexural-slip toppling.

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Figure 6. Toppling envelope adjusted from Figure 4 with the con-
dition for overturning where is the slenderness angle of a rock
column.
5 CONCLUSIONS
The term toppling for describing the condition for disconti-
nuities dipping into the rock mass should be qualified as the
model used to produce this type of instability would be better
described as flexural interlayer slip restricted to the discon-
tinuities daylighting at and near to the surface of the slope.
This form of instability occurs within a much larger envelope
than that shown in existing publications and would result in
spalling of rock fragments from the surface of the rock slope.
The spalling of the rock can be described as surface degra-
dation due to overstressing in shear. The degradation of the
slope eventually, with time, results in selective undermining of
layers. For sufficiently slender steeply dipping layers toppling
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2007 Taylor & Francis Group, London, UK
by over-turning may then result. This depends on the slender-
ness ratio of the resulting columns where dips of the layers
steeper than 85 probably will not topple or where the align-
ment of the strike of the layering exceeds 30 the alignment of
the strike of the slope. These two conditions however would
not preclude the spalling phenomena based on the inter-layer
flexural slip model used originally to define the toppling
failure mechanism.
REFERENCES
Goodman, R.E. & Bray, J.W. 1976, Toppling of rock slopes In: Rock
engineering for foundations and slopes; proceedings of a specialty
conference, Vol. 2 p201233, Am. Soc. Civ. Eng.. New York
Hack, H.R.G.K. 1998 Slope Stability Probability Classification:
SSPC, PhD Thesis TU Delft, ITC Publication number 43 2nd print,
258p
Hack, R., Price, D. & Rengers, N. (2003). A new approach to
rock slope stability a probability classification (SSPC). Bulletin
of Engineering Geology and the Environment. Springer Verlag.
Vol. 62: article: DOI 10.1007/s10064-002-0155-4. pp. 167184 &
erratum: DOI 10.1007/s10064-002-0171-4. pp 185185
Markland, J.T. (1972) A useful technique for estimating the stabil-
ity of rock slopes when rigid wedge type of failure is expected,
Imperial College Rock Mechanics Research Report No. 19
Maurenbrecher, P.M., J. James & G. de Lange, 1990, Major road-cut
design in rock, Muscat Capital Area, Oman International Conf.
on Mechanics of Jointed Rock, 18/20 April 1990, Vienna Editor:
Hans Peter Rossmanith, Balkema, Rotterdam, p 929935
Richards, L.R. and Atherton, D. 1987. Stability of rock slopes.
Ground Engineers reference book. Editor: Bell, F.G., Butter-
worths, London 12: 316
Richards, L.R., Leg, G.M.M. & Whittle, R.A. 1978, Appraisal of
stability conditions in rock slopes, in Foundation Engineering in
Difficult Ground (Bell, F.G. editor) Butterworths p 449512
Wyllie, D.C. and C.W. Mah 2004 Rock Slope Engineering Civil and
Mining, new 4th Edition Spon Press Taylor & Francis Group,
Andover Hants UK
 Visual sensibility analysis of Slope Mass Rating (SMR) correction
parameters using continuous functions

R. Toms & J. Delgado

University of Alicante, Alicante, Spain

J.B. Sern
Polytechnic University of Valencia, Valencia, Spain.

ABSTRACT: Slope Mass Rating is a worldwide used rock mass classification intended to characterize and classify rocky
slopes. It uses basic RMR Bieniwaskis classification and is obtained by subtracting a factorial correction factor depending
on the discontinuity and the slope face geometrical relationship (F1 F2 F3 ) and adding a correction factor depending on
the excavation method (F4 ). Although these rock mass classifications were initially applied on the basis of discrete-defined
parameters, several continuous functions have recently been proposed to compute parameters governing them. In this paper,
an analysis of continuous SMR geometrical parameters (F1 , F2 and F3 ) is performed in order to identify main controlling
parameters in this geomechanical classification.

1 INTRODUCTION 2 CONTINUOUS SMR

Slope Mass Rating (SMR; Romana 1985) is a worldwide used
rock mass classification intended to characterize and classify
rocky slopes. It uses basic RMR Bieniwaskis classification
(1989) and is obtained correcting it by means of four parame-
ters depending on discontinuity and the slope face geometrical
relationship and the employed excavation method.
It is obtained using the following expression:
where: RMRb is the RMR index resulting from Bieniawskis
Rock Mass Classification without subtracting any correc-
tion factor by joint orientation effect; F1 depends on the
parallelism between discontinuity,. j and slope, s dip direc-
tion; F2 depends on the discontinuity dip (j ) in the case
of planar failure. As regards toppling failure, this param-
eter takes the value 1.0. This parameter is related to the
probability of discontinuity shear strength (Romana 1993);
F3 depends on the relationship between slope (s ) and dis-
continuity (j ) dips. This parameter retains the Bieniawski
adjustment factors that vary from 0 to 60 points and
express the probability of discontinuity outcropping on the
slope face (Romana 1993) for planar and wedge failure;
and F4 is a correction factor that depends on the excavation
method used.
SMR index has been adapted to wedge failure (Anbalagan
et al. 1992) and modified by means of continuous functions
(Toms et al. 2004, 2006, 2007) to avoid subjective interpre-
tations by means of assigning a unique SMR value for every
slope and discriminating among slopes that have the same
discrete SMR index.
The aim of this work is to perform a visual analysis of
SMR geometrical parameters (F1 , F2 and F3 ) using a n-
vision graphical representation method called worlds within
worlds (Feiner & Beshers 1990) of the continuous functions
proposed by Toms et al. (2007) in order to identify the main
controlling parameters of the continuous classification.
Toms et al. (2007) proposed a function for the computation
of F1 parameter:
where A is the parallelism between discontinuities and slope
dip direction for planar and toppling failures (j s ). For
wedge failure it is referred to the angle formed between the
plunge direction of the intersection line of the discontinuities
(i ) and the dip direction of the slope, s (Sing & Gel 1999).
This function is valid for all possible values of A.
The same authors established the following continuous
function for F2 computation:
where B corresponds to the discontinuity dip (j ) in degrees,
for planar failure and toppling and to the plunge (i ) of the
intersection line for wedge failure (Sing & Gel 1999). Toms
et al. (2007) also stated continuous functions for F3 parameter
computation:
Function eq(4)is used for slopes with planar or wedge fail-
ure and expression eq(5) is used for toppling failure cases. C
variable express dips relationship and is equivalent to j s
for planar failure, i s for wedge failure and j + s for
toppling failure.
Note that the usage of arctangent functions has the advan-
tage of being asymptotical to the extreme score values and as a
consequence for values higher than that corresponding to the

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Figure 1. Four dimensional visualization of the SMR classification system for planar and wedge failure.

properties near the extreme borders they not cause important
deviations from the discrete values.
These functions show maximum absolute and average dif-
ferences with Romanas original discrete functions lower than
7 and 0 points respectively (Toms et al. 2007). Only the F4
parameter preserves its subjective and descriptive character.
3 VISUAL SENSIBILITY ANALYSES OF
CONTINUOUS SMR
The sense of sight constitutes about 70% of objects perception.
As a consequence this sense can be exploited in order to better
understand the main parameters controlling rock mass classi-
fications. Cai & Kaiser (2006) took multidimensional spaces
visualization of several rock mass classifications (RMR, Q,
RMi and GSI) in order to assist engineers in identifying their
more important controlling parameters. For four dimensional
visualization of Q system they used a n-vision graphical rep-
resentation method called worlds within worlds (Feiner &
Beshers 1990). We have done a four-dimensional visualization
of the SMR geomechanical classification for planar and wedge
failure (Fig. 1) and toppling failure (Fig. 2) using the above
mentioned method and considering that the four variables are
the parallelism between the slope and the discontinuity strikes
(A), the discontinuity dip (j ), the slope face dip (s ) and the
basic RMR (RMRb ).
Considering the above mentioned variables, the SMR
function can be expressed mathematically as:
that can be rewritten as:

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Figure 2. Four dimensional visualization of the SMR classification system for toppling failure.
where A and j are considered as constant values and renamed
as k3 and k4 . This new function can be easily plotted as a sur-
face plot. As a consequence, k3 and k4 determine the position
of the small graphic (inner world) into the large graphic (outer
world) and the values used to plot the small graphic. There-
fore, in the outer world of these graphics slope-discontinuity
strike parallelism (A) and discontinuity dip (j ) are designed
as the variables, meanwhile in the inner world the basic RMR
(RMRb ) and the slope dip (s ) are assigned as the variables.
Note that F4 parameter has not been included in the four
dimensional visual analyses.Thus, the computed SMR for Fig-
ures 1 and 2 corresponds to a blasting or mechanical excavated
slope (F4 = 0).
The analyses of the outer world of the Figures 1 and 2
shows that SMR and RMR relationship is always linear (it
is a consequence of the SMR definition, notice Equation 1).
Furthermore, A area corresponds to these cases where SMR
can be computed correcting basic RMR only by the excavation
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method, F4 (SMR RMRb + F4 ). B area delimits the cases
where generally SMR has to be computed by means of
Equation 1 calculating all the correcting factors (F1 , F2 , F3
and F4 ).
Figure 1 shows planar and wedge failure cases. Analyzing
the outer world, it can be noticed that generally SMR decreases
inversely proportional to j and directly proportional to A. In
the inner world it can be noticed that the lower values of SMR
correspond to slopes with s higher or equal than j . As a
consequence, we can asses that for all rocky slopes with s
lower than j SMR can be calculating only correcting basic
RMR by the excavation method, F4 (SMR RMRb + F4 ) with
low error. For j values higher than s it would be neces-
sary to compute the four correcting parameters of the SMR
classifications to calculate SMR by means of Equation 1.
Figure 2 shows toppling failure cases. In the outer world
note that SMR decrease again inversely proportional to j and
directly proportional to A. It can be assessed too that when
discontinuity and slope strike parallelism (A) is higher than
45 , SMR is equal to basic RMR only corrected by the excava-
tion method, F4 (SMR RMRb + F4 ). The same fact occurs
for discontinuity dips lower than 30 . Analyzing the inner
world of Figure 2 it can be noticed that when discontinuity and
slope strike parallelism (A) is lower than 45 for rocky slopes
affected by discontinuities where j + s relationship is lower
than 120 , SMR can be computed too correcting basic RMR
only by the excavation method, F4 (SMR RMRb + F4 ). For
A values lower than 45 and j + s relationship higher than
120 , SMR has to be calculated computing all the correcting
factors (F1 , F2 , F3 and F4 ) and substituting them on Equation 1.
4 CONCLUSIONS
A four dimensional graphical visualization of continuous
Slope Mass Rating (SMR) system using the worlds within
worlds method has been presented in order to visualize the
influence of the main parameters controlling SMR (i.e. RMRb ,
A, j and s ).
This visualization has helped us to better understand this
rock mass classification and to establish several important
conclusions. These are:
For slopes affected by planar or wedge failures with s lower
than j SMR can be calculating only correcting basic RMR
by the excavation method, F4 (SMR RMRb + F4 ).
For slopes affected by toppling failures with a discontinuity
and slope strike parallelism (A) higher than 45 , dips lower
than 30 SMR or discontinuity and slope strike parallelism (A)
lower than 45 and j + s relationship lower than 120 SMR
can be computed only correcting basic RMR by the excavation
method, F4 (SMR RMRb + F4 ).
These affirmations can be very useful for field engineers
and geologists because they allow reducing notably the data
acquisition and the posteriori calculus when one of the above
mentioned facts are identified in the studied slope.
The elaborated graphics and conclusions can be useful too
during rocky slope designing phases because we can cal-
culate basic RMR and measure discontinuities orientations
2007 Taylor & Francis Group, London, UK
corresponding to the rock mass that we have to excavate and
use the graphics in order to easily state the slopes dips (s )
with a preestablished SMR.
ACKNOWLEDGEMENTS
This study was partially founded by the Spanish Ministry
of Science and Technology and FEDER (project TEC-
2005-06863), by the Valencia Regional Government (project
GV06/179 and GRUPOS03/085) and by the University of
Alicante (project VIGROB-157).
REFERENCES
Anbalagan, R., Sharma, S. & Raghuvanshi, T.K. 1992. Rock mass
stability evaluation using modified SMR approach, Proc. 6th Nat.
Sym., on Rock Mech., Bangalore, India, pp. 258268.
Bieniawski, Z.T. 1989. Engineering Rock Mass Classification. Wiley,
Chichester, 251 p.
Cai, M. & Kaiser P. 2006. Visualization of rock mass classification
system. Geot. Geol. Eng. 24: 10891102.
Feiner, S.K. & Beshers, C. 1990. Visualizing n-dimensional virtual
worlds with n-vision. ACM SIGGRAPH Computer Graphics 24:
3738.
Romana, M. 1985. New adjustment ratings for application of Bieni-
awski classification to slopes. International Symposium on the
role of rock mechanics, ISRM 4953.
Romana, M. 1993. A geomechanical classification for slopes: Slope
Mass Rating. In: Comprehesive Rock Engineering (J.A. Hudson,
Ed.). Pergamon Press, Oxford, 45 p.
Toms, R., Cuenca, A. & Delgado, J. 2004. Modificacin del Slope
Mass Rating (SMR) a travs de funciones continuas. Ingeniera
Civil 134: 1724
Toms, R., Cano, M., Cuenca, A., Caaveras, J.C., Delgado, J.,
Estvez, A. & Pina, J.A. 2006. Nuevas funciones continuas para
el clculo del Slope Mass Rating (SMR): aplicacin mediante un
sistema de informacin geogrfica a los taludes rocosos de una
cantera. Rev.Soc. Geol. Espaa 19: 8797.
Toms, R., Delgado J. & Sern, J.B. 2007. Modification of Slope
Mass Rating (SMR) by continuous functions. Int. J. Rock. Mech.
Min. Sci. In prep.
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 3D analysis of the longwall coal mining on caving processes in the Velenje Coal Mine

J. Likar & J. Cade

University of Ljubljana, Faculty of Natural Sciences and Engineering, Ljubljana, Slovenia

E. Dervaric & M. Medved

Velenje Coal Mine, Velenje, Slovenia

ABSTRACT: The formation of large disturbed areas around coal mining activities, including sublevel coal extraction directly
or indirectly influence the surrounding rocks and soils. Even though the analytical methods for determining these impacts are
not strictly determined, the elastic and elastoplastic theory can be successfully applied to calculate the impacts of the caving
process on the surrounding mine objects and assessing the intensive caving process height in the hangingwall. In this paper
some results of the classic theory calculation of the caving process are presented with the results obtained by 3D analyses using
Finite Difference Method (using FLAC 3D). To set an adequate geometry of the problem, a special code was developed, to
support fast input of complex geometry. This allows construction of high quality meshes of the Finite Difference up to 500,000
elements. Numerical analyses, which were carried out specifically to analyse the caving processes in the Velenje Coal Mine,
show that this type of numerical methods could be used in the future to analyse complex processes in various material models
considering multi caving and compressed coal and soil layers.

1 INTRODUCTION the people involved in mining operations. In longwall sublevel

Sublevel mining of minerals and energy resources triggers var-
ious deformation processes in the earth crust which depend
on many factors. Deformations, which are the result of caving
processes, are defined as partially controlled rock fractures
during which mechanical energy is released, which results in
crushing of rocks of different sizes (Cook, N. G. W. et al.).
Caving processes can be rapid or slow, or, are the result of frac-
tured materials, which can cause seismic effects of different
size. Since sublevel coal mining methods are designed so that
caving processes occur on a wider hanging wall area, which
extend high into the layers above coal layers, the effects which
have impact on the development of mining (and consequently
on the environment), are crucial for engineering appraisal
of the situation of a wider impact area. The effects are due
to intensive fractures in natural, and in some cases artificial
materials, exposed to extreme stress deformation changes.
The physical aspect of fracturing of hanging wall layers
of natural and soil or rock materials in sublevel coal min-
ing refers to partially controlled process of caving of these
materials into the mined empty spaces due to the stress defor-
mation field changes which are the result of advancement
of mining. Fracturing of hanging wall materials, including
coal, occurs in different ways, either continuously or discon-
tinuously, which additionally causes stress in the surrounding
rocks. Such phenomena or processes in hanging wall layers
can significantly change the course of deformation in terms
of time and geometry.The risk level of the whole mining sys-
tem in such cases is quite significant due to the possibility
of inrush of mine water or liquid masses of natural materials
into the caves. Particularly dangerous are inrushes which can
hinder the advancement in coal mining or even stop the works
for a period of time.
In case of a smaller inrush, mining works can still proceed
with shorter break intervals. It needs to be noted that inrushes
present risk factors not only for the equipment, but also for
mining it is important to consider the geometry design of the
whole system of coal extraction which depends on the caving
height. Geometric design has indirect impacts on fracturing at
a certain longwall length, located in the coal layer between the
hanging wall and footwall layers with different geomechanical
properties.
The factors which have direct impacts on technical mining
characteristics are geological and geotechnical properties of
the layers, the faults which are due to tectonics and structure of
layers, hydrogeological conditions, as well as primary stress
conditions on a wider working space. From physical point
of view, the displacement vectors of hanging wall layers are
directed towads the space which is in the phase of hanging
wall caving, while the length of displacements is limited by
the floor level.
2 VERTICAL STRESS IN THE AREA OF LONGWALL
MINING
In professional literature there are several reports on similar
studies based on hypotheses, which allow direct or indi-
rect calculations of stress distribution. Wilson, A.H. made a
hypothesis that vertical stress in the caved waste increases
linearly from value 0 to the final value, at a distance where
it is not possible to detect the impacts of instability in mine
road ways.
Wilson found out that pressure arch changes in the inter-
val between factor 0.2 and 0.3 of the caving depth below the
surface. Other authors, e.g. King, H.J. and Whittaker, B.N,
Choi, D.S. and McCain, D.L., Mark, C. suggest similar ratios
between the values of 0.12, (as suggested by Smart and Haley)
and 0.6, as suggested by Wilson. It needs to be noted that some
studies, where numerical methods were used, indicate opposite
results (e.g. Trueman, R. and Thin, I.G.T. et. al., namely that
the impact area decreases with the increasing caving depth.

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Figure 1. Interpretation of the distribution of vertical stress around
a single longwall face.
The National Coal Board, based on extensive studies and mea-
surements in situ found out, that the ratio between the size of
rock pressures and their geometric distribution with regard
to the primary pressure stress depends to a great extent on
geotechnical properties of fractured material. This is normal,
since the subsiding of hangingwall layers in the caved waste
area depends on these properties.
Figure 1 shows the interpretation of the distribution of
vertical stress, around a single longwall face. In the mined
region, the stress on hydraulic support is relatively small com-
pared with the area behind the mined region and on the sides
of (as shown in profiles B-B and C-C). This is due to the
deformability properties of the surrounding layers.
3 TOP CAVING ANALYTICAL PROCESS BY USING 3D
FINITE DIFFERENCE METHOD
Analyses of the stress strain changes were carried out by using
real geometrical data of the coal extracting advancement and
other parameters which have impact on the coal extracting pro-
cess in the Velenje Coal Mine. In the Finite Difference Model
the following geological/geotechnical and technological units
were included;
Hanging wall above clay protection layer,
Clay protection layer,
Coal (exploitation),
Footwall bellow the coal panel.
Mine production levels are situated below the so-called pro-
tection layer of clay, which prevents inrush of water, sand and
mud into the longwall. In the last few years, excavation of coal
has started under thinner layers of clay, which consequently
increases the danger for miners working in such rock condi-
tions (Fig. 2.). The continuous research work performed in the
Velenje Coal Mine yielded numerous geotechnical parameters
of the lignite seams, rocks and soils in the hanging wall and
the footwall. Therefore, the exploitation space is better under-
stood and mechanism of coal production has become the main
issue for safe and productive exploitation.
Respectively, a large amount of research has been done, and
in the past years a 3D numerical model has been developed
which describes the mechanism of coal exploitation under a
thin layer of protective clay. The numerical model has been
developed with FLAC 3D. The numerical model, developed
for the coal exploitation analysis in the Velenje Coal Mine,
consists of approx. 240,000 elements, and takes into account
detailed geology in working space. For that reason, special
software has recently been developed to transfer the geological
geometry into the model. Figure 2 shows finite difference
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Figure 2. Geological profile troughs the Velenje Coal Mine across
the exploitation slice G1A and Finite Difference Mesh.
mesh and the geological profile through the Velenje Coal Mine
across the exploitation slice G1A.
3.1 Input data
Geotechnical properties of coal seam, the hangingwall and the
footwall were determined on the basis of laboratory tests and
in-situ tests. In present calculations the Mohr-Coulomb failure
criterion was used. The geotechnical properties of geological
materials are shown in Table 1.
3.2 Initial stress state
Primary stress states in virgin rocks and soils were defined
on several observations during carried out in-situ measure-
ments. In many calculations the ratio between the horizontal
and vertical components of stress field 0.85 was used. In same
cases the determined values cause doubt. From this reason,
value 0.85 needs to be proved in future.
This will be overviewed with numerical calculations, car-
ried out under different values of primary stress state, and
compared with in-situ measurements results.
3.3 Excavation geometry
The present analysis simulated the excavation of coal slice
G1A, with dimensions approx. 200 m 300 m. The designed
mining height is 4 m, and daily exploitation round was about
4 m. To simulate the daily exploitation round, a single step
in the numerical analysis consisted of elements which were
removed inside the zone 200 m 4 m 4 m. As a result,
65 steps have been calculated, each step presenting a daily
exploitation round. Figure 3 shows the exploitation field G1A
within FLAC 3D grid.
3.4 Calculation procedure
Firstly, the primary stress state was calculated under prede-
fined conditions. Subsequently, 65 steps of mining sequences
of the exploitation field G1A were carried out.
Each step included:
Removing elements, which represented each exploitation
step,
Gradual reaching of the equilibrium until the vertical move-
ments has not reached the level of the exploitation height
(4 m in our case),
Inserting the removed elements into the model before
starting the subsequent calculation step.
Table 1. Geotechnical properties of geological materials.
Geological Density Bulk modulus
material /(3 ) K (MPa)
Protection layer of clay 1960 240
Coal 1290 320
Layers below clay protection 2130 155
Figure 3. Exploitation field G1A within FLAC 3D grid.
3.5 Analyses of the top caving process
Owing to extensive in-situ and laboratory research which
has been done in the past, the exploitation process in the
Velenje Coal Mine is well studied. Therefore, the results of our
numerical analyses could build upon previous experience and
comparable parameters could be tested as well. Some details
about the sublevel mining method with caving immediate roof
i.e. top caving, which is used in Velenje Coal Mine, regarding
the displacement and stress changes are explained below.
According to our experience the hangingwall failure height
is approx. 1.52.0 times the mining height. This means that
for the mining height of 4 m the roof failure height is between
6 m and 8 m, measured from the top of the longwall face. The
failure zone is determined, where the specific shear strain is
under 3%. The failure area is finished approx. 0.5 to 0.8 times
the mining height behind the supported end. At the height
three times the value of the caving height, the hangingwall
layers were not equally destroyed Figure 10 shows the caving
process in the Velenje Coal Mine. About two times the mining
height in front of the longwall face a horizontal displacement
occurs in magnitude of 0.5 m. In the area with longwall influ-
ence, horizontal movements are transformed in to a vertical
displacement, the magnitude of which is close to the mining
height.
The compression process in the hangingwall soil layers after
the coal was mined out, continue to develop behind the long-
wall face exactly behind the hydraulic support. The caving
process fills in the mined out area behind the support and the
displacements stops. The stress in the surrounding rocks and
soils behind the longwall face tends to increase close to the ini-
tial value. The compression part of deformation starts approx.
0.50.8 times of the failure height behind the support end, and
about 6.0 times of the failure height behind the support-end,
where the compression process is practically finished. The
volume of mined coal was replaced with caving of the upper
layers into the mining space. The volume loss in upper layers
is close to 80% of the total volume of the mined coal. That
means that the deformation process is very intensive and con-
tinuous, following the longwall face, which is in the moving
state during coal exploitation.
2007 Taylor & Francis Group, London, UK
Internal Tensile
Shear modulus Cohesion friction angle Poisson ratio strength
G (MPa) c (kPa) (0 ) (/) T(kPa)
180 700 17 0.20 590
195 700 30 0.25 590
50 400 15 0.35 80
Figure 4. Vertical movements in different levels in the hangingwall
(layers vertical distance is about 50 m, the upper layer represents
the surface deformations, the bottom layer represents the top of
exploitation field).
Initial changes of the stress state in the hangingwall, the coal
seam and the footwall in front of the longwall, started devel-
oping when the extraction panel start to move ahead. Analyses
have shown slow upward movements towards the excavation
face. Close to the longwall face, the stress field started to
increase rapidly from its initial value to about 85% of over-
stress. Vertical stress started to increase causing an intensive
compression process at the distance which was 0.50.8 the
times of the mining height behind the longwall, Compaction
of caving material from hangingwall is relatively fast. Usu-
ally six months were enough to receive suitable compacted
material. This fact is very important for designing a new long-
wall below the current production level. At a distance about
60 m behind the longwall, vertical stress converges to the ini-
tial stress state value. The stress state around the exploitation
field is shown in Figures 7 and 8.
Vertical stress distribution in the protection layer of coal
and in the protection layer of clay in the hangingwall area is
an important part of the present analyses. The stress in these
layers undergoes similar changes as in the coal production
level, but it is distributed in different places, while the stress
changes are not so high.
Underground coal mining caused extensive surface move-
ments in a large space above the coal production levels. In
the analyzed case, caving and deformation processes moved
to the surface vary fast. The impact angle was low and the sur-
face above mine workings was usually damaged, filled with
surface water in the form of artificial lake, with the area of
about 1.35 km2 . Vertical movements are clearly shown in dif-
ferent levels in the hangingwall in Figure 4. Deformations on
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Figure 5. Development of the deformation field in front of the
longwall.
Figure 6. Shear strain increment from 3% to 10% in the clay
protection layer above the longwall.
the top of the exploitation field reach value 4 m and at the sur-
face 0.5 m. This values are comparable to the in situ surface
deformation measures.
3.6 Other impacts of the exploitation process
Coal mining has strong impacts on other parts of the mine,
particularly on its infrastructure, which is located close to the
coal production field. The changes of the stress strain were
analyzed too, since underground connections (such as main
mine roadways) are important for normal and continuous coal
production. Sometimes mine roadways urgent reshaping, but
that is only later, when stress concentration has decreased.
3.7 Results of numerical analyses
In our experience, the hangingwall failure height is approx.
1.52.0 times the mining height. In our case, the mining height
was 4 m and failure height between 6 m to 8 m, measured from
the top of the longwall. However, the hanging wall failure area
could be determined using shear strain increment condition.
That means, if shear strain exceeded 3%, a failure in the
hangingwall was present. Generally, the hangingwall failure
area must stop in the protection layer of coal. The thickness
of the protection layer of the coal seam was between 5 m
and 20 m.
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2007 Taylor & Francis Group, London, UK
Figure 7. Stress max slice G1A.
Figure 8. Stress min slice G1A.
Figure 6 shows shear strain increment from 3% to 10% in
the protection clay layer above the longwall. At the edges of
the longwall, the calculated shear strain in the clay protec-
tion layer was much higher than expected. This fact shows
clear connection with the calculated stress concentration at
the edges of the longwall.
The deformations in front of the longwall reached a value
of 2030 cm at the top of exploitation panel, which agrees
well with our previous experience and the in-situ measure-
ment results. However, more interesting is the impact area of
the mining production process, which was much wider than
previously expected. When 25% of the coal mining of field
G1A was finished, the displacements reached the end of the
exploitation slice. This fact is shown in Fig. 5.
The comprimation process began immediately behind the
longwall hydraulic support. In the numerical analysis, by
which we simulated mining and caving process, we used the
removed elements which were installed back into the model,
when vertical displacement reached the mining height. From
this point of view, the stresses in those elements started to
increase, depending on the distance between the longwall face
and the observation point. The level of the stresses in the caved
waste was activated, if the comprimation of the surrounding
damaged rocks and soils material was started. Figure 7 and
Figure 8 shows the stress convergence to the initial value. That
is obtained when it is reached the value close to the initial stress
in the surrounding rocks and the coal seam.
The volume, which can be calculated using the difference
between the initial position of the specified surface and the
deformed surface, is about 80% of the coal excavated vol-
ume. Figure 9 shows the 3D view of deformed surface at the

Figure 9. Deformed surfaces at the lower part of the clay protection
layer.
lower part of the clay protection layer and two profiles over the
exploitation field, where initial and final level of the protected
clay is shown. These results are comparable to the estimations
from the observation part of the project.
4 CONCLUSIONS
The results of the analyses, based on the modeling by Finite
Difference Method, have shown relatively good agreement
between the calculated values and the observed data. Numeri-
cal modeling and the results of extensive geotechnical analyses
of the longwall mining method, which have been used in
the Velenje Coal Mine with safety considerations, represent
a contribution to better understanding of complicated stress
strain processes in the larger space of the influence of the coal
mining.
Strain and stress changes, calculated during the simula-
tion of the longwall coal extraction in the hanging wall, the
coal seam and in the footwall, have shown good agreement
with our expectations. There are some differences between
the results of numerical analyses and observations regarding
the area of deformation impact, caused by coal extraction in
the analyzed area.
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2007 Taylor & Francis Group, London, UK
The 3D numerical model will be tested in the future with
different input data and elastic-plastic models. Some improve-
ments need to be implemented with considerations to the
impacts of underground water and different primary stress
states in the cases analyzed.
The current model took into account detailed geology
and mining production geometry, which allowed for making
calculations without usual simplifications.
REFERENCES
Brady, B.H.G., Brown, E.T. 1993, Rock Mechanics for Underground
Mining; Second edition, Culver Academic Publisher, Dordrecht,
Boston, London.
ITASCA CONSULTING GROUP,2002 FLAC 3D manual.
Wilson, A.H. 1981, Stress, stability in coal ridsides and pillars. Pro-
ceedings of the First Conference on Ground Control in Mining,
pp. 112.
King, H.J., Whittaker, B.N. 1971, A review of current knowledge
on roadway behavior, especially the problems on which further
information is required. Proceedigs of the Symposium on Strata
Control in Roadways, London, Inst. Min. Met. pp 7387.
Choi, D.S., McCain, D.L, 1980, Design of longwall system. Trans
Soc Min Eng AIME, 258: 17614.
Mark, C. 1990, Pillar design methods for longwall mining, BuMines
IC9247, p. 53.
Smart, B.G.D., Haley, S.M. 1987, Further development of the roof
strata tilt concept for pack design and the estimation of the stress
development in a caved waste. Min Sci Technol; 5: 12130.
Trueman, R. 1990, Finite element analysis for the establisment of
stress development in a coal mine caved waste. Min Sci Technol;
10: 24752.
Thin, I.G.T., Pine, R.J., Trueman, R. 1993, Numerical modelling as
an aid to the determination of the stress distribution in the goaf
due to longwall coal mining. Int J Rock Mech Min Sci Geomech
Abst. 30: 14099.
NCB. National Coal Board, 1975, Subsidance engineers handbook,
NCB Mining Department; London, p. 111.
 3D-numerical simulation of Isfahan subway twin tunnels excavation

M. Hashemi
Department of Geology, Faculty of science, Isfahan University, Isfahan, Iran

R. Rahman-nezhad & B. Saiedtarrah

Mining Engineering Department, Shahid Bahonar University, Kerman, Iran

ABSTRACT: The twin tunnels for Isfahan subway are being excavated in both soil (alluvial deposits) and rock mass (shale,
slate and sandstone). Due to time different between the excavations of the tunnels, it was necessary to simulate how the effect of
time and distance lag in excavation of tunnels may affect the surrounding environment in the shape of the ground settlements.
An instrumentation monitoring program is also being implemented in the site. The current research work discusses how the
results of numerical simulation could show the effect of the distance between the tunnels, and the delay in excavation of tunnels
as compared to instrumentation results. Also the area around the tunnels affected by the tunnel face is investigated.

1 INTRODUCTION The current research work is intended to investigate the

effect of the excavation of twin tunnels with time difference
To resolve the traffic jams, the underground train (subway) on the surrounding environment using the ground surface
is the first solution. Among the various methods for the con- settlement as a control parameter.
struction of the subway tunnels, the New Austrian Tunneling
Method (NATM) is the most favorite option for the rock mass.
The following are also the most important points for successful 3 MODELING PROCESS & INPUT DATA
design & construction of the tunnels using the method:
The subway twin tunnels are being excavated with time differ-
Proper analysis of the tunnel stability under the tempo-
ence. So 3D-modeling method is adopted using a numerical
rary condition for the ground layers properties nearby the (finite element) PLAXIS-3D-TUNNEL code to simulate the
tunnels. details of the excavation process & support installation done
The proper estimation of the loading and design of tem-
by the project contractor as per the site time schedule and
porary support and its proper installation (Mair & Taylor the NATM. To predict the surface settlement in surrounding
1996). areas, the Mohr-Coulomb failure criterion is used for rock
The ground settlements due to the tunnel excavation and its
mass and soil materials. Also the (77 m 30 m = 7D 4.3D)
effect on surrounding buildings. domain is discretized into 15-node isoparametric wedge ele-
The latter point (settlement) is the most important factor in
ments (Fig. 1). The length of the model is taken variable
success of the tunneling in metropolitan areas which should depending on the each analysis.
always be monitored and kept under control (Atkinson
1977).
Table 1. Strength properties of the underground layers for Azadi-
Koleini segment.
2 THE ISFAHAN TWIN-TUNNEL SUBWAY PROJECT
Material dry wet E c
The 1st phase of the project extends from Kaveh Ave. to Sofeh type (KN/m3 ) (KN/m3 ) (KPa) (KPa)
Bus Terminal with the length of 12 Km. A TBM is being used
to excavate the alluvial part starting from KavehAve. to Zayan- Alluvial 17 18 5E+5 0.4 25 60
derud riverbed. The southern part mostly consisting of rock Jssh 26 27 2.7E+6 0.32 41 177
mass is being excavated by road header including the 1st seg-
ment from Azadi square to Koleini Ave. crossing. In this seg-
ment, out of 7 m diameter, the 5.1 m height is being excavated
as heading and the left 1.9 m as benching with a time lag. The
current research work discusses the effect of excavation faces
distance on the ground surface settlement. The rock mass
includes various types of lithologies but mostly consists of
sequence of shales and sandstones. To facilitate the calculation
and modeling process, an equivalent rock mass called as Jssh
has been used. The strength properties of the Alluvial and rock
mass layers are presented in Table 1 (Zaminfanavaran 2004).
The rock mass properties are derived by Geological
Strength Index (GSI) method proposed by Hoek et al. (2002)
(Sazbonpajoh 2004). Figure 1. Discretized domain.

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 The 3-arch tunnel has 7 m diameter in the middle of its sec-
tion. The groundwater level is set to depth of 3 m below ground
surface. The loading mostly consists of body forces and traffic
loads (20 KPa equal to 60-cm soil cover).The center to cen-
ter distance of the tunnels is 14 m (2D) (Fig. 2) (Sazbonpajoh
2004).
The support includes the 4 parts as (1) shotcrete and welded
wire mesh (2) lattice girder (3) rib frame which are used
individually or together depending on the ground conditions
(Sazbonpajoh 2004). The area of steel materials is trans-
formed into concrete to get a unique flexural and axial stiffness
along the segment. The shotcrete strength is time-dependent
classifying the shotcrete support into 3 main time-dependent
strength categories depending on the percentage of gained
strength by shotcrete as the excavation process advances to
the full strength after 28 days of curing (Table 2).
4 THE ANALYSES
The numerical analyses are conducted in the following
categories:
The effect of excavating the lower part of section (benching)
on the surface settlements.
the extent of surroundings affected by tunnel excavation
face (ahead and back of the face) for single tunnel.
The effect of longitudinal distance between the tunnels
faces (LT ), for 0, 0.9D, 1.4D, 2D, 3.5D.

5 THE MODELING RESULTS AND DISCUSSIONS

The effect of longitudinal distance between the tunnels faces

(LT ) is not investigated here, but as an assumption, the LT
is set to 3.5D to get the plain strain conditions. The length
of model was also set to Z = 5D + LT + 2D = 7D + LT . The
following results are obtained:
The effect of benching on the surface settlement is negligi-
ble due to low dimension of benching (1.9 m) as compared
to tunnel diameter (7 m). Therefore, the benching is dropped

Table 2. Input parameters for support system.

Support Strength W EI EA
type ratio (KN/mm) (KNm2 /m) (KN/m)

N.1 30 0.1 4.45 14808 2.3E+6

N.2 50 0.15 4.45 18954.3 2.92E+6
N.3 80 0.25 4.45 23828.71 3.66E+6

Ratio of assumed shotcrete strength to strength of 28-day cured
Figure 2. Tunnels section. samples.

Figure 3. Cross sectional ground surface settlement at various longitudinal distances Y for LT = 3.5D.

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2007 Taylor & Francis Group, London, UK

 in the further simulation of excavation in both the tunnels
to reduce the calculation volume.
The surrounding area up to 2D longitudinal distance in
front of the preceding tunnel excavation face (ET) and
3.5D behind of the following tunnel excavation face (WT)
are affected by the excavation process. Therefore, the
out-of-the-extent areas follow the plain strain condition
(Figs 3 & 4).
In the direction perpendicular to tunnels axis (width of
the model), it was found that the settlement curves in
almost all the curves (along the tunnels) have approached
an asymptotic value of 0.21 mm (0.003%D) in the distance
of y = 4.8D from the centerline of the tunnels (Fig. 3).
Therefore the surrounding areas far than the 4.8D may
remain.
The maximum plain strain settlement along the centerline
of the tunnels is equal to 0.073%D regardless of the LT
values. In all the LT values, the ground surface settlement
above the B settlement exceeds the settlement above A
in distance of LT behind the preceding tunnel. Also the
ground surface above A becomes equal to the settlement
above C at the distance of 3.5D behind the following tunnel
face showing the plain strain condition (Fig. 3). It is also
observed that the effect of the tunnel face vanished within
the 2D distance from the preceding tunnel face for all the LT
values.

Figure 4. Normalized settlement of ground surface above the reference points (A, B, C) at different longitudinal sections for LT = 3.5D.

Figure 5. Observed and predicted ground surface settlements at station SM-W3.

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2007 Taylor & Francis Group, London, UK

6 MONITORING PROGRAM AND ITS COMPARISON
WITH CALCULATED VALUES
The monitoring program included the installation of 3-point
mechanical extensometer, 5-point convergence meter, and
ground surface settlement measurements. To compare the
results of predicted and observed settlement, the (SM-W3)
station (station 9 + 455) in which the settlement was measured
has been selected. Firstly, the measured settlements are plotted
versus time as observed settlements. Therefore, the predicted
ground surface settlements should also be expressed in terms
of time. Since the time table of the exact position for exca-
vation face of the tunnels and therefore the distance from the
face to the (SM-W3) station were available, it was possible
to make a time correlation between the face distance to the
station and observed values. To get the predicted values, a
new model was constructed. After analysis, the settlements
in the station position were determined for the various dis-
tances between the station and the face (as were given in
the observed curve for the concerned time). These values
were plotted as the predicted settlements curve. The result-
ing observed and predicted ground settlements in the station
are shown in Figure 5. The observed and predicted values have
reasonably good agreement.
7 CONCLUSIONS
The plain strain state happens in distances more than 3.5D
behind the following tunnel and 2D ahead of preceding tunnel
irrespective of LT values.
The maximum (plain strain) ground settlements along the
centerline of the tunnels is equal to 0.073%D irrespective of
LT values.
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2007 Taylor & Francis Group, London, UK
The areas with cross distance of more than 4.8D from the
tunnels centerline gets unaffected by excavation.
The predicted and observed settlements show good agree-
ment in a typical station.
In almost all the analyses with various values of LT , the
ground surface settlement above the B point exceeds the
ground surface settlement above the A point at the LT dis-
tance behind the preceding tunnel face. Also the ground
surface above A becomes equal to the settlement above C at
the distance of 3.5D behind the following tunnel face show-
ing the plain strain condition. It is also observed that the effect
of the tunnel face vanished within the 2D distance from the
preceding tunnel face for all the LT values.
REFERENCES
Atkinson, J.H. 1977. Subsidence above shallow tunnels in soft
ground. J. of Geotech. Eng. Div. ASCE 103 (5): 307325.
Hoek, E., Carranza-Torres C.T. & Corkum, B. 2002. Hoek-Brown
failure criterion-2002 edition. In: Proceedings of the fifth North
American rock mechanics symposium, Toronto, Canada: 26773.
Rotterdam: Balkema.
Mair, R.J. & Taylor, R.N. (ed.) 1996. Geotechnical aspect of design
criteria for bored tunneling in soft ground. UK: Taylor & Francis.
Ng, C.W.W., Lee, K.M. & Tang, D.K.W. 2004. Three-dimensional
numerical investigation of new Austrian tunneling method
(NATM) & twin tunnel interactions. Can. Geotech J. 41:
523539.
Sazbonpajoh, Inc. (ed.) 2004. Final report analysis and design of
support system and monitoring program, Azadi-Koleini segment.
Isfahan: Sazbonpajoh.
Zaminfanavaran, Inc. (ed.) 2004. Final report, Geotechnical Inves-
tigation for southern part of Isfahan subway. Isfahan: Zamin-
fanavaran.
 A dynamic multi-region approach to model elastic, visco- and poroelastic rock media

A.M.B. Pereira & G. Beer

Institute for Analysis Structural, Graz University of Technology, Graz, Austria

ABSTRACT: In rock mechanics engineering, wave propagation problems and the correct representation of infinite or semi-
infinite domains are of great importance when dealing with underground structures. The Boundary Element Method (BEM)
is well-suited for this task since it implicitly fulfils the radiation condition. Moreover, viscoelastic and poroelastic constitutive
equations should be used for a better description of the rock properties. However, to model these capabilities there are only
fundamental solutions available in Laplace domain BEM, and no one in time domain. In addition, the interaction between
multiple rock mass regions must not be neglected. Based on the Duhamel integral equation idea and approximating the
convolution integrals by means of the Convolution Quadrature Method, a BEM formulation for multi-region problems in time
domain using all the advantages of the Laplace domain formulation is achieved. Allowing, therefore, the modeling of elastic,
viscoelastic and poroelastic rock media. Numerical simulations are included to assert the accuracy and to demonstrate the
applicability of the proposed technique as a predictive method during excavation process.

1 INTRODUCTION on underground facilities; seismic design considerations for

Over the last decades, the volume of constructions and design
of structures on and in rock masses have increased signifi-
cantly, even with respect to the complexity level. This fact
has become a big challenge to the rock mechanic engineers,
due to the requirement of more realistic and accurate tools to
simulate these structures.
Special attention is given to the underground structures in
rock, because underground facilities have important roles to
the modern society and may be used for a wide range of appli-
cations, including subways and railways, highways, material
storage, water transport, etc (Hashasha et al. 2001). Therefore,
underground structures built in areas subject to earthquake
activity or subject to suddenly explosions must withstand both
seismic and static loading (Fig. 1), i.e. it is essential to take
into account the dynamic analysis of such structures.
There are many cases where seismic effects should be
considered in underground structures, such as referred by
Hakala et al. (1984): effects of rock mass deformation on
tunnel performance in seismic regions; detecting geological
conditions via the reflection of seismic waves; blast effects
Figure 1. Underground excavation subjected to dynamic loads.
underground structures and estimating earthquake damage.
In order to consider dynamic effects and to study the funda-
mental processes occurring in rock, suitable numerical models
are essential for assessing the anticipated and actual perfor-
mance of structures built on and in rock masses, and hence
for supporting rock engineering design (Jing & Hudson 2002).
Nowadays, there is a wide range of modelling approaches for
rock mechanics problems, and the most commonly applied
numerical methods are: the Finite Difference Method (FDM),
the Finite Element Method (FEM), the Boundary Element
Method (BEM), and the Discrete Element Method (DEM).
The choice of the methods to be used depends on many
variables and, as mentioned by Jing & Hudson (2002), there
are no absolute advantages of one method over another.
In most of the cases when dealing with seismic design loads,
the interaction between the underground structures with the
surrounding ground is neglected by the analysts. This impor-
tant aspect can be considered by means of a reliable, accurate
and efficient multi-region technique.
Therefore, the purpose of this paper is to presents a multi-
region approach that allows to perform seismic analysis and
design for underground structures. The proposed approach
is based on a successful BEM formulation applied to static
modelling of rock media (Beer 1993).
The main advantage of the BEM over the other methods
is the reduction of the model dimension by one, with much
simpler mesh generation. In addition, the solutions inside the
domain are continuous; in contrast to the point-wise discontin-
uous solutions obtained using the FEM and FDM. The BEM
implicitly fulfils the radiation condition whereas the other
methods need artificial conditions to avoid spurious wave
reflections. One of the greatest disadvantages is that the BEM
is not as efficient as the FEM in dealing with material het-
erogeneities, because no domain elements are used such as in
the FEM. However, this drawback can be also overcome by
means of the multi-region approach.
The homogeneous media between the rock fracture zones
can be modelled as regions, whose boundary is described by
the elements on the fracture zones or faults. The presence of
different material properties and extensive fractured media

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makes it necessary to have an efficient tool to generate many
regions in a single BEM model (regions are sub-domains of the
model with different material properties). Moreover, a more
realistic description of the rock masses requires the usage of
more sophisticated materials, such as viscoelastic materials.
With viscoelasticity capabilities several materials can be
described well. However for a wide range of fluid infiltrated
materials, such as water saturated rocks or oil impregnated
rocks, the elastic theory and also a viscoelastic description of
the material behaviour is a crude approximation for investi-
gating wave propagation in such media. Due to their porosity,
a different theory is necessary (e.g. Biots theory of poro-
elasticity), since the presence of a freely moving fluid in such
materials modifies their mechanical response (Schanz 2001).
Hence, not only the faults close to the excavations need to
be included in the design of tunnels, but also the modelling
of different materials, as illustrated in Figure 1, and even
considering sophisticated constitutive equations for a better
representation of the rock properties.
Considering these aspects in the problem formulation, and
in order to satisfy the equilibrium and compatibility at the
interface of the regions, the time-dependent interface forces
due to each region contribution are derived from the Duhamel
integral equation idea. This equation is based on the convolu-
tion integral of any form of dynamic loading with respect to
the unit-impulse response matrix due to a unit pure impulse
of this loading (Clough & Penzien 1993).
These Duhamel integrals are approximated by means of
the Convolution Quadrature Method (Lubich 1988), that is
a quadrature rule, whose weights can be determined by the
Laplace transformed function. In the case of the current
integrals, the convolution weights are calculated from the unit-
impulse response matrices, obtained using the Laplace domain
BEM, applying unit impulses on the boundary and evaluating
their responses at the interfaces. In this way, a boundary ele-
ment formulation for multi-region problems in time domain
using all the advantages of the Laplace domain formulation is
finally achieved, allowing the modeling of elastic, viscoelastic
and poroelastic rock media.
In order to validate the proposed technique, evaluating its
accuracy and stability, some problems are analyzed and the
results are compared to the ones from the literature.
2 FORMULATION OF MULTI-REGION PROBLEMS
Consider a linear isotropic body represented by a domain 
consisting of R homogeneous regions (sub-domains), such as
in the particular case of Figure 2 (two coupled regions), where
there are two sub-domains 1 and 2 .
Figure 2. Surface discretizations in a multi-region problem.
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For notation purposes, superscript r (r = 1,2,,R) denotes
the region to which a quantity is associated and overbars
denote prescribed quantities. The first of two subscripts
denotes the location of a quantity, whereas the second
one denotes its degree of freedom i = 1,,NDoF (e.g., in the
case of elasticity, NDoF = 2 in 2D and NDoF = 3 in 3D).
The regions are connected along a coupled interface C ,
with NC nodes. Assuming linear behaviour and, thus, valid-
ity of superposition of effects, the ith traction component at
interface node Qk (k = 1,2,,NC ) of the region r can be split
up into three parts, i.e.,
where prC,i (Qk ,t) is the ith traction component at interface node
Qk caused by time-dependent interface displacements urC (t)
on C ; prP,i (Qk ,t) is the ith traction component at interface
node Qk due to transient tractions prP (t) on P ; and prU ,i (Qk ,t)
is the ith traction component at interface node Qk caused by
time-dependent displacements urU (t) on U .
Each traction term introduced in Equation 1 may be rep-
resented by a summation of convolution integrals based on
the generalization of the Duhamel integral equation idea
(Clough & Penzien, 1993). Therefore, applying Equation 1
for all interface nodes, and writing in matrix form, yields
where pr (t) is a vector of size (NC NDoF ); K rC (t; ) is
a (NC NDoF NC NDoF )-matrix, called unit displacement
impulse response matrix, with the physical meaning illus-
trated in Figure 3; K rP (t; ) and K rU (t; ) are unit traction and
unit displacement impulse response matrix, respectively. The
approach used here is described in details in Moser (2005) and
Pereira et al. (2006).
There is no closed form solution for K rC (t; ), K rP (t; ) and
r
K U (t; ) available in the time domain. However, they can be
numerically computed in the Laplace domain without any
numerical difficulties.
In order to evaluate the convolution integrals presented
in Equation 2, the Convolution Quadrature Method (CQM),
developed by Lubich (1988), is adopted. The CQM allows an
approximation of convolution integrals as a weighted sum,
similar to ordinary Gauss quadrature. The key feature of the
CQM, however, is that the convolution weights can be deter-
mined, even though one of the functions being convoluted is
Figure 3. Application of unit impulse at the coupled interface.
known only in the Laplace domain instead of the time domain
(Lubich 1988).
The proposed formulation is method independent (e.g,
BEM, FEM, FDM or DEM); however, the discretization only
of the region surfaces is sufficient to derive the governing
equations for the coupled problems.
3 SOPHISTICATED MATERIAL MODELING WITH
THE BOUNDARY ELEMENT METHOD
In order to solve the multi-region problems by means of the
proposed formulation, the dynamic stiffness matrix (i.e., the
unit displacement impulse response matrix presented in Equa-
tion 2) needs to be calculated. To evaluate these matrices,
the choice of the most suitable numerical tool is required.
Although the proposed formulation is numerical method inde-
pendent, it is very favourable and convenient to use the BEM,
since the proposed approach requires only the discretization
of the model surfaces. The BEM presents innumerable advan-
tages, such as high accuracy, superior analysis of unbounded
problems, reduction of problem dimension by one, filtering
of unwanted information and focusing on parts of the domain
one is interested in, among many others (Beer 2001, Jing &
Hudson 2002).
The matrices required to solve the problems can be obtained
using the Laplace domain BEM for wave propagation in
elastic, viscoelastic or poroelastic continua, by means of the
calculation of the unit impulse response matrices, i.e., by
applying unit impulses on the boundary and evaluating their
responses at the interface. This procedure and the Laplace
domain boundary element formulations to model sophisti-
cated material capabilities are presented in the sequence. It
is very important to mention that there are no fundamental
solutions available in time domain to model viscoelastic or
poroelastic capabilities; however, they are available in Laplace
domain (Shanz 2001).
3.1 Elastodynamics
The elastodynamic fundamental equations, i.e., equilibrium,
the constitutive law, and kinematics, can be combined to
give the well-known NavierCauchy equations in Cartesian
coordinates (Achenbach 1973)
where ui (x,t) are the components of the displacement vector
at x and time t, and bj is the body force per unit mass. cp and
cs are the propagation velocities of the pressure and the shear
waves, respectively. Commas and dots denote space and time
derivatives, respectively. Summation over repeated subscripts
is implied. Equation 3 must be accompanied by appropriate
boundary and initial conditions.
The time-dependent differential Equation 3 can be trans-
formed to a time-independent one by applying the Laplace
transform. Application of the Laplace transform to Equa-
tion 3 under the assumption of zero initial conditions, i.e.,
ui (x,t = 0) = 0 and ui (x,t = 0) = 0, and vanishing body forces,
yields
where s is the Laplace parameter.
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Applying the Bettis reciprocal theorem to the governing
equations of elastodynamics, the Somiglianas identity for a
boundary element region in Laplace domain is
where p(x,s) and u(x,s) are vectors containing the values of
tractions and displacement at boundary point x, and P (, x, s)
and U(, x, s) are the fundamental solutions for the traction and
displacement at point x due to a orthogonal unit impulse at in
the coordinate directions. Introducing isoparametric boundary
elements in Equation 5, and by collocating it at each boundary
node, a system of equation
is obtained. H and G are the coefficient matrices assembled
from the element contributions, as explained in detail, e.g.,
in Dominguez (1993), and u and p are the displacements and
tractions at all nodes in Laplace domain.
For a well posed problem, there are as many known bound-
ary values as unknowns. Rearranging the Equation 6, shifting
the unknown boundary quantities to the left-hand side and the
prescribed boundary displacements and tractions to the right-
hand, together with their corresponding columns of H and G,
it results in
where the subscripts P, U and C denote the quantities at the
traction, displacement and coupled boundary, respectively.
Hence, the dynamic stiffness matrices can be calculated by
means of the Equation 7, storing the results for pC in each
column of theses matrices due to its respective unit impulses
(applied at the whole boundary, varying the right-hand side
putting one at its correspondent degree of freedom and zero
at the other elements of the vector).
3.2 Viscoelastodynamics
The simulation of wave propagation problem in viscoelas-
tic rock media is accomplished with the elastic-viscoelastic
correspondence principle (Christensen 1971).
Modeling the rock media viscoelasticaly results in a more
stiff behaviour of the media compared to an elastic model-
ing. This is due to the damping effects incorporated by the
viscoelastodynamic model.
The constitutive relation of a linear isothermal viscoelastic
material can be written by uncoupling the deviatoric and the
hydrostatic parts, respectively,
where the symbol represents convolution integrals; and G1
and G2 are independent relaxation function, with

Figure 4. One-dimensional rheological three-parameter model.
where sij and eij are the deviatoric components of both the
stress and the strain tensor.
An alternative formulation for the integral viscoelastic
stress-strain relation is the differential operator form of Equa-
tion 8, with fractional derivatives. For more details, the reader
should refer to Schanz (2001).
Due to the independence of the deviatoric and hydrostatic
part of the 3D constitutive equations, 1D viscoelastic model
can be used in each of these parts. The simplest model ensuring
casual behaviour is the three-parameter model (Fig. 4). Hence,
the appropriate constitutive relation of this model and its cor-
respondent Laplace transformed with fractional derivatives
are given, respectively, by
with the transformed depending on five parameters.
Applying this 1D model to three dimensions, the constitu-
tive equations in Laplace domain are
where pD and qD are the deviatoric and pH and qH are the
hydrostatic parameter of the viscoelastic model; and with the
elastic compression modulus K and shear modulus G.
Comparing the viscoelastic constitutive relations (Eq. 11)
with Hooks law, the elastic-viscoelastic correspondence prin-
ciple is obtained
This means, every elastodynamics solution of a distinct prob-
lem can be converted to the solution of the related viscoelastic
problem by inserting the correspondence shown in Equation
12 (Schanz 2001).
3.3 Poroelastodynamics
The presence of a freely moving fluid in a porous rock modi-
fies its mechanical response (Detournay & Cheng 1993). This
means that either the elastic or the viscoelastic theory is a
coarse approximation. Therefore, a theory of porous mate-
rials, such as the Biot theory of poroelasticity, needs to be
considered.
The governing differential equations for coupled poroe-
lasticity, including the deformation-diffusion process, can be
expressed in Laplace domain in terms of the displacement ui
and the pore pressure p as
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where K and G are the compression and shear modulus; is
the Biots effective stress coefficient; is a constant dependent
on fluid and solid parameters; and f are the bulk and fluid
density; is the porosity; Fi and a are the body force and
the source term; and R is a parameter which characterizes the
coupling between the solid and the fluid. This set of equation
describes the behavior of a poroelastic continuum completely
(Schanz 2001).
Applying either the weighted residual formulation or the
corresponding reciprocal work theorem to the governing
equations of the poroelastodynamics, the boundary integral
equation in Laplace domain, written in indicial notation, is
given by
which is very similar to the boundary integral equation of
elastodynamics, however the coupled deformation-diffusion
process is present. Due to reasons of simplicity, in Equation
14, the boundary tractions are now represented by t and the
capital letters represent the fundamental solutions of poroelas-
todynamics. For more details, the reader may refer to Schanz
(2001).
Following the same ideas presented in Section 3.1, i.e.
the collocation of Equation 14 at each boundary node and
the assembly of the system matrices, the convolution weight
matrices can also be computed, thus solving dynamic multi-
region problems.
4 NUMERICAL EXAMPLES
In order to validate and demonstrate the accuracy and the
applicability of the proposed methodology, some numerical
results on wave propagation in rock media are presented.
4.1 Validation test
A standard benchmark example frequently used to validate
time domain elastodynamic formulations is the wave prop-
agation in a rod, as shown in Figure 5. The material elastic
properties of the strip are E = 2.11 1011 N/m2 , = 0.0 and
= 7850 kg/m3 . The rod is divided into two regions. A Heav-
iside compression load of magnitude 1 kN/m2 is applied on
the free end of the rod.
Both an elastodynamic as a viscoelastodynamic tests were
carried out for the same geometry description. In the case of
viscoelastodynamics, the following viscoleastic parameters
pD = pH = 0.0023 s1 and qD = qH = 0.002 s1 were used.
The displacements at points A and B (midpoint of the free
end and coupled interface) in longitudinal direction are plot-
ted versus time in Figure 5, for both cases. These results are
obtained for the time step size t = 2.0 105 s, and they
are normalized by their corresponding static values, i.e., by
ustatic = 1.4218 1011 m.
It can be observed, that the results are in good agreement
with the analytic solution and with the numerical results for
single region problem found in Schanz (2001).
4.2 Seismic simulation in a underground excavation
In order to demonstrate the high relevance and applicability
of the proposed formulation to realistic problems, a seismic
Figure 5. Step function excitation of a two regions free-fixed rod.

Figure 6. Longitudinal view of a tunnel approaching a fault zone.

Figure 7. Boundary element meshes for the tunnel and fault.

simulation is carried out in an underground excavation (e.g. a

tunnel) in rock media when it is approaching a zone fault.
The dimensions of the tunnel, the distance to the fault and
the fault depth angle are presented in Figure 6.The rock mass is
initially modeled with the same material properties, i.e., with
E1 = E2 = 2.0 1010 kN/m2 , 1 = 2 = 0.15 and 1 = 2.6 t/m3 .
The discretization of the problem into boundary element can
be visualized in Figure 7. Figure 8. Displacement wave propagation in longitudinal view.

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2007 Taylor & Francis Group, London, UK


Figure 8. (Continued)
The source is located at the top of the excavation head,
as illustrated in Figure 6, and it is loaded with a constant dis-
tributed load p(t) applied as an impulse of permanent duration.
The load amplitude F is taken to be 100.0 kN/m2 .
Finally, the regions divided by the fault are modeled with
different material properties. The region where the tunnel is
excavated is modeled with the same properties as the previous
model, however the second one is modeled as a stiffer rock,
i.e., with E2 = 8.0 1010 kN/m2 , 2 = 0.30 and 1 = 2.6 t/m3 .
The results for the wave propagation are presented in Fig-
ure 8, for t = 0.05s, 0.10s, 0.15s and 0.20s, respectively, for
both modeling cases (same materials and different materials).
It should be observed that when modeling the regions with the
same material the behavior is as a homogeneous media. For
the case with different materials it is clearly visible that the
waves reflect back from the discontinuity and the difficulty
that the incident waves have to cross the stiffer region.
Therefore, the method has been shown to work reliably and
very well even for problems involving rock masses with very
different stiffness. Due to these reasons the proposed tech-
nique, which was named Duhamel-BEM, is very well-suited
for seismic analysis of underground construction in hard rock
environment, and may be used as a powerful predictive method
during excavation process.
5 CONCLUSIONS
A novel technique for the analysis of dynamic multi-region
problems with boundary elements in time domain has been
presented in this work. It is based on simple engineering con-
cepts, i.e., the concept of stiffness matrix that is widely used
in structural engineering and the idea of Duhamel integrals. In
addition, the combination of the Laplace domain BEM with
2007 Taylor & Francis Group, London, UK
a powerful mathematical tool, namely the CQM, allows the
modeling of more sophisticated materials.
The main advantage of this approach is that it requires only
the discretization of the tunnel surfaces, since when dealing
with underground constructions it is very difficult to char-
acterize the interior of the rock mass. Moreover, with the
presented technique is possible to simulate the detection of
the seismic signals which have been reflected back from any
type of discontinuity in the rock mass.
Therefore, the proposed formulation may be used as a pow-
erful predictive method during excavation process (i.e., as
a supportive tool to the non-destructive tunnel seismic pre-
diction method), which is an indispensable requirement for a
smooth and efficient construction of tunnels.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge the support of the Aus-
trian agency FWF, the European Union and the Institute for
Structural Analysis of the TU Graz.
REFERENCES
Achenbach, J.D. 1973. Wave propagation in elastic solids. North-
Holland, Amsterdam.
Beer, G. 1993.An efficient numerical method for modelling initiation
and propagation of cracks along material interfaces. International
journal for numerical methods in engineering, 36: 35793594.
Beer, G. 2001. Programming the boundary element method. Wiley.
Clough, R.W. & Penzien, J. 1993. Dynamics of structures.
McGraw Hill.
Christensen, R.M. 1971. Theory of viscoelasticity. Academic Press,
New York.
Detournay, E. & Cheng, A.H.-D. 1993. Fundamentals of poroelas-
ticity. Comprehensive rock engineering, 2, Pergamon, New York:
113171.
Dominguez, J. 1993. Boundary elements in dynamics. Southampton:
Computational Mechanics Publications.
Hakala, W.W. 1984. Protection of Underground Structures against
Seismic Effects. Advances in Tunnelling Technology and Subsur-
face Use, 4: 71117.
Hashasha, Y.M.A. et al. 2001. Seismic design and analysis of
underground structures. Tunnelling and Underground Space Tech-
nology, 16: 247293.
Jing, L. & Hudson , J.A. 2002. Numerical methods in rock mechanics.
International Journal of Rock Mechanics & Mining Sciences, 39:
409427.
Lubich, Ch. 1988. Convolution quadrature and discretized opera-
tional calculus I. Numerische Mathematik, 52: 129145.
Moser, W. 2005. A novel method for multi-region boundary element
analysis and coupled boundary-finite element analysis in time
domain elastodynamics. PhD thesis, TU Graz, Austria.
Pereira, A.M.B. et al. 2006. A Duhamel integral approach based on
BEM to elastodynamic multi-region problems. International Sym-
posium on Boundary Element Methods, IABEM 2006, Austria.
Schanz, M. 2001. Wave propagation in viscoelastic and poroelastic
continua. Berlin: Springer-Verlag.
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 A realistic approach to estimate stand-up time

T. Ramamurthy
Angron Geotech Pvt. Ltd., Naraina Industrial Area, Phase II, New Delhi, India

ABSTRACT: Estimation of stand-up time soon after excavation in underground is necessary to gain time to clean up the
debris and to erect at least a temporary support. The stand-up time is a function not only of rock mass parameters but also of
the geo-environment and excavation technique. Over the years charts have been evolved between rock mass classifications,
width of unsupported excavation and stand-up time by Lauffer, Bieniawski and Barton et al. An expression is now proposed
to estimate directly the stand-up time taking care of, most of the factors affecting it and it has been verified with the existing
data to justify its adoption in practice.

1 INTRODUCTION

The concept of stand-up time as the bridging action period

in underground excavation was first introduced by Lauffer
(1958). It is the time taken by the rock mass above the crown
to transmit the overburden pressure to the side walls without
undergoing excessive noticeable deformation or collapse in
the absence of any temporary support. The stand- up time for
maximum un-supported span was suggested for seven levels
of descriptive rock mass classification varying from category
A to category G. Class-A is a very good intact rock similar to
the first category proposed by Terzaghi (1946) and Class-G is
a very poor rock corresponding to Terzaghis squeezing rock.
This concept was perused further, modified and linked to rock
mass classifications like Q-System by Barton et al (1975) and
to RMR by Bieniawski (1976). An updated version of the chart
linking stand-up time, un-supported excavation and RMR was
proposed by Bieniawski (1993). The limiting boundaries of
total collapse and no-support requirements have been some
what enlarged. Figure 1. Stand-up time and classification of rock mass with
Initially Barton et al. (1974) related the maximum unsup- unsupported span.
ported span (Su ) to the excavation support ratio (ESR) and
rock mass quality, Q-value as

Later on Barton et al. (1975) suggested the limits of un-

supported span of tunnel and stand-up time by linking Q-
values in a chart form as indicated in Fig. 1. The limits as
suggested by Lauffer (1958) are also incorporated in this fig-
ure, (Biemiawski 1984). From this figure it is observed that the
ratio of the maximum to the minimum un-supported spans is
about 6 for the same class of rock mass when the ratio of maxi-
mum to minimum stand-up times for the corresponding spans
and rock mass is about 5. Bieniawski (1993) presented the
updated version of 1976 chart as indicated in Fig. 2. Recent
information from Lauffer (1988) has also been included by
Bieniawski (1993) and shown to full within the modified lim-
its suggested by him. This chart suggests that the ratio of the
maximum to the minimum un-supported spans is about 6 and
the corresponding ratio of stand-up times is about 12 for the
same class of rock. In these figures , along with RMR and Figure 2. Stand-up time and classification of rock mass with
Q values, corresponding values of joint factor, Jf , are also unsupported span.

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indicated to assess the maximum un-supported span length Table 1. Suggested values of constant, ks .
of tunnel for the desired Stand-up time. The joint factor was
linked to RMR and also to Q-values as follows (Ramamurthy Mrj 500 200 100 50
2004)
ks 100 5 1/5 1/100

2 FACTORS EFFECTING STAND-UP TIME

The un-supported span, also called the effective span, is the

span between the advancing face and the nearest support pro-
vided or the width of the excavation between the side walls,
which ever is larger. When the crown stress is higher than
the side pressures, tensile stress is likely to develop in the
zone above the crown resulting progressive fracturing, loos-
ening and collapse, if left unsupported. Often near wedge or
parabolic loosened mass collapses leaving cavity in the crown.
The rate of this loosening and the time taken to collapse will
depends on the rock mass parameters, geo-environmental fac-
tors and excavation techniques adopted. That is, the stand-up
time is influenced by the effective span, compressive strength
and modulus of rock mass in the immediate vicinity of the Figure 3. Compressive strength of jointed rock with joint factor.
excavation, in situ stress state, water/seepage pressure extent
of loosening of rock mass by blasting/mechanical excavation,
joint orientation with respect to the direction of excavation,
shape of excavated face/space and provision of immediate
temporary support. The modulus of rock mass controls the
deformation of the loosened mass to collapse. The effect
of joint system including the joint material is considered in
assessing the compressive strength and modulus of rock mass.
Further more,
1. if the joints are perpendicular to the direction of excava-
tion, higher stand-up time results compared to joints being
parallel,
2. higher joint frequency will result less stand-up time,
3. circular shape will result higher stand-up time,
4. mechanical excavation with TBM and road header will
result high stand-up time than with drilling and blasting
excavation,
5. high power factor adopted in drilling and blasting opera-
tions will result less stand-up time, Figure 4. Modulus of jointed rock with joint factor.
6. provision of shot Crete with rock bolts will result higher
sand-up time compared to simply supporting with shot
Crete or steel ribs. The Mrj values of rock mass are linked to that of intact rock
through joint factor, Jf , as follows (Ramamurthy, 1993, 2001,
By considering the major factors which are easily assessable 2004),
and responsible to control the stand-up time, the following
expression is proposed

where
Mrj = Modulus ratio of rock mass reflecting combined influ-
ence of compressive strength (cj ) and tangent modulus
(Etj ) i.e. Etj /cj
Su = Effective span in meters where
po = In situ stress in t/m2 Jn = joint frequency per meter depth of rock mass
u = Seepage pressure in t/m2 n = joint inclination parameter as per Table 2 for U-shaped
ks = Constant linked to Mrj as per Table 1 and shoulder shaped anisotropies in weakly bedded and
tf = Stand-up time in years. strongly bedded rocks respectively,

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 Table 2. Values of n for different joint inclinations, . Overburden, h = 300 m; po = 750 t/m2
Values of n
,
degrees U-shaped Shoulder shaped

0 0.82 0.85
10 0.46 0.60
20 0.11 0.20
30 0.05 0.06
40 0.09 0.12
50 0.30 0.45
60 0.46 0.80
70 0.64 0.90
80 0.82 0.95

II. With seepage pressure, u = 50% of overburden,

Overburden,
r = joint strength parameter = tan j ; if cohesion or cemen-
tation exists along the critical joint, its effect is converted
to equivalent friction,
i, j = subscripts represent intact and jointed rocks,
respectively.
The value of ks and reflects the combined influence of blast-
ing, shape of tunnel face, its orientation with respect to the
joint system and also for converting tf , the stand-up time, in
to years.

3 EVIDENCE

A number of cases have been examined for different diame-

ters of tunnel, in situ stress, seepage pressure in very strong to
very weak rock masses. The results are meaningful, compara-
ble and acceptable and cover the range of values given under
the limiting boundaries indicated by Bieniawski (1993). To
obtain safe working values one may apply a factor of safety of Overburden,
2 or 3 either to the unsupported span or to the sand-up time,
depending upon the openness of the joints, existence of joints
parallel to the direction of excavation and the extent of loos-
ening of immediate rock mass due to blasting operation. For
values of tf estimated from Eq. 4 less than an hour immediate
collapse of rock mass from the crown may be expected. A few
example are presented to show the effectiveness of Eq. 4 in
the following.

Example
1. With out seepage pressure (u = 0); overburden, h = 100 m

4 CONCLUSIONS

Estimation of stand-up time in the underground excavation is

to enable removal of the executed rock mass and conveniently
erect at least a temporary support. To account for all the factors
influencing the stand-up time is not achievable yet, but most
prominent factors controlling the stand-up time are considered
and an expression is proposed. It has been verified to estimate
reliably the stand-up time in underground works in weak and
strong rock masses.

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REFERENCES
Barton, N. Lien, R. & Lunde, J. 1974. Engineering classification
of rock masses for design of tunnels support, Rock Mechanics,
6:4:183236.
Barton, N. Lien, R. & Lunde, J. 1975. Estimation of support require-
ments for underground excavation. Proc 16th Symp. Design
Methods in Rock Mechanics. Minn. Publ. ASCE, New York,
163177 and Discussion at 234241.
Bieniaswski, Z.T. 1984. Rock Mechanics Design in Mining and
Tunelling, AA Balkema, Rotherdam.
Bieniaswski, Z.T. 1976. Rock mass classification in rock engineer-
ing. Proc. Symp. Expl. Rock Engg. Johannesburg, A.A. Balkema,
Captown, 1:97106.
Bieniaswski, Z.T. 1993. Classification of rock masses for engineer-
ing: The RMR system and future trends. Comprehensive Rock
Engg., 3:553573, Ed. JA Hudson, Pergamon Press, U.K.
760
2007 Taylor & Francis Group, London, UK
Lauffer, H. 1958. Gebirgsklassifizierung fur den stollenbau. Geo-
logic and Bauwesan, 24: 1:4651.
Lauffer, H. 1988. Zur Gebirgsklassifizierung bei frasvortieben.
Felsbau, 6: 137149.
Ramamurthy, T. 1993. Strength and modulus responses of anisotropic
rocks. Chapt.13, Comprehensive Rock Engg., 1:313329, Ed.
JA Hudson, Pergamon Press U.K.
Ramamurthy, T. 2001. Shear strength response of some geological
materials in triaxial compression. Int. J. Rock Mech. & Min. Sci.,
38:683697.
Ramamurthy, T. 2004. A Geo-engineering classification for rocks
and rock masses. Int. J. Rock Mech. & Min. Sci., 41:89101.
Terzaghi, K. 1946. Rock defects and load on tunnel support, rock
tunneling with steel supports, eds. RV Proctor and T White,
Commercial Shearing Co. Youngstown, Ohio, pp.1599.
 A study on development of loosening zone and allowable limit of
deformation in tunnelling

K. Tsusaka & C. Tanimoto

Department of Global Architecture, Osaka University, Osaka, Japan

Y. Mitarashi
Kumagai Gumi Co., Ltd., Tokyo, Japan

T. Aoki
Taisei Corporation, Tokyo, Japan

ABSTRACT: When tunnel is excavated in rock, rock around an opening trends to loosen. The rock behavior reaches to full
stability by controlling a loosening zone and mobilizing ground arch effect. It is defined with the extent of inelastic zone(s)
which consists of strain-softening and plastic flow. As the practical guide in tunneling, it is necessary to estimate the extent of
inelastic zone(s) and determine the allowable limit of convergence to control occurrence of plastic flow through convergence
measurement. The authors analyzed in detail approximately 500 convergence curves observed in six motorway tunnel projects,
which were driven through shale and sandstone layers, granitic rock and slate. As a result, the extent of loosening zone and
allowable limit of deformation in 11 m diameter tunnels were estimated with relation to the five categories in Tanimotos rock
classification, which indicated relationships among support load, initial deformation rate and final deformation.

1 INTRODUCTION
When steel supports were installed as the main support mem-
ber in tunnelling, loosening of rock caused by excavation
had been observed quite carefully. Terzaghi (1946) proposed
the relationship between rock load and supports in tunnel-
ing. Also, Ikeda et al. (1974) had investigated the relationship
between the extent of loosening zone and rock condition by
means of elastic wave exploration.
Since the late 1960s, shotcrete and rockbolts have been
installed as the most convenient support elements to control
loosening of rock and mobilize ground arch effect appropri-
ately in tunnelling. Based on convergence measurement, site
engineers have appraised a magnitude of inner pressure pro-
vided by the artificial support members. This is based on
concepts that the change of stress distribution in the radial
direction around tunnel wall corresponds to the displacement
of the wall and the convergence of displacement means to
mobilize ground arch in the surrounding rock. Consequently,
it is necessary to estimate the extent of loosening zone and
determine through convergence measurements.
About 30 years have passed since the concept (or method)
of tunneling with shotcrete, rockbolts and daily convergence
measurement was proposed. It has been a well-known key
knowledge in tunneling to minimize loosening of rock around
an opening for better stabilization of tunnel. However, from
the viewpoint on the appropriate mobilization of the ground
arch effect, practical guide for controlling tunnel deformation
have not been given yet. In addition, since Terzaghis pro-
posal (1946), no common definition of loosening of rock
has been available yet.
The ground arch effect could be obtained by controlling
a loosening zone and it could be defined with the extent
of inelastic zone(s) such as strain-softening and plastic flow.
And, in case that flow zone develops around tunnel wall, the
surrounding rock behaves quite differently with such a small
change of inner pressure as 0.1 MPa. Therefore, only strain-
softening zone should be allowed to develop in tunneling.
In this paper, the author represented the relationship
between development of loosening zone and stabilization of
tunnel with a theoretical model. Based on the results, they ana-
lyzed approximately 500 convergence curves observed in six
motorway tunnel projects, which were driven through shale
and sandstone layers, granitic rock and slate. As a result, the
width of loosening zone and the allowable limit of deformation
for controlling the appearance of plastic flow were estimated
in tunnelling with 1011 m excavated diameter.
2 LOOSENING ZONE AND GROUND ARCH
The development of inelastic zone(s) in the case that an open-
ing with radius a is excavated through rock in hydrostatic
stress field is illustrated in Figure 1(a), where rock is assumed
homogeneous, isotropic, and continuous material and con-
sidered to be subject to strain-softening behavior. Widths of
strain-softening and plastic flow zones depend on magnitude
of inner pressure which is given by supporting elements as
resultant forces. State of stresses on the sides AB, BC, CD,
and AD is illustrated in Figure 1(b). The pressure on tun-
nel wall CD is provided by support elements. Radial stress
on the elastic and inelastic boundaries AB is uniquely deter-
mined by external rock load. Not the radial stress on side AB
but the width of inelastic zone changes in correspondence
with magnitude of inner pressure on tunnel wall. Tangential
stresses on the sidesAD and BC are considered as arch stress
which forms ring effect against surrounding rock pressure.The
higher inner pressure is provided, the stiffer ring is mobilized.

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Figure 1. Meaning of loosening zone around an opening.

Consequently, a tunnel is supported by both artificial support Table 1. Rock classification in tunnelling proposed by Tanimoto &
and rock arch. In case of a tunnel through jointed rock, the Yoshioka (1992).
mechanical behavior is subject to shearing deformation and
dilatancy on joints. The important role of support elements Initial
deformation Observed
is to mobilize arch stress as much as possible by controlling Support Competence rate deformation
dilatancy on joints. Class load factor (mm/m) (%)
Stress distributions in the cases that the magnitude of inner
pressures are 0.3, 0.4, 0.6, 0.7 and 1.5 MPa are shown in Fig- I Slight over 1.5 less than 0.1 less than 0.07
ure 1(c). They are calculated by means of the strain-softening II Medium 1.01.5 0.11 0.070.3
model proposed by Tanimoto & Hata (1980). The funda- III Heavy 0.751.0 15 0.30.8
mental equations governing the strain-softening behavior is IV Very 0.50.75 512 0.81.5
derived from the stain-energy theorem and it applies a linear Heavy
Mohr-Coulombs criteria at peak and residual strengths. It is V Extremely less than 0.5 over 12 over 1.5
also based upon the assumption that rock keeps in constant Heavy
volume. The conditions and parameters are the following:
Hydrostatic initial stress p0 = 3.0 MPa, radius of an open-
ing a = 5 m, deformation modulus E = 300 MPa, Poissons
plastic flow zone appears. Therefore, the allowable range of
ratio = 0.3, unconfined compressive strength qu = 1.5 MPa,
loosening should be limited to strain-softening zone.
internal friction angle at peak strength = 20 , residual
strength qu = 0.3 MPa, internal friction angle at residual
strength  = 10 , and strain softening coefficient = 0.2E. 3 DEVELOPMENT OF LOOSENING ZONE IN
In the figure, thick and thin lines are tangential and radial TUNNELLING
stresses, respectively. Also, black and white points represent
boundaries between elastic and inelastic zones and between Tanimoto & Yoshioka (1992) proposed a rock classification
strain-softening and plastic flow zones, respectively. Radial (hereafter, it is described as Tanimotos classification) shown
stresses from tunnel wall to a boundary between elastic and in Table 1, which indicated the relationships among support
inelastic zones are the arch stress illustrated in Figure 1(b). load, initial deformation rate and final deformation. It was
In Figure 1(c), focused on a relationship between the mag- based on more than 200 convergence curves observed in
nitude of inner pressure and the development of loosening approximately 60 tunnel projects in Japan and USA. The
zone, it is shown that both strain-softening and plastic flow authors clarify relationship between the extent of loosening
zones develop in the cases of pi = 0.3 and 0.4 MPa, only strain- zone and the five categories from I to V in the classification
softening zone develops in the cases of pi = 0.6 and 0.7 MPa by means of analyzing approximately 500 convergence curves
and no loosening zone develops in the case of pi = 1.5 MPa. observed in six motorway tunnel projects, which were driven
And in the case that the magnitude of inner pressure changes through shale and sandstone layers, granitic rock and slate.
from 0.4 MPa to 0.3 MPa, the width of inelastic zone devel- Figure 2 indicates the relationships between the initial
ops from 6.8 m to 9.7 m. Namely, 2.9 m extent of the support deformation rate and the observed deformation and between
ring substitutes for 0.1 MPa reduction of inner pressure for the observed deformation and the relative distance from the
stabilizing a tunnel. Similarly, in the case that the magnitude observed section to face at the time when convergence curve
of inner pressure changes from 0.7 MPa to 0.6 MPa, the width reaches its final value. The analyzed curves are the mea-
of inelastic zone develops from 2.2 m to 2.9 m. Namely, 0.7 m sured results whose initial observation started within 3 m face
extent of the support ring substitutes for 0.1 MPa reduction of advancing from the observed section. In addition, the overbur-
inner pressure. den is more than 1.5D (D = 1011 m). The initial deformation
Consequently, even a small change of inner pressure such rate dU /dL is defined as the ratio of horizontal displacement
as 0.1 MPa has a large influence on surrounding rock behavior observed at 34 m relative distance from the observed section
such as the remarkable development of inelastic zone when to face to the distance in consideration to a face advance rate

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Figure 2. Relationships among initial deformation rate, observed deformation and the relative distance from the face at convergence of
deformation.

per day. The five categories from I to V in Tanimotos classi-

fication are illustrated with thick lines in the figure and the
results are good agreement on it.
Tanimoto et al. (1987) proposed the following concept about
relationship between mechanical behavior of rock and con-
vergence curves. In the case that rock behavior caused by
excavation is subject to elastic behavior under rock condition
without time-dependency in tunneling, the radial displace-
ment reaches its final value within the double tunnel diameter
2D. In addition, in the case that loosening zone develops
around tunnel wall in tunnelling, the radial displacement con-
verged to its final value when the face reached the double
diameters of inelastic zone developed around tunnel wall. This Figure 3. Convergence curve at Section-A.
concept was expressed by the following equation.
zone around tunnel wall. In addition, the observed results cat-
egorized in Class III, IV and V in Tanimotos classification
could be subject to inelastic behavior of rock. The convergence
reaches its final value in the observed sections categorized in
Class I & II, III, IV and V when the face advances to 2D,
where Wp is the extent of loosening zone, D is the diameter 2.53.0D, 3.55.0D and over 5.0D, respectively. According
of inelastic zone developed around tunnel wall and D is tunnel to Equation 1, the extent of loosening zone is estimated to be
diameter. less than 1.0 m in Class I & II in consideration of damage of
By applying the concept to the results in Figure 2, it is con- blasting, 1.03.0 m in Class III, 3.06.0 m in Class IV and
cluded that when the initial deformation rate beyond 1 mm/m more than 6.0 m in Class V, respectively.
and the observed deformation beyond 0.250.30% in tunnel
diameter, rock behavior in the sections reaches full stability by
means of developing the loosening zone around tunnel wall. 4 ALLOWABLE LIMIT OF DEFORMATION
Namely, when convergence beyond 6 mm is observed after
the face advances to 34 m from the observed section, it is In order to investigate the occurrence of plastic flow zone
necessary to develop the support ring formed by loosening in Section-A in Figure 2., the support-and-ground interaction

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Figure 4. Support-and-ground interaction curve of Section-A.
Figure 5. Relationships between support intensity I s and compe-
tence factor Cf .
curve is analyzed. The convergence curve observed in Section-
A is shown in Figure 3. Based on it is found that when face
reached 4.0D5.0D (D = 11 m) from the Section-A, the dis-
placement converged within 196 mm. According to Equation
1, the inelastic zone is calculated as 5.56.8 m. And, the
support-and-ground interaction curve is illustrated in Figure 4.
The rock mass properties are estimated by means of para-
metric study based on the displacement on tunnel wall and
the extent of loosening zone when the convergence reaches
its final value. It is assumed that the 4050% of the total
displacement occurs when the face reaches the observed sec-
tion in order to compare the analyzed value with the observed
result. A theoretical model is used, which were proposed by
Tanimoto & Hata (1980). Support is modeled as an equivalent
inner pressure by means of the equations published by Hoek &
Brown (1980) and Tanimotos proposal (1987) and the mag-
nitude was estimated in the range of from 0.25 to 0.30 MPa.
According to the results from Figure 4, when the displacement
reached its final value, a inelastic zone of 5.5 m wide devel-
oped, which consisted of 3.0 m wide strain-softening and 2.7 m
wide plastic flow zones.
The occurrence of plastic flow zone in the other 45 sections
plotted in Class III, IV and V in Figure 2 is analyzed in the
same manner. The results are shown in Fig. 5. Support inten-
sity is defined as the ratio of the magnitude of inner pressure
to the initial stress. In the case of Section-A, the value is cal-
culated as 0.12 (= pi /p0 = 0.3/2.6). The relationship between
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2007 Taylor & Francis Group, London, UK
support intensity and competence factor about the mechani-
cal behavior of rock is indicated in the figure. The boundary
lines drawn with thin and thick lines are calculated with the
parameters indicated in the figure. They are the average values
based on the results from the parametric study.
The plotted data are classified with regard to both the
Classes from III to V in Tanimotos classification and the
inelastic behaviors of rock which are subject to strain-
softening and plastic flow. As a result, it is concluded that
almost all the observed sections categorized in Class III reach
full stability without developing plastic flow zone. In contrast,
with regard to the observed sections categorized in Class IV
and V, it is clarified that the development of plastic flow is
needed in order to control rock behavior caused by excavation.
Therefore, when a certain extent of loosening zone develops
in tunneling with 1011 m excavated diameter, the allowable
limit of convergence is considered less than 0.8% in tunnel
diameter.
5 CONCLUSIONS
Focused on the development of loosening zone, the authors
study rock behavior caused by tunneling. It consists of strain-
softening and flow zones and allowable limit of deformation
should be determined by controlling the development of flow
zone. In this paper, the authors analyzed in detail approxi-
mately 500 convergence curves observed in six motorway
tunnel projects. They were driven through shale and sandstone
layers, granitic rock and slate. The relationship between rock
behavior and the extent of loosening zone and allowable limit
of deformation were clarified. As a result, in tunneling with
1011 m excavated diameter, when the initial deformation
rate beyond 1 mm/m is observed through convergence mea-
surement, the rock behavior reaches full stability by means
of developing loosening zone around tunnel wall. And, the
extent of loosening zone is less than 1.0 m in Class I and II,
1.03.0 m in Class III, 3.06.0 m in Class IV, and more than
6.0 m in Class V in Tanimotos classification, respectively. In
addition, the allowable limit of deformation to control plastic
flow is less than 0.8% in tunnel diameter.
REFERENCES
Hoek, E. & Brown, E.T. 1980. Underground excavation support
design. Underground Excavations in Rock, Institute of Mining
and Metallurgy: 244328.
Ikeda, K. et al. 1974. Estimate of the Loosed and Plastically
Deformed Area around the Opening. Railway Technical Research
Report. No.941: The Railway Technical Research Institute,
Japanese National Railways (in Japanese).
Tanimoto, C. & Hata. S. 1980. Fundamental concept of designing
tunnel supports in consideration of Elasto-plastic and strain soft-
ening behavior of rock. Memoirs of the Faculty of Engineering,
Kyoto University, 42: 349376.
Tanimoto, C. Hata. S., Fujiwara, T., Yoshioka, H. & Michihiro, K.
1987. Relationship between deformation and support pressure in
tunneling through overstressed rock. In G. Herget & S. Vongpaisal
(eds), Proc. of the 6th Intern. Cong. on Rock Mechanics, Montreal:
12711274. Rotterdam: Balkema.
Tanimoto. C., & Yoshioka H. 1992. Rock mass classification based
on convergence measurement in tunneling. Journal of the Society
of Materials Science Japan 41: 424429. (in Japanese).
Terzaghi, K.V. 1946. Rock Defects and Loads on Tunnel Supports. In
R.V. Proctor & T.L. White (eds), Rock Tunnels with Steel Supports:
1799.
 An evaluation approach of rock bolting effect considering the coupling
and decoupling behavior

Y. Cai, T. Esaki, Y. Mitani & H. Ikemi

Institute of Environmental Systems, Kyushu University, Fukuoka, Japan

Y.J. Jiang
Department of Civil Engineering, Nagasaki University, Nagasaki, Japan

ABSTRACT: A quantitative evaluation method of rock bolting effect is proposed in order to achieve an optimal supporting
design. Based on an interaction model describing the displacement consistent of reinforcement and rock mass, the mechanical
behavior of reinforced rock mass is analyzed according to an elasto-plastic model. The coupling and decoupling behavior
between the rock bolt and rock mass, which influence the evaluation of reinforcing effect significantly, has been taken into
account. As an example, the rock bolting effect of standard tunnel support patterns of Japan Highway Public Corporation in
various ground conditions are analyzed further. Present study confirmed that the shotcrete plays an important effect in the
reinforcing system and it works together with rock bolt. An optimal rock bolt density exists in a certain ground condition.
The quantitative analysis of the support performances of the standard support patterns shows an agreement with the design
recommendation.

1 INTRODUCTION This paper attempts to quantitatively verify the rock bolting

Rock bolt is widely used in tunneling and underground
construction works. The reinforcement effect is a result of
complex interaction between the supporting members and the
surrounding ground. The supporting design of rock bolt is
still empirical or semi-empirical because the conditions of
rock mass in-situ are very complicated, and there is few ways
to evaluate the performance of the rock bolt quantitatively at
present.
During a tunneling construction, the wall convergence
is a readily recordable indicator of overall response of the
ground, and the so-called convergence-confinement approach
has been widely accepted in tunneling (Carranza-Torres &
Fairhurst, 2000; Oreste & Peila, 1996). The grouted rock bolt
becomes an integral part of the ground/rock mass, thereby
restricting its deformability by internal strengthening. The
description of interaction behavior between the rock bolt and
ground is very critical to the evaluation of the reinforcing
effect. There are few models that evaluate the rock bolting
effect considering the coupling behavior of reinforcement and
ground.
In Japan, ground is classified based on appropriate geolog-
ical indices and the corresponding support patterns consisting
of the combination of rock bolt, shotcrete and steel ribs sup-
port are recommended generally. Governmental agencies and
several public corporations in Japan hold their own rock
mass classification measures and corresponding standard sup-
port designs in order to meet their objectives and purposes.
The standard tunnel support designs are still largely relies
on the empirical or the semi-empirical design method. In
some design guidelines (e.g., Koyama et al., 1997), the con-
cept of design modification (reduction/addition of support)
is introduced. However, it is difficult to rationally assess
the supporting effect of the support members for further
adjustments.
effect of the standard patterns proposed by Japan Highway
Public Corporation (JH) based on a newly developed ana-
lytical method (Koyama et al., 1997). The influence of the
coupling and decoupling behavior between the reinforcement
and surrounding rock mass has been taken into account. Veri-
fying the rock bolting effect in combination with shotcrete, a
rational approach of the optimum support design for NATM
tunneling is discussed.
2 MECHANICAL MODEL OF ROCK BOLT SYSTEM
Several analytical models of rock bolting design for tunnel-
ing have been proposed. However, an interaction mechanism
of the rock bolt and the rock mass is not clearly understood.
Recently, a new method based on the interaction mechanism
between rock bolt and rock mass to assess the rock bolting
effect quantitatively has been proposed by authors (Cai et al.,
2004). Interaction mechanism of the rock bolt and the rock
mass is described according to their consistent displacement
and the model is applied to predict the distribution of axial
force along a rock bolt considering a position of neutral point.
Coupling and decoupling behaviors of the rock bolt around
a circular tunnel have been considered in the quantitative
evaluation of the rock bolting effect.
According to the analysis, the initiated force of the rock
bolt is related to the displacement of surrounding rock mass.
At the coupling stage, reinforcement and the rock mass behave
consistently and the displacement of the rock mass is the same
as that of the rock bolt at their interface. Hence, the coupling
equation for the rock bolted rock mass can be written as
where ri is the potential decoupling radius around the rock
bolt, i is the shear stress at the position of radius ri .

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 o 0.07
Pattern CI, = 0.128
0.06
symmetric Pattern CII-a, = 0.16

LT
0.05
L z
Po 0.04

Ura/ra
Plastic flow Srp = 0.2
zone
0.03
Soften zone
Srp = 0.3
LT Elastic zone
0.02 Srp = 0.4
Srp = 0.5
Srp = 0.6
0.01 Srp = 0.8
r Srp = 1.2
O ra R f L1 Re
0
0 0.2 0.4 0.6 0.8 1
(a) bolt arrangement Density of rock bolt

Distribution of axial force Figure 2. Influence of rock bolt density and the tunnel wall strain
ground Maximum axial force (tc = 0.1 m, Srp = 0.21.2, L = 3.0 m).

rock bolt
where tc is thickness of the shotcrete; Es , As and B are the
tunnel
opening elastic modulus, cross-sectional area and the spacing between
Pick up Anchor Shear stres steel sets, respectively.
part part

Trace of neutral point

3 A VERIFICATION OF STANDARD SUPPORTING
(b) stress distribution on bolt PATTERN (JH)

Figure 1. Arrangement of rock bolting system and stress distribu-
tion on rock bolt interface.
Constitutive equation of rock bolting section is given by
Eqs. (2).
where is the rock bolt density parameter, is the friction
coefficient between rock bolt and rock mass, ra is the radius
of tunnel, Lz and Lt are the peripheral and longitudinal dis-
tances between the rock bolts, is the neutral point position
of rock bolt, as shown in Fig. 1. The analysis details of the
axial force distribution of rock bolt and the neutral point has
been discussed in the other paper (Cai et al., 2004).
If the interface and bounding material ruptured, slippage
may take place, which is termed the decoupling behav-
ior. Shear strength in the case of decoupling failure can
be described by Mohr-Coulombs law. Internal supporting
pressure Pi , supplied by the shotcrete is given by,
where, ua is the displacement of tunnel wall; Ec , c , and tc are
the elastic modulus, Poissons ratio and equivalent thickness
of the shotcrete, respectively. The equivalent thickness of the
shotcrete is expressed as Eq.(4), considering the combined
effect of the steel ribs.
3.1 Case arrangement and study parameters
Japan Highway Public Corporation (JH) classified the rock
mass on the basis of seismic wave velocity, rock type, boring
data, competence factor and so on at the stage of prob-
ing ahead, which is verified by observation of the working
face and the measurement during construction stage (Kitano
et al., 1992). Among the basic mechanical properties of rock
masses, deformation modulus, uniaxial compressive strength
and internal friction angle are needed for the analytical study.
In order to determine the geomechanical input parameters,
the empirical approaches and seismic velocity data are used.
The deformation modulus is determined by the correlation of
elastic wave velocity referring relationship given by Yoshi-
naka et al. (1988). Uniaxial strength and the internal friction
angle of the rock mass are derived from empirical relation-
ships (Takayama et al., 1983). Fig. 2 shows the possible ranges
of deformation modulus according to the different ground
classes. Competency factor denoted by Srp , can be defined
as the ratio of the uniaxial compressive strength to the initial
ground pressure.
where, c and Po are the uniaxial strength of rock mass and
the hydrostatic pressure in-situ, respectively.
Some unique cases have been arranged in order to verify the
rock bolting effect in combination with shotcrete in various
rock mass conditions. In this study, analysis is carried out for
the range of Srp value 0.1 to 2.0, while the value of ranges
from 0 to 1.0. The rock bolt installation time is taken as the
30% of the tunnel relaxation. According to the experiences of
NATM tunneling in Japan, the uniaxial strength of the soft rock
is often below 10 MPa and its deformation modulus ranges
from 100200 times of its strength (Takayama et al., 1983).
Therefore a linear relationship between the uniaxial strength
and the deformation modulus of rock masses is assumed as
Eq. (6).

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Table 1. Parameters of the standard support patterns. 0.07
0.06
Rock bolt Srp = 0.1
Rock bolt spacing (m)* 0.05
Pattern DI-a & DI-b, = 0.24
Ground Support length L tc

Ura/ra
class patterns (m) Lt Lz * (m)
0.03 Srp = 0.2
B B 3 1.5 2.0 0.094 0.05 0.02 Srp = 0.3
CI CI 3 1.5 1.5 0.128 0.10 Srp = 0.6 Srp = 0.4
CII CIIa 3 1.5 1.2 0.16 0.10 0.01 Srp = 0.8
Srp=1.2
CIIb 3 1.2 1.2 0.20 0.15 0
DI DIa 3 1.2 1.0 0.24 0.21 0 0.2 0.4 0.6 0.8 1
DIb 4 1.2 1.0 0.24 0.21 Density of rock bolt
DII DII 4 1.2 <1.0 >0.24 >0.28
Figure 3. Influence of rock bolt density and the tunnel wall strain
* Lt and Lz are peripheral and longitudinal spacing between the rock (tc = 0.21 m, Srp = 0.21.2, L = 3.0 m).
bolts, tc is equivalent thickness of shotcrete and is rock bolt density
parameter. Covered zone of stand
support pattern(JH), B-D

From the above equations, the uniaxial strength of rock mass

can be calculated from the Srp and in-situ stress. Therefore,
the program gives a series of results for wide ranges of the
ground strength. This enables to evaluate the performance of
the standard support pattern in various ground conditions.
A circular tunnel with a radius of 5.1 m is assumed for
the analytical study. The rock bolt of 25 mm diameter and
210 GPa of Youngs modulus are taken into account. The rock L/
ra
bolting density parameter and the equivalent thickness of sity

den
bolt
the shotcrete are calculated using Eq. (2) and (7) respec- Ro
ck

tively. Study parameters of the standard support patterns of

JH (Koyama et al., 1997) and the calculated values of rock Figure 4. Restrained displacement of tunnel wall in different
bolt density parameter and equivalent thickness of shotcrete conditions (tc = 0.1 m, Srp = 0.4).
are given in Table 1. Elastic modulus of steel sets and shotcrete
are taken as 200 GPa and 10 GPa, respectively. The lengths of
rock bolts are 3.0 m and 4.0 m with combination of various Covered zone of stand
thicknesses of shotcrete and steel set when applicable. support pattern(JH), B-D
Several standard patterns consisting of rock bolt, shotcrete
and/or steel ribs are recommended for the corresponding
ground classes in the standard support designs.Therefore, sup-
porting effects of the each standard tunnel support pattern are
analyzed in terms of tunnel wall strain and displacement of
the tunnel wall in various ground conditions.
L/
ra

3.2 Analysis results ensity

In the case of support pattern B, where the equivalent thickness
of the shotcrete is 0.05 m, the rock bolting effect improves
slightly even though rock bolt density is increased. Support
patterns CI and CIIa are the same except the difference in
longitudinal spacing of rock bolt. Therefore, the interaction
characteristics of the two patterns are similar. Increasing the
shotcrete thickness (0.1 m) in pattern CI and CIIa results in
the improvement of the rock bolt performance in a poor ground
condition as compared to the support pattern B, as shown in
Figs. 23. The rock bolting effects of the two patterns are
not significant when the Srp value is greater than 0.9. The
support pattern DIa is similar to CIIb except the difference
in shotcrete thickness. The rock bolting effect in a poor ground
condition is dramatically improved in case of this supporting
pattern. With the increase in shotcrete thickness as compared
to the preceding one, significant control in tunnel wall strain
is observed, which is attributed to the combined use of thicker
shotcrete.
Support patterns DIa and DIb are also similar to each
other, except the difference in the length of rock bolt. Support
bolt d
Rock
Figure 5. Restrained displacement of tunnel wall in different
conditions (tc = 0.21 m, Srp = 0.4).
pattern DIb has 1.0 m longer rock bolt than the pattern DIa .
Comparison of support characteristics of these two patterns
show that the rock bolting effect is not influenced by the
increased length of rock bolt in this study. Therefore, increas-
ing in rock bolt length is not justifiable in this case. Figure 3
shows the influence of rock bolt density and the tunnel wall
strain of the patterns DIa and DIb . The rock bolting effect of
different length and installing density is shown in Figure 45.
The proposed installing length and rock bolting density of the
standard support pattern of JH is indicated with a quadrilateral
covered zone. In most of the study case, it seems that the rock
bolting density is a more significant parameter compared to
the rock bolt length. It seems that the performance of the stan-
dard support patterns is compatible with the changing ground
conditions.

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 The above analysis confirms that the strain at tunnel wall is
influenced by the parameters of the rock bolt density, the thick-
ness of the applied shotcrete and the ground competency factor
(Srp ). Generally, the rock bolting effect increases with the
thickness of the shotcrete applied especially in a poor ground
conditions (Srp < 0.4), and the reinforcing effect becomes less
significant towards a good ground condition. Rock bolting
design of all the standard support patterns of Japan Highway
fundamentally appropriate and work effectively even if in the
poor ground conditions. This is possibly due to the significant
safety margin might included in the standard support patterns.
The quantitative analysis of the support performances of
the standard support patterns shows an agreement with the
design recommendation in the indexed conditions. However,
the rock bolting design can be optimized in a specific in-
situ condition, analyzing the interaction curves for the design
of optimum support system. It is found that an optimal rock
bolt density exists in a certain ground condition. Below the
optimal rock bolt density, the reinforcing effect of the rock bolt
increases if more rock bolts are installed. However, when the
rock bolt density exceeds the optimal density, the reinforcing
effect would not be improved even though more rock bolt is
installed. Of course, more verification in-situ is necessary for
the practice of the proposed method, it gives a way to evaluate
the reinforcing effect of rock bolt quantitatively.
4 CONCLUSIONS AND DISCUSSION
Comparison of the rock bolting effect of the standard sup-
port patterns confirms that the shotcrete play an important
role in the reinforcing system. Rock bolt works together with
shotcrete and improves rock bolting effect significantly in
the poor ground conditions. It is due to the shotcrete reduces
potential high deformation in poor ground condition, allowing
the rock bolt to work consistently with the surrounding rock
mass. Otherwise, debonding failure may take place at the inter-
face between the rock mass and the rock bolt which drastically
reduces the rock bolting effect. On the other hand, rock bolt-
ing effect can not be improved significantly only increasing
its density parameter in all cases when the Srp value is greater
than 0.9.
Rock bolting effect of the standard support patterns of Japan
Highway Public Corporation in various ground conditions
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2007 Taylor & Francis Group, London, UK
are analyzed quantitatively based on the interaction model
of rock bolt and rock mass developed by our research team.
Supporting effect of each standard support patterns are veri-
fied quantitatively with elaborated discussion. The following
important conclusions can be drawn from the above analysis:
(1) Shotcrete plays an important effect in the reinforcing
system and it works together with rock bolt. Rock bolt-
ing effect is improved by thicker shotcrete application in
poor ground conditions (Srp < 0.4) but its effect is not
significant in good ground condition (Srp > 0.9).
(2) Rock bolting effect can not be improved only increasing
rock bolt density parameter and no significant improve-
ment of rock bolt reinforcement is seen when rock bolt
longer than 3.0 m for the tunnel with radius 5.1 m in a
medium ground condition (Srp > 0.4).
(3) Performance of the standard support patterns are compat-
ible with the changing ground conditions and show the
agreement with design recommendation.
(4) Proposed approach can be a useful tool for the design
of optimum support system based on the interaction
characteristics of the support members and ground.
REFERENCES
Cai Y., Esaki T., Jiang,Y. 2004, Predicting Axial Load of Grouted
Rock Bolt in Soft Rocks for NATM Tunneling, Tunnelling and
Underground Space Technology, 19/6: 607618.
Carranza-Torres C. & Fairhurst, C. 2000. Application of the
convergence-confinement method of tunnel design to ground/rock
masses that satisfy the Hoek-Brown failure criterion, Tunnelling
and Underground Space Technology, 15/2: 187213.
Koyama Y. et al., 1997. Japanese Standard for Mountain Tunneling,
Japan Society of Civil Engineers (in Japanese).
Kitano K., et al., 1992. Rock mass classification in Japan, Engi-
neering geology, Special issue. Japan Society of Engineering
Geology.
Oreste P.P. & Peila D. 1996. Radial passive bolting in tunnelling
design with a new convergence-confinement model, Int. J. of Rock
Mech. and Mining Sci., 1996; 33 (5): 443454.
Takayama, A. et al. 1983. Theory and practice of NATM. Tokyo
:Doboku Kougaku Shiya (in Japanese).
Yoshinaka R. et al., 1988. Rock mass classification and its applica-
tion, Tokyo: JSCE (in Japanese).
 Advanced numerical simulation of the tunnel excavation/construction
process with the boundary element method

G. Beer & Ch. Dnser

Institute for Structural Analysis, Graz University of Technology, Austria

ABSTRACT: An innovative approach to the modeling of the tunnel excavation/construction process is presented. The develop-
ment forms part of the integrated research project TUNCONSTRUCT (Technology Innovation in Underground Construction)
of the European Union. The developed software is based on the Boundary Element Method (BEM) but this can be combined
with the Finite Element Method (FEM) as required. The application of the simulation model is mainly for conventional tunnel
excavation in rock.

1 INTRODUCTION

Numerical simulation plays an important role in the design

of tunnels. Simulations are usually routinely done during the
design and construction phase. Because of constraints in time
and available resources the majority of the analyses are how-
ever plane strain approximations of the real 3-D tunneling
process. This involves simplified assumptions for example to
include 3-D effects at the tunnel face and restrictions with
respect to the virgin stress field and geological features which
have to be aligned to the plane under consideration in this case.
Three-dimensional analyses are rarely carried out and then
only by specialists consultants. However for the numerical
simulation of NATM tunnel construction it is very important
to model the sequential construction process. Tunneling in
weak ground and near surface for example often requires a
complicated sequence involving temporary support and this
is definitely a 3-D process. A plane approximation of this
construction sequence is not very meaningful.
The aim of the work reported here, which forms part of the
integrated project TUNCONSTRUCT, is to make 3-D analysis
capabilities for design and during the construction accessible
to non-specialists tunnel engineers. This is done to assist in the
often difficult decisions with respect to changing the designed
procedures in response to actual ground behavior.
A significant improvement in user friendliness and effi-
ciency is achieved by moving away from domain based
methods currently in use, such as the Finite Element or Finite
Difference Methods and turning to a boundary based method.
However the method is currently in a state of development
that makes it unsuitable for tunneling. In the following we
will shortly introduce the Boundary Element Method and
the modifications that are necessary in order to adapt it to
tunneling.
Figure 1. Volume and surface based models for a tunnel.

2 THE BOUNDARY ELEMENT METHOD

The boundary element method (BEM) is very rarely used for
tunneling. In fact a 3-D BEM program that includes all the
essential features for tunneling does not exist at the moment
and this is the aim of our development. There is insufficient
space here to show details of the method and the reader is
referred to (Beer, 2006) for a description. The difference in
the discretisation effort between domain and boundary base
method is shown in Figure 1. It can be seen that for the
BEM the mesh generation is much easier than for volume
based method because only the surface of the excavated tun-
nel has to be discretised. Indeed, since no elements exist in
the rock mass result planes are required to display the stresses
in Figure 1. These results are computed using fundamental

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Figure 2. Simulation of the sequential excavation process.
solutions of the governing differential equation and are there-
fore much more accurate than the corresponding FEM results.
As a consequence, there is no need for the truncation of the
boundary element mesh as the far field conditions for infinite
and semi-infinite domains are satisfied implicitly.
However, with the mesh as shown in Fig. 1 (bottom) one
is only able to simulate a tunnel excavated in one stage in
an elastic homogenous ground (which can be isotropic or
anisotropic), a completely unrealistic simulation for tunneling.
Therefore the capabilities of the method have to be extended.
3 NEW DEVELOPMENTS OF THE BEM
Here we discuss the capabilities which have to be added to
the BEM so that it can be applied to tunneling. These new
capabilities refer to the modeling of
sequential excavation/construction
heterogeneous ground conditions
visco-plastic material behavior
ground support.
3.1 Sequential construction
The method for simulating sequential construction is via the
the multi-region BEM where the final excavated tunnel is
defined by an infinite region and the parts to be removed at
each stage by a number of finite regions (see Figure 2). In the
implementation, the concept is to calculate a stiffness matrix
for the regions and to assemble them in the same way as it is
done in finite elements. The excavation process is described
by removing regions in a similar way as it is currently done
in FEM programs. Further details are available in (Dnser,
2002).
3.2 Heterogeneous ground conditions
The classical BEM can only deal with homogeneous ground
conditions. Currently an extension of the method using mul-
tiple regions (as explained above) makes it possible to model
piecewise heterogeneous ground conditions but this is quite
cumbersome and not very user friendly. Also this method does
not work for general heterogeneity. The main problem with the
BEM (and also its major advantage) is that no elements exist
in the rock mass and therefore the simulation of volumetric
effects requires special attention.
The approach taken here is to use a mesh of internal cells
(Figure 3). These cells actually look like finite elements
but are very different because they do not introduce any
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2007 Taylor & Francis Group, London, UK
Figure 3. Cell mesh for modeling heterogeneous ground.
additional degrees of freedom. Each cell node can now be
assigned different material properties according to geological
conditions.
In the proposed approach first an analysis is carried out
assuming homogenous ground conditions. Then the strain
tensor () is computed at each cell node using fundamental
solution for the displacements.
If the node has been assigned material properties that are
different to the ones used for the homogeneous analysis then
an excess stress is computed at the node by:
where D is the matrix of elastic material properties assumed
for the homogenous analysis and matrix Dn contains the
material properties assigned to the cell point n.
This stress is then taken as an initial stress (also termed
body force in BEM terminology). After the body forces
have been calculated for all cell nodes they are considered as
loading. For this the stresses have to be integrated over each
cell. The integration is carried out in each cell separately and
the contributions are added. For this purpose a local coordi-
nate system and a linear variation of the stress over the cell is
assumed. After the integration a right hand side of the system
of equations is obtained in a similar way as for the FEM.
The solution then proceeds in iterations, i.e the change in
strain is computed at the cell node due to the change in the
right hand side of the systems of equations. New increments of
n are computed and applied to the system. The iteration is
stopped when the change is strain is below a specified thresh-
old. The proposed approach was inspired by the concepts
of visco-elasticity, where the modulus of elasticity changes
with time.
Figure 4. Example of a visco-plastic analysis: Rounded notch
specimen subjected to vertical loading. Von Mises yield condition.

3.3 Visco-plastic material behavior

The treatment of visco-plastic material behavior is similar
to the treatment of heterogeneous ground conditions. Inter-
nal cells for the computation of internal results and body
forces are either provided by the pre-processor or automati-
cally generated where needed by the program. After an elastic
analysis the stresses are computed at cell points. Based on
these stresses, a visco-plastic strain rate is computed for a
given time increment t by
Figure 5. Treatment of rock bolts in a Boundary element analysis,
example of linear cells.

where is the viscosity parameter, F the yield function, Q the
flow function and
This means that if the yield function is smaller than 0 no
visco-plastic strains are generated. The plastic strain rates are
converted into stresses by
The modeling of rock bolts depends on whether they are
fully grouted or not grouted. In the case of fully grouted rock
bolts, cells are introduced as shown in Figure 5. First an anal-
ysis is carried out without rock bolts and the displacement
at the location of the cell nodes are obtained using the fun-
damental solutions. In the simplest case a linear variation of
displacements is assumed within a cell. This means that the
strain in the cell is constant and can be computed from the
nodal displacements in the (local) x-direction as:

Since the rock bolt (represented by the cell) has a different

and integrated over cells as explained in the previous sec-
tion. The analysis proceeds in time steps until either stationary
conditions have been achieved or a new construction stage is
applied. More details are available in (Ribeiro et al, 2006).
Figure 4 shows an example of an analysis where cells have
been generated automatically by the program. Shown in the
Figure are the generated cells and the boundary between the
elastic and plastic zone.
modulus than the surrounding rock mass the stresses due to a
given longitudinal strain will be different in the bolt (computed
by the cell end displacements) and in the rock mass (com-
puted using internal result computation and the fundamental
solutions).
This stress difference has not been accounted for, in the first
analysis. Therefore a correction of the amount

(where EBolt is the modulus of elasticity of the rock bolt and

3.4 Ground support Erock the one for the rock mass) has to be applied.
This is treated as a body force in a similar way as explained
In tunneling basically 3 types of ground support are used:
previously. The problem is again solved with an iterative pro-
Rock bolts, cable dowels, pre-stressed anchors cedure which is thought to have converged when the stress
Shotcrete correction is below a specified threshold. To improve the accu-
Forepoling, pipe-roofing. racy, one may either use a greater number of cells or increase

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2007 Taylor & Francis Group, London, UK


Figure 6. Modeling of fore poling with parabolic beam elements.
the order of the interpolation function to quadratic (which
would mean a linear variation of the strains in the cell. In the
case of partially or not grouted bolts slip is allowed between the
bolt and the rock mass by the introduction of springs between
the bolt element and the rock mass.
For the modeling of shotcrete, shell finite elements with 3
displacement and 2 rotational degrees of freedom are used.
First the rotational degrees of freedom are condensed out and
then the displacement degrees of freedom coupled to the nodes
of the BE mesh. Due to the fact that the development of the
BEM software works on the principle of stiffness matrices
the coupling to finite elements is easy as finite elements are
treated in the same way as BE regions.
Fore-poling and pipe-roofing are support measures taken
in the case of bad ground conditions: Holes are drilled ahead
of the tunnel face to form an umbrella under which excavation
can proceed. In these holes pipes are placed that can be filled
with grout. The modeling of this type of support is similar to
the one used for the rock bolts except that in this case beam
elements with a bending stiffness are used (Figure 6). From
the displacements at the nodes associated nodal point forces
are computed via the stiffness matrix of the element. Using
the principle of virtual work as explained in (Beer, 2001) the
nodal point forces can be converted into tractions acting along
the cell. Again, if the modulus of the beam cell is different to
the one assumed for the ground, the pressures for the cell will
be different to the one computed as internal results by the
BEM program. This difference in the pressure is then applied
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2007 Taylor & Francis Group, London, UK
Figure 7. Pre-processor: Specification of the excavation geometry.
as a residual stress the same way as for the bolt element. From
then on the iterative procedure is identical.
4 USER FRIENDLY PRE-PROCESSOR
As the reader can see there is already a significant gain in user
friendliness of the BEM as compared with the FEM. How-
ever, the specification of a boundary element mesh and the
excavation sequence as well as the description of the geolog-
ical conditions may still be too cumbersome for everyday use
by practical engineers. Therefore a graphical pre-processor
was developed that allows the user to specify a design with a
minimum of effort.
The first step in the pre-processor is to define the cross-
section of the tunnel, including interfaces between two exca-
vation sections. The program then automatically generates the
BE mesh for one slice of the tunnel. In the example shown in
Figure 7, it is intended to excavate the top heading first and
then the invert (providing ground support at each stage). The
BE mesh for the slice therefore consists of two BE regions.
The next step is then to copy the slices n times (where n is
the total number of excavation stages) in order to arrive at the
total mesh for the tunnel.
In a second stage the user specifies the excavation/ con-
struction sequence using a specially developed tool. In this
tool the user may at each step excavate a region or/and spec-
ify ground support. Figure 8 shows an example on how the
construction stages can be displayed using a slider (bottom
left annotated Timestep). As the user moves the slider the
excavation stages are displayed in real time.
The intention is that the geological features are automat-
ically read in form a data base and the internal cell mesh
generated unbeknown to the user.
Ground support is specified also in a user friendly way: The
application (and if necessary removal) of shotcrete is specified
when the excavation sequence is specified. The rock bolts are
specified as bolts per m2 and the fore poling by its extent,
angle and diameter of the pipes.
5 EXAMPLE OF APPLICATION
One example of application of a 2-D analysis is given here.
It relates to the sequential excavation of a cavern for an
underground water power station.

Figure 8. Pre-processor: Display of excavation stages, defined (red
areas denote shotcrete).
Figure 9. Geometry of the cavern and discretisation into boundary
element regions.
The geometry of the cavern and the excavation sequence is
shown in Figure 9. For the analysis 1 infinite region and 12
finite regions were defined. The analysis process started with
applying the pre-excavation stress field. The excavation con-
struction sequence was then simulated by removing regions
and adding rock bolt and shotcrete elements.
Figure 10 shows one result of the analysis namely the zones
in the rock mass that are predicted to undergo visco-plastic
straining at excavation stage 5. The visco-plastic points are
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Figure 10. Results for excavation stage 5: Extent of visco-plastic
zone (stationary conditions).
Figure 11. Distribution of plastic strain in cells.
Figure 12. Forces in the rock bolts.
marked with crosses inside the (automatically generated) cells.
The amount of plastic straining is shown in Figure 11 and the
forces in the rock bolts in Figure 12.
6 CONCLUSIONS
A major development is underway within the integrated Euro-
pean project TUNCONSTRUCT, whose main aim is to make
3-D numerical simulation a routine tool for the tunneling
engineer. This is achieved by using a boundary based rather
than a volume based method. However, the Boundary Element
Method requires significant further development before it can
be applied to tunneling problems. In this paper it is shown
how all the features that are required for the application of
the method to tunneling can be implemented. A user friendly
interface was also developed that allows users to specify a
particular excavation design intuitively without ever worrying
about mesh generation.
 It is envisaged that all data related to the rock mass are read
in automatically form a data base. For this an underground
construction information system (UCIS) will be established
in the project. The geological data of a project will be stored
there and using geostatistical and upscaling methods as for
example shown by (Beer and Exadaktylos, 2007) the material
properties defined. A hierarchical material model has been
proposed where the model sophistication is adapted to the
available parameters.
The important feature of the development is that geological
information is automatically converted to numerical informa-
tion for the numerical model. However, it is envisaged that
the user can interfere and change the automatically generated
values at any stage.
Those interested in the development of the model can con-
sult the TUNCONSTRUCT webpage www.tunconstruct.org
where news of the development will be disseminated.
REFERENCES
Beer G. (2001), Programming the Boundary Element Method,
J.Wiley, Wien/New York.
Beer G., Exadaktylos G. (2007) Consideration of geological con-
ditions in numerical simulation, 5th International Workshop on
Applications of Computational Mechanics in Geotechnical Engi-
neering, Guimares, Portugal.
Duenser Ch. (2001) Simulation of sequential tunnel excavation with
the boundary element method, PhD dissertation, Graz University
of Technology.
Ribeiro T.S.A., Beer G., Dnser Ch. (2006) Efficient elasto-plastic
analysis with the Boundary Element Method, Computational
Mechanics, in press.

ACKNOWLEDGEMENTS

The authors gratefully acknowledge the support of the Euro-

pean Union under contract IP011817-2 as well as the Aus-
trian science fund (Project No. P15523-N07). Thanks are
also due to Tatiana Ribeiro, who was responsible for the
implementation of plasticity.

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 Alternative support designs for tunneling gypsiferous-anhydritic claystones

I.R. Berdugo, E.E. Alonso, A. Gens & E.E. Romero

Department of Geotechnical Engineering and Geosciences, UPC, Barcelona, Spain

ABSTRACT: The paper presents the case of a railway tunnel excavated through Tertiary gypsiferous-anhydritic claystones
from the Lower Ebro Basin (Northern Spain) in which large expansive phenomena were observed during construction. Five test
sections with resisting and yielding supports were constructed and exposed to the action of environmental conditions imposed
by natural ventilation into the tunnel. In addition, three of those sections were subjected to flooding using water from the rock
massif. The performance of these tests sections is summarized and some explanations for the observed behaviour are proposed.

1 INTRODUCTION

Damage and failure of tunnels excavated through Triassic

rocks from both the Middle Keuper (Gipskeuper) and the
Muschelkalk (Anhydritgruppe) in Baden-Wrttemberg (Ger-
many) and Jura Mountains (Switzerland) have been analyzed
by many authors during decades. Recent key contributions to
the study of swelling in hard gypsiferous-anhydritic clayey
and marly rocks have been made by Kovri & Descoeudres
(2001), Amstad & Kovri (2001) and Wittke (2006).
Generally the magnitude of expansive phenomena observed
in gypsiferous-anhydritic claystones far exceeds the expan-
sivity threshold of most hard soils and soft rocks, which are
well-known because of their high expansive potential.
Recently, the authors were involved in the analysis of
swelling phenomena which affected three tunnels of the
new high speed railway Madrid-Zaragoza-Barcelona during
construction. These tunnels were excavated through Tertiary
moderately soft gypsiferous-anhydritic claystones from the
Lower Ebro Basin (Northern Spain). The case of Lilla tunnel,
the longest of those tunnels is presented in this paper.
2 GENERAL FEATURES OF LILLA TUNNEL
Figure 1. Geological longitudinal section of Lilla tunnel.
Ground water in the tunnel is highly mineralized, with
important contents of both sulphates (1783 mg/l) and calcium
(500 mg/l). Laboratory measurements indicated that this water
imposes a relative humidity between 91% at 5 C and 93%
at 30 C. These values of temperature correspond to extremes
measured in the tunnel during one year of monitoring. On
other hand, thermodynamical analyses of the saturation index
for gypsum of the groundwater indicated that for the environ-
mental conditions imposed by the natural tunnel ventilation
gypsum could to precipitate only at a temperature below 10 C.
However, the temperature in the tunnel is often somewhat
above 10 C.

2.1 Geology 2.2 Technical features of design and tunneling

Lilla tunnel crosses a relief composed by hills and valleys
on the left bank of the Francol river -near Montblanc (NE
Spain)-, following a N-S route with a maximum gradient of
2.5%. The tunnel runs through Early Eocenic argillaceous
rocks containing anhydrite and a complex system of cross-
shaped moderately dipping fibrous gypsum veins. The exca-
vated material consists basically of a horizontally-oriented
monotonic series of gypsum-bearing brown argillaceous rocks
(Fig. 1). Gypsum is mainly present as millimetric and cen-
timetric fibrous veins, as well as small nodules and flakes.
Locally, grey alabastrine gypsum occurs in subhorizontal
strips in the host rock. The host argillaceous matrix is consti-
tuted by phyllosilicates (illite and paligorskite), by minerals
rich in magnesium and calcium (dolomite) and, to a lesser
extent, by quartz. Expansive clays were only detected in iso-
lated points of the matrix. An important aspect is the existence
of a persistent system of open low friction-angle slickensided
surfaces. It is related to strong kneeling folds produced by the
high curvature radius of the regional tectonic.
The tunnel has a length of 2 km and it was originally excavated
whit a horseshoe cross-section of 117.3 m2 (radius of the vault:
6.76 m). Overburden varies between 10 m and 110 m. Support
design was carried out in accordance with the Convergence-
Confinement Method and excavation was created by drill and
blast from the two portals, dividing the section into head and
bench.
Temporal supports consisted in sprayed concrete and rock
bolts; steel arch ribs (HEB 160) were only installed in zones
of low quality rock. Lining consisted in 300 mm thick mass
concrete (25 MPa). A 300 mm thick flat-slab constructed in
mass concrete (20 MPa) was placed on the tunnel floor, but
it was only concreted after the total excavation of the bench.
Therefore, the floor of the tunnel was exposed to the action of
environmental agents during the construction period.
Due to the low permeability of the massif, waterproofing
of the excavated section was restricted to portals using a geo-
textile of 500 g/m2 placed over a 1.5 mm thick PVC sheet
located between the support and the lining. The longitudinal

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 In the second zone three stretches with circular sections

Jan-03

Jan-04
Oct-02

May
were built. The first stretch (20 m long) was designed accord-

Nov
Dec

Aug
Sep

Nov
Dec
Feb
Mar

Jun
Apr

Oct
Jul
ing to the principle of resisting support; whereas the other two
800
(both 10 m long) were designed according to the principle of
411+880 yielding support, one included slots in the contact between
700 m
46 411+420 the vault and the invert and in the other, a polyurethane
6.
foam (150 mm approximately) was placed in the interface
600
rock-invert.
Flat-slab heave (mm)

411+900 These circular sections were designed adopting a total radial

500
411+540
400
411+380
300
411+920
200
100
0 Slab axis reference at 9/20/02
0 100 200 300 400 500
Time (days)
Figure 2. Heave evolution in some sections with flat-slab.
drainage system was composed of a 500 mm dia. PVC col-
lector, located 1.4 m below the floor. Underneath, a 200 mm
gravel filter layer was constructed. Water from the vault was
collected in box-type manifolds, uniformly distributed along
the tunnel floor.
2.3 Expansive phenomena during construction
First expansions were detected in the flat-slab in September/
October 2002, just after it was built. Large expansive phe-
nomena occurred in a generalized way at floor level, but
movements were only slight in the unlined vault. The heave
was followed by damage to the longitudinal drainage system
and, finally, by local failures of flat-slabs.
Figure 2 illustrate the evolution of heave in critical stations
with flat-slab, which were monitoring as a part of the study of
the case.
3 ALTERNATIVE SUPPORT DESIGNS
Once the first expansions were detected, a study was under-
taken to clarify the following aspects: (i) the stability con-
ditions in the tunnel at the beginning of the expansive
phenomena, (ii) the most probable cause of the expansions,
(iii) the foreseeable evolution of the swelling, and (iv) the tech-
nical alternatives to reinforce the tunnel cross-section. This
paper summarizes the results of the last of those items.
Two zones were selected to carry out full scale swelling
tests using sections with both resisting and yielding supports
and select the alternative support design most convenient for
the tunnel. In the first zone two stretches with invert-arch
were built: (i) invert-arch of 400 mm (184 meters in length)
and (ii) invert-arch of 600 mm (110 meters in length). Inverts
were designed adopting a total radial pressure of 0.5 MPa, the
maximum swelling pressure obtained in laboratory tests on
undisturbed samples.
pressure of 3.0 MPa, in accordance with the maximum values
measured near abutments of invert-arches after 4 months of
monitoring.
Tests sections were exposed to the action of environmental
conditions imposed by the natural ventilation into the tunnel.
However, circular sections were initially flooded under con-
trolled conditions using water from the rock massif. The direct
access of water from the tunnel floor to the rock was possible
due to a series of boreholes drilled after building the circular
sections. The flooding period was of 30 days.
Displacements of the ground were measured using slid-
ing micrometers and floor heave was monitoring by means
topographic methods. Total radial pressures at the interface
rock-lining were obtained by means of pressure cells installed
at invert and roof levels. Finally, pore water pressure in
the foundation material was monitoring using vibrating wire
piezometers.
In addition to the building of test sections, boreholes using
the dry drilling-double casing technique with continuous sam-
pling of high diameter core specimens were executed before
starting the in situ tests in order to evaluate the composition
and geotechnical properties of the foundation material.
Laboratory studies were undertaken to gain knowledge on
the mechanisms of swelling and to develop suitable constitu-
tive and large scale models of the expansive phenomena.
4 PERFORMANCE OF TEST SECTIONS
All test sections were affected by large expansive phenomena
occurring in a generalized way in the foundation material, but
movements were only slight in the vault. Expansive phenom-
ena evolved systematically without a clear limit for both heave
and pressures in some cases.
4.1 Test sections with invert-arch
Figure 3 indicates that in the critical station with invert-arch
(411 + 663) a maximum heave of 27 mm was measured 10
months after its construction. In general, invert-arches were
relatively effective reducing vertical displacements at floor
level regarding to the performance of the flat-slab. Neverthe-
less, once inverts were constructed high total radial pressures
were measured at the rock-concrete contact.
Figure 4 indicates that with independence on the invert
thickness, in some cases a sort of reactivation of pressures
was the characteristic behaviour (stations 411 + 609 and
411 + 849), whereas in other cases pressures evolved system-
atically without an asymptotic tendency (stations 411 + 669
and 411 + 769). In spite of relatively high values of vertical
displacements measured in inverts total radial pressures up
to 4 and 5 MPa were measured in some stations. Hence, this
support alternative implies the coexistence of both relatively
high displacements and very high radial pressures without
the guarantee of a long-term acceptable performance of the
tunnel.

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2007 Taylor & Francis Group, London, UK

 Feb-03

Jan-04
May

Aug
Sep

Nov
Dec
Mar

Jun
Apr

Oct
Jul
30
411+663
4 6m
6.
Invert-arch heave (mm)

20

411+688
411+832
411+713
411+638
10

Slab axis reference at 9/20/02

0

Figure 5. Occurrence of neo-formation gypsum crystals below the

invert-arch in station 411 + 600.
0 100 200 300 400
Time (days)
4.2 Circular test sections
Figure 3. Evolution of heave in critical sections with invert-arch. The selection of circular section was based on the criterion
that with a circular geometry it could be possible to remove
an important component of the active zone, principally in the
Dec-02
Jan-03

Jan-04

axis of the cross-section (4 m in the case of the flat-slab and

May

May
Aug
Sep

Nov
Dec
Feb
Mar

Feb
Mar
Jun

Jun
Apr

Oct

Apr
Jul

Jul

2.2 m approximately in the case of the invert-arch of 600 mm).

6
In these conditions the eventual development of a new active
Total radial pressure (MPa)

411+829 (3)
Concreting the inverts

5 411+609 (1) zone below the new circular section would be the key factor
411+629 (1) controlling the behaviour of the ground and the parameters
4 411+669 (1)
for the definitive reinforcement of the tunnel.
3 2 1
411+769 (1)
3 The dependence of swelling pressure on rigidity of the sup-
411+749 (3)
port was clearly apparent in the circular tests sections, as
2 illustrated in Figure 6. In this case expansions began before the
1 411+589 (3)
artificial flooding possibly due to groundwater flow induced
Invert: 600 mm
Invert: 400 mm
by the tunnel excavation before the building of circular tests
0 sections.
0 100 200 300 400 500 600 At first sight, the benefits of using a yielding support as an
Time (days) alternative to reducing swelling pressures is indisputable, in
spite of the linear increase of pressure detected in some cells
Figure 4. Evolution of total radial pressure in critical sections with installed in the sections with slots. Figure 7 shows that the
invert-arch. low relative magnitude of swelling pressure in yielding sup-
port systems is related to the increase in extent of the active
zone with regard to the case of a resisting support. The conse-
Continuous profiles of vertical displacements below invert- quence of facilitating the occurrence of displacements in order
arches obtained by means of sliding micrometers indicated to minimize the swelling pressure is the exposure of the foun-
that expansions were concentrated within a zone 4.0 to 5.5 m dation material to the continuous degradation associated with
in depth, which remained basically invariable during the mon- swelling, just as was observed in test sections with flat-slab.
itoring program (10 months). In the studied rock profiles the
active zone was characterized by occurrence of neo-formation
gypsum needles on relic slickenside surfaces opened by the 5 SUMMARY AND CONCLUSIONS
excavation. Another outstanding aspect was the existence of
neo-formation gypsum aggregations in relatively confined The expansion is mainly caused by the presence of water,
discontinuities of samples recovered below the active zone, which drains naturally and concentrates, due to gravity, in
which could be related with a sort of wedge effect capable the lower part of the tunnel. In the presence of some water,
of moving parts of the rock mass as a rigid body in addition to the expansion mechanisms will be triggered. The crown and
the expansive mechanisms occurring in the active zone. These abutments do not show swelling as there is no water avail-
details are illustrated in Figure 5. able. Water from different sources concentrates in the lower
After demolition of test sections signs of transformation of part of the tunnel (natural leaking, flow from portals through
anhydrite into gypsum were not observed; on the contrary, the drainage, water injected during excavation works and after
it was apparent in several cases that anhydrite nodules were boring and, eventually, water coming from circulating trains
covered either partially or totally by neo-formation gypsum during the exploitation of the tunnel). On the other hand, null
needles configuring a surface able to isolate -and eventually damage to the rock cannot be guaranteed because the excava-
protect-, the material from continuous dissolution. tion implies, at least, a significant change in the stress state

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2007 Taylor & Francis Group, London, UK

 In Lilla, stress relief due to excavation was the main cause
May-03

Jan-04
of opening of both slickensided surfaces and fissures in the

May
Aug
Sep
Nov
Dec
Feb
Mar
Jun

Jun
Oct

Apr
Jul

Jul
foundation material. The flow of sulphate-rich water coming
2.00
Resisting support 4 from overburden was the responsible for changes in relative
1.60 5 composition of the solid phase due to crystallization of gyp-
Concreting

Flooding

m
412+552 3

0
sum. However evidences of transformation of anhydrite into

6.
1.20 2
gypsum were not detected in the ground.
0.80 Under appropriate relative humidity conditions, the precip-
0.40 1 itation of gypsum and other types of hydrated sulphates from
5 1
4 2 rock massif water is thermodynamically possible. Therefore,
Total radial pressure (MPa)

Yielding support - Slots swelling phenomena could be related partially with crystal
0.16
Concreting

Flooding

growth in discontinuities and evolve systematically in time if

m
412+574

0
an effective vapour transfer from the groundwater to the atmo-

6.
0.12 4
5 SLOTS sphere is permitted. In fact, the opening of the tunnel implies
0.08 1
the existence of a relative humidity lower than 100% acting
2
0.04 5 1 on the tunnel surface; which is systematically being wetted by
4 3 2 a groundwater imposing a relative humidity of about 92%.
Yieldingsupport - Foam The behaviour of the ground below circular tests sections
0.80
Concreting
Flooding

could be explained as a result of the combined action of two

m
412+590
0
6.

0.60 extreme situations: permanent wetting associated whit tun-

FOAM nelling induced drainage and permanent evaporation due to
0.40 1
3 the interaction of the rock with the natural tunnel ventilation
0.20 5 through the void holes after the initial flooding. As mentioned
4 1
0.00 5
4 3 2 in Section 3, the flooding was applied only during 30 days.
0 100 200 300 400 Then circular test sections were effective vapour sinks that
generated a continuous evolution of expansive phenomena,
Time (days)
locally controlled by the support rigidity.
Figure 6. Evolution of total radial pressure in the invert of circular Finally, it should be added that the swelling behaviour
test section subjected to flooding. of sulphate bearing rocks cannot be fully identified at the
scale of laboratory experiments. The field scale is needed to
Depth (m) Depth (m) Depth (m) Depth (m) understand the relevant processes.
1 1 1
2 2 2 2
3 3 3 3 REFERENCES
Dec 2003
Oct 2003
Jan 2004

Jan 2004

4 4 4 4
5 5 5 5
Amstad, C. & Kovri, K. 2001. Untertagbau in quellfhigem fels.
6 6 6 6
7 7 7 7 Eidgenssisches Departement fr Umwelt, Verkehr, Energie und
Sep 2003

Sep 2003

Sep 2003

Sep 2003

8 8 8 8 Kommunikation (UVEK) & Bundesamt fr Strassen (ASTRA),

EIC2 9 EIC1 9 EIC2 9 EIC1 9 Zrich.
Kovri K. & Descoeudres, F. 2001. Tunnelling Switzerland. Swiss
-4 -2 0 -4 -2 0 -4 -2 0 -4 -2 0 Tunnelling Society.
Relative displacement (mm/m) Relative displacement (mm/m) Wittke, M. 2006. Design, construction, supervision and long-term
Resisting support: 412 + 552 Yielding support-slots: 412 + 574 behaviour of tunnels in swelling rocks. In Van Cotthen et al. (ed.),
(a) (b) Multiphysic coupling and long term behaviour in rock mechanics;
Proc. intern. symp., Lige, 912 May 2006. London: Taylor &
Figure 7. Relative displacements profiles in circular tests sections Francis Group.
with resisting support and yielding support (slots).

surrounding the excavation. Even if average stresses were

maintained, deviator stresses would significantly increase.The
probable anisotropic initial stress states in the rock with Ko > 1
enhance the plastification of the rock in the invert (and vault).

778

2007 Taylor & Francis Group, London, UK

 Analysis of fracture imprints for appropriate selection of interpanel lead/lag
distances in South African gold mines

T. Rangasamy
Middindi Consulting (Pty) Ltd, Johannesburg, Gauteng, South Africa

ABSTRACT: The configurations associated with longwall and scattered mining methods adopted in South African gold
mines lends itself to the formation of leads and lags between panels. Widespread opinion exists amongst South African rock
engineering practitioners that there is a relationship between rockfall (aseismic) and rockburst (seismic) risk and the distance
between leading or lagging panels. Stress fracture mapping was conducted in the face and gully areas of selected panels in a
wide range of gold mines in the Witwatersrand Basin, South Africa as part of a Safety in Mines Research Advisory Committee
(SIMRAC) funded project to test the hypothesis that: Interpanel lead/lag distances have an influence on the spatial distribution,
frequency and orientation of fractures and hence potential undesirable fracture imprints can be used to allow for appropriate
selection of interpanel leads and lags. A four-pronged approach was adopted to optimise the selection of lead/lag lengths for
quasi-static conditions. The choice of different methods was selected to test and ratify the validity of the final outcome i.e.
quantifiable lead/lag lengths. Guidelines have been formulated to assist rock-engineering practitioners to optimize the selection
of interpanel leads and lags for the different reef types in the South African gold mining industry.

1 INTRODUCTION conditions. The choice of different methods was selected to

test and ratify the validity of the final outcomes (quantifi-
The mining methods adopted in intermediate to deep tabular able lead/lag lengths). The approaches adopted were geared
gold mines in South Africa lends itself to the formation of towards:
interpanel leads and lags. Fracture mapping was conducted in
Establishing the relationship between rock mass ratings and
the face and gully areas of selected panels in a wide range of
lead/lag lengths
gold mines in the Witwatersrand Basin, South Africa. The
Establishing the relationship between fracture frequency
intention of the fracture mapping exercise was to test the
and lead/lag lengths
hypothesis that:
Establishing the relationship between the potential for
Lead/lag distances have an influence on the spatial dis-
wedge/block/keyblock unravelling and lead/lag lengths
tribution, frequency and orientation of fractures and hence
Supplementing work done previously by Turner (1989) on
potential undesirable fracture imprints can be used to allow
siding parallel fracture extents.
for appropriate selection of interpanel leads and lags.
A work programme was planned, scheduled and vetted by
the Council for Scientific and Industrial Research (CSIR),
Natural Resource and the Environment (NRE) under the aus-
2 FRACTURE CATALOGUES
pice of the Safety in Mines Research Advisory Committee
(SIMRAC). This work programme entailed:
2.1 Site selection
The mapping of fractures at fourteen (14) sites yielding 26
Sites for fracture mapping were selected on the basis of min-
scanlines
ing methods employed, variations in lead/lags and type of
The calculation of rock mass ratings for the sites and relating
reef being exploited. Basic descriptions of the sites and typ-
these ratings to interpanel leads/lags
ical panel configurations are shown in Table 1 and Figure 1,
An assessment of the kinematic likelihood of rock/wedge/
respectively.
keyblock unravelling and relating these to interpanel
All sites were within intermediate (10002250 m below sur-
lead/lag distances (not addressed in this paper)
face) to deep mining environments (>2250 m below surface).
An attempt to conduct borehole camera surveys ahead of
Of the 14 sites, five were mining the Ventersdorp Contact
the lagging face using face perpendicular and face parallel
Reef (VCR), three the Basal Reef, one the Carbon Leader
diamond drilled holes
Reef (CLR), two the Vaal Reef (VR), two the Main Reef and
A Code of Practice review of the status quo regarding
one the B Reef. Regional mining configurations (Figure 1)
interpanel lead/lag distances
are variations of panels within extended dip or strike spans
Additionally, the data from the catalogue was used to aug- mining into extensive unmined ground or panels approaching
ment previous work done of fractures related to variations in extensive mined out abutments.
lead/lag distances for different reef types. The frequency distribution (Figure 2) of scanline data sets
The fracture mapping study relates only to quasi-static shows, as expected, a skew towards samples in the 0 m to 20 m
conditions and any potentially damaging seismic events will lead length range. Further work should focus on creating a
impose further restrictions and requirements for selecting fracture data set that is within the 40 m to 100 m range. Data
optimum lead/lags. A four-pronged approach was adopted within the said range would improve the resolution of results
to optimize the selection of lead/lag lengths for quasi-static presented in this section.

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2007 Taylor & Francis Group, London, UK

Table 1. Basic site descriptions. 9

Mine / Reef Mining Interpanel Depth 8

Shaft mined method lead (m) (m) 7

Number of samples
y= -3.1214Ln(x) + 5.6587
Kloof 1 VCR* Sequential grid 7.6 2950 6 R2 = 0.8885
Bambanani 4 BR* Longwall 7.6 3172 5
Kloof 3 VCR Sequential grid 7.9 2352
Kloof 7 VCR Sequential grid 8.2 2848 4
Kloof 1 VCR Longwall 8.4 2573 3
Driefontein CLR* Longwall, 10.0 3200
5E Sequential grid 2
Kloof 1 MR* Sequential grid 10.2 2035 1
Bambanani 4 BR Longwall 11.7 3161
Masimong 5 BR Scattered 18.2 1940 0
0-10 10-20 20-30 30-40 40-50 50-60 60-70
Masimong 5 B Reef Scattered 19.8 1810
Great Noligwa VR* Scattered 20.0 2274 Lead length (m)
Great Noligwa VR Scattered 24.0 2287
South Deep VCR Longwall 34.2 2424 Figure 2. Distribution of sample sites within ranges of lead
Kloof 1 MR Sequential grid 55.0 2453 distances.

* VCR = Ventersdorp Contact Reef, BR = Basal Reef, CLR = Car-

bon Leader Reef, MR = Main Reef, VR = Vaal Reef.

Figure 3. Scanline layout adopted.

Figure 1. Ascending order of lead distances at fracture mapping
sites.
2.2 Scanline mapping method
A template for the scanlines was designed based on adapta-
tions of work done by Watson (2005) for the South African
platinum mining industry. Information contained in the tem-
plate and retrieved during the scanline mapping included
typical input data for rock mass classification schemes such as:
The type of fracture ( joint, stress, bedding, flow structure,
fault, dyke) intersected by the scanline
The orientation (dip angle and dip direction) of the fracture
The visible length of the fracture
Aperture and roughness
Infilling
Rock type
Water infiltration
Rock Quality Designation (RQD)
Fractures were mapped onto a scanline (Figure 3) that was
placed on the hangingwall of the face area at approximately
3 m back from the face and along the updip side of the gully.
Although every effort was made to map at least two-thirds
of the face scanline and the complete gully scanline, ambient
environmental and safety related issues prevented this from
being achieved in all scanlines.
3 RELATIONSHIPS BETWEEN ROCK MASS RATINGS
AND PANEL LEADS
Bieniawskis (1989) rock mass classification (RMR), Laub-
scher & Taylors (1976) modified rock mass rating classifi-
cation (MRMR) and the Norwegian Geotechnical Institutes;
Q-system were applied to the fracture catalogues and com-
pared to lead/lag distances. The descriptions of the derivation
and applications of these systems are contained in numerous
geotechnical and rock engineering literature and are thus not
repeated.

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2007 Taylor & Francis Group, London, UK

 100 100

90 90
80
80
70
70
60
60

RMR
MRMR

50
50
y= -0.2338x +49.174 40
40 R2 = 0.1413 30
30 20
Average RMR for all sites = 68
20 Average MRMR for all sites = 45 10 equating to a lead = 15m
10 equating to a lead = 17m 0
0 10 20 30 40 50 60 70 80 90 100
0 Interpanel lead (m)
0 10 20 30 40 50 60
Interpanel lead (m) Figure 5. MRMR related to interpanel lead distances.
Figure 4. RMR related to interpanel lead distances.
10.000

3.1 Rock mass rating (RMR) 1.000

The Rock Mass Rating (RMR) was developed by Bieniawski
(1976) and subsequently further adapted by Bieniawski
(1989). The rock mass is classified using the following
parameters:
Strength of the intact rock
The Rock Quality Designation (RQD)
Spacing of discontinuities
Condition of discontinuities
Groundwater conditions
Adjustments for orientation of discontinuities
The rock mass rating was originally developed for applica-
tion to logged core. For this study, the rock exposed adjacent
to a scanline (tape measure) stretched along the stope hang-
ingwall was viewed as synonymys to drill core. For each
parameter, the numeric value was selected based on obser-
vations made at the fracture mapping sites. The strength of
the rock was estimated from rock strength databases and list-
ings in the mines Code of Practice. For this project, it was
assumed that the hard lava hangingwall of the VCR has an
unconfined strength of 300 MPa, the quartzites of the Vaal reef
and Carbon Leader reef are about 200 MPa, the quartzites of
the Basal and B-reef are about 180 MPa, and the soft lava
hangingwall of the VCR has a strength of about 70 MPa.
The results of the RMR classification are plotted against
lead distance in Figure 4. A best-fit linear extrapolation indi-
cates that the rock mass rating degrades with increasing lead
distance. The data for leads greater than 25 m is sparse which,
suggests caution in using these graphs. Nevertheless, the
spread of data between lead distances of 5 m and 25 m suggests
that a weak relationship exists between RMR and interpanel
lead distance.
The sparse dataset analysed shows that for an average
RMR value of 68 (average of 26 scanlines), a linear best-fit
projection suggests an interpanel lead distance of 15 m.
3.2 Mining rock mass rating (MRMR)
Laubscher & Taylor (1976) suggested modifications to the
RMR system devised by Bieniawski (1989). These MRMR
modifications were intended to cater for the differences in
support requirements between the original civil environment
Q
0.100
0.010
0 10 20 30 40 50 60
Lead (m)
Figure 6. Q values related to interpanel lead distances.
and the mining environment. The modifications represent an
alteration of the individual ratings within the RMR as a func-
tion of weathering, stress environment, excavation orientation
relative to the rock mass structure, and the excavation method.
The MRMR was performed on the same data set used for the
RMR, the results of which are shown in Figure 5.
The following conclusions can be drawn from the MRMR
analyses:
The MRMR classification downgrades the RMR values
between interpanel lead distances of 5 m and 25 m by 30%
The slope of the best-fit linear projection is flatter when
compared to the RMR, which implies that the degradation of
MRMR with increasing lead is not as severe when compared
to the RMR
For an average MRMR of 45 (average of 26 scanlines),
corresponding lead distances should be kept to below 17 m
3.3 Norwegian Geotechnical Institute Q rating
Although the Q rating system is ideally suited for tunnels in
low stress environments, the rating was nonetheless applied
to the data sets for completeness in reporting. Trends between
Q values and interpanel lead distances are not discernable.
The plot of Q rating against lead length (Figure 6) shows
little correlation or trends, though the longest lags have the
lowest rating. If a logarithmic curve is fitted to the outliers,
the Q values tend to drop markedly at an interpanel lead dis-
tance of 32 m. It is iterated that the sparse data for high lead
distances makes the locating of trends and interpretation dif-
ficult. Additionally, the Q rating system has limitations when
applied to an underground mining environment.

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2007 Taylor & Francis Group, London, UK

 1.6 lead distance of 20 m but nonetheless, on the strength of the
1.4
current data, the following conclusions are provided:
fracture spacing (m)

1.2 Exponential decay functions provide the best fit for all
1
data sets
A rapid decrease in the spacing of fractures occurs between
0.8 lead distances of 8 m and 17 m thereafter fracture spacings
0.6 asymptote to 0.3 m
0.4 The inflection point of the curve representing the upper
bound values projected onto the lead distance axis, demar-
0.2
cates the lead distance where a transition of fracture spacing
0 occurs i.e. from rapid decrease to asymptote
0 10 20 30 40 50 60
The curve representing the upper bound values suggests, at
lead (m) its inflection point, that a lead distance of about 17 m is syn-
onymous with a significant change in gradient of fracture
Figure 7. Fracture spacing related to panel leads for all scanlines.
spacing
Dictated by the same logic applied to the upper bound
1.6 values, the best fit line for the combined face and gully
1.4
scanline data suggests a lead distance of 10 m at which
point a significant change in gradient of fracture spacing
fracture spacing (m)

1.2 occurs
1 The results indicate that optimum lead distances, irrespec-
0.8 tive of reef type mined and mining method adopted could
possibly lie between 10 m and 17 m
0.6 A rapid drop in RMR below 80 occurs at lead distances
0.4 greater than 28 m.
0.2
0
0 10 20 30 0 50 60 5 SIDING PARALLEL FRACTURE EXTENTS
lead (m)
Turner (1989) conducted a superficial observation study on the
Figure 8. Fracture spacing related to panel leads for face scanlines. influence of lead length on the fractures associated with lead-
ing corners and sidings. The data retrieved in this project was
fully incorporated into the work on the relationships between
1.4 siding parallel fractures and interpanel leads conducted by
1.2
Turner (1989).
fracture spacing (m)

Turners (1989) analysis showed that beyond a specific inter-

1 panel lead distance, depending on reef type, the extent of
0.8
0.6
0.4
0.2
0
0 10 20 30 40
lead (m)
Figure 9. Fracture spacing related to panel leads for gully scanlines.
4 FRACTURE FREQUENCY ANALYSIS
The possibility of a relationship existing between lead length
and fracture spacing was examined using Figure 7 for all scan
lines, Figure 8 for the face scan lines and Figure 9 for the gully
scan lines. It can be argued that a first pass appraisal of the
combined face and gully data (Figure 7) shows no meaningful
trends since close to 70% of the data set is clustered between
lead distance ranges of 520 m. On inspection of the individual
data sets for the face (Figure 8) and gully (Figure 9) scanlines,
the data is distributed equally on either side of a lead distance
of 20 m. The resolution of the data and the conclusions drawn
could be improved with increased data points greater than a
high frequency siding parallel fractures asymptotes (reaches
a steady near constant value) to a particular distance into the
face of the lagging panel. Roberts et al (2002) concluded from
their observations at the 94 E2 panel face and travelling way at
the edge of the Tau Tona mine Carbon Leader shaft pillar that:
Mining-induced fracturing extended some 20 m down-dip
from the old edge of the shaft pillar, as observed in the access
50 60 dip travelling way and down the 94 E2 face. The strike ori-
entation of these stress-induced fractures was parallel to the
strike of the reef and therefore parallel to the pillar edge.
This observation made by Roberts et al (2002) aided in
selecting the appropriate best-fit curves for the data and
provided evidence that siding parallel fractures tend to not
increase beyond a specific limit beyond a particular interpanel
lead distance. The logic related to and method adopted to eval-
uate the use of siding parallel fracture extents to optimise the
choice of reef specific interpanel leads is as follows:
Siding or gully parallel fractures together with face parallel
fractures forms a complex network of cross-fracturing that
is initiated at the confluence of the toe of the panel and gully
and progresses into the face area of the panel
The cross-fractured zone is often the likely site for rockfall
and rockburst incidences due to the friable, broken nature
of the rock mass
If this zone of highly fractured rock mass is kept to an
absolute minimum then it follows that the extent of the

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2007 Taylor & Francis Group, London, UK

Figure 10. Siding parallel fracture extents as a function of lead for Figure 12. Siding parallel fracture extents as a function of lead for
the VCR. the Vaal Reef.

Figure 13. Siding parallel fracture extents as a function of lead for

Figure 11. Siding parallel fracture extents as a function of lead for
the Basal Reef.
the Carbon Leader Reef.

Ratio of siding parallel fracture extent to lead distance

hangingwall subject to rockfalls and rockbursts will be 2.00

VCR
potentially limited
Siding parallel fracture extent: lead ratio

1.80
Carbon Leader
Turner (1989) showed that the spatial extent of this zone 1.60 Vaal Reef
is directly related to the interpanel lead i.e. the greater the 1.40
Basal Reef

interpanel lead, the greater the extent of the zone until a 1.20
Maximum Fracture extent siding parallel = Lead interpanel x Ratio

limiting lead is reached when the siding parallel fractures 1.00

cease to propagate 0.80

A reasonable area to limit the extent of siding parallel frac- 0.60

tures into the face would be 12 m2 to 20 m2 , which for a face 0.40

to last line of support distance of 4 m equates to 35 m mea- 0.20
sured from the intersection of the face and gully. Figure 1013 0.00
bases the choice of optimum interpanel lead on the extent of 0 5 10 15 20 25 30 35 40 45 50
Interpanel lead (m)
siding parallel fractures for a limiting distance of 3 to 5 m into
the face. Figure 14. Siding parallel fracture extent to interpanel lead ratio.
Plotting the ratio between siding parallel fracture extents
and interpanel leads and relating this ratio to the interpanel
Dynamic influence
lead (Figure 14) provides an indication of the maximum (or
Mining cycles
worst possible) high frequency fracture extent at a specific
Mining logistics
interpanel lead distance. The results of these analyses incor-
porate all reef data and can thus be used universally as a first
pass conservative approach to optimise interpanel leads but
the user must additionally account for: 6 COMPARATIVE ANALYSIS OF METHODS USED

Demand and supply capacity of support systems at the A summary of the optimum lead distances between pan-
lagging face els in longwall and scattered mines based on the various

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2007 Taylor & Francis Group, London, UK

 Table 2. Comparative suggested interpanel lead distances.

Suggested interpanel lead/lag distances for method of analysis

Fracture Siding parallel Wedge Current

Reef type RMR MRMR Q Rating spacing fractures analysis practice

Lack of sufficient data

Lack of sufficient data

Lack of sufficient data

Ventersdorp 7.013.0 510
Contact Reef

Carbon Leader Reef 9.510.5 1015

Inconclusive

Inconclusive
Vaal Reef 4.09.0 510

Basal Reef 6.011.0 510

Combined reefs 15 17 1016.5 6.511 515

methods used is summarized in Table 2. The methods used, If the application of the lead/lag ranges suggested in this
irrespective of reef type, have all indicated that interpanel document results in the relaxing of currently adopted
lead/lag distances should be less than 20 m and greater lead/lags, then an issue-based an continuous risk assess-
than 4 m. ment must be conducted to ensure that the relaxed dis-
The results of the RMR, MRMR and fracture spacing tances does not cause a deterioration in ground conditions.
analyses validates the results obtained using the relation- If conditions deteriorate, the original distances should be
ship between siding parallel fracture extents and interpanel reverted to.
lead/lags. It is suggested that the lead/lag distance ranges
(minimum maximum) listed in Table 2 for the siding par-
allel fracture analysis be adopted in the South African gold 7 CONCLUSIONS
mining industry. For reef types not addressed in this analy-
sis, a match for similarities in geotechnical settings should be Although the sample population was small (26 scanlines), rela-
checked against the four reef types analysed and the appro- tionships were established between interpanel lead distances
priate range chosen. If no match is established, the ranges and RMR, fracture spacing and siding parallel fracture extents.
suggested for the combined reef should be used. The augmenting of the Turner (1989) data with the project data
The following conditions apply and must be evaluated prior provided a combined dataset slightly in excess of 80 sites.
to using the lead/lag distance ranges: The strongest evidence of a relationship existing between
The analysis is based solely on the physical presence of interpanel lead distances and fractures is provided in the sid-
stress fractures and does not account for the influence of ing parallel fracture analysis. The results of this work are
seismicity on rock mass stability. For seismically active recommended as a guide for the South African gold mining
mines, the appropriate analysis must be done to ascertain the industry.
rockburst risks associated with the selected lead/lag range Although the data for the rock mass rating and fracture
The analysis is based on a tolerable siding parallel fracture spacing analysis was sparse, the magnitude of the lead/lag
extent (or cross fractured ground) of 35 m. The require- values suggested by the analysis is in general agreement with
ments on a particular mine may be more stringent. The that obtained from the siding parallel fracture analysis.
design charts should be consulted to establish the appropri- The following further work is recommended:
ate lead/lag distances if the criteria for selecting lead/lags Rock mass ratings have merit for application in the South
is different from those proposed in this paper African gold mining industry but needs to be revised to
The suggested lead/lag ranges can only be implemented account for rock subject to high stresses.
once the support capacity required to maintain stability has A database of 26 scanlines is too little to allow adequate
been designed using appropriate methods analysis and meaningful conclusions to be drawn for the
The augmenting of the datasets used in this analysis with four major gold mining reef types. At least 20 sites per
new fracture information could lead to changes in interpre- reef type is required that covers a wide spread of lead/lag
tation of the results. The user of these graphs is encouraged distances. An extension to the fracture mapping exercise
to collect fracture data from his/her mine to augment and would be prudent.
improve the design charts provided The focus of the project was largely on fracture spacings
Any sound scientific motivation for adopting a lead/lag dis- with a small amount of time dedicated to assessing the per-
tance other than that suggested in this report can supersede formance of support. The evaluation and understanding of
the suggestions of this paper the performance of support in relation to changing lead/lags
Certain geotechnical environments may not be suited to the is a standalone topic and is suggested for inclusion in future
distances suggested in this paper. If this is the case, the user research.
can follow the same methodology adopted in this paper and Consideration should be given to commencing similar
derive his/her own range of lead/lag distances studies in the South African platinum industry.

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2007 Taylor & Francis Group, London, UK

REFERENCES
Barton, N., Lien, R. & Lunde, J. (1974) Engineering classification of
rock masses for the design of tunnel support, Rock Mech., Vol. 6,
No. 4, pp 189236.
Bieniawski, Z.T. (1989). Engineering Rock Mass Classification,
John Wiley and Sons, New York.
Brady, B.H.G. & Brown E.T. 1993. Rock Mechanics for underground
mining. Chapman and Hall, London.
Hoek, E. 2000. Practical rock mechanics. Chapter 3. www.
rocscience.com.
Jager, A. J. & Ryder, J. A. (1999). A Handbook on Rock Engineer-
ing Practice for Tabular Hard Rock Mines, The Safety in Mines
Research Advisory Committee (SIMRAC).
785
2007 Taylor & Francis Group, London, UK
Laubscher, D.H. & Taylor, H.W. (1976) The importance of geome-
chanics classification of jointed rock masses in mining operations,
Proc. Symp. Exploration for Rock Engineering, Johannesburg,
Vol. 1, A.A. Balkema, pp 119128.
Turner, P.A. 1989. The influence of lead length on the fractures asso-
ciated with leading corners and sidings. Technical note No. 5/89.
Chamber of Mines Research Organisation.
Watson, B. 2005. Personal communication regarding the content of
a geotechnical classification sheet. CSIR, Natural Resource and
the Environment.
 Analysis of the behavior of circular openings in rock mass using different
support systems

F.E.E. Mackay
Group of Technology and Petroleum Engineering, PUC-Rio, Rio de Janeiro, Brazil

A.P. Assis
Universidade de Braslia, Braslia, Brazil

ABSTRACT: There has been an increase in the use of underground space, especially in underground rapid transit systems,
hydroelectric systems, caverns, and storage structures, mostly occurring in rock mass. In the past, rock falls were the main
reason for accidents in underground tunneling. However, when jet grouting and rockbolts appeared replacing fragile wood
support structures, the frequency of these accidents decreased notoriously, even though, considering new difficulties imposed
by larger sections and more complicated geological conditions nowadays. Both components allow an almost immediate support
system, providing a fast stabilization of the rock mass itself. Literally millions of rockbolts are installed around the world each
year, and therefore appears the necessity to study these support elements carefully. Consequently, external and internal active
supports were analyzed, in other words the combined use of rockbolts and shotcrete. Five real cases of civil engineering works
in rock mass in different locations around the world were studied in order to get real rock mass parameters and to simulate a
construction of a 5 m diameter tunnel in those cases. The five study cases were: Mina El Teniente in Chile, Rio Grande pumped
storage project in Argentina, Nathpa Jhakri Hydroelectric project in Himachel Pradesh, India, Athens Metro in Greece and The
Yacamb Quibor tunnel in Venezuela. The analysis of the support system was dictated by four geomechanical classifications
(RSR, RMR, Q and RMi) with their respective proposed support systems. The simulation process was done through numeric
simulation by finite elements in three dimensions in the program Plaxis 3D Tunnel. The process of calculating the final safety
factor (SF) for the five study cases was made by the phi-c reduction method in Plaxis 3D Tunnel. The analyses also contemplated
displacements for tunnels without support and for those with support systems.

1 INTRODUCTION 1.2 Cases of study

The main purpose of this work is to evaluate the behavior of
different support systems projects for different types of rock
masses, found in five different civil engineering works that
vary from very good to poor rock mass quality. This evaluation
is made through numeric simulation by finite elements in three
dimensions in the software Plaxis 3D Tunnel.
1.1 Support elements
Shotcrete or jet grouting, is defined as an external active sup-
port system that controls the instability of the rock mass in the
surface of the excavation. This support acts against the insta-
bility of the rock mass, in other words, generating equilibrium
stresses to the displacements of the rock mass, contributing
with an increment in the confinement stress (3 ) of the sur-
rounding, changing in this way, the stress path and the stress
levels. This support can be represented by a distributed force
placed along the surface of the excavation of the rock mass.
Rockbolt is defined as an internal active support system that
controls the instability of the excavation inside the rock mass.
It is an internal linear support attached to the interior of the
rock mass, anchored into two fixed ends, offering a compres-
sive tension to the rock mass among the two anchored points.
This compressive stress is larger than the equilibrium state of
stress. The aim is to improve the quality of the compressive
zone, also offering confinement to the rock mass.
Five real cases of civil engineering works in rock mass in dif-
ferent locations around the world were studied. The main idea
of these study cases is to offer five different rock mass qualities
that vary from very good to poor rock mass quality. The five
cases of study from very good to poor rock mass quality are: El
Teniente mine in Chile, Rio Grande pumped storage project in
Argentina, Nathpa Jhakri Hydroelectric project in Himachel
Pradesh, India, Athens Metro in Greece and The Yacamb
Quibor tunnel in Venezuela. These examples were used to
compare different geomechanical classifications systems:
Rock Structure Rating RSR of Wickham et al. (1972), Rock
Mass Rating RMR from Bieniawski (1989), Rock Tunnelling
Quality Index Q of Barton et al. (1974) and Palmstroms
(1996) Rock Mass Index, and their respective proposed sup-
port systems. Each case acquired a code name, relative to
the civil engineering work analyzed: El Teniente, Rio Grande,
Himachel, Athens and Yacamb.
The parameters of these engineering works were taken to
simulate an hypothetical construction of a 5 m diameter tunnel,
in each of these locations. Then using numerical simulation for
the excavation, the jet grouting and rockbolting process; the
calculation of the factor of safety (SF), failure and displace-
ments of the hypothetical tunnel was achieved. The objective
for each case of study, was to identify the main characteristics
of the rock mass, such as rock type and quality, presenting
geomechanical parameters and analyzing the Mohr-Coulomb
and Hoek-Brown failure criteria of each one. The calculation

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2007 Taylor & Francis Group, London, UK

process was done through numeric simulation by finite ele- Table 1. Principal rock mass properties.
ments in three dimensions in the program Plaxis 3D Tunnel.
Cohesion, friction angle and oedometer modulus were used Case of study GSI Rock type ci
as input parameters in order to simulate the rock mass. With
El Teniente 75 Braden breccia 51 MPa
the help of bibliography and research of these works, param- Rio Grande 75 Massive gneiss 110 MPa
eters of depth, unit weight and rock type were deduced and Himachel 65 Jointed quartz mica schist 30 MPa
other times idealized, always being careful in respecting the Athens 20 Athenian schist 7 MPa
main characteristics of each study case. The principal param- Yacamb 24 Sandstones and phyllites 15 MPa
eter in these deductions was the geological strength index

of the rock mass (GSI). The GSI parameter was presented Intact rock strength.
by Hoek (1998) for the five cases of study, and it served
as a base for retro calculating the geomechanical classifica-
tions of Wickham et al.-RSR (1972), Barton et al.-Q (1974), Table 2. Rockbolt properties.
Bieniawski-RMR (1989) and Palmstrom-RMi (1996).
Property Magnitude Units Abbreviation

2 GENERAL PROCEDURE OF THE NUMERIC Diameter 20 mm D

SIMULATION
2.1 Input parameters
The calculation process begins at the first phase of a civil
engineering underground standard project. This phase con-
templates the knowledge of the local geology and of the
existing geological investigations; which was done using bib-
liography (Hoek 1998). With the available information of the
cases of study and valid deductions it was possible to deter-
mine the rock mass and the depth of the underground work in
matter. Assuming that laboratory and field tests were made,
and through geomechanical classifications, the properties and
parameters of the rock mass were obtained: module of elas-
ticity (Eref ), friction angle () and cohesion (Cref ). In the
numerical modeling of the rock mass, according to each rock
mass, the Poissons ratio () and the specific natural weight ()
was adopted. The constitutive model used for the rock mass
analysis was the Mohr-Coulomb none porous model (merely
for the purpose of not dealing with specific saturated weight,
since it was assumed that the rock mass wasnt in contact
with water). With that information, Plaxis 3D Tunnel calcu-
lates automatically the rigidity parameters, which can also
be introduced in an optional mode. These rigidity parameters
are: the shear modulus (Gref ) and oedometric modulus (Eoed ).
Following Equations 1 and Equation 2:
A rigid interface was adopted for the reason that allows
a more realistic interaction modeling among rockbolts and
shotcrete with the rock mass, confirming that this contact is
rough and not slippery. After evaluating the basic rock mass
properties of each case of study, the rock mass classification
was achieved using RSR, RMR, Q and RMi classification
systems. For the RSR classification of Wickham et al. 1972,
some attributes were idealize; always respecting the main char-
acteristics of the rock mass in each case of study. In the lack
of having detailed information of the rock mass the criteria
of the General Strength Index (GSI) equivalence (Hoek 1995)
was chosen for determining the RMR index and the Q index.
Following the formulations used:
Area 3.14 cm2 A
Module of Elasticity 42 GPa E
Normal Rigidity 13 MN kn = (E)(A)
Load capacity 121 kN Fmax
Where GSI: general strength index; RMR: rock mass rating
Bieniawski (1989) without the presence of water; Q: quality
index of Barton et al. 1974; RQD: rock quality designation by
Deere 1963; Jn: is the joint set number; Jr: is the joint rough-
ness number and Ja: is the joint alteration number. Following
in Table 1 the principal rock mass properties of each case of
study.
Also idealizing some attributes, but always respecting the
main characteristics of the rock mass of each case of study, the
rock mass classification of Palmstroms (1996) was accom-
plished. After classifying the rock mass according to each
method, the procedure continues with the selection of the rock
support of each method. This selection is based on the direct
relationship between the classification system and the rock
support project solution of each rock mass classification. Once
known the requirements of shotcrete and rockbolts for each
support project type, the calculation of the parameters to be
inserted in the program Plaxis 3D Tunnel was made. In order
to model the rockbolts, the parameters were acquired from
tests accomplished by Stjern (1995). For a correct simula-
tion in Plaxis 3D Tunnel the element type fixed end anchor
was used. This element reproduces the characteristics of the
rockbolt appropriately. The characteristics of this rockbolt is
presented in Table 2.
For the shotcrete; the element plate of Plaxis 3D Tunnel
was chosen. The parameters are shown in Table 3.
Once all the material parameters have been settled, the con-
struction of the 2D geometry in Plaxis 3D Tunnel was made,
the diameter of the tunnel was 5 m. For the design of the
geometry it should be taken into account the definition of
the domain, the boundary conditions and the materials to be
used for each simulation. Then automatically Plaxis 3D Tun-
nel turns this 2D Mesh in a 3D Mesh according to how many
2D planes and thickness of the 3D mesh is needed. In all of
the simulations the size of the 3D mesh was 15 m before the
excavation face and 35 m after the excavation face, totalizing

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2007 Taylor & Francis Group, London, UK

Table 3. Shotcrete properties. Table 4. Factor of Safety for the different cases of study.

Property Magnitude Units Abbreviation El Rio

Solution Teniente Grande Himachel Athens Yacambu
Shotcrete thickness e m e
Material section length 1 m b Without 4.55 8.45 2.58 1.35 1.20
Area A m2 A = (e)(b) support
Module of elasticity 25 GPa E Wickham 4.55 8.45 4.08 2.37 1.42
Normal rigidity kn kN kn = EA et al. (1972)
Moment of inertia I m4 I = ((b)(e3 ))/12 Bieniawski 7.07 9.36 4.57 1.62 1.22
Flexional rigidity kf kN m2 kf = EI (1989)
Specific weight 21,7 kN/m3 Grimstad &
Poissons ratio 0,15 Barton (1993) 4.55 8.45 2.58 2.37 1.17
Palmstrom 4.55 8.45 4.37 3.80 1.22
(1996)
Standard shotcrete specific weight from Hoek et al. (1995).

According to the geomechanical classification, there was no need
for support system.

3 RESULTS

In order to calculate the factor of safety (SF) for the five

study cases, the phi-c reduction method in Plaxis 3D Tun-
nel was employed. Following the equation of the SF used by
the program:

Figure 1. 2D finite element mesh for the Athens metro study case.
Support according to Grimstad & Barton 1993. Notice the rockbolts
and shotcrete.
Figure 2. 3D Finite Element Mesh for the Athens metro study case.
Support according to Grimstad & Barton 1993. Note that its not
possible to see all the rockbolts clearly; this is an image problem of
Plaxis 3D Tunnel.
50 meters of longitudinal length. Examples of a 2D and a 3D
mesh are presented respectively in Figure 1 and Figure 2.
For each case of study the excavation was simulated without
support, firstly, representing the natural behavior of the tun-
nel. Then, the other four cases of support systems (RSR, RMR,
Q and RMi) were simulated with shotcrete and rockbolts, in
agreement with the different geomechanical classifications.
In situations where no support was necessary, the simulation
was adopted as a natural behavior of the rock mass. The longi-
tudinal distance assumed between each plane was about 2.5 m
starting from the excavation face. The steps of assembly of the
matrix, vectors, calculation of the equations and the factor of
safety were realized by the program. As for the output data,
the secondary variables (deformations, displacements and ten-
sions) could be presented in a wide variety of graphics. But in
this article the factor of safety will be analyzed only.
where : is the shear strength.
Table 4 presents the results of the factor of safety calculated
by Plaxis 3D Tunnel.
A SF value lower than 1 denotes rupture, for temporary
loading the SF must be more than 1.3 and for permanent load-
ing the SF should be from 1.5 to 2.0. It is important to notice
in Table 4, that some values of SF of the support solutions are
the same as those without support; this is due to the fact that
in some geomechanical classifications there was no need for
a support system.
All of the required support systems showed diversity in the
application of shotcrete thickness and number and spacing of
rockbolts. For the El Teniente case it was needed only a support
system for the geomechanical classification of Bieniawski
(1989). Also in Rio Grande, Bieniawski (1989) demanded the
use of a support system; in this case the largest values of SF
were obtained in relation to the other cases. This is due to the
good quality of the rock mass. In Yacamb it was impossible
to obtain a support system whose SF was more than 1.5. The
largest SF obtained in this case was by Wickham et al. (1972),
with a SF of 1.42, but strangely this same case registered the
largest displacements. However, it is desirable to project a
support system that assists this type of rock mass, maybe it is
necessary to reduce the longitudinal spacings among the lines
of rockbolts, or to approximate the first line of rockbolts to
the face of excavation face.
4 CONCLUSIONS
The analysis of the support system was dictated by four geome-
chanical classifications with their respective project solutions.
Five cases of study were analyzed, each one of them with dif-
ferent parameters of rock mass. In general it can be said that
the analysis covered from a very good quality to a poor quality
type of rock mass. The use of the SF according to the method

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2007 Taylor & Francis Group, London, UK

of the phi-c reduction of the shear strength is a useful alter-
native calculation. This criteria is valid not only in Plaxis 3D
Tunnel, but also in programs like FLAC, Version 4.0 (Itasca
Consulting Group 2002). The analysis in 3D showed that the
displacements in the z axis (Uz) are not significant, but it
is important to consider that they exist. Such it is the Case
Yacamb where these were significant. Analyzing the behav-
ior of the project solutions for all of the cases of study, just for
the SF, the solutions by Wickham et al. (1972) presented, on
average, the largest values of SF and the ones of Grimstad and
Barton (1993) the smallest. Also just analyzing the amount of
support material needed for each case, the solutions by Grim-
stad and Barton (1993) supplies the lowest volume of shotcrete
by longitudinal meter of tunnel and the solution by Wickham
et al. (1972) the smallest length of rockbolts per meter of
tunnel. In general for all of the cases, the highest values of
displacements happened in the walls of the tunnels, due to the
coefficient of passive earth pressure (Ko = 1.5) adopted for
all of the cases.
ACKNOWLEDGEMENTS
The authors would like to express their gratitude to CNPq
(National Counsel of Technological and Scientific Develop-
ment of Brazil) and the University of Brasilia (UnB), for the
scholarship granted to Mr. Mackay during the course of this
work.
REFERENCES
Assis, A.P. (ed.) 2003. Notas de Aula da Disciplina de Tneis e Obras
Subterrneas Programa de Ps-Graduao em Geotecnia.
Braslia:UnB.
Almeida F.F.M. & Ribeiro A.C.O. 1998. A terra em transformao. In
A. M. S. Oliveira & S. N. A. Brito (eds), Geologia de Engenharia:
113. So Paulo: ABGE.
Azevedo I.C.D., Marques, E.A.G. (eds) 2002. Introduo Mecnica
das Rochas. Viosa: UFV.
Beer, F.P. & Russell Jr., E.J. 1981. Resistncia dos Materiais: 1103,
325377, 623645. So Paulo: Mc Graw Hill.
Brinkgreve, R.B.J. & Vermeer, P.A. 2001. PLAXIS 3D TUNNEL.
Netherlands: Balkema.
Desai, C.S. & Siriwardane H.J. 1984. Constitutive laws for engineer-
ing materials with emphasis on geologic materials. New Jersey:
Prentice-Hall.
Farias, M.M., Moraes, A.H. & ASSIS A.P. 2004. Displacement con-
trol in tunnels excavated by the NATM: 3-D numerical simulations.
Tunnelling and Underground Space Technology: 283293.
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Fialho, J.R.R. 2003. Desempenho de Sistemas de Suporte de Estru-
turas Subterrneas por meio de Modelagem Numrica, Disser-
tao de Mestrado, UnB. Braslia: UnB.
Frasc M.H.B.O. & Sartori, P.L.P. 1998. Minerais e rochas. In A. M.
S. Oliveira & S. N. A. Brito (eds), Geologia de Engenharia: 1538.
So Paulo: ABGE.
Hidalgo, C.A. 2002. Classificao Geomecnica e simulao
Numrica de Estruturas Subterrneas de Barragens. Dissertao
de Mestrado, UnB. Braslia: UnB.
Hoek, E. & Brown, E. 1985. Excavaciones subterrneas em roca.
Ciudad de Mxico: McGraw Hill.
Hoek, E., Kaiser, P.K. & Bawden, W.F. 1995. Support of Underground
Excavations in Hard Rock. Netherlands: Balkema.
Hoek, E. 1998. The Application of Modern Techniques to
Underground Design. Rock Engineering. So Paulo: ABMS-
CBMR-CBT.
Hudson, J.A. & Harrison, J.P. 1997. Engineering Rock Mechanics
An Introduction to the Principles. London: Pergamon.
Itasca Consulting Group. 2002. FLAC VERSION 4.0: 3135, 3138.
USA: Itasca Consulting Group, Inc.
Kareby, B. 1995. Extending the traditional role of rockbolts. Anchors
in Theory and Practice: 335343. Rotterdam: Balkema.
Kovari, K. 2002a. History of the sprayed concrete lining method-part
I: milestones up to the 1960s. Tunnelling and Underground Space
Technology, 18 (1): 5769.
Kovari, K. 2002b. History of the sprayed concrete lining method-part
II: milestones up to the 1960s. Tunnelling and Underground Space
Technology, 18 (1): 7183.
Lauro, C. A., 1997. Anlise da Interao Macio-Suporte em
Tneis Escavados em Rocha. Dissertao de Mestrado, UnB.
Braslia: UnB.
Lauro, C.A. & Assis, A. P. 2001. Analysis and design of rock-support
interaction in underground excavations. In Desai et. al., Computer
Methods and Advances in Geomechanics. 11591166. Rotterdam:
Balkema.
Lauro, C.A. & Assis A.P. 1998. Analysis of ground-support inter-
action for underground excavations in rock. Procedings of the
World Tunnel Congress 98 on Tunnels and Metropolises volume
1: 321327. Sao Paulo: ITA 98.
Magalhes F.S. & Cella P.R.C. 1998. Estruturas dos macios
rochosos. In A. M. S. Oliveira & S. N. A. Brito (eds), Geologia de
Engenharia: 3955. So Paulo: ABGE.
Stjern, G. 1995. Practical Performance of Rock Bolts. Trondheim:
Norwegian Institute of Technology University of Trondheim.
Snuprek, R. & Paloncy, L. 1995. Rock reinforcement by integrated
system of bolting and grouting. Anchors in Theory and Practice:
125130. Rotterdam: Balkema.
Vinueza, G. & Assis A.P. 1994. Classificao geomecnica e simu-
lao numrica de uma mina subterrnea. Anlise e Modelagem
1o Simpsio Brasileiro de Mecnica das Rochas: 133140. Foz de
Iguau: CBMR.
790
 Analytical solution of displacement for circular tunnel
using strain strength criterion

Yanting Chang
WSP Civils, Stockholm, Sweden

ABSTRACT: This paper presents an analytical closed-form elasto-plastic solution for displacement around a circular tunnel.
The solution is based on strain-related parameters such as initial strain, strain boundary conditions and a strength criterion in
term as strains. Engineering approaches based on such strain-related solutions are advantageous for applications in the so called
observational method. This paper will demonstrate that the size of the eventual plastic zone and the strain-related parameters
can be estimated directly by evaluations of measured displacements. These parameters are important to evaluate the observed
tunnel behaviors compared with the expected behaviors.

1 INTRODUCTION to be used in the observational method for fast and reliable

Displacements are often monitored during rock excavations,
not only for monitoring the stability, but also for re-evaluating
the design. For instance, displacement monitoring is an essen-
tial part of the New Austrian Tunnelling Method (NATM).
A design approach known as the observational method,
in which the design is reviewed by measurements during
construction, has been adopted in the Eurocodes. When
using the observational method, the response time of the
instrumentations and the procedures for analysing the results
shall be sufficiently rapid in relation to the possible evolu-
tion of the construction work. At present, back-calculations
based on stress analysis are often performed. But this is a
time-consuming procedure.
Sakurai (1981) developed a strain evaluation method to
determine the strain distribution in an underground opening
directly from the measured displacement. However the method
has not been widely used in rock engineering, partially because
of lack of a general strength criterion expressed in strains.
In order to utilise the approaches of strain analyses in rock
engineering, a general and simple criterion for rock strength
in term of strains has been proposed by Chang (2006), based
on the compilation of test data from the literature. The strain
strength criterion is expressed in term of a linear correlation
between the major principal strain and volumetric strain as
written as follows:
interpretations of field measurements.
2 STRAINS ASSOCIATED WITH TUNNELLING
Before a tunnel excavation, the rock is considered as being
constrained by initial strains, denoted by {o }. During the
course of tunnelling, the strains will be changed from the ini-
tial state {o } to a new state {} in the strain space. The strain
increment due to the tunnel excavation, denoted by {}, can
thus be written as
For the case to be studied in this paper, it is assumed that at the
initial state t = r = z = o ; where o is the initial strain; t ,
r and z is the tangential, radial and longitudinal total strain
respectively. It is also assumed that z = 0 during tunnel
excavation. Equation 2 can thus be explicitly written as follows
for an axi-symmetrical problem:
where t , r is the tangential respective radial incremental
strain due to the tunnel excavation. The relationship between
the incremental strains and displacement is expressed by the
following compatibility equations:

where v is the total volumetric strain; 1 is the total major

principal strain; and c are material constants. Under plane
strain condition, the strain strength criterion can be translated
to the traditional Mohr-Coulomb strength criterion. For engi-
neering purposes, an approach called strain path analysis where u is the radial displacement caused merely by tun-
is introduced (Chang, 2006), so that the results of displace- nel excavation; and r is the radial coordinate measured from
ment measurements can be easily interpreted and the observed the tunnel centre. The corresponding incremental volumetric
tunnel behaviours can be evaluated. strain is expressed as
This paper presents a analytical closed-form solution of tun-
nel deformation for a circular tunnel subjected to an isotropic
initial loading condition. The solution is based on strain-
related parameters, such as initial strain, strain strength and It is well known that rock starts to deform already in front of
strain boundary condition. The work presented in this paper is the tunnel face, as illustrated in Figure 1. At the face, the tunnel
a part of an attempt to establish a new engineering approach has reached about 30% of its final deformation. The tunnel

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2007 Taylor & Francis Group, London, UK


m
f by measurements, the problem can be treated as a displace-
o x
Keys:
o initial strain
tunnel induced total incremental strain
f tunnel induced incremental strain at tunnel face
m measurable tunnel induced incremental strain
total strain
Figure 1. Strains associated with tunnel excavation.
Ground-Reaction-Curve approach. In this case the initial
stress o and the internal pressure pi on the tunnel wall are
specified. Therefore it is a stress boundary value problem.
For the cases where the displacement at tunnel wall is known
ment boundary value problem. To obtain solutions for such
displacement boundary problems, strain-related parameters
are preferred.
For a circular tunnel of radius a under isotropic loading,
these two types of boundary value problems can be expressed
as follows:
Stress boundary conditions
Displacement boundary conditions

o o
pi ui
o o o o
o o
a) stress boundary value b) displacement boundary
problem value problem
Figure 2. Illustration of stress and displacement boundary value
problems for isotropic loading condition.
reaches its final deformation within a distance of about 25
tunnel radius, depending upon whether the rock is in yielding
condition or not. It is obvious that it is not practical to measure
the total strain increment  caused by tunnel excavations.
Only the strains behind the tunnel face, denoted by m in
Figure 1, are normally measured in engineering practice.
Based on analyses of test data Chang (2006) has pointed
out that under triaxial loading the rock exhibits volumetric
contraction i.e dv /d1 > 0 under elastic condition; whereas
rock exhibits plastic behaviour with volumetric expansion i.e.
dv /d1 < 0 when the strains reach the strain yielding sur-
face defined by equation 1. This is an important statement,
by which the extents of yielding zone around a tunnel can be
detected by measuring the changes of the strains. Since strains
have the differential relations with displacements as shown in
equations 4 and 5, the strain changes can be estimated from
the measured displacements.
where r is the radial coordinate; r is the radial stress; u is
displacement caused by tunnel excavations; and ui is the dis-
placement at tunnel wall. The inwards displacement is defined
as positive.
Generally speaking, models with stress boundary condi-
tions are suitable for prediction of tunnel behaviours, whereas
it is much more advantageous, as it will be shown in this paper,
to use such strain-based solutions for analysing observed
tunnel behaviours.
The following sections present an analytical elasto-plastic
solution for the displacement boundary condition as specified
in equation 8 for a circular tunnel subjected to an isotropic
loading. The plane strain condition is assumed and the strain
strength criterion expressed in equation 1 is used.
4 SOLUTION FOR ELASTIC CONDITION
The solution of the elastic displacement of a circular tunnel
caused by tunnel excavations is often expressed as:
where E is elastic modulus; and is Poissons ratio. For the dis-
placement boundary condition expressed in equation 8, where
ui is known, the strain distributions are derived as follows.
From equation 9 the displacement at tunnel wall ui can be
obtained as

3 BOUNDARY CONDITIONS Eliminating (o pi ) from equations 9 and 10 will lead to

Generally speaking, a boundary value problem can be divided

into stress boundary value problem or displacement bound-
ary value problem, as illustrated in Figure 2. When stresses
on all boundaries are specified, the problem is classified as which will give the following distributions of the incremental
a stress boundary value problem; whereas if the displace- strains by using the compatibility equations 4 and 5:
ments or strains on all boundaries are specified, the problem
is classified as a displacement boundary value problem.
For instance, a fictitious pressure pi is introduced to account
the supporting effects of the tunnel face in the traditional

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2007 Taylor & Francis Group, London, UK


The total strains are thus expressed as follows.
p
where et and t are the tangential elastic respective plas-
p
tic incremental strain; er and r are the radial incremental
strains. It is well acknowledged that the relationship between
p p
the plastic strains can be expressed by r = f t con-
sidering the dilatancy of the rock described by the dila-
tancy factor f . By using this relationship, the plastic strains
can be eliminated from equation 21 and 22, which will
lead to:

It is interesting to note that equations 12 to 15 lead to

Assuming the elastic strains are constant in the plastic region

and have the same value at the boundary between the elastic
and plastic region, i.e.
where v is the total volumetric strain during tunnel excava-
tion. Equation 16 and 17 show that under elastic condition,
tunnel excavations will not affect the volumetric strain, i.e.
the volumetric strain remains constant for a circular tunnel
subjected to an isotropic loading. the following solution to equation 23 will be derived by using
Under plane strain condition, the initial strain is related to the displacement boundary condition expressed in equation 8:
the initial stress by the following relation

By using this relation and letting pi = 0 in equation 10, the
following equation will be derived:
As it is mentioned that tunnelling is a successive process,
it is more advantageous to use formulations for incremen-
tal displacement. Denoting dui and du as the displacement
increments due to one excavation step, the following relation
between dui and du is derived from equation 25:

which shows that the final tunnel displacement for an unsup-

ported tunnel can be obtained directly from the initial strain,
without knowing the E-modulus.

By using the compatibility condition as expressed in equations

5 SOLUTION FOR ELASTO-PLASTIC CONDITION
4 and 5, the corresponding strain increments caused by this
excavation step will obtained as
When the total volumetric strain v and the major principal
strain t satisfy the strain strength criterion as expressed by
equation 1, the rock will undergo plastic deformations. Denot-
ing ct as the critical strain at which the plastic strain will
take place, equation 1 together with equations 3 and 17 will
lead to

To determine the radius of the plastic region rp , the boundary

Please note that the definition of ct accounts only for the condition
strains caused by tunnel excavation. In other words, if the
excavation induced deformation t = ui /a is larger than ct ,
a region with plastic deformation will exist.
Within the plastic region, the strain increments caused by
tunnel excavation will consist of elastic and plastic com- and equation 25 will give the following expression of rp :
ponents. The compatibility condition will consequently be
written as

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2007 Taylor & Francis Group, London, UK

 r For the region where dv /dt 0, the rock mass is under
u
drp
rp
du
du increment of u due to latest excavation
drp - increment of rp due to latest excavation
Figure 3. Displacement measurement using extensometer.
The incremental relations between rp and ui will thus be:
The above analytical elasto-plastic solution for the axi-
symmetric problem is summarized as follows:
Under elastic condition, the distribution of the tunnel dis-
placement with r is determined by equation 11, when the
displacement at tunnel surface ui is known;
The volumetric strain under elastic condition remains
constant during tunnel excavations;
When the initial strain o as well as the strain strength
parameter and c are known, ct expressed in equation
20 is the critical tangential strain. If the tunnel deformation
expressed by ui /a is larger than the value of ct , a plastic
zone will occur around the tunnel;
The radius of the plastic zone can be determined by equation
29 when ui /ri and ct are known;
In tunnelling practice, however, it is not practical to mea-
sure the total deformation. It is more advantageous to use the
incremental relations such as equations 2628 and equation
30. The following section will give a short description for
practical applications of the above solution.
6 APPROACH FOR APPLICATIONS
Propose that displacement measurement by extensometer
arranged as shown in Figure 3 has been performed and the
displacement increment du caused by the latest excavation
has been registered. By curve fitting of the measured dis-
placement, the distribution of du with r, denoted as (r),
can be defined. The corresponding strain increments for this
excavation step can be determined as follows:
2007 Taylor & Francis Group, London, UK
elastic condition; whereas if dv /dt < 0, the rock is having
plastic behaviour. The border between the elastic and plas-
tic regions determines the size of the plastic zone rp . The
increment of rp can be obtained by comparing the current and
previous rp .
The dilatancy factor f can be determined by using equations
27 and 28 as follows:
When dui , drp , rp and f are known, the critical strain ct can
be determined by using equation 30, i.e.
These estimated values of rp , f and ct can be compared with
the expected values from the design phase and engineering
judgments can then be made.
7 CONCLUSIONS
This paper presents an analytical elasto-plastic solution of
strains for a circular tunnel subjected to an isotropic loading.
The engineering approach based on the strain-related solution
is more advantageous because it is much more straightfor-
ward to estimate these strain-related parameters directly by
measurements during tunnel excavations. It is shown that by
displacement measurement the volumetric strain, the size of
the eventual plastic zone and the strain-related parameters f
and ct can be estimated. These parameters are important
to evaluate the observed tunnel behaviours. This approach is
especially beneficial for the so called observational method,
where measurement is an essential part of the design process
to verify expected tunnel behaviours.
REFERENCES
Chang, Y. 2006. Criterion for Rock Strain Strength and Its Applica-
tion. Proc. 4thAsian Rock Mechanics Symposium, 810 November,
Singapore.
Hoek, E. & Marinos, P. 2000. Predicting Squeeze Part 2: Estimating
Tunnel Squeezing Problems.Tunnels andTunnelling International,
Dec 2000 : 3436.
Sakurai, S. 1981. Direct Strain Evaluation Technique in Construction
of Underground Opening. Proc. 22nd U. S. Sympo. Rock Mech,
MIT Cambridge, Mass, 278282. July 1981.
Stille, H. & Nord, G. 1990. Rock Mechanics. Compendium, the Royal
Institute of Technology, Stockholm, Sweden.
794
 Application of definite integral estimates in stope support design

R.A. Lamos
Mine Support Consultants, Johannesburg, South Africa

A.W. Lamos
Meta Ventures, Johannesburg, South Africa

ABSTRACT:A mathematical tool for optimizing intermediate to deep mining stope support in static (non-rockburst) conditions
is proposed. The hypothesis is that a volume of unstable hangingwall rock in an intermediate to deep rectangular panel with
pillars or abutments can be represented by a series of adjacent parabolic slices perpendicular to the long axis of the excavated
stope. The volume of unstable rock can be represented by a definite integral and can be estimated numerically using Simpsons
parabolic estimates. In practice, the rock engineer measures the fallout geometry using the parabolic estimates only if they fit
the fallout shapes. The slice and partition segment geometry are selected according to (centered) support element spacing. The
deadweight demand on each support element can then be estimated. The calculated safety factor is compared to the design
safety factor and the support criteria are adjusted accordingly. Computer spreadsheets can be utilized for the calculations.

1 INTRODUCTION

Underground support elements, as well as stope faces and

abutments, can exert a zone of compressive stress into the
stope hangingwall. A practical example of this is shown in
Figure 1, where this zone of influence above an elongate tim-
ber support element is shown. The picture was taken after a
rockburst in a deep level South African gold mine. Fallouts are
generally outside these zones of influence and reach thickness
maxima between support elements.
This was studied in the SIMRAC GAP 627 project by
Daehnke (1999) and he has in addition shown that a compres-
sive stress zone of influence at face areas in intermediate and
deep level mines exists.The relatively high compressive stress-
fields in intermediate depth platinum mines (500 m1000 m)
is well known and shown in Figure 2.
Figure 3 shows a underground example of an analogous Figure 2. Ratio K1 of major horizontal in situ stress to vertical stress
area of influence at a strike pillar abutment in a South African (after Stacey 2001).

Figure 1. Example of zone of influence of elongate support. Figure 3. Fallout shape at pillar (abutment) edge.

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2007 Taylor & Francis Group, London, UK

Figure 4. Parabola defining the unstable rock zone.

platinum mine. The fall of ground reaches a maximum thick-

ness of 4 m in the centre of the panel and the fallout geometry
can be approximated by a parabolic curve with endpoints at
the abutments. Such failures can be shear failures at abut-
ments. In other cases the fall of ground only approximates a
parabola in a stepped fashion (see Figure 6). A possible mech-
anism for such a fall is keyblock failure in a voussoir, followed
by collapse of this layer (except at the abutments) and further
collapse upwards in the next layers, resulting in a stepped fall-
out profile that can be approximated by a parabola (see also
Figure 6).

2 PARABOLIC CURVES DESCRIBE FALLOUT

LIMITS

Irrespective of the stope hangingwall failure mechanism, falls

of ground with fallout profiles that approximate parabolic sec-
tions are not uncommon. Figure 4 shows a two dimensional
sketch of how a parabolic curve can be used to approximate
the fallout area between 2 abutments. Figure 5. Typical breast mining stoping panel layout.
Figure 4 is drawn as a cross-section between x and y in
Figure 5, which shows a typical plan view of a portion of a
tabular stope support layout of a single panel with its pillars.
The hypothesis presented in this paper is that the volume of
unstable rock in an intermediate to deep rectangular panel can
be represented by a series of adjacent non-overlapping parallel
parabolic slices perpendicular to the long axis of the excavated
stope. Each parabolic slice area is partitioned into segments
and the segment area estimated by numerical methods. The
volume is obtained by multiplying this segment area by the
slice spacing. The slice width can be set to the strike spacing Figure 6. Parabolic estimate of stepped fallout area.
of support units. Likewise the partition segment width is taken
as the dip support spacing. The support elements are placed
in the centre of their respective segments.
This methodology is particularly useful for stopes in the
Bushveld complex where stoping with regular arrays of pillars
between panels is commonly done at intermediate depth with
elongate and pack support units spaced on regular arrays on
strike and dip. Figure 5 shows a generalized example of such
a layout utilizing elongate support units.
Figure 6 shows a cross-section from x to y on Figure 5 Figure 7. Truncated parabolic fallout in blocky rockmass with
and shows the area of unstable rockmass approximated by strong hangingwall parallel layering.
a parabolic slice where a blocky discontinuous rockmass
without abutment shear is encountered. The area of the com- 3 DESCRIPTION OF DEFINITE INTEGRAL METHOD
pressive stress zone of influence above the pillar abutment is TO ESTIMATE UNSTABLE ROCKMASS VOLUMES
also shown.
Where strong hangingwall-parallel discontinuities or lay- The area of a slice through the rockfall can be represented by
ering is encountered in the rockmass and mining spans are a definite integral of the form:
relatively large (e.g. 30 m on dip) the fallout zone can often be
approximated by two truncated parabolic sections joined by a
straight line as shown in Figure 7.

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Figure 8. Segment (subinterval) of parabolic slice.
To evaluate this definite integral we must be able to find
an antiderivative F and evaluate it at both points a and b.
This method fails for many simple integrals, as there are
often no elementary functions for the indicated derivatives.
However, there are numerical methods for estimating definite
integrals. Suppose that f is continuous on [a,b] and is positive.
Area [a,b] can be divided into n non-overlapping subintervals
each of length (b a)/ n with xi = (b a)/ n. The region i
between xi -1 and x i (see Figure 8) can be approximated by the
following methods: the left endpoint rectangle, the right end-
point rectangle, the midpoint rectangle, by a trapezoid and by a
parabolic region. The first three estimates are Riemann sums.
The last two, although not, can be written in such a format. The
parabolic estimates (Simpsons rule) are very good approxi-
mations of the area under the curve, provided n is chosen large
enough for each segment (say n = 5).
By a parabolic region take the parabola y = Ax2 + Bx + C
which passes through the three points indicated in Figure 8.
This estimate of i is given as:
The distance between the parallel 2-dimensional slices can be
set to the strike or dip spacings of support units. Likewise,
the partitions inside each parabolic section can be taken as the
support spacing in the other dimension. By multiplying the
area in the slice section by the slice to slice spacing, a volume
of potentially unstable rockmass is obtained. The tributary
area concept is used to assign the static load of this volume of
rock to be carried by a chosen underground support element
(e.g.: elongates, packs). Thus, the gravitational load on each
support element can be estimated by multiplying the volume
by the rock, its density, and the actual safety factors calculated.
This calculated safety factor is then compared to the required
design safety factor (to be chosen by the responsible engineer)
and the spacings or support element strengths are adjusted
accordingly.
Figure 9 shows an empirically derived parabola matching
the fall of ground mentioned earlier and shown partially in
2007 Taylor & Francis Group, London, UK
Figure 9. Parabolic curve used to describe the fallout observed
underground.
Figure 3. In order to utilize parabolic functions the negative
of the fall of ground thickness is plotted relative to the dis-
tance from the pillar abutment. Symmetry applies and a mirror
image of this parabolic curve gives the fallout distribution on
the other side of the panel towards the pillar.The constant in the
parabolic formula above is adjusted until a suitable curvature
describing the fallout thickness is obtained.
As an example, the segment width [a,b] is now chosen
to correspond to the dip spacings of support units; partition
points are calculated for each of the formulae, and they are
numerically solved in a spreadsheet. Typically, if the panel
has a 30 m dip span and the elongate spacing to be tested is
1 m, then 30 sets of equations have to be set up and solved.
To generalize, the number of equations to be set up is the
dip span in metres divided by the elongate spacing. The use
of spreadsheets allows rapid comparative calculations to be
performed.
4 CONCLUSION
In cases where underground tabular falls of ground volumes
can be approximated by parabolic or similar curves, defi-
nite integral estimates can assist in calculating the tributary
area (mass) demand on the support elements. This method
allows rapid and accurate comparisons of various support ele-
ment strength and spacings to be made as a possible aid in
underground support design.
REFERENCES
Daehnke A., Le Bron K.B. & van Zyl M. 1999. Preliminary investi-
gation into the zone of support influence and stable span between
support units. SIMRAC GAP 627 Final Project Report.
Stacey, R. 2001. SIM OTH 602 Best practice Rock Engineering
handbook for other mines. pp. 1942.
797
 Approximation of stresses and displacements around circular opening
excavated in strain-softening rock masses

Y.-K. Lee
Department of Ocean System Engineering, Kunsan National University,
Gunsan, Jeonbuk, Korea (South)

S.-H. Chang
Geotechnical Engineering Research Department, Korea Institute of Construction Technology,
Gyeonggi-Do, Korea (South)

ABSTRACT:A very simple numerical method for calculating the distribution of stress and radial displacement around a circular
tunnel excavated in strain-softening Mohr-Coulomb rock masses is introduced. By assuming the initial stress is isotropic in
the plane normal to the tunnel axis, the formulation is given on the plane strain condition. The finite difference approximation
was carried out to obtain the stress condition satisfying both equilibrium and yield conditions and to get the strain increment
obeying the plastic flow rule. For the strain-softening behavior, the strength parameters are assumed to be the linear functions
of total circumferential plastic strain. Several illustrative examples of analysis for elastic-perfectly plastic, elastic-brittle plastic
and elastic-softening plastic rock mass are presented to show the performance of the method.

1 INTRODUCTION

Calculating the stresses and displacements around a circular

tunnel excavated in isotropic rock mass subjected to hydro-
static stress condition has been considered as one of the
fundamental problems in rock engineering. Although several
closed-form solutions for the distributions of stress and dis-
placement have been proposed for elastic, perfectly plastic,
and elastic-brittle plastic rock masses (Brady & Brown 1985,
Brown et al. 1983, Carranza-Torres 2004, Park & Kim 2006,
Sharan 2003), the solutions for strain-softening rock mass are
not available as far as authors know. At present, therefore, the
numerical approach seems to be the practical means to obtain
the response of the strain-softening rock mass. Alonso et al.
(2003), Guan et al. (2006), and Varas et al. (2005) can be good
examples of the numerical approach for this purpose although
their methods look somewhat complicated.
In this paper, a very simple numerical method is
briefly introduced, which is originally developed by Lee & Figure 1. Plastic zone formed around circular tunnel. a = the radius
Pietruszczak (2006) for the approximation of the distribution of tunnel. Rp = the radius of elastic-plastic interface. Rs = the radius
of stress and radial displacement around a circular tunnel exca- of softening-residual interface. pi = the support pressure. 0 = the
vated in strain-softening Hoek-Brown rock mass. In addition initial stress.
some examples of its application to Mohr-Coulomb rock mass
p
are given to demonstrate its potential value to practical use. functions of total circumferential plastic strain ( ). Then,
as shown in Figure 2, the strength parameter ( ) may be
given by,
2 ASSUMPTIONS FOR THE NUMERICAL METHOD

If a circular tunnel is created in a rock mass, annulus of plas-

tic zone may be formed as shown in Figure 1. The extent of
the zone, of cause, depends on the dimension of tunnel, the
stress condition, and the strength of rock mass. Furthermore,
the plastic zone may be divided into the strain-softening and
residual plastic zones if the strain-softening behavior is con-
sidered. Linear elastic behavior is assumed for the pre-peak
stress state. After yielding, it is postulated that the strength
parameters in the softening zone can be described by linear
p
where is the critical circumferential plastic strain from
which the residual behavior starts. represents cohesion (c)
or internal friction angle (). In Equation 1, the subscripts
r, p stand for the peak and residual values, respectively. It
should be noted that Equation 1 is the generic expression
for elastic-perfectly plastic, elastic-brittle plastic, and elastic-
p
softening plastic behavior. For example, if = 0 and p = r ,

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Figure 2. Strain-softening model for Mohr-Coulomb medium.
Equation 1 becomes the softening rule for elastic-perfectly
plastic behavior.
Different flow rules are applied to the softening and residual
states (Fig. 2). For softening case, the relation between the
radial and circumferential plastic strain increments is
and for residual case,
With the assumption that the plastic potential has the same
shape as the yield function, and in Equations 23 can be
expressed as
where is called as the dilation angle. If =  in soften-
ing state and = r in residual state, the flow rule becomes
associated. Moreover, the condition, = = 1.0, gives the
non-dilation plastic behavior.
3 FINITE DIFFERENCE APPROXIMATION
3.1 Calculation of stress
If the extent of the plastic zone is normalized by the plastic
radius Rp like in Figure 3, equilibrium equation can be written
as
where = r/Rp . Stress components in the strain-softening
zone should satisfy not only the equilibrium Equation 5, but
also the yield criterion,
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2007 Taylor & Francis Group, London, UK
Figure 3. Normalized plastic zone with finite number of annuli.
where N = (1 + sin  )/(1 sin  ) and Y = 2c cos /(1
sin  ). If we assume that the plastic zone is consists of n
number of thin concentric annuli as in Figure 3, the radial
stress increment in ith annulus can be approximated as
since r is monotonically decreasing from the elastic-plastic
interface (0 = r/Rp = 1) where the value of r = R can be
calculated analytically and pi is given as a boundary condition.
The more accurate result may be expected by use of larger
n. The corresponding (i) can be easily determined from
Equation 6. Invoking the finite difference approximation of
Equation 5 to the ith annulus gives the expression for (i) .
3.2 Calculation of strain and displacement
According to the conventional plastic theory, the strain incre-
ment, {}, can be decomposed into elastic and plastic
contributions as
And compatibility requirement for the deformation can be
stated as
Elastic strain increment, {e }, can be calculated by apply-
ing Hookes law to the stress increment obtained in Section
3.1. Then the expression for plastic strain increment, {p },
at (i) can be derived by use of finite difference approxima-
tion of Equation 9 and by taking Equations 23, 6, 8 into
consideration.
Since r(n) = pi in the nth annulus, which is the innermost
annulus, the plastic radius (Rp ) can be given as
Finally, recalling that the relation = u/r, where u is the
radial displacement, u(i) at the ith radius can be obtained as
 Table 1. Input data for perfect plastic and brittle-
plastic analysis.

Parameter Value

Radius of tunnel, a (m) 5.0

Initial stress, 0 (MPa) 3.0
Support pressure, pi 0.0
Youngs modulus, E (MPa) 10,000.0
Poissons ratio, 0.2
Internal friction angle, p , r ( ) 30.0, 26.0
Cohesion, cp , cr (MPa) 0.5, 0.2

Figure 5. Stress distributions for strain-soften behavior.

that it is hard to see the difference between two. This fig-

ure also can be a good example indicating that the stress and
displacement distributions in both types of material behav-
ior differ significantly. The plastic radius, Rp , is 7.47 m for
elastic-perfectly plastic model and 11.36 m for elastic-brittle
plastic model. The magnitude of on the excavation surface
is much larger when elastic-perfectly plasticity is considered
although it is same at elastic-plastic boundary for both mod-
els. The radial stresses are zero at r/a = 1 since there is no
support pressure (pi = 0). The difference of radial displace-
ment between two models is more drastic as can be seen in
Figure 4(b). The displacement value on the tunnel surface
obtained from the elastic-brittle plastic model is about 38 mm
which is nearly seven times of the value from elastic-perfectly
plastic model. Hence the result strongly suggests that extreme
caution should be exercised in selecting material model in
elasto-plastic analysis for the estimation of the depth of plastic
zone, the stress concentration around opening, and the amount
of convergence.

4.2 Strain-softening analysis

Figure 4. Comparison of calculated results with exact solutions. (a)
Stress distributions. (b) Displacement distributions.
4 ILLUSTRATIVE EXAMPLES OF ANALYSIS
4.1 Perfect plastic and brittle plastic analysis
For elastic-perfectly and elastic-brittle plastic behaviors,
closed-form solutions are available (Park & Kim, 2006), so
that the numerical results were compared with the exact solu-
tions in order to demonstrate the accuracy of the method
introduced. Input data used for this verification are listed in
Table 1. While the friction angle and cohesion remain peak val-
ues after yielding for elastic-perfectly plastic case, these values
drop abruptly to the residual values in case of elastic-brittle
plastic behavior.
Figure 4 shows the numerical results for the distribution of
stress and displacement along with the closed-form solutions.
The number of annulus in plastic zone considered in this anal-
ysis is 500 (n = 500). The plastic flow rule was assumed to be
associated, which means = 3.0.
Figure 4 justifies clearly the accuracy of the method
explained. The numerical results are so close to the exact ones
For the strain-softening analysis, three cases (0.0, 0.348e3,
p
and 0.580e3) of , which determines the start of resid-
ual behavior, were considered. The dilation parameters for
softening and residual state were assumed as = 3.0 and
= 2.0, respectively. The remaining input data were taken
from Table 1.
The distribution of and r around opening is given in Fig-
ure 5. The curves of show that the plastic zone is divided
into softening and residual zones by taking the strain-softening
into account. While at the elastic plastic interface remains
constant value of 4.93 MPa, r at the interface is revealing the
p
tendency of slight increase with . In addition, it is appar-
ent that Rp and Rs become smaller when larger value of
p
is assumed. In the figure, Rp /a = 2.273, 2.174, 2.05 and
Rs /a = 1.922, 1.659.
Ground reaction curves (GRC) is a useful tool to understand
the interaction between support and rock mass, so that the con-
struction of a series of GRC was carried out to provide another
example of application of the strain-softening model. Three
cases of = 1.0, 2.0, 3.0 were considered with the assump-
p
tion that = 0.580e3 and = 1.5. Other necessary input
values were chosen from Table 1.
The calculated curves are depicted in Figure 6. The curve
for elastic-brittle plastic case is also included for the purpose

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Figure 6. Ground reaction curves of strain-softening rock masses.
of comparison. The radial displacement is normalized by
a(0 pic )/(2G), where G is the shear modulus and pic is
the critical support pressure for which Rp = a.
In this analysis, pic is calculated as 1.067 MPa. The support
pressure is also normalized by (0 pic ). The result indicates
that the magnitude of radial displacements is greatly affected
by the dilation characteristics of rock mass. This becomes
more obvious if the support pressure is low. When pi = 0.0, for
example, u = 39.425 mm for = 3.0, which is about 5 times of
the value of u = 8.194 mm for = 1.0. This example stresses
that precise evaluation of dilation characteristics of rock mass
is very important in designing the support.
5 CONCLUSION
A simple numerical method was introduced for calculating
the stress and displacement around a circular tunnel exca-
vated in an elasto-plastic Mohr-Coulomb rock mass subjected
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2007 Taylor & Francis Group, London, UK
isotropic initial stress. Through example analyses, its accuracy
and the potential of practical use were demonstrated.
The method outlined is generic in that elastic, elastic-
perfectly plastic, elastic-brittle, and elastic-softening plastic
behaviors can be considered. Moreover, since the application
of the method to other yield functions, including the gener-
alized Hoek-Brown criterion, is straightforward, it seems that
this method can find various applications.
REFERENCES
Alonso, E., Alejano, L.R., Varas, F., Fdez-Manin, G. & Carranza-
Torres, G. 2003. Ground response curves for rock masses
exhibiting strain-softening behaviour. Int. J. Numer. Anal. Meth.
Geomech. 27: 11531185
Park, K.-H. & Kim, Y.-J. 2006. Analytical solutions for a circular
opening in Hoek-Brown media. Int. J. Rock Mech. Min. Sci. 43:
616622.
Brady, B.H.G, Brown, E.T. 1985. Rock mechanics for underground
mining. London: George Allen & Unwin (Publishers) Ltd.
Brown, E.T., Brady, J.W., Ladanyi, B. & Hoek, E. 1983. Ground
response curves for rock tunnels. J. Geotech. Eng. ASCE 109:
1539.
Carranza-Torres, C. 2004. Elasto-plastic solution of tunnel problems
using the generalized form of the Hoek-Brown failure criterion.
Int. J. Rock Mech. Min. Sci. 41: 480481
Guan, Z., Jiang, Y. & Tanabasi, Y. 2006. Ground reaction analyses in
conventional tunneling excavation. Tunnelling and Underground
Space Tech.
Lee, Y.K. & Pietruszczak, S. 2006. Analysis of a circular opening
excavated in a strain-softening Hoek-Brown rock mass. Int. J. Rock
Mech. Min. Sci. (submitted)
Sharan, S.K. 2003. Elasto-brittle-plastic analysis of circular opening
in Hoek-Brown media. Int. J. Rock Mech. Min. Sci. 40: 817824
Varas, F., Alonso, E., Alejano, L.R. & Fedez-Manin, G. 2005. Study
of bifurcation in the problem of unloading a circular excavation
in a strain-softening material. Tunnelling and Underground Space
Tech. 20: 311322
 Bau und Planung des Kallidromo Tunnels auf der NBS Athen-Thessaloniki
Construction and planning of the Kallidromo tunnel on the NCL Athens-Thessaloniki

D. Schmitt
WBI - Prof. Dr.-Ing. W. Wittke Beratende Ingenieure fr Grundbau und Felsbau GmbH

ZUSAMMENFASSUNG: Der Kallidromo Tunnel ist Teil der geplanten Hochgeschwindigkeitsstrecke von Athen nach Thessa-
loniki der Griechischen Eisenbahn. Er umfat zwei ca. 9 km lange eingleisige Rhren. Nachdem von beiden Portalen aus jeweils
ca. 1,5 km lange Abschnitte nach der Spritzbetonbauweise aufgefahren worden waren, fhrten stark druckhafte Gebirgsverhlt-
nisse wiederholt zu einem Versagen der Sicherungsmittel. Der Vortrieb mute daraufhin unterbrochen werden. Die Planung
fr die noch aufzufahrenden Tunnelabschnitte wurde neu durchgefhrt. Fr die Abschnitte des Tunnels, die in druckhaften
Gebirgsverhltnissen zu liegen kommen, ist ein nachgiebiger Ausbau mit einer geschlitzten Spritzbetonschale und speziellen
Gleitankern vorgesehen.

ABSTRACT: In course of the new highspeed railway line from Athens to Thessaloniki, the approx. 9 km long Kallidromo
tunnel is to be constructed with two single track tubes. After completion of approx. 2 1.5 km on either side, the works had to
be interrupted in 2002. Difficult heading and failures of the support had to be dealt with in squeezing ground. Design for the
remaining tunnel sections was re-done. For the tunnel sections in squeezing ground, a yielding support with a slotted shotcrete
membrane and a special type of yielding anchors is planned in the new design.

1 PROJEKT UND GEOLOGIE
Der Kallidromo Tunnel ist Teil der geplanten Hochgesch-
windigkeitsstrecke von Athen nach Thessaloniki der Griechis-
chen Eisenbahn. Er umfat zwei ca. 9 km lange Rhren
(Bild 1). Diese weisen einen gegenseitigen Achsabstand von
30 bis 65 m auf. In einem gegenseitigen Abstand von jeweils
500 m sind Querschlge vorgesehen.
Der Tunnel durchfhrt zum einen Tone bzw. schluffige Tone
mit berdeckungen bis 220 m (Bild 2). Anschlieend ver-
luft er bei berdeckungen bis 365 m in Kalksteinen. Im
mittleren Abschnitt ist Serpentinit zu durchfahren, der teil-
weise geschiefert und gestrt ist. Hier weist der Tunnel die
maximale berdeckung von ca. 530 m auf (Bild 2).
Der Vortrieb erfolgte von beiden Portalen aus und wurde in
der Spritzbetonbauweise ausgefhrt. Die bisher aufgefahre-
nen und fertiggestellten Abschnitte sind in Bild 2 in rot
gekennzeichnet. Sie sind jeweils ca. 1,5 km lang und kommen
bereichsweise in den tonigen Schichten zu liegen.
Beim Vortrieb des Tunnels im Ton kam es wiederholt zu
einem Versagen der Spritzbetonschale. Hierauf wird unten
noch eingegangen. Da die geschtzten Baukosten zu diesem
Zeitpunkt um mehr als 50% berschritten waren, mute der
Bau unterbrochen werden. Der Entwurf des Tunnels wurde
daraufhin vom Bauherrn neu ausgeschrieben. Die Planungen
wurden vom Bro WBI in Aachen in Arbeitsgemeinschaft mit
einem griechischen Partner durchgefhrt. In naher Zukunft
soll der Bau des Tunnels auf dieser Grundlage fortgesetzt
werden.
2 QUERSCHNITTE
Im Entwurf des Tunnels sind 2 Regelquerschnitte vorgese-
hen (Bilder 3 und 4). Beide weisen eine lichte Breite von
ca. 8,9 m auf. Der in Bild 3 dargestellte Querschnitt hat ein
geschlossenes Sohlgewlbe. Er soll in den Abschnitten im
Ton sowie im Serpentinit ausgefhrt werden. Die Dicke der
Innenschale variiert zwischen 40 und 70 cm. Der Querschnitt
in Bild 4 besitzt eine offene Sohle und soll im Kalkstein
Anwendung finden. Hier ist eine 40 cm dicke Innenschale
vorgesehen.

Bild 1. Lageplan. Bild 2. Lngsschnitt.

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2007 Taylor & Francis Group, London, UK


Bild 3. Regelquerschnitt, geschlossene Sohle.
Bild 4. Regelquerschnitt, offene Sohle.
In Anlehnung an den ursprnglichen Entwurf soll der
Tunnel drniert ausgefhrt werden. Dazu sind zwischen der
Spritzbetonschale und der Innenschale ein Schutzvlies und
eine Abdichtungsfolie angeordnet. Sickerwsser werden ent-
lang der Abdichtungsfolie in 2 Drnagen geleitet.
Im folgenden wird nher ber die Planungen der Tunnelab-
schnitte im Ton berichtet.
3 TUNNELABSCHNITTE IM TON
3.1 Bisher aufgefahrene Tunnelabschnitte
Der bisher im Ton aufgefahrene und fertiggestellte sdliche
Tunnelabschnitt weist eine berdeckung der Tunnelfirste von
ca. 150 m auf (Bild 2). Ausgefhrt wurde ein vorauseilender
Kalottenvortrieb mit geschlossenem temporren Sohlgewlbe
und 35 cm dicker Spritzbetonschale (Bild 5). Die Syste-
mankerung umfat 24 jeweils 12 m lange Anker, die jeden
Abschlag eingebaut wurden. Die Ortsbrust wurde mit 35
Glasfaser-Ankern sowie einem Sttzkern gesichert.
Beide Tunnelrhren wurden gleichzeitig aufgefahren. Die
Ostrhre wies jedoch immer einen gewissen Vorlauf auf. Die
geringe Festigkeit der tonigen Schichten fhrte in Verbindung
mit der vergleichsweise groen berdeckung der Tunnelfirste
zu druckhaften Gebirgsverhltnissen. Diese konnten mit dem
geplanten Ausbau nicht mehr beherrscht werden.
2007 Taylor & Francis Group, London, UK
Bild 5. Sicherung und Untergrundverhltnisse im schluffigen Ton.
Bild 6. Ostrhre, Mequerschnitt SSD 101.
In Bild 6 sind die in der Ostrhre gemessenen vertikalen
Verschiebungen der Tunnelfirste fr den ausgewhlten Me-
querschnitt SSD 101 (vgl. Bild 1) in rot ber die Zeit
dargestellt. Zustzlich ist als blaue Kurve der Abstand zwis-
chen dem Mequerschnitt und der temporren Ortsbrust
eingetragen. Dieser stellt ein Ma fr das Fortschreiten
des Vortriebs dar. Es ist zu erkennen, da innerhalb eines
Zeitraums von 1 Monat nach Einrichtung des Mequerschnitts
Firstsenkungen von etwa 25 cm eingetreten waren. In der
Folge kam es zu Schden an der Spritzbetonsicherung und
das Sohlgewlbe mute saniert werden. Wie aus der roten
Kurve ersichtlich, fhrte diese Manahme im Januar 2002 zu
einer Konvergenz der Verschiebungen.
Mit dem Ausbruch der nacheilenden westlichen Tunnel-
rhre gegen Ende Januar 2002 wurden in der Ostrhre jedoch
weitere Zunahmen der Verschiebungen gemessen. Die Kalot-
tensohle der Ostrhre mute daraufhin ein zweites Mal saniert
werden. Wiederum konnte der Tunnel dadurch zunchst sta-
bilisiert werden (Bild 6).
Nach einer weiteren Standzeit von ca. 1 Monat traten
jedoch zustzliche Verschiebungen an der Spitzbetonschale
auf. Diese waren durch zunehmende Raten gekennzeichnet
(Bild 6) und fhrten schlielich zum Versagen der Spritz-
betonschale. ber eine Lnge von ca. 70 m strzte eine der
beiden Tunnelrhren ein (Bild 7).
In den sdlich anschlieenden Abschnitten im Ton wur-
den ebenfalls Zunahmen der Verschiebungen gemessen. Da
es hier jedoch noch nicht zu einem vollstndigen Versagen der
Spritzbetonschale gekommen war, wurden diese Bereiche auf
einer Lnge von ca. 120 m mit Flukies verfllt und dadurch
stabilisiert.
804
 Bild 8. Nachgiebiger Ausbau, Prinzip.
Bild 7. Versagen der Spritzbetonsicherung.

3.2 Backanalyses
Im Rahmen zweidimensionaler FE-Berechnungen wurden
die gemessenen Verschiebungen der Spritzbetonschale inter-
pretiert. Auf dieser Grundlage wurden ein Gefgemodell und
ein mechanisches Modell fr die im Bereich des Sdvortriebs
anstehenden Tone entwickelt. Angenommen wurde homo-
genes und isotropes Spannungs-Dehnungsverhalten. Die im
Zuge der Kalibrierung des Modells ermittelten Kennwerte
sind im rechten Teil des Bildes 5 zusammengestellt. Danach
weist der Untergrund mit einem EModul von 60 MN/m2
eine vergleichsweise groe Verformbarkeit auf. Die einax-
iale Druckfestigkeit des Tons wurde mit einem Wert von
0,12 MN/m2 bestimmt. Dies ist im Vergleich zu der aus
dem Gewicht der berlagerung resultierenden vertikalen
Spannung ein sehr geringer Wert. Bild 9. Schachtanlage Konrad, nachgiebiger Ausbau in 1000 m
Nach der Prognose zur Geologie ist damit zu rechnen, da Tiefe.
die berdeckung der Firste beim weiteren Vortrieb im Ton
auf einen maximalen Wert von ca. 220 m anwachsen wird
(Bild 2). Unter Bercksichtigung einer Wichte des Gebirges
von 22 kN/m3 sind daher berlagerungsdrcke von etwa
4,8 MN/m2 zu erwarten. Dies bedeutet, da vor dem Hin-
tergrund der ermittelten Festigkeit des Tons auch im Zuge
des weiteren Vortriebs mit stark druckhaften Verhltnissen zu
rechnen ist.

3.3 Entwurf eines nachgiebigen Ausbaus

Um den zu erwartenden Verhltnissen gerecht zu werden,
wurde ein Vortrieb mit nachgiebiger Sicherung konzipiert.
Diese besteht aus einer Spritzbetonschale mit Schlitzen, die
in Lngsrichtung des Tunnels verlaufen und in regelmi-
gen Abstnden ber den Umfang angeordnet sind (Bild 8).
Der Ausbau wird ergnzt durch sogenannte Gleitanker. Die
gewhlte Sicherung erlaubt vergleichsweise groe radiale Ver-
schiebungen. Nach dem Eintreten von radialen Verschiebun-
gen in der Grenordnung von mehreren Dezimetern sollen
die Schlitze in der Spritzbetonschale geschlossen und die
Ankerkpfe festgelegt werden (Bild 8). Der damit entstehende
Tragring kann die auftretende Belastung aufnehmen, ohne da
es zu einem Versagen der Sicherungsmittel kommt.
Eine solche Sicherung wurde beispielsweise in der
Schachtanlage Konrad in 1000 m Tiefe erfolgreich ausgefhrt
(Bild 9).
Als Grundlage fr den Entwurf des nachgiebigen Aus-
baus wurden rumliche und pseudo-rumliche Berechnungen
nach der FE-Methode durchgefhrt. Die verwendeten Ken-
nwerte fr den Untergrund resultieren aus der Rckrechnung
Bild 10. Berechnungsausschnitt und FE-Netz.
der in den bereits aufgefahrenen Abschnitten gemessenen
Verschiebungen (Bild 10).
Das FE-Netz ist im Bereich des Tunnels fein diskretisiert.
Nachgebildet wurden die Segmente aus Spritzbeton sowie
die in der Spritzbetonschale geplanten Lngsschlitze. Zur
Bercksichtigung der radialen Verschiebungen wurde ein um
80 cm auf 6,25 m vergrerter Radius des auszubrechenden
Querschnitts gewhlt (Bild 11).
Die Berechnungen zum Nachweis der Spritzbeton-
schale wurden in insgesamt 5 Rechenschritten durchgefhrt
(Bild 12). Nach der Berechnung des Primrzustandes wurde
eine Vorentspannung im Bereich des auszubrechenden Quer-
schnitts simuliert. Der Faktor der Vorentspannung wurde
im Zuge rumlicher Berechnungen bei der Interpretation

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2007 Taylor & Francis Group, London, UK

Bild 11. FE-Netz, Detail.
Bild 12. Rechenschritte 1 bis 5.
der gemessenen Verschiebungen ermittelt. Im 3. Rechen-
schritt erfolgten der Ausbruch des Tunnels und der Einbau
der nachgiebigen Sicherung. Die Wirkung der Gleitanker
wurde durch den Ansatz von Einzelkrften bercksichtigt.
Im Rahmen einer visko-plastischen Iterationsrechnung wur-
den anschlieend die im Gebirge auftretendenVerschiebungen
ermittelt. Nach dem Schlieen der Schlitze in der Spritzbe-
tonschale im 4. Rechenschritt wurde im 5. Rechenschritt das
Festlegen der Ankerkpfe simuliert und damit der Sicherung
die volle Tragfhigkeit zugewiesen (Bild 12).
Mit dem beschriebenen Ablauf der Berechnungen konnte
der Bauablauf ausreichend realittsnah nachgebildet werden.
Auf die Rechenergebnisse kann hier im einzelnen nicht einge-
gangen werden. Exemplarisch wird jedoch fr einen Berech-
nungsfall die errechnete Spannungsverteilung im Untergrund
und in der Spritzbetonschale verdeutlicht (Bild 13).
Die elastische Lsung zu Beginn des 3. Rechenschrittes
weist fr den Untergrund am Hohlraumrand vertikale Span-
nungen von 13,7 MN/m2 aus. Diese knnen vom Ton nicht
abgetragen werden.
Im Zuge der anschlieenden visko-plastischen Itera-
tionsrechnung werden die Spannungen in vom Tunnel weiter
entfernt liegende Bereiche des Baugrundes umgelagert. Es
entsteht so im Baugrund gleichsam ein Gewlbe mit einer
Sttzweite, die deutlich grer ist, als der Durchmesser des
Tunnels (Bild 13).
Wenn ein ausreichendes Ma an radialen Verschiebungen
zugelassen wird, knnen die Schlitze in der Spritzbetonschale
geschlossen werden, ohne da die Festigkeit des Spritzbetons
berschritten wird.
2007 Taylor & Francis Group, London, UK
Bild 13. Ausbildung eines Gewlbes.
Bild 14. Geschlitzte Spritzbetonschale, Detail.
Infolge der geringen Festigkeit des Tons in Verbindung
mit der vergleichsweise groen berdeckung des Tunnels in
diesem Bereich mssen nach den Berechnungsergebnissen
radiale Verschiebungen von 80 bis 100 cm zugelassen wer-
den. Um Verschiebungen in einer solchen Grenordnung
zu ermglichen sind eine vergleichsweise groe Zahl von
offenen Lngsschlitzen in der Spritzbetonschale erforderlich
(Bild 14). Andere konstruktive Lsungen wie z. B. ineinander
gleitende Stahlbgen sind bei den hier zu erwartenden Ver-
schiebungen und der damit notwendigen deutlich breiteren
Ausbildung der Schlitze im vorliegenden Fall ungeeignet.
Die Berechnungen fhrten auerdem zu dem Ergebnis, da
auch in grerem Abstand von der Ausbruchlaibung noch Ver-
schiebungen auftreten. Die errechneten Dehnungen entlang
der Anker weisen fr den hohlraumnahen Bereich Betrge
auf, die die Dehnungen des Ankerstahls an der Streckgrenze
deutlich berschreiten. Daher wurden Gleitanker entwick-
elt, die neben Verschiebungen des Ankerkopfes zustzlich
Verschiebungen entlang des Ankerstahls ermglichen.
Der in Bild 15 oben dargestellte Anker Typ A stellt dies
durch die Anordnung eines aufgeschrumpften Schlauches
sicher. Bei gnstigeren Untergrundverhltnissen bzw. gerin-
geren Verschiebungen kann ggf. auf den vollvermrtelten
Anker Typ B zurckgegriffen werden. Beide Ankertypen sind
12 m lang. Das in den Hohlraum berstehende Stahlzugglied
dient als Gleitweg. Die Lnge kann in Abhngigkeit von
der Gre der erforderlichen radialen Verschiebung gewhlt
werden.
Die vorgestellte Lsung weist eine groe Anpas-
sungsfhigkeit auf. Es ist mglich, sich kurzfristig an
wechselnde Untergrundverhltnisse und berlagerungshhen
806

Bild 15. Gleitanker.
anzupassen. Auerdem knnen unerwartete Untergrundver-
hltnisse beherrscht werden. Daher wurde eine vergleich-
sweise groe Anzahl von Vortriebsklassen definiert. Diese
unterscheiden sich jeweils hinsichtlich der Dicke der Spritzbe-
tonschale, der Breite der Lngsschlitze sowie der Lnge der
Gleitwege der Anker. Die Auswahl der Vortriebsklasse soll
auf der Grundlage der angetroffenen Untergrundverhltnisse
und der Ergebnisse der geotechnischen Messungen erfolgen.
Diese umfassen neben Verschiebungsmessungen u. a. auch die
Messung der Spannungen im Spritzbeton und derAnkerkrfte.
4 TUNNELABSCHNITTE IM SERPENTINIT
Im mittleren Abschnitt des Tunnels ist der Serpentinit bei
berdeckungen der Firste bis 530 m zu durchfahren (Bild 2).
2007 Taylor & Francis Group, London, UK
Bild 16. Nachgiebiger Ausbau im Serpentinit, Detail.
Er ist teilweise geschiefert und weist Strungszonen auf.
Auf der Grundlage der Ergebnisse der Erkundungen ist hier
abschnittsweise ebenfalls mit druckhaften Verhltnissen zu
rechnen. Die erforderlichen radialen Verschiebungen wurden
mit Werten bis 60 cm ermittelt. Sie sind damit kleiner als die
beim Auffahren des Tons zu erwartenden Werte.
Im Entwurf ist daher fr dieseAbschnitte prinzipiell der gle-
iche nachgiebige Ausbau wie im Ton vorgesehen. Ergnzend
wurde eine modifizierte Lsung mit Hilfe verschieblicher
Stahlbgen geplant (Bild 16).
5 TUNNELABSCHNITTE IM KALKSTEIN
Fr die Tunnelabschnitte, die bei vergleichsweise gnstigen
Untergrundverhltnissen wie z. B. im Kalkstein aufzufahren
sind, wurde eine konventionelle Sicherung mit Spritzbeton
entworfen.
807
 Behavior category and design loads for conventionally excavated tunnels

Gianfranco Perri
Tunnels Design Professor of Central University of Venezuela

ABSTRACT: The geostatic behavior of tunnel sections may be significantly different even when the sections are excavated
in a medium characterized by identical geotechnical properties. In fact, several other factors have an important impact in the
response: sometimes, the in-situ natural stresses of the medium in which the excavation is performed and some other times,
the geometric and topographic characteristics of the surface. For intermediate tunnel depths, the geo-mechanic behavior of the
tunnel, and as a consequence, the loads imposed on the support and the necessary support can be considered dependent of,
mainly, the geo-mechanic characteristics of the excavated medium. Only outside the range of intermediate tunnel depths is that
other factors significantly impact the geo-mechanic behavior of the excavation: for deep excavations, the in-situ natural stresses
of the medium in which the excavation is performed, and for shallow excavations, the cinematic-rigid equilibrium caused by
the sections proximity to the external topographic surface.

1 INTRODUCION boundaries can be significantly apart, which often implies that

As it is widely known, there exist numerous and complex fac-
tors which for a specific tunnel section interact to determine
its overall geostatic behavior. One of these factors is the in-situ
stresses prior to excavation which, as a first approximation,
can be related to the sections cover depth. Nevertheless, for
a given tunnel it is possible to define a range of cover depths
for which this factors influence is irrelevant and therefore
negligible for practical purposes.
This does not represent a new idea. In fact, several method-
ologies, traditional and more modern ones, are based on the
acceptance of this concept. Some times to determine the
loads acting on the tunnel support, and in other instances
to define the support to be selected: Bierbaumer (1913),
Terzaghi (1946), Protodyakonov (1960), Wickham (1972)
and Bieniawsky (1973), are some of the most significant
examples on the application of the theory and practice in
tunneling.
Although following different procedures and criteria, all
these methods estimate the tunnel loads and support type
based on the geomechanic characteristics of the ground in
which the excavation is taking place, and on the dimensions
of the tunnel section.
In spite of their ease of use and therefore, the profound dif-
fusion in practice, these methodologies have often revealed
evident and irrefutable limitations. These limitations put in
evidence the fact that, although the geomechanic characteris-
tics of the ground are of paramount importance in the tunnel
design, they alone are not able to capture all the necessary
parameters to satisfactorily define the geostatic tunnel design.
In other words, there often exist circumstances in which,
although the geotechnical characteristic of the excavated
material are essentially the same, the geostatic tunnel con-
ditions are effectively and significantly different. This fact
demonstrates the existence of other factors of influence.
Among these factors, there certainly exist some important
ones: in some cases, the pre-existing tensorial natural condi-
tions of the ground to be excavated, or, in other cases, the near-
by surface boundary conditions (geometric-topographic).
As a result, every tunnel should be identified based on two
limiting cover depths: a lower and an upper bound. These
most sections of the tunnel fall inside the middle range. For
this middle range, it is possible to assume that the geome-
chanic behavior of the section, the section loads and as a
consequence the required support, can be designed based only
on the geotechnical characteristics of the excavated material.
As a consequence, the selection and definition of particular
conditions becomes simpler, and so does the support design
for each specific section, which can be easily selected and
characterized.
On the other hand, outside of these limiting cover depths,
that is, outside the intermediate sections, other aspects can
significantly influence the geomechanic behavior of the exca-
vation: for sections with large cover depth (deep sections), the
deformations and stresses related to the pre-existing tenso-
rial natural conditions of the ground to be excavated, and for
sections with low cover depth (shallow sections), the rigid-
kinematics equilibrium related to the proximity of the section
to the surface.
Finally, it is important to anticipate that it is not possible to
determine absolute values, which can be generally and univer-
sally selected for the two limiting depths. In fact, these values
may differ from tunnel to tunnel, because they are a function
of the shape and dimensions of the excavation, as well as, the
geotechnical characteristics of the material to be excavated:
the better the geomechanical characteristics of the medium,
then the larger the upper limiting cover depth may become.
That is, the more competent the geomaterials are, the larger
the range of intermediate depths in which the support design
is essentially controlled by, or dominated by, the geotechnical
characteristic of the material alone.
2 BEHAVIOR CATEGORY
The geostatic behavior of an underground excavation, or more
schematically, the type of behavior of the excavation, depends
on a number of factors. On an extreme simplification, these
factors can be identified as the in-situ natural conditions of
the medium prior to the excavation, as well as its geomechanic
resistance.

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 Table 1. Behavior category and pre-selected support type.
Cover depth
High
Category Behavior IC
A Front Stability >0.45
Cavity Stability
Isolated Instabilities
(block kinematics)
FSf > 2.5 FSc > 2.5
< 1% o << 0.5%
(Rp/Ro = 1)
B Front Stability 0.30.45
Cavity Slightly Instable
FSf 2 FSc 1
1% < <2.5% o <= 0.5%
(1 < Rp/Ro < 2)
C Front Close to 0.20.3
Equilibrium
Cavity Instability
FSf 1 FSc < 1
2.5%<<5%
0.5%< o< 1%
(2 < Rp/Ro < 4)
D Front Instability 0.150.2
Cavity Instability
(large deformations)
FSf <1 FSc  1
5% < < 10% o > 1%
(Rp/Ro > 4)
E General Instability <0.15
(very weak rock mass
and/or fault zones)
FSf  1 FSc  1
> 10% o 1%
(Rp/Ro  4)
The natural in-situ stress state, as a first approximation,
and when additional measurements are not available, can be
related to the excavation depth or cover (H). The geomechanic
characteristics of the medium can also, in an approximate
manner, be related to the resistance of the dominant mate-
rials in the ground, as well as to the geomechanical macro
structure or the rock mass (fractures, weathering, anisotropy
and discontinuities morphology, among others).
To identify and define such geomechanic characteristics
of the medium several geomechanical quality indexes can be
initially used. These include the RMR (Bieniawsky, 1973),
the Q value (Barton, 1974), the RSR (Wikham, 1972), etc., or
the more recent GSI [Geological Strength Index](Hoek, 1994)
and RMi (Palmstrom, 1995).
In a simplified approach, for those situations in which the
in-situ conditions result in considerably high stresses with
respect to the natural rock mass resistance, it is possible
to refer directly to the unconfined compressive strength of
the rock mass (cm) and compare it to the natural in-situ
stress (H), where () is the rock mass density. These two
quantities are related by an important parameter: the com-
petence index of the excavation (IC = cm/H). This index
can become very helpful in defining the excavation behavior
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2007 Taylor & Francis Group, London, UK
Low Preselected support type
GSI (Approx tunnel diameter of 10 m)
>60 Shortcrete (510 cm) +
Bolts L = 4 m
(if necessary)
4060 Shortcrete (1015 cm) +
Bolts (L = 46 m)
(density 0.25/m2 )
or, Light Ribs @ 1.5 m
3050 Shortcrete (1520 cm) +
Bolts (L = 6 m)
(density 0.5/m2 )
or, Medium Ribs @ 1 m +
Front Reinforcement
(if necessary)
2040 Shortcrete (2025 cm) +
Heavy Ribs @ 1m
or, Bolts (L = 69 m)
(density 1/m2 ) +
Face Reinforcement +
Additional Bolts
(if necessary)
<20 Shortcrete (2030 cm) +
Very Heavy Ribs @ 1 m +
Face Reinforcement +
Additional Bolts +
Pre-support (if necessary)
under the previously described conditions. On the other hand,
in those situations in which the competence index (IC) is
high, which is usually the case under moderate cover depths
where the in-situ stresses are generally low, the quality of
the rock mass (e.g. GSI) alone can become the discrimi-
natory parameter to determine the type of behavior for the
excavation.
Following this framework, and for practical purposes, the
type of possible excavation behavior can, in principle, be sep-
arated into at least five categories. They can be identified,
for example, by the uppercase letters A to E. These cate-
gories define a specific excavation behavior, which are ranked
based on increasing quality characteristics. The quality char-
acteristic can be selected as a function of a group of several
parameters which can be either estimated and observed, or
even measured: factors of safety of the excavation front and
cavity (FSf FSc), the front and cavity convergence (o ),
the plastic radius (Rp), the GSI and the IC, among others (G.
Russo et al., 1998).
The table 1 summarizes the most important characteristics,
peculiarities and properties of each one of these five excava-
tion behavior classes. It also includes a pre-selection of the
support type associated to each category.
3 DESIGN LOADS
The qualitative pre-selection of the necessary support to war-
ranty the required stability of the tunnel are based on the
previously described excavation behavior categories. Follow-
ing this pre-selection, it is necessary to proceed with the
detailed analysis and structural design. This step is based on
the estimation of the design loads acting on the support struc-
ture, as well as the calibration of the stiffness of the rock mass
in which the structure will be placed.
As previously described and emphasized, to determine the
loads acting on the support of a particular tunnel section
it is convenient and necessary to group the tunnel sections
into categories according to the cover depth range (H): low
intermediate high.
The previously identified lower limit of the cover section
(Hi) represents that value of the cover depth which delimits
the shallow sections from the intermediate-depth sections. For
the same tunnel, the previously identified upper limit of the
cover section (Hs) represents that value of the cover depth
which delimits the deep sections from the intermediate-depth
sections.
Extensive experience has been gained in the design and
construction of many kilometers of conventionally excavated
tunnels. The geologic environment in which these tunnels
have been constructed vary from those characterized by foli-
ated metamorphic rock masses with significant heterogeneous
physical conditions (from fresh to decomposed) to those
masses of large rock blocks with equally variably physical con-
ditions, and passing through residual and sedimentary rocks.
This extensive experience has allowed the identification of the
limiting cover depths in the range of 75 to 150 m for Hs, and
between 10 and 25m for Hi.
For each particular case, the specific value of the limit-
ing depths depends on the section dimensions (e.g. width or
equivalent diameter b) and the geomechanic characteristics
of the soil mass (e.g. geomechanic group GGi, where i is
the group from 1 to 5, which selection can be initially based
on the Hoek geomechanic quality index GSI), (Table 1).
As a first approximation, it is possible to estimate, with
reasonable accuracy, the values of the two limiting depths
according to the following expressions:
It can be noticed that, as previously explained, as the
geomechanic quality of the rock mass increases, so does the
range of intermediate cover depths (Hi decreases, while Hs
increases). For these intermediate depths, the sections geome-
chanic behavior, the behavior category for the excavation, and
finally, the support to be implemented, can be associated, for
a given dimension of the section, to the geomechanic charac-
teristics of the rock mass: the GGi, or as a first approximation,
the GSI directly.
In practice, according to the cover depth of a given tunnel
section, the loads acting on the support can be generally esti-
mated following one of two different methodologies: ground
arch loads method for cover depths shallower than Hs, and
characteristics lines method in the deeper cases in which the
cover depth is greater than Hs.
Furthermore, a different load distribution scheme is
applied: for shallow sections, the final support sustains the
vertical gravity loads on the crown, and horizontal loads in
the walls; for deeper sections, the loads act in the radial direc-
tion only on the crown. For the primary support, the applied
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2007 Taylor & Francis Group, London, UK
load is generally modeled by the simplified radial loads on the
crown and walls.
For those sections of low cover depth, classified as shal-
low sections (H Hi), the equilibrium load acting on the
primary support, and the vertical loads acting on the final
support are the same, and will be equal to the gravity forces
( H), corresponding to a solid which height is equal to the
specific cover depth.
The design horizontal load on the final support of these
sections will be equal to those forces resulting from the
classical theory of soil loading on retaining structures.
Seismic loads will also be included.
For those sections of moderate cover depth, and classified
as intermediate sections (Hi <H Hs), the equilibrium
load acting on the primary support will be equal to the grav-
ity forces of a solid which height is equal to: Hp = (b + h),
where is a proportionality coefficient (Terzaghi), which
is a function of the geomechanic characteristics of the
ground, b is the section width and h the section height.
The coefficient () is a function of the GSI and mi
(the mechanical index for the intact rock defined in the
Hoek & Brown failure criterion).
Its value can be approximately estimated by (Perri,
2002):
In order to estimate the vertical loads acting on the final sup-
port of those sections classified as intermediate, it is possible
to eventually reduce the value of the coefficient by about
25% (and maximum 50%) of the value estimated from the
above expression. The reduction magnitude depends on the
geomechanic conditions of the excavation and the expected
time length before the placement of the final support.
In fact, the magnitude of the reduction coefficient will be
larger if it is possible to assume, with a certain degree of
confidence, that the primary support is in fact loaded by the
ground arch loads before the final support construction. In
this case, the final support will only be loaded by that portion
of the load that is not being resisted by the primary support.
Depending on the selected model for the analysis, the hor-
izontal load acting on the final support of these intermediate
sections will be equal to those forces resulting from the clas-
sical theory of soil loading on retaining structures or those
derived from the elastic confining resistance of the ground
acting on the deformable support.
Seismic loading will be applied in those circumstances
in which the geologic and geotechnical studies explicitly
recommend them.
For those sections that can be classified as deep sections
(H > Hs), the equilibrium loads acting on the primary sup-
port are obtained from the characteristic lines interaction
analysis.
The design loads on the final support will be applied in the
radial direction, only in the crown, and their magnitude will be
proportional to the plastic radius extension, as calculated in the
equilibrium analysis, or the radius extension that is expected
before the primary support effectively starts to work.
The horizontal loads will be those derived from the elastic
confining resistance of the ground acting on the deformable
support.
Seismic loading will be applied in those circumstances
in which the geologic and geotechnical studies explicitly
recommend them.
 FACTOR DE CARGAS DE TERZAGHI (Perri, 2002)
4,0
mi=7 mi=5
3,8 = 1244mi-1,433 GSI(mi 0,0004mi-0,0046mi-1,2344)
3,6

3,4

3,2

3,0
mi=10
2,8

2,6

2,4
mi=13
2,2

2,0

1,8
mi=16
1,6

1,4
mi=20
1,2

1,0
mi=25

0,8
mi=30
0,6
mi=35
0,4

0,2
5
0,0
0 10 20 30 40 50 60 70 80 90 GSI 100

Figure 1. Different types of supports.

For the calculation of the loads acting on the structural sup-
port, all the previously described steps must also be considered
in the final structural design. This final structural design must
be based on the specific capacities of the available supports
for each project.
4 PRIMARY SUPPORT
Modern tunnel technology has evolved towards a system of
elements that comprise the excavation support. The main
element is the fiber-reinforced shotcrete, complemented if
necessary, by metallic ribs and bolts. The metallic ribs and
bolts may be placed, depending on the situation, in different
combinations (Fig. 1).
An example combination is shown at the end of this paper,
in which five typical primary supports are described (SP-A;
SP-B; SP-C; SP-D; SP-E) for an approximately 10 meter wide
tunnel.
From the table it can be noticed that, with the exception
of the two extreme situations (one in which, because of the
geomechanic conditions it is not necessary to include metal-
lic ribs in the support, and the other in which, on the other
extreme, it is practically impossible to avoid their use), in
all other intermediate situations, which comprise the most
recurrent situations in tunneling practice, it is always pos-
sible to choose among two alternative support technologies:
the first one, based on the use of metallic ribs to integrate
the shotcrete and the second one, based on the systematic
and extensive use of metallic bolts also used to integrate the
shotcrete.
In fact, structurally speaking, it is possible to achieve the
same structural or contrast support capacity using either one

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2007 Taylor & Francis Group, London, UK

 Table 2. Examples of primary support for 10 m wide tunnels.

Cover depth Hi Hi < Cover depth Hs Cover depth > Hs

GSI <= 20 SP-D GSI <= 20 SP-E IC <= 0.15 SP-E

20 < GSI <= 40 SP-C 20< GSI <= 40 SP-D 0.15< IC <= 0.20 SP-D
30 < GSI <= 50 SP-C 30< GSI <= 50 SP-C 0.20< IC <= 0.30 SP-C
40 < GSI <= 60 SP-C 40< GSI <= 60 SP-B 0.30< IC <= 0.45 SP-B
GSI > 50 SP-B GSI > 50 SP-A IC > 0.45 SP-A

H <= Hi H > Hs
Dimetro tnel Hi < H <= Hs
b = 10 m H <= 10 1020 2030 3040 4060 6080 80100 H > 100

GSI = 20 SP-E SP-E SP-E SP-E

20 < GSI = 30 SP-E SP-E SP-D SP-D SP-D IC
30 < GSI = 50 SP-D SP-D SP-C SP-C SP-C SP-C
50 < GSI = 60 SP-C SP-B SP-B SP-B SP-B SP-B SP-B
GSI > 60 SP-C SP-A SP-A SP-A SP-A SP-A SP-A

Support Capacity
type Shotcrete Metallic ribs Metallic bolts 20 tons (MPa)

SP-A 10 cm 0.15
SP-B 14 cm 2 IPN140 @ 150 cm 2 4 m @ ribs pair 0.25
o, alternatively 7 bolts 4 m @ 150 cm (without ribs)
SP-C 16 cm 2 IPN160 @ 125 cm 4 6 m @ ribs pair 0.35
o, alternatively 11 bolts 6 m @ 125 cm (without ribs)
SP-D 20 cm 2 IPN200 @ 100 cm 6 6 m @ ribs pair 0.45
o, alternatively 15 bolts 6 m @ 100 cm (without ribs)
SP-E 20 cm 2 IPN200 @ 075 cm 11 6 m @ ribs pair 0.55

of the alternatives. As a consequence, the practical selection REFERENCES

of either alternative will depend on factors such as: site avail-
ability of the different support elements, site availability of
the required installation equipment, cost of each alternative,
contractual conditions, productivity and contractor experience
among other.
It is possible to elaborate a list of technical advantages
and disadvantages of either alternative, but this could easily
become a strongly subjective discussion.
Finally, based on the alternative support considered or avail-
able for each project, the support to be used must be selected
for each design section. In this manner it is now possible to
compare the expected loads (demand), according to the cover
depth and possible geomechanical conditions of the rock mass
to be encountered, with the capacities of the available support
alternatives.
Applying the previously described procedure, the follow-
ing table 2 summarizes two results for an approximately 10
meter wide (or equivalent diameter) tunnel. Table 2 shows
the support selection as a function of the excavation behav-
ior, which is related to the GSI for shallow cover depths
(H Hs), and to the Competence Index (IC) for deeper
sections (H > Hs):
N. BARTON et al. Engineering Classification of Rock Masses for
the Design of Tunnel Support Rock Mechanics, 1974.
Z. BIENIAWSKY Engineering Classification of Jointed Rock
Masses Trans. S.A.I.C.E., 1973.
H. BIERBAUMER Die dimensionierung des tunnelmanerwerkes
Liepzig, 1913.
H. HOEK Strength of rock and rock masses ISRM News Journal,
2(2), 416, 1994.
A. PALMSTRM RMi: A rock mass characterization system for
rock engineering purposes [Ph. D. Thesis], Univ. of Oslo, Norway,
pp. 400, 1995.
G. PERRI A. Interazione Terreno-Struttura nelle gallerie
della Metropolitana di Caracas. Congresso Internazionale di
Geoingegneria, del 27 al 30 Septiembre 1989, Torino Italia.
G. PERRI A. Jet Grouting in Tunnelling: Consolidation in the El
Silencio manouvering section of the second line. Caracas Sub-
way. Internacional Congress on Tunnel and Underground Works,
del 3 al 7 de Septiembre 1990, Chengdu China.
G. PERRI A. Evolucin de los Criterios y Mtodos para el Anlisis y
Diseo Geotcnico Estructural de los Tneles Estndar del Metro
de Caracas. XII Seminario Venezolano de Geotecnia, del 3 al 7
Noviembre 1992, Caracas- Venezuela.
G. PERRI A. Analysis and Prevention of the Damages that could be
caused by the future Excavation of hydraulic tunnel very close to
Caracas subway twin tunnels. ISRM, International Symposium
EUROCK 93, del 21 al 24 Junio 1993, Lisboa Portugal.
G. PERRI A. Umbrella Arch: En el Ferrocarril Caracas Ca un
mtodo constructivo para tneles en terrenos difciles basado en
la versin moderna de la tcnica del Marchavanti. Boletn de la

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 Sociedad Venezolana de Geotecnia, N. 74, Junio 1998, Caracas-
Venezuela.
G. PERRI A. Undergropund works and tunneling. XI Congreso
Panamericano de Mecnica de Suelos e Ingeniera de Fundaciones,
Agosto 1999, Iguaz Brazil.
G. PERRI A. Proyecto de tneles: Criterios de diseo. Boletn de
la Sociedad Venezolana de Geotecnia, N. 81, Enero 2002, Caracas
Venezuela.
G. PERRI A. Tunnelling in Venezuela. Pasado Presente y Futuro.
Seminario Inernacional South American Tunnelling, Febrero-
Marzo 2004, Sao Paulo Brasil.
G. PERRI A. & G. PLIZZARI; R. PERRI; L. COMINOLI Reves-
timiento de Tneles en Concreto Reforzado con Fibras Metlicas:
Principios Experiencias Perspectivas. XVIII Seminario
Venezolano de Geotecnia, 911 Noviembre 2004, Caracas
Venezuela.
814
2007 Taylor & Francis Group, London, UK
G. PERRI A. & R. PERRI Diseo del Soporte de Tneles en Concreto
Proyectado Reforzado con Fibras Metlicas. XVIII Seminario
Venezolano de Geotecnia, 911 Noviembre 2004, Caracas
Venezuela.
M. PROTODYAKONOF Klassifikacija Gorotworu Mosc, 1960.
In French T. at O.S. Paris, 1974.
G. RUSSO & G.S. KALAMARAS; P. GRASSO A Discusin on
the Cocepts of: Geomechanical Classes, Behavior Categories and
Technical Classes for an Underground Project. Gallerie e Grandi
Opere Sotterranee, N 54, Marzo 1998, Italia.
K. TERZAGHI Rock defects and loads on tunnel supports In rock
tunneling with steel support by Proctor and Withe. Ohio, 1946.
G. WICKHAM at A. Support Determination Based on Geologic
Predictions Proc. Rapid Excavation and Tunneling Conference
AIME New York, 1972.
 Critical strain: A measure of squeezing problems in tunnels

Mahendra Singh, Bhawani Singh, N.K. Samadhiya & Jaysing Choudhari

Civil Engineering Department, IIT Roorkee, Roorkee, India

ABSTRACT: Prediction of squeezing potential is one of the major problems while tunnelling through weak rock mass under
high overburden. The present methods in vogue generally compare the rock mass strength with the in-situ stress to resolve
this problem. It is suggested in this paper that comparison of strains may be a better approach as the deformations are easily
measurable. Critical strain is defined as that strain level beyond which the squeezing problems will be likely to occur. It is
shown that the critical strain depends on properties of rock material, configuration of joints and anisotropic nature of the rock
mass. Expressions are suggested to assess the squeezing potential through a weakness coefficient called Joint Factor. Critical
strain is also correlated with rock mass quality index Q. A classification is suggested to quantify the squeezing potential based
on ratio of expected strain and critical strain for the tunnel section.

1 INTRODUCTION 7

6
Assessment of squeezing is an important problem while exca-
vating tunnels through poor quality rock masses under high Axial stress, MPa 5
rock cover. Due to excavation, redistribution of stresses around e
4
the tunnel takes place. If the tangential stress at the periph-
ery exceeds the rock mass strength, the mass fails and the 3 p
Initia
broken zone progresses in radial direction resulting in devel- 2 seating
opment of squeezing ground conditions. It is suggested in
this paper that strain may be a better indicator of squeezing 1
potential. If the tangential strain exceeds certain limit, the tun- 0
nel will develop squeezing conditions. This limiting strain is 0 0.5 1 1.5 2 2.5
termed as critical strain. Methods are suggested in this paper Axial strain, %
to assess the critical strain. The expected strain likely to occur
will depend on rock mass properties and in-situ stress condi- Figure 1. Typical stress-strain curve and strain levels.
tions. It may be obtained numerically or through analysis of
monitored deformations. The ratio of expected strain and the for the jointed rock mass under uniaxial loading condition
critical strain is used to define the squeezing potential of the (Fig. 2) as:
tunnel.

2 CRITCAL STRAIN where,

Aydan et al. (1993) used analogy between the stress-strain
response of rock in laboratory and tangential stress-strain
around tunnels to define strain levels above which squeez-
ing may occur. Various degrees of the squeezing were defined
by Aydan et al. (1993). Hoek (2001) also used strain to
define squeezing potential. He has taken critical strain as
1% irrespective of rock mass properties. Present work sug-
gests that the critical strain will depend on the properties
of the intact rock material and joints in the rock mass.
The work is based on an experimental study performed by
Singh (1997) on specimens of a jointed rock mass under
uniaxial loading conditions. The study simulated strength
and deformation behaviour of jointed rock mass with vary-
ing joint configurations. The details of the study may be
obtained from elsewhere (Singh et al., 2002; Singh and Rao,
2005; Singh et al. 2007). A typical stress-strain curve for the
jointed mass is shown in Fig. 1. Various strain levels used
by Ayden et al. (1993) are explained in this figure. Singh
(1997) obtained an expression for the peak failure strain, p
Mrj = modulus ratio for rock mass
= Etj /cj (Ramamurthy, 2004),
Etj = tangent modulus at stress level equal to 50% of cj ,
and
cj = Uniaxial compressive strength (UCS) of the mass.
The critical strain (Sakurai, 1997) represents the elastic
strain, and, is defined as:
If the rock mass properties Etj and cj are known, Eq. (2)
may be used to predict the critical strain. The expected strain
at the tunnel periphery may be obtained from numerical mod-
elling or analysis of monitored deformations. The squeezing
index SI may then be obtained as:

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 10 Table 2. Joint inclination parameter, n (Ramamurthy, 1993).

n n
8
0 0.810 50 0.306
Peak strain, %

6 10 0.460 60 0.465
20 0.105 70 0.634
y = 154.77x-1.0385
R2 = 0.9747
30 0.046 80 0.814
4 40 0.071 90 1.00

2
* = Angle of joint plane with direction of loading

0
0 200 400 600 800
Mrj where a and b are experimentally obtained empirical coef-
ficients and depend on the expected failure mode of the
Figure 2. Correlation of peak strain with modulus ratio. mass(Singh et al, 2002).
From Eqs. (2), (5) and (6) the following expressions may
Table 1. Proposed classification for squeezing potential in tunnels. be obtained for the critical strain:

Class No. Squeezing Level SI

1 No squeezing (NS) SI < 1.0

2 Light squeezing (LS) 1.0 < SI 2.0 For splitting and shearing failure modes:
3 Fair squeezing (FS) 2.0 < SI 3.0
4 Heavy squeezing (HS) 3.0 < SI 5.0
5 Very heavy squeezing (VHS) 5.0 < SI

where, For sliding and rotation mode of failure:

ua = radial closure, and,
a = radius of the tunnel.
A classification similar to Aydan et al. (1993) is proposed
and is presented in Table 1.
If no information is available on failure mode the following
expression may be used in general:
3 DETERMINATION OF CRITICAL STRAIN

Rock mass strength cj , and tangent modulus Etj are generally

anisotropic in nature. The following approaches may be used
to get these properties and hence the critical strain
3.1 Joint Factor
Ramamurthy (1993), Ramamurthy and Arora (1994) and
Singh et al. (2002) advocated the use of a weakness coef-
ficient called Joint Factor. The concept has been developed
based on extensive experimental investigations on natural and
artificial jointed rocks (Yaji, 1984; Arora, 1997; Roy, 1993;
Singh, 1997). The Joint Factor is defined as :
where,
Jf = Joint Factor for the critical joint set,
Jn = number of joints per metre depth in loading direction,
n = joint inclination parameter (Table 2),
r = joint strength parameter = tan j,
j = friction angle along the joints at very low normal
stress level.
The Joint Factor forms the basis for a rational classifica-
tion for jointed rock masses (Ramamurthy, 2004). It links the
anisotropic values of cj and Etj with respective intact rock
properties ci and Eti respectively as:
where,
ci = UCS of intact rock,
Eti = tangent modulus of the intact rock,
Mri = Modulus ratio of intact rock.
The rock mass in the filed may be classified by using Joint
factor concept (Ramamurthy, 2004). The level of critical strain
may be assessed from Fig. 3, which presents the variation of
critical strain with Joint Factor from Eq. (10) for various values
of the modulus ratio of intact rocks.
3.1.1 Example
Let there be a tunnel excavated through a rock mass that has
two joint sets striking parallel to the tunnel axis. The joint sets
dip at 30 and 45 respectively, in directions opposite to each
other. The joints are continuous and spacing between the joints
is 40 cm for both the sets. Following properties are available
from laboratory tests:
Tangent Modulus Ei = 10,000 MPa;
ci = 100 MPa;
Friction angle of joints under low normal stress j = 37 .
The joint factor is computed at the periphery of the tunnel
at 15 interval and the critical strain is computed for these
points. The computations are presented in Table 3. It may be
seen that the critical strain is different for different points
along the periphery due to anisotropic nature of the jointed
mass. The expected strain along the periphery may now be

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 100 3.3.1 Using Singh et al. (1997)
Mri=50 Mri=100 Singh et al. (1997), based on the back analysis of several
Mri=200 Mri=500 tunnels, have suggested the following relation for rock mass
strength cj (For Q < 10, Jw = 1.0, ci < 100 MPa).
Critical strain, %

10

1
where,
= density of rock mass in gm/cc,
0 cj , ci = UCS or rock mass and intact rock respectively
0 5 100 150 200 in MPa.
Jf Q = actual (post-construction) rock mass quality.
The critical strain may therefore be obtained from intact
Figure 3. Variation of critical strain with Joint Factor. rock properties and Q value as,
Table 3. Computation of critical strain through Joint Factor.

Jn
Joint Per Critical cr ,
set m n Jf Jf %
3.3.2 Using Barton (2002)
0 I 45 1.77 0.188 12.5 36.1 1.54 Barton (2002) has suggested the following correlation for field
II 30 1.25 0.046 36.1 modulus of deformation:
15 I 30 1.25 0.046 36.1 36.1 1.54
II 45 1.77 0.188 12.5
30 I 15 0.65 0.283 3.1 6.28 1.08
II 60 2.165 0.465 6.2
45 I 0 1 0.810 1.6 4.4 1.05 Using the above expression the critical strain may be
II 75 2.415 0.724 4.4 obtained as,
60 I 15 0.65 0.283 3.1 3.3 1.04
II 90 2.5 1.00 3.3
75 I 30 1.25 0.046 36.0 36.0 1.54
II 75 2.415 0.724 4.4
90 I 45 1.77 0.188 12.5 12.5 1.16
II 60 2.165 0.465 6.1 3.3.3 Example
Citation: Jethwa et al. (1982);
Project site: Chhibro-Khodri tunnel, India;
compared with the critical strain and squeezing potential may Rock type: Crushed red shales;
be assessed. Average Q = 0.08;
Unit weight = 2.73 g/cc;
3.2 Field Tests Observed closure = 6%;
ci = 26.9 MPa;
Uniaxial jacking tests are routinely performed at project sites. Ei = 10.80 GPa;
The elastic modulus Etj , of the rock mass may be obtained
from these tests. The rock mass strength cj , may be correlated Using Singh et al. (1997) (Eq. (14))
with rock mass modulus Etj , intact rock modulus Eti and intact
rock strength ci (Ramamurthy, 2004; Singh and Rao, 2005)
as given below:

Squeezing index = 6.00/0.51 = 11.76

very high squeezing (Table 1)
Using Barton (2002) (Eq. (16))
The critical strain may now be obtained as

Squeezing index = 6.00/0.41 = 14.63

3.3 Q system
For many projects sufficient data required for the above men-
tioned approach is seldom available. Bartons Q index is
generally available for tunnels. An approximate value of crit-
ical strain may be obtained by estimating rock mass strength
from Q as given below.
very high squeezing (Table 1)
4 CONCLUDING REMARKS
Critical strain is defined as the tangential strain level at a point
on the opening periphery beyond which, the squeezing prob-
lems may be encountered during construction. It is suggested

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in this paper that the critical strain is an anisotropic property
and depends on the properties of the intact rock and the dis-
continuities present in the mass. Joint factor concept may be
used to assess the anisotropic values of the critical strain at
the tunnel periphery. Expressions are also suggested for com-
puting critical strain if field modulus or Bartons Q is known.
The ratio of expected strain and critical strain may be used to
define the squeezing potential as suggested in the paper.
REFERENCES
Arora, V.K., (1987). Strength and deformational behaviour of jointed
rocks. Ph.D. Thesis, IIT Delhi, India.
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mational behaviour of a jointed rock mass. Rock Mech. Rock Eng.
Vol.35, pp. 4564.
Yaji, R.K., (1984). Shear strength and deformation response of
jointed rocks. Ph.D. Thesis IIT Delhi, India.
 Damage to mountain tunnels by earthquake and deformation mechanism

Toshihiro Asakura
Kyoto University, Japan

Yoshiyuki Kojima
DIA Consultants Co. Ltd., Japan

Takeshi Matsunaga
Kyoto University, Japan

Yoshiyuki Shigeta
Railway Technical Research Institute, Japan

Kazuhiko Tsukada
Kyoto University, Japan

ABSTRACT: Generally the mountain tunnels are little damaged by earthquake. However, recent case studies of the damage of
mountain tunnels caused by earthquakes also show that they are likely to be damaged when 1) the energy scale of earthquake is
large, 2) the tunnel is near the earthquake faults and 3) the tunnel has special conditions, such as bad geological condition and
structural deficiency of tunnel. We collected information on the tunnels which suffered damage from earthquakes, and surveys
of the tunnels damaged by the 2004 Niigata Chuetsu Earthquake to study the damage mechanism of mountain tunnels.
And we mainly focused on grasped the deformation mechanism of the lining qualitatively and simplified the modes of shear
deformation of the ground during an earthquake into the following two cases; a) when the angle of incidence of shear wave is
vertical, and b) when the angle of incidence of shear wave is 45 against the vertical line. This paper presents a summary of
these results obtained from the case studies and the simulation analyses.

1 INTRODUCTION 2 DAMAGE TO MOUNTAIN TUNNELS BY

EARTHQUAKE
As tunnels are surrounded by the ground, they have good
earthquake-resistance if the ground is stable during an earth- 2.1 Tunnels surveyed
quake. Therefore, it is generally said that the earthquake-
A survey was conducted on the tunnels used for highways, rail-
resistance is not necessarily required for tunnels in the stable
ways and aqueducts for power plants situated within regions
ground. In the 1995 Hyogoken-Nanbu Earthquake, however,
affected by the 2004 Niigata Chuetsu Earthquake (hereinafter,
10 tunnels among at least one hundred mountain tunnels in
the Chuetsu Earthquake) in order to determine the level of
service in and around the disaster area had serious damage
damages. Table 1 show the basic data on the tunnels surveyed
to need repair and reinforcement. We reconfirmed that if an
and outline of their damages.
earthquake was larger, even mountain tunnels would have
The total number of the tunnels surveyed was 138 (total
been damaged. Damage survey of the regions affected by the
length: 264 km) (Fig. 1). In terms of the tunneling method,
2004 Niigataken-Chuetsu Earthquake is still underway, but
the most common type was those using Conventional Method,
so far it has been revealed that among over 100 mountain
which accounted for 104, followed by the New Australian
tunnels, approximately 50 were damaged, including 25 or so
Tunneling Method (NATM), which was used for 33 tunnels.
that required repair and reinforcement, as well as those that
sustained minor impacts.
There are few studies on the earthquake damage mecha- 2.2 Outline of earthquake damage to the tunnels
nism of mountain tunnels. On the other hand, more and more
tunnels have been constructed recently in the ground of low Fig. 2 shows the level of damage in percentages. The dam-
strength and low earth covering, to require the establishment ages were categorized into 4 levels, from Tunnels requiring
of a method to design mountain tunnels in consideration of major repair/reinforcement (A1 Tunnels) to Undamaged
the effect of earthquake. We performed this study to acquire tunnels. The damaged tunnels (A1, A2 and B Tunnels)
the basic knowledge of the earthquake damage mechanism of accounted for 35%, of which the tunnels requiring major
mountain tunnels. repair/reinforcement (A1) accounted for 8%.

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 Table 1. List of the tunnels surveyed (Extract Data).

Secondary
Overburden lining
Construction Damage completed Extension (thickness: width height
No. method level Tunnel Extrepreneur Type Route year (m) MAX. MIN. cm) (m) (m)

1 Conventional A2 Ojiya dai ni MLIT Road R17 1983 1088 62 C(60) 9.5 4.8
Method
2 Conventional A2 Takazawa Niigata Road R291 1965 18.2 C 6.00 4.50
Method pref.
3 Conventional A1 Haguro Niigata Road Principal localway 1967 506.0 C(50) 5.60 5.20
Method (roadway) pref. Kashiwazakitakahama
horinouchi line
4 NATM A2 Haguro Niigata Road Principal localway 1994 550.0 C(30) 2.20 2.85
(sideway) pref. Kashiwazakitakahama
horinouchi line
5 Conventional A1 Jyunitaira Niigata Road Principal localway 1986 210.0 C(5080) 8.50 4.70
820

Method pref. Kashiwazakitakahama

horinouchi line
6 Conventional A2 Utogi Niigata Road Principal localway 1989 590.0 C(60) 6.00 4.70
Method pref. Ojiyakawaguchiyamato
line
7 Conventional A2 Shiotani Niigata Road Principal localway 1983 512.5 C(5060) 7.50 5.85
Method pref. Ojiyakawaguchiyamato
line
8 NATM A1 Kizawa Niigata Road Principal localway 1991 305.0 C(3070) 6.00 4.70
pref. Ojiyakawaguchiyamato
line
9 Conventional A1 Araya Niigata Road Prefectural Road 1977 292.0 C(60) 7.50 5.64
Method pref. Oguriyamakawaguchi
line
10 Conventional A2 Horinouchi East japan railway co. ltd. Superexpress Jouetsu superexpress 1978 3,300 100 C(7090) 9.6 8.3
Method

2007 Taylor & Francis Group, London, UK

 11 Conventional A1 Uonuma East japan railway co. ltd. Superexpress Jouetsu superexpress 1977 8,624 70 C(5090) 9.6 8.3
Method
12 Conventional A1 Myouken East japan railway co. ltd. Superexpress Jouetsu superexpress 1976 1,459 65 C(7090) 9.6 8.3
Method
13 Conventional A2 Takiya East japan railway co. ltd. Superexpress Jouetsu superexpress 1977 2,673 55 C(7090) 9.6 8.3
Method
14 Conventional A2 Shinfukuyama East japan railway co. ltd. Railroad Joetsu line 1963 1,463 7.5 C(45) 4.8 5
Method
15 Conventional A1 Wanazu East japan railway co. ltd. Railroad Joetsu line 1966 725 41 30 C(50) 8.5 7.5
Method
16 Conventional A2 Ushigashima East japan railway co. ltd. Railroad Joetsu line 1966 432 14 C(50) 8.5 7.5
Method
17 Conventional A1 Tennou East japan railway co. ltd. Railroad Joetsu line 1965 285 11 4 C(4560) 4.7 5.1
Method
18 Conventional A1 Shinenokitouge East japan railway co. ltd. Railroad Joetsu line 1967 1,372 75 C(3050) 4.7 5.1
Method
821

19 Conventional A2 Enokitouge East japan railway co. ltd. Railroad Joetsu line 1921 641 70 CB(2356) 4.8 5.4
Method
20 Conventional A2 Tsukayama East japan railway co. ltd. Railroad Shinetsu line 1966 1,766 150 C(50,60) 8.7 6.3
Method
21 Conventional A2 Myoukousan East japan railway co. ltd. Railroad Iiyama line 1927 1,465 151 CB(2391) 4.6 5.2
Method
22 Conventional A2 Kouyousan East japan railway co. ltd. Railroad Iiyama line 1970 500 67 36 C(4560) 4.8 5.1
Method
23 Conventional A2 Uchigamaki East japan railway co. ltd. Railroad Iiyama line 1927 425 30 18 CB(4787) 4.6 5.2
Method

Damage levels Lining

A1: Damage requiring major repair/reinforcement C: Concrete
A2: Damage requiring some repair/reinforcement, other than A1 CB: Concrete blocks
RC: Reinforced concrete
BR: Bricks
ST: Stones (Masonry)
2007 Taylor & Francis Group, London, UK
Figure 1. Number of the tunnels surveyed (by use purpose).
Figure 2. Damage levels in percentages.
Fig. 3 shows the damage level in percentages, categorized
by the construction method. The percentage of those with Con-
ventional Method that suffered damage was 39%. However,
that of the NATM tunnels was 23%, showing they were less
damaged than those with Conventional Method.
The tunnels requiring repair/reinforcement were mainly
suffered from lining concrete failure, such as falling or flaking,
opening of placing joints, compressive failure, shear crack-
ing, tensile cracking and invert uplifting, and other damages
caused by the collapse of entrance slope. The mechanisms
of these damages are currently under investigation by rel-
evant organizations, but the distance from the hypo central
plane, topographical/geological factors such as poor or land-
slide prone ground, and structural factors such as voids at
lining back and cold joints.
2.3 Relative positions of tunnels and hypocenter
Fig. 4 shows the enlarged detail of the hypocenter region of the
main shock (M6.8, at 17:56 on Oct 23).The surface earthquake
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2007 Taylor & Francis Group, London, UK
Figure 3. Damage level in percentages, categorized by the construc-
tion method.
faults have not clearly been identified for the Chuetsu Earth-
quake; however, the earthquake faults assumed here were
those running more or less in the north-south direction, as
shown in the explanatory diagram attached to Fig. 5. In mod-
eling the assumed earthquake faults, the earthquake faults of
the main shock are represented by the red mesh area (N35 E)
in the figure (a), which is assumed to be a fault plane inclined
to the west by approximately 50 . Figure (b) shows the slip
length represented by contour lines, which were obtained by
projecting the fault planes on to a plane surface. On every fault
plane assumed, the slip length is found to be 2 m maximum.
The relationship between the locations of assumed earth-
quake faults of the main shock and the tunnel damages is
summarized as follows.
(i) The characteristic feature of the relationship between the
tunnel damage level and earthquake faults is that not all
the tunnels on the faults were damaged, and that many
A1 tunnels were found near the ground surface within a
region on the faults that was assumed to have had a long
slip length.
(ii) Many A1 and A2 Tunnels were found on the hanging wall
side of an earthquake fault.
(iii) A2 and B Tunnels were found in places other than the
vicinities of earthquake faults described above.
3 DAMAGE MECHANISM OF TUNNELS AT A
FRACTURED ZONE
We performed numerical analyses to reproduce damage pat-
terns of tunnels at a fractured zone at an earthquake.
3.1 The analysis model
Fig. 5 shows the analysis model. Table 2 shows analysis con-
ditions. We mainly focused on grasping the crack mechanism
of the lining qualitatively and simplified modes of shear defor-
mation of the ground during an earthquake into the following
two cases; a) when the angle of incidence of shear wave is
vertical, and b) when the angle of incidence of shear wave is
45 against the vertical line.
3.2 Effect of shear wave
Fig. 6 shows the distribution of crack width when the average
shear strain of the ground caused by shear wave is 1.8*103 .
Figure 4. Location of tunnels in the affected region.

v The crack width is calculated by the following equation on the

d d
S train : ave= / d
a) When an angle of incidence of shear wave is vertical
b) When an angle of incidence of shear wave is 45 against
the vertical line.
Figure 5. Analysis models.
Table 2. Analysis conditions.
Youngs modulus of ground
Poissons ratio of ground
Youngs modulus of concrete
Compressive strength of concrete
Tensile strength of concrete
Poissons ratio of concrete
h
assumption that one crack occurs on one element.
h
Width of crack = Plastic strain of the element equivalent
length of the element
a) When the angle of incidence of shear wave is vertical.
v As the shear strain of the ground reached 6.3*104 , cracks
occurred at the joint between the invert and side wall
and at the shoulder of the arch at the same time. As
S train : ave= v/d= h/d
the shear strain became large, the width of crack became
wider the crack penetrated the lining when the shear strain
reached 1.8*103 .
b) When the angle of incidence of shear wave is 45 against
the vertical line.
Cracks occurred at the arch crown and the center of the
invert when the ground is vertically compressed. On the
other hand, cracks occurred at the spring line of both sides
when the ground is horizontally compressed. We performed
parameter studies by changing intensity of shear deforma-
tion, we found that the intensity affected only the width and
500 N/mm2 depth of cracks but did not the location of cracks.
= 0.3 From these results, we found that tunnels tend to have cracks
Ec = 26 kN/mm2 and compressive failures at the crown of the arch and the spring
fck = 18 N/mm2
line at a fractured zone by a large bending moment caused by
ftd = 1.9 N/mm2
= 0.167
earthquake. However, the direction of crack was only vertical
to the lining and we were not able to reproduce cracks slanted

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 Width of crack ( mm ) Width of crack ( mm ) Average shear
Large strain =1800
Large

Initial earth pressure

0.028 Cracks occured Cracks
0.015
occured

Average shear
strain=1800
Small Small
Enforced displacement
(a) When the angle of incidence of shear wave is vertical

Figure 7. Distribution of width of crack.

Width of crack ( mm ) Average shear
strain =1800
Large
The direction of the earth pressure was assumed to be hor-
izontal. An equally distributed load (80 kN/m2 ) was applied
at the boundary first and then a shear strain corresponding to
the deformation caused by earthquake was added.
0.028 Fig. 7 shows the distribution of width of crack when the
Cracks occured average shear strain of the ground caused by a shear wave is
1.8*103 , where the angle of incidence of shear wave is 45
against the vertical line. As the shear strain became larger, a
relatively wide crack occurred inside the springline. We per-
Small formed parameter studies by changing the intensity of initial
earth pressure, and found that the intensity affected only the
Enforced displacement
width and depth of cracks but not the location of cracks. From
Width of crack ( mm ) these results, we found that when mountain tunnel suffered
Average shear
strain =1800
damage from the shear deformation caused by an earthquake,
Large cracks slanted to the lining like those observed at the Rokko
Tunnel occur depending on the mode of initial earth pressure
acting on the lining.

Cracks
0.028 occured 4 CONCLUSION

We conclude that we can classify damage patterns of mountain

tunnels by earthquake into the following three patterns;

Small
Enforced displacement
(b) When the angle of incidence of shear wave is 45
against the vertical line.
Figure 6. Distribution of width of crack.
to the lining like those observed at the Rokko and Myoken
Tunnel.
3.3 Effect of initial load acting on the lining
If the strength of the ground around the tunnel is low as in a
fractured zone, an initial load like the squeezing earth pressure
may sometimes act on the lining. We analyzed other cases with
some initial load enforced on the lining.
(1) Damage to tunnel entrances and portals
(2) Damage to tunnels at a fractured zone
(3) Damage to tunnels by sliding of a fault.
We have proved these mechanisms based on the results of
simulation analyses and model tests.
REFERENCES
Asakura, T., Shiba, Y., Sato, Y. and Iwatate, T.: Mountain Tunnels
Performance in the 1995 Hyogoken-Nanbu Earthquake, Special
Report of the 1995 Hyogoken-Nanbu Earthquake, Committee of
Earthquake Eng. JSCE, Jun. 1996.
Japan Society of Civil Engineers Tunnel Engineering Committee
Niigataken Chuetsu Earthquake Special Subcommittee: Report
by Japan Society of Civil Engineers Tunnel Engineering Commit-
tee Niigataken Chuetsu Earthquake Special Subcommittee, June
2005.

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2007 Taylor & Francis Group, London, UK

 Delayed deformation analyses for mountain tunnels

Y. Jiang, Z. Guan & Y. Tanabashi

Department of Civil Engineering, Nagasaki University, Nagasaki, Japan

ABSTRACT: The time-dependent features of soft rock, named rheology generally, should be taken into account in the long-
term design and maintenance of mountain tunnels. Based on the classic Burger-MC rheological model, a Burger-Deterioration
rheological model is proposed in this paper and is implemented in the numerical codes FLAC3D . A deterioration threshold and
two deterioration ratios are introduced in this model to consider the time-dependent strength deterioration aspect of the rock
mass. The proposed model is applied to an engineering instance (Ureshino Tunnel Line I, Nagasaki, Japan) to account for the
delayed deformations that occurred after its completion. The delayed crown settlement and invert upheaval computed from
simulations are featured by an exponential characteristic and a stair-typed characteristic, respectively, which agree well with
the in-site monitoring data.

1 INTRODUCTION Burger-MC model, a Burger-Deterioration model is proposed

The New Austrian Tunneling Method has innovated the con-
cept of conventional tunnelling from resisting the passive earth
pressure to helping the ground support itself, and has been
widely used in mountain tunnelling (Carranzas & Fairhurst
1999, Oreste 2003, Guan et al. 2006). When applying this
method in soft rock mass, which exhibits strain softening
behaviors and time-dependent features apparently, the tunnels
would experience a large delayed deformation that might lead
to a delayed failure of structure. Therefore, the time-dependent
features of soft rock, named rheology generally, should be
taken into account in the long-term design and maintenance
of mountain tunnels.
According to the results from laboratory (or in-site) tests
and the experience from engineering practice, many rhe-
ological models have been proposed to account for the
time-dependent features of rock mass from manifolds. These
models can be generally divided into two categories: the clas-
sic viscoplastic models and the viscoplastic-damaged models.
The former ones try to relate the current strain rate to the cur-
rent stress directly. Particularly, the relationship between the
deviatoric strain rate and the deviatoric stress can be schemat-
ically represented by a series of spring, dashpot and plastic
slider that connected in parallel and/or in series (Hudson &
Harrison 1997, Itasca Consulting Group 1997).
The viscoplastic-damaged models are based on the prin-
ciple of strain and energy equivalence and are derived from
a standard thermodynamic dissipation potential (Pellet et al.
2005, Shao et al. 2006). Generally, the dissipation potential
consists of two independent potentials, which correspond to
the strain softening process and the damaging process, respec-
tively. When these two potentials are well defined, by applying
the normality rule, the plastic strain rate can be formulated as
the potentials first-order difference with respect to the cur-
rent stress, and the damage evolution rate can be formulated
as the potentials first-order difference with respect to the
thermodynamic force.
The viscoplastic-damaged models can account for the ter-
tiary creep phase phenomena that occur in some creep tests,
in this paper. Instead of the complicated damage mechan-
ics, a deterioration threshold and two deterioration ratios
are introduced in this model to consider the time-dependent
strength deterioration aspect of rock mass. The proposed
model is implemented in the numerical codes FLAC3D , and is
applied to an engineering instance to account for the delayed
deformations that occurred after its completion.
2 THE BURGER-DETERIORATION MODEL
2.1 The classic Burger-MC model
The constitutive laws of the classic Burger-MC model are
characterized by an elastoplastic volumetric behavior and a
viscoplastic deviatoric behavior. The deviatoric behavior can
be schematically illustrated in Fig. 1, where a Kelvin section
characterized by its shear modulus G K and viscosity K , a
Maxwell section characterized by its shear modulus G M and
viscosity M and a Mohr-Coulomb plastic section character-
ized by its cohesion c, friction angle and dilation angle
are connected in series and subjected to a certain deviatoric
loading jointly. Consequently, the deviatoric strain rate parti-
tioning is formulated as Eq. (1). And the constitutive laws of
the deviatoric behavior for these three sections are formulated
as Eqs. (2)(4), respectively, while the constitutive laws of the
volumetric behavior are formulated as Eq. (5).
K
G
G
M
M
c, ,
ij
K
Kelvin section Maxwell section MC section
eij
K
e
M
ij
e ij
P

where the classic viscoplastic models fail to do. However, the

viscoplastic-damaged models are generally too complicated Figure 1. Schematical representation of the deviatoric behavior of
to be applied in engineering practice. Based on the classic Burger-MC rheological model.

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2007 Taylor & Francis Group, London, UK


where eij and sij are the deviatoric components derived from
the strain tensor and the stress tensor, respectively; kk and kk
are the volumetric components of the strain and stress tensors.
The superscripts K, M and P denote the Kelvin, Maxwell and
MC plastic components of the corresponding variables. g is
the plastic potential for MC section, and is a multiplier that
can be eliminated in the calculation afterwards. K is the bulk
modulus of the rock mass.
On the other hand, the stress state should be enveloped by
a failure criterion. For MC section, the failure criterion f and
the plastic potential g generally can be expressed as
where 1 and 3 are the major and the minor principal stresses;
c, and are the cohesion, the friction angle and the dilation
angle of MC section, respectively.
2.2 The Burger-Deterioration model
Some types of rock specimens would experience three differ-
ent phases in creep tests, when the constant stress applied
on the specimens is larger than a threshold (the so-called
long-term strength). The strain rate will attenuate in the
primary phase, stabilize in the secondary phase and accel-
erate in the tertiary phase, which lead to a delayed failure
finally. The viscoplastic-damaged models incorporate the
damage mechanics with the viscoplastic mechanics to account
for the tertiary creep phase phenomenon. However, there
is not a well-recognized one among the researchers, since
the damage mechanics would differ from each other due to
different types of rock masses. Meanwhile, the complexity
of viscoplastic-damaged models limits their applications in
engineering practice. Instead of introducing the complicated
damage mechanics, a Burger-Deterioration rheological model
is proposed in this paper. Its framework is the same with
the Burger-MC model and it just simply assumes that the
cohesion c and the friction angle will decrease with time,
regardless of whether the loss of strength is caused by cycle
loading fatigue, by clay mineral hydration or by some other
reasons (Nakagawa et al. 2004). Furthermore, it is assumed
that the loss of strength is controlled by its current stress state,
and there exists a threshold to initiate this kind of strength
deterioration.
2007 Taylor & Francis Group, London, UK
The parameter R is named as stress coefficient in this paper,
which indicates the distance from the current stress state
to the MC failure envelope. When the stress coefficient is
greater than a certain threshold Rthr , the rock strength initiates
to deteriorate. The multipliers c and are deterioration
ratios that scale the increments of c and by some certain
proportions.
The Eqs (8) that describe the constitutive laws of the Burger-
Deterioration model can be implemented in the numerical
codes FLAC3D . Although the proposed model is not included
directly in the codes constitutive laws library, fortunately, the
programmable language FISH can help to implement it indi-
rectly under the framework of the classic Burger-MC model in
such a way: reevaluating the new cohesion and friction angle
for each element according to its current stress at the beginning
of each calculating cycle.
3 DELAYED DEFORMATION ANALYSES
3.1 The outline of the Ureshino Tunnel
The proposed Burger-Deterioration model is applied to an
engineering instance (Ureshino Tunnel Line I in Nagasaki
Expressway) to account for the delayed deformations that
occurred after its completion since Nov. 1992. The construc-
tion began from May 1990 and finished in Nov. 1992. The
typical geometrical dimension of cross section is schemati-
cally illustrated in Fig. 2. The tunnel convergence monitoring
positions, mainly including the convergence at the crown (uc ),
the springline (us ) and the invert (ui ), are also denoted by the
triangles in this figure.
In the longitudinal direction, the span of each excavation
cycle was 1.0 m. The shotcrete lining and the rock bolt were
installed immediately after each excavation cycle, and the
second lining was cast in place after 25 excavation cycles
completed. In this paper, a total of 30 excavation cycles (from
SAT 170+00.0 to SAT 200+00.0) are simulated step by step
in FLAC3D . The properties of the rock mass, as listed in
Table 1, are referenced to the construction and the monitoring
reports on Ureshino Tunnel (Japan Highway Society, 2000).
Notice that at the excavation stage, the rheological calculation
switch is set off, since the elastoplasticity is the overwhelming
mechanics rather than the rheology. Thus, the six rheological
parameters are unnecessary at this stage.
rock bolt
rock mass
uc
5.3m
shotcrete
second lining
5.3m
1.5m1.5m
us
ui
Figure 2. The cross-section dimensions and the convergence mon-
itoring positions.
826
3.2 Delayed deformation characteristics increases exponential, which indicates that it is dominated
by the viscoplastic mechanics. On the other hand, two com-
The monitoring on the tunnel convergence began from 1990
paratively mechanics, the viscoplasticity and the strength
when Line I commenced working, and lasted out until 2000
deterioration, influence the invert upheaval jointly, which
when the construction of Ureshino Tunnel Line II was com-
leads to a stair-typed deformation characteristic. It is the
pleted. It was found that Ureshino Tunnel Line I experienced
stair-typed deformation characteristic that agrees with the
a continuous converging even after it was put into use, which
monitoring data (the dotted-line in Fig. 5) qualitatively, which
was close related to the rheological features of rock mass.
implies the suitability of the proposed model to account for
Setting the rheological calculation switch on and using the
the delayed deformation occurred in Ureshino Tunnel Line I
proposed rheological model, the numerical simulations afore-
after its completion.
mentioned proceed to rheological analyses focusing on the
period from Nov. 1992 to Nov. 1997.
Firstly, the deformation characteristics of each section
should be discussed respectively. By setting the related rhe- 3.3 Parameter identification
ological parameters to some extreme values (i.e. infinite or Although the proposed model is able to account the delayed
zero), the proposed model can be simplified into Kelvin- deformation mechanics in Ureshino Tunnel Line I quali-
MC model, Maxwell-MC model and deteriorated MC model tatively, another problem arises that how to evaluate the
respectively. The deformations calculated by these three mod- corresponding parameters involved in this model more real-
els, as schematically illustrated in Figure 3, are featured by istic, since these rheological parameters usually are not ready
exponential, linearly and unstably increases in both uc and for a certain engineering instance. It is suggested that they
ui , respectively. In fact, the deformation characteristics of should be back-analyzed from the in-site monitoring data, if
the Kelvin section, the Maxwell section and the deteriorated these data are available. Generally, the optimal method using
MC section correspond to the first, the second and the third
phases in some rock specimens creep tests, where the strain
rate attenuates, stabilizes and accelerates respectively. K K M c Rthr
G
Meanwhile, the deformation characteristics of the Burger- (MPa) (Pa.s) (Pa.s) (MPa/y) (o/y)
Deterioration model, which combines these three sections case 01 600 4.0e16 6.0e17 0.05 0.10 0.75
case 02 1000 6.0e16 8.0e17 0.10 0.15 0.60
jointly, are illustrated in Figure 4. The crown settlement 400 0.05 0.10 0.75
case 03 3.0e16 4.0e17
60
uc

Table 1. The properties of the rock mass employed in numerical

simulations. 40
Delayed Convergence (mm)

Properties Value Properties Value

20
(kg/m3 ) 2300 c (MPa) 0.577
K (MPa) 833 ( ) 30.0
G K (MPa) N/A ( ) 5.1 0 month
12 24 36 48 60
K (Pa s) N/A c (MPa/y) N/A
G M (MPa) 385 ( /y) N/A 20
M (Pa s) N/A Rthr N/A
In-situ zz (MPa) 8.0 In-situ xx (MPa) 8.0 case 01
40
case 02
case 03
ui

60
G
K

K

M c Rthr
(MPa) (Pa.s) (Pa.s) (MPa/y) (o/y) Figure 4. The deformation characteristics of the proposed
Kelcin-MC 6.0 2.5e16 Inf. 0 0 0 (Burger-Deterioration) model.
Maxwell-MC Inf. Inf. 5.0e17 0 0 0
MC-Deterioration Inf. Inf. Inf. 0.05 0.1 0.60
uc

40 40
uc

30 30
0
Delayed Convergence (mm)

euc = 0.5%
Delayed Convergence (mm)

20 20

10 10

12 24 36 48 60
0 month 0 month
12 24 36 48 60
10 10
0
euc = 3.2%
20 20

30 Kelvin-MC 30 monitoring data

Maxwell-MC weighted average case a0
ui

Deteriorated MC
ui

40 40

Figure 3. The deformation characteristics of the Kelvin-MC, Figure 5. Comparison of monitoring data and the simulation results
Maxwell-MC and Deteriorated-MC sections. (weighted averaged case a0).

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the artificial network is a powerful means for parameter identi-
fication; however, this issue is a problem far beyond the scope
of this paper. Instead, a simple means of weighted average is
employed to evaluate the realistic parameters for the Burger-
Deterioration model, according to the in-site monitoring data.
A total of 40 cases with different rheological properties are
studied by the same numerical simulations. The properties are
taken in such a random way that they are normally distributed
with the expected value and deviation referenced to the rock
specimens lab tests (Japan Highway Society, 2000).
Comparing the simulation results with the in-site monitor-
ing data, the errors for the crown settlement and the invert
upheaval in each case are defined as:
j j
where uc (ui ) and ucmo (uimo ) are 60 1 vectors recording the
crown settlements (the invert upheavals) computed from jth
case and the monitoring data during sixty months from Nov.
1992.   is the denotation of norm calculation for vectors.
Consequently, the weight for each case, wj , can be calcu-
lated via Eq. (10), and the weighted average of the rheological
properties can be obtained via Eq. (11).
In the above equation, aj and a0 are 6 1 vectors recording
the rheological parameters for the jth case and the weighted
average parameters after back-analyses. Employing the real-
istic properties a0 again into the same simulations, the
simulation results together with the monitoring data, are
delineated in Fig. 5. The simulation results agree with the
monitoring data well and the errors of uc and ui fall below an
acceptable range.
The proposed Burger-Deterioration model, as well as its
corresponding parameters is proven to be able to account for
the delayed deformation mechanics in Ureshino Tunnel Line
I after its completion, and can be used to predict the further
deformation of rock mass and help the maintenance of tunnel
in the future.
2007 Taylor & Francis Group, London, UK
4 CONCLUSIONS
Based on the classic Burger-MC rheological model, a Burger-
Deterioration model consisting of a Kelvin section, a Maxwell
section and a deteriorated MC section that are connected in
series is proposed in this paper. A deterioration threshold and
two deterioration ratios are introduced in this model to con-
sider the time-dependent strength deterioration aspect of rock
mass, without regarding that whether the loss of strength is
caused by cycle loading fatigue, by clay mineral hydration or
by other reasons.
The proposed model is implemented in the numerical codes
FLAC3D and applied to an engineering instance, Ureshino
Tunnel Line I, to account for the delayed deformations that
occurred after its completion. The deformation characteristics
of the Burger-Deterioration model are conspicuously featured
by its stair-typed increasing of convergence at the invert, which
qualitatively agrees with the in-site monitoring data better than
other rheological models. In addition, the parameters involved
in the proposed model can be back-analyzed via a simplified
weighted average method, according to the in-site monitor-
ing data. The proposed model, together with the realistic
parameters after back-analyses, can account for the delayed
deformation mechanics, and help the maintenance of tunnel
in the future.
REFERENCES
Carranza, C. & Fairhurst, C. 1999. The elasto-plastic response of
underground excavations in rock masses that satisfy the Hoek-
Brown failure criterion. Int. J. Rock Mech. Min. Sci., 36(6):
777809.
Guan, Z. Jiang, Y. & Tanabashi, Y. 2006. Ground reaction analyses in
conventional tunnelling excavation. Tunnelling and Underground
Space Technology, 22(2): 230237.
Hudson, J. & Harrison, J. 1997. Engineering rock mechanics.
London: Pergamon.
Itasca Consulting Group. 1997. Fast Lagrange Analysis of Continua
in 3 Dimensions User Manual. Minneapolis.
Japan Highway Society. 2000. The construction and monitoring
reports of the Nagasaki Expressway (in Japanese).
Nakagawa, M. Jiang, Y., Sato, M. & Tanabashi, Y. 2004. Deforma-
tion simulation of tunnel by considering time dependency of rock
strength. Soils and Foundations. 53(6): 2832(in Japanese with
English abstract).
Oreste, P. 2003. Analysis of structural interaction in tunnels using the
convergence confinement approach. Tunnelling and Underground
Space Technology, 18(4): 347363.
Pellet. F. Hajdu, A. Deleruyelle, F. & Besnus, F. 2005. A viscoplas-
tic model including anisotropic damage for the time dependent
behaviour of rock. Int. J. Numer. Anal. Meth. Geomech., 29(9):
941970.
Shao, J. Chau, K. & Feng, X. 2006. Modeling of anisotropic damage
and creep deformation in brittle rocks. Int. J. Rock Mech. Min. Sci.,
43(4): 582592.
828
 Design and analysis of yielding support in squeezing ground

G. Anagnostou & L. Cantieni

ETH Zurich, Switzerland

ABSTRACT: The only feasible method for dealing with extremely squeezing ground is providing sufficient space for acco-
modating rock deformations and installing a so-called yielding support, i.e. a support which can deform considerably without
damage. This paper provides a critical overview of the flexible support systems proposed and applied in the past, and presents
design nomograms for estimating the amount of convergence required in order to reduce rock load to a technically manageable
level.

1 INTRODUCTION by presenting design nomograms for estimating the amount

The term squeezing refers to the phenomenon of large
long-term rock deformations triggered by tunnel excavation.
Squeezing may lead to the destruction of a temporary lin-
ing or even to a complete closure of the tunnel cross section.
Two basic concepts exist for dealing with squeezing condi-
tions (Kovri 1998). According to the so-called resistance
principle, a practically rigid lining is adopted, which is dimen-
sioned for the expected rock pressure. In the case of high rock
pressures this solution is not feasible. The so-called yielding
principle is based upon the observation that rock pressure
decreases with increasing deformation. By installing a flexible
lining, rock pressure is reduced to a value that is structurally
manageable. An adequate overprofile and suitable detailing
of the temporary lining will permit the non-damaging occur-
rence of rock deformations, thereby maintaining the desired
clearance from the minimum line of excavation. The rock load
reducing effect of flexible supports, as well as various techni-
cal solutions, have been known at least in principle since
the first decades of the 20th century (Fig. 1). Major progress
was made in 1932 with the introduction of sliding connections
by Toussaint-Heintzmann.
Typical design issues concern the feasibility of a rigid
support in a given geotechnical situation (rock strength and
deformability, depth of cover and magnitude of pore pres-
sure), the amount of deformation required in order to reduce
rock load to a technically manageable level and the structural
detailing of a flexible support. The present paper addresses
these questions by outlining and discussing the yielding sup-
port systems proposed and applied in the past (Section 2), and
of deformation required to reduce loading (Section 3).
2 TYPOLOGY OF FLEXIBLE TUNNEL SUPPORTS
There are basically two technical options for accommodating
deformation without damage to the lining (Fig. 2): (a) Arrang-
ing a compressible layer between the extrados of a stiff lining
and the excavation boundary; (b) Installation of a yielding
lining in contact with the rock face. In the first case, the rock
may experience considerable convergence, while the clearance
profile remains practically constant as the linings stiffness
limits deformations. Such a solution is therefore advantageous
particularly in cases with slow and prolonged deformations
during the service period of a tunnel. It is a standard solution
for the final support of tunnels crossing highly swelling rock
(Kovri et al 1988).
In the second solution, the lining deforms with the rock and,
consequently, its circumference shortens. This is possible by
an appropriate structural detailing involving either steel sets
with sliding connections (Fig. 2-b1) or deformable elements
inserted into slots left between stiff lining segments (Fig. 2-
b2). Thrust transfer occurs via friction in the first case and
via compression in the second. The axial force in the lining is
controlled by the frictional resistance of the connectors or by
the yielding stress of the deformable elements, respectively.
The basic design parameters of a yielding support are the
deformability s (= s-sin Fig. 2), the number n and the yield-
ing load N of the flexible joints. The first two parameters are
selected on the basis of the radial convergence u that must

Figure 1. (a) Layer of wood between rock and U section steel sets;
(b) Concrete with wood interlayers (from Heise & Herbst 1913). Figure 2. Basic types of flexible support.

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2007 Taylor & Francis Group, London, UK

Figure 3. Sliding connections of (a) top hat section steel sets and
(b) H section steel sets (from Frhlich 1948); (c) lattice girders.
occur in order to reduce loading (for a circular tunnel cross
section, n.s=2u).
Depending on the strength and the structure of the rock
mass, block detachment or loosening of an extended zone
above the crown may occur particularly when considering the
larger deformations taking place with a yielding support. The
yield load N of the joints must, therefore, fulfil two criteria: it
must be, (i), lower than the design load of the lining segments
or of the steel ribs but, (ii), higher than the resistance needed
for safety against loosening. If the resistance of the flexible
joints is not high enough, the support starts to yield under the
weight of the rock. A low yield load (e.g., 50 kPa as indicated
by Hoek et al. 2006) does not ensure safety against loosening,
while solutions leaving the tunnel completely unsupported for
a period of time (as proposed by Kolymbas 2003) should be
obviously avoided.
Steel sets applied in squeezing ground have usually a
top hat cross section and are connected by friction loops
(Fig. 3a) offering a sliding resistance of up to 600 kN/set (4
loops 150 kN) utilizing thus the high bearing capacity of
TH-ribs (for a recent successful application of TH-ribs in a
large cross section railway tunnel with up to 10% conver-
gence see Kovri et al. 2006). Occasionally, H cross section
ribs (Fig. 3b) are also used (cf. Snchez Fernndez et al.
1994, Wittke et al. 2005). Lattice girders with sliding over-
lapping bars (Fig. 3c) have even been proposed (Hindley et al.
2004) although their contribution to the support resistance is
negligible (very low buckling load of the bars).
Various support layouts in past underground mining works
incorporated wood extensively as a compressible element.
Lenk (1931) reported about early applications in connec-
tion with prefabricated concrete elements. Recent, mainly
experimental, attempts to increase the flexibility of precast
segmental linings utilize neoprene elements (Croci 1986)
or hydraulic devices (Tusch & Thompson 1996) which are
arranged in the longitudinal joints. Particularly interesting
from a mechanics point of view is the system described by
Baumann & Zischinski (1994) as it can accommodate axial
deformations of up to 30 cm under a very high yielding load of
3 MN this nevertheless at a prohibitively high cost (expen-
sive deformable jacks, time-consuming installation of the
segments, heavy reinforcement due to shear forces).
A shell made of shotcrete can, due to the brittleness of
the material, accommodate only small deformations without
damage (maximum 12% convergence). Leaving longitudi-
nal slots open in a shotcrete shell (Fig. 4a) was a method used
for dealing with high rock pressures in conventionally driven
alpine tunnels in the 1970s (see, e.g., Pchhacker 1975). In
this case, the high compressive strength of the shotcrete is not
utilized, and its statical function degenerates to that of large
anchor plates (Schubert 1996). Safety relies then solely upon
bolting. A large quantity of long bolts may be needed in order
to control rock deformation and for safety against loosening.
Deformable rock bolts with an extremely low yielding load
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2007 Taylor & Francis Group, London, UK
Figure 4. Shotcrete shell with (a) open slots, (b) steel cylinders
(Schubert 1996), (c) ductile concrete elements (Thut et al. 2006).
Figure 5. Load-deformation behaviour of compressible elements.
Curves A and B: steel cylinders (4 elements per linear meter) after
Schubert et al. (1996, 1999), respectively. Curves C and D: ductile
concrete elements after Thut et al. (2006).
(70 kN, Wittke et al. 2005) are in this respect unsuitable as
they do not offer sufficient safety against loosening.
Compressible elements incorporated into the slots of the
shell increase safety by utilizing the shotcrete during the
deformation stage. For this purpose, so-called lining stress
controllers have been developed, and were applied first in
the Galgenberg Tunnel (Schubert 1996). They consist of steel
cylinders which are loaded in the axial direction (Fig. 4b), and
which buckle in stages and shorten up to 200 mm at a load
of 150250 kN, thereby limiting the stress in the shotcrete
shell (curve A in Fig. 5 refers to 4 elements/lm). An improved
element with three co-axial cylinders (Schubert et al. 1999),
similar to another device developed in the same period for
yieldable anchors (de Souza 1998), reduced the force oscil-
lations caused by uncontrollable and asymmetric buckling
(Fig. 5, curve B). The cylindrical elements exert a concentrated
pressure to the lining segments (Budil et al. 2004). Overstress-
ing of the shotcrete can be avoided by appropriate, but costly
and demanding, structural detailing.
Further progress in this field has been made recently with
the introduction of compressible elements composed by a mix-
ture of cement, steel fibres and hollow glass particles (Kovri
2005). The glass particles, which increase the void-fraction of
the mixture, collapse at a pre-determined compressive stress,
thereby providing the desired deformability. The elements
yield up to 50% in a ductile manner, while the yield strength
depends on the composition of the mixture and can be adapted
to specific project conditions (Fig. 5, curves C and D). These
elements have recently been applied in the Ltschberg Base-
tunnel and in the St. Martin la Porte site access tunnel of the
Lyon Turin Ferroviaire (Thut et al. 2006). Easy handling and
installation, complete incorporation into the shotcrete shell,
 Figure 7. (a) Characteristic lines of support; (b) Problem layout.

Figure 6. Bearing capacity of yielding support (solid lines) and

height of loosening zone (dashed lines) as a function of tunnel
diameter b.

uniform load transfer to the shotcrete segments and almost

perfectly-plastic behaviour at high compressive stress are their
advantages.
Figure 6 shows the bearing capacity of yielding supports
(expressed by the rock column height h) as a function of the
tunnel diameter b (h = 2N/b, where N denotes the yielding
load of the deformable elements and = 25 kN/m3 is the unit
weight of rock). With increasing tunnel diameter, the yielding
support resistance decreases while the probable size of the
loosening zone increases. High strength yieldable elements
offer considerable safety-gains, particularly for large tunnel
cross sections.
Figure 8. Pressure p (normalized by the intial stress po ) acting upon
a stiff support as a function of the stiffness ratio ER a/EL d, where ER
and EL denote the Youngs modulus of the rock mass and of the
lining, respectively, a is the tunnel radius and d the lining thick-
ness. The symbols and fc denote the friction angle and the uniaxial
compressive strength of the rock mass. The Poissons number and
the angle of plastic dilatancy were taken equal to = 0.30 and
= 20 (or 0 for < 20 ).

3 DESIGN NOMOGRAMS

The design of yielding support is based upon estimates of

the amount of deformation needed in order to reduce rock
load. The respective calculations usually assume plane strain
conditions. The latter underestimate deformations as they
do not consider correctly the stress-path dependence of the
mechanical behaviour of the ground (Cantieni & Anagnostou
2007). Furthermore, plane strain analyses necessitate addi-
tional assumptions concerning the deformations of the ground
ahead of the tunnel face. Three-dimensional simulations do
not have these disadvantages as they take into account the
spatial stress re-distribution around the tunnel face. Step-by-
step numerical modeling of tunnel excavation is very costly,
however, and is carried out only for specific projects.
Using a numerically efficient technique which solves the
advancing head problem in just one computational step,
thereby making comprehensive parametric studies possible
(Anagnostou 2007), design nomograms for yielding sup-
port have been derived. The calculations have been carried
out assuming axisymmetric conditions (Fig. 7b, cylindrical Figure 9. Pressure p (normalized by the intial stress po ) acting
tunnel, uniform and hydrostatic initial stress field) and a upon a rigid support as a function of the normalized convergence
homogeneous ground with isotropic, linearly-elastic and non- uy occurred during the preceding deformation stage (see Fig. 8 for
associated perfectly-plastic behaviour obeying Coulombs the other parameters and notation).
yield criterion.
Both stiff and yielding supports have been considered. In is rigid afterwards (for simplicity, the yield load of the com-
the first case (resistance principle, Fig. 7a, line 1) the lining pressible elements or sliding connections was neglected in the
deforms more or less in relation to stiffness k (k = EL d/a2 , rock-support interaction). Lining stiffness k (the resistance
where EL and d denote the Youngs modulus and the thickness principle) or deformation uy (the yielding principle), respec-
of the lining, respectively, and a is the tunnel radius). In the sec- tively, govern the rock pressure p. Figs. 8 and 9 show the
ond case (yielding principle, Fig. 7a, line 2) the lining deforms numerical results in dimensionless form (cf. Anagnostou &
under stress-free conditions up to a radial convergence uy and Kovri 1993).

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2007 Taylor & Francis Group, London, UK

 Fig. 8 can be used in order to assess the feasibility of a lining
according to the resistance principle as it shows the load p
(normalized by the initial stress po ) developing on a stiff (but
not rigid) support without yielding or sliding elements. Fig. 9
serves for the estimation of the convergence uy that must occur
during the deformation stage of a yielding support in order that
the rock pressure decreases to a pre-determined, technically
manageable load value p.
The nomograms are useful for making quick assessments
of the conditions prevailing in a specific project, thereby
assisting the Engineer in the decision-making process.
REFERENCES
Anagnostou, G. & K. Kovri 1993. Significant parameters in elasto-
plastic analysis of underground openings. ASCE, Journal of
Geotechnical Engineering, 119 (3), 401419.
Anagnostou, G. 2007 (in press). Continuous tunnel excavation in a
poro-elastoplastic medium. In Pande & Pietruszczak (eds.), Tenth
Int. Symp. on Numerical Models in Geomechanics (NUMOG X),
April 2527, 2007, Rhodes, Greece.
Baumann, L. & U. Zischinski 1994. Neue Lse- und Ausbautech-
niken zur maschinellen Fertigung von Tunneln in druckhaftem
Fels. Felsbau, 12 (Nr. 1), 2529.
Budil, A., Hllrigl, M. & K. Brtz 2004. Strenger Tunnel Gebirgs-
druck und Ausbau. Felsbau, 22 (Nr. 1), 3943.
Cantieni, L. & G. Anagnostou 2007. On the adequateness of the
plane strain assumption in tunneling analyses. 11th Congr. of the
Int. Soc. for Rock Mech., Lisbon, Portugal.
Croci, G. 1986. Progettazione, Costruzione e Sperimentazione del
Rivestimento Prefabbricato della galleria Santomarco, nella zona
interessata da terreni estremamente spingenti con ricoprimento di
circa 1000 metri. Int. Congr. On Large Underground Openings,
Firenze, vol. 1, pp. 137146.
De Souza, E., Mottahed, P. & M. Molavi 1998. Field Testing of a
Yielding Support System. Int. J. of Rock Mech. & Min. Sci., Vol.
35, 45, Paper No. 087.
Frhlich, K. 1948. Die Verbindung sthlerner Streckenbgen, Gluck-
auf, pp. 543555.
Heise, F. & F. Herbst 1913. Lehrbuch der Bergbaukunde. Berlin: Verl.
V. J. Springer.
Hindley, G., Gibbons, P., Agius, M., Carr, B., Game, R. & K. Kashani
2004. Linking Past and Future. Civil Engineering Magazine,
ASCE, May 2004.
832
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Hoek, E., Marinos, P., Kazilis, N., Angistalis, G., Rahaniotis, N. & V.
Marinos 2006. Greeces Egnatia Haighway Tunnels. Tunnels and
Tunnelling Int., Sept. 2006, 3235.
Kolymbas, D. 2003. The role of time in NATM. In Natau, Fecker &
Pimentel (eds), Geotechnical Measurements and Modelling, pp.
7378, Swets & Zeitlinger, Liss.
Kovri, K., Amstad, Ch. & G. Anagnostou 1988. Design / Construc-
tion methods Tunnelling in swelling rocks. In Cundall et al.
(eds), Proc. of the 29th U.S. Symp. Key Questions in Rock
Mechanics, Minnesota, 1732.
Kovri, K. 1998. Tunnelling in Squeezing Rock. Tunnel, 5/98, 1231.
Kovri, K. 2005. Method and device for stabilizing a cavity excavated
in underground construction. US Patent Appl. 20050191138.
Kovri, K., Ehrbar, H. & A. Theiler 2006. Druckhafte Strecken
im TZM Nord: Projekt und bisherige Erfahrungen. In Lw (ed),
Geologie und Geotechnik der Basistunnels, pp. 239252, Zrich:
Vdf Hochschulverlag.
Lenk, K. 1931. Der Ausgleich des Gebirgsdruckes in grossen Teufe
beim Berg- und Tunnelbau. Berlin: Julius Springer.
Pchhacker, H. 1975. Gebirgsklassifikation bei Gross-Strassentunneln.
Kritik und Anregungen. PORR-Nachrichten, Nr. 63.
Snchez Fernndez, J. L. & C. E. Tern Bentez 1994. Tnel de
Trasvase Yacamb Quibor. Avance Actual de los Trabajos de
Excavacin Mediante la Utilizacin de Soportes Flexibles Apli-
cados a Rocas con Grandes Deformaciones. In M. van Sint Jan
(ed.), IV CSMR / Integral Approach to Applied Rock Mechanics,
pp. 489497, Santiago: Editec.
Schubert, W, Moritz, B., Sellner, P. & M. Blmel 1999. Tunnelling in
Squeezing Ground Recent Improvements. Felsbau, 17 (Nr. 1),
5658.
Schubert, W. 1996. Dealing with Squeezing Conditions in Alpine
Tunnels. Rock Mech. Rock Engng. 29 (3), 145153.
Thut, A., Nateropp, D., Steiner, P. & M. Stolz 2006a. Tunnelling in
Squeezing Rock Yielding Elements and Face Control. In: 8th Int.
Conf. on Tunnel Constr. and Underground Structures, Ljubljana.
Thut, A., Piedevache & Prouvot 2006b. Projet Alptransit: Instrumen-
tation et essais in-situ pour deux tunnels de base en contexte alpin.
Tunnels et ouvrages souterrains, 198, pp. 331336.
Tusch, K.N. & J.F.K. Thompson 1996. Method of connection. US
Patent 5489164.
Wittke, W., Wittke-Schmitt, B. & D. Schmitt 2005. The 9 km long
Kallidromo tunnel of the new highspeed railway line Athens-
Thessaloniki, Greece, tunnel sections in squeezing ground. In
Erdem & Solak (eds), Underground Space Use: Analysis of the
Past and Lessons for the Future, 321326. London: Taylor &
Francis Group.
 Design and reliability analysis of pillar performance for underground
limestone mine in Korea

Y.B. Jung, C. Sunwoo & S.K. Chung

Korea Institute of Geoscience & Mineral Resources, Daejeon, Korea

ABSTRACT: Reliability analysis deals with the relation between the loads a system must carry and its ability to carry those
loads. Both the loads and the resistance may be uncertain, especially in geotechnical problems, so the result of their interaction
is also uncertain. Nowadays, it is common to express reliability in the form of a reliability index, which can be related to a
probability of failure. This concept is applied to design a stable and economical limestone pillar, since the strength of the pillar
and applied load have some degree of uncertainty by nature. It was found that uncertainty regarding the pillar performance can
be managed quantitatively by using the reliability index with factor of safety or margin of safety.

1 INTRODUCTION

The Ssangyong Hajang limestone mine is located in Sam- Q

Probability density function (pdf)
cheok, Gangwon, Korea and its annual production reaches
about 100,000 tons from open pit mining. Currently, a bench
cut method is applied from 890 ML to 930 ML and bench R
height is about 10 m. The current investigation is carried
out to determine a suitable underground mining method and
the dimension of excavations that would guarantee economic
efficiency, as well as stability of the underground workings.
Because of environmental problems and public resentment,
the owner has to change the mining method from open pit
to underground. This paper presents details of the investi- Values of R or Q
gation and the methodology adopted to arrive at a suitable
mining method. Specially, the design and analysis of pillar Figure 1. Probability densities for typical resistance and load.
performance based on reliability theory is highlighted.
A reliability index, is defined as
2 RELIABILITY THEORY

Reliability analysis deals with the relation between the loads

a system must carry and its ability to carry those loads. Both
the loads and the resistance may be uncertain, especially in
geotechnical problems, so the result of their interaction is also
uncertain. Nowadays, it is common to express reliability in the
form of a reliability index, which can be related to a probability
of failure (Baecher & Christian 2003).
which express the distance of the mean margin of safety
form its critical value (M = 0) in units of standard devia-
tion. If the load and resistance are uncorrelated, the correlation
coefficient is zero, and reliability index is simply defined as

Figure 1 and 2 show plots of typical probability distribution

2.1 Basic theory
of R, Q and M . The probability of failure must be the proba-
The margin of safety, M , is the difference between the bility that M is less than zero, which is the shaded area in the
resistance (R) and the load (Q): Figure 2.
Geotechnical engineers are more accustomed to working
with the factor of safety, F, defined by

Regardless of probability distribution of R and Q, the mean

and variance of M are Failure occurs when F = 1, and a reliability index is defined by

Table 1 based on Corps of Engineers (1997), provides val-

ues of the probability of unsatisfactory performance, pf for
where = mean, = standard deviation and RQ = correlation example values of the reliability index along with a subjective
coefficient between R and Q. description of the level of risk.

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2007 Taylor & Francis Group, London, UK

 pdf

pdf M

pf

0 E[M] Values of M
Figure 3. Geological map around the Hajang limestone mine.
Figure 2. Probability density for margin of safety.

Table 1. Example values for reliability index & probability of

failure (Corps of Engineers 1997).

Performance level Reliability index Probability of failure

High 5.0 2.871e-7

Good 4.0 3.169e-5
Above average 3.0 0.00135
Below average 2.5 0.00621
Poor 2.0 0.02275
Unsatisfactory 1.5 0.06681
Hazardous 1.0 0.15866

2.2 Probabilistic analysis of performance function

As a direct integration of the adopted performance function
for the F is not feasible, the expected value, E[F], and the
variance, VAR[F] of the F my be estimated by using (1) Taylor
series method, or (2) Rosenblueths point estimate method, (3)
Monte Carlo simulation. Monte Carlo simulation method is
applied for the calculation of reliability index and probability
of failure in this study due to its ability to provide an estimate
of the pdf of the safety factor.

3 GEOLOGICAL DESCRIPTION OF ORE DEPOSITS

The circumference surrounding the Ssangyong Hajang

limestone mine is composed of Precambrian Taebaeksan
formation, Moybong slate of the Joseon super-group,
Poongchon limestone, Hwajeol formation, Dongjeom
quartzite, Dumudong formation and Makgol formation. The
target formation is the upper Poongchon formation (ep in
Fig. 3) located under the Hwajeol formation (ew in Fig. 3). The
black rectangular box in Figure 3 represents the investigation
area in this study.
Currently, 3040 m thick veined ore (high grade
Poongchon limestone) is cropped out at 925 m 975 m above
sea level. The origin of the deposit is identical to Poongchon
formation but there is a small difference in origin formation
because of horizontal movement due to faults. The ores strike
and dip are 1015 NW and 1517 NW, respectively. But the
deep ores dip is 3560 . We supposed that this phenomenon
is attributed to fault activities.
A plan showing the limestone deposits in the Hajang mine
is given in Figure 4 (KORES 2002). The total geological ore
reserve is estimated at 10,826,000 tons, considering an average
specific gravity of 2.7 and a dilution ratio of 30%.
Figure 4. Distribution of limestone ore at Hajang limestone mine.
4 RESULTS OF FIELD INVESTIGATION AND TESTS
4.1 Discontinuities
The discontinuities around the Hajang mine are composed of
three main sets and sporadic discontinuities. The orientation
and spacing of the three main sets are 085/78, 18.6 cm; 288/24,
17.0 cm; and 017/89, 18.3 cm, respectively, and are shown in
Figure 5. The discontinuities are closely spaced and show high
persistency. The converted strength from the Schmidt ham-
mer values of each bench ranges from 70100 MPa (medium
strength) and is lower than the strength obtained from labora-
tory tests. The RQD of the rock mass obtained from borehole
cores range from 78 to 87, with an average value of 80. The
rock mass quality may be considered good based on this
RQD value.

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 Figure 6. Sectional (A-A ) and 3 dimensional views of the proposed
Hajang underground mine.

Table 3. Input variables and their statistics.

Figure 5. Distribution of discontinuities and a view of field
investigation at bench. Variables Mean SD Distribution type

Table 2. Distribution of RMR, Q and GSI. Density (kg/m3 ) 2731.0 53.7 Normal
GSI 60 6 Normal
Investigation site RMR Q GSI GSIaverage UCS (MPa) 118.2 13.0 Normal

900R 59 3.3 4567 56

900L 75 5.0 4065 53
910R 55 4.4 4257 50 research on underground limestone mines (Sunwoo et al.
910L 68 5.3 5567 61 2005), important design parameters were determined:
920R 66 8.3 5877 68
920L 64 10.0 5570 63 (1) stope : 12 m 16 m (2 benches)
930 50 0.5 3755 46 (2) main haulage : 7 m 7 m
(3) pillar : 10 m 16 m.

4.2 Rock mass classification and laboratory tests
Rock mass classification was performed on existing mine
benches using RMR (Bieniawski 1989), Q-System (Barton
et al. 1974) and GSI (Hoek & Brown 1977). The RMR values
range form 50 to 75 and correspond to fair and good rock
mass conditions (Table 2). Q values are between 3.3 and 10.0
(fair rock mass condition), except for 0.5 at the moderately
weathered 930L site. The bench sites GSI values range from
50 to 75, but that of 930L is lower than average because of
the local weathering process. The laboratory tests include uni-
axial, triaxial and direct shear tests. The uniaxial compressive
strength of intact rock ranges from 80 MPa to 130 MPa, except
that of 920L. All the values obtained from the field survey and
laboratory tests constitute a basis for subsequent mine design
and numerical stability analysis.
5 DESIGN OF UNDERGROUND MINE
Based on the acquired information through field survey
and tests as well as empirical data obtained from previous
The sectional and 3 dimensional views of the proposed
underground mine is shown in Figure 6.
6 ASSESSMENT OF THE PILLAR PERFORMANCE
6.1 Preparation of input data and performance model
The load on the pillar was estimated using tributary area con-
cept and the resistance (strength) of pillar is determined by
using 3 different models (Obert-Duvall, Bieniawski, Holland)
for comparison. The strength of in-situ rock mass was esti-
mated using GSI classification (Hoek 2002).
Based on the Melchers(1987) approach, the minimum
number of trials in Monte Carlo simulation needed to gen-
erate consistent reliable results was determined as 1,152 and
actually 2,000 trials were carried out for margin of safety
calculation.
The normal distribution of input parameters was assumed
and mean and variance of input parameters were determined
from the investigation results. Table 3 shows three main
uncertain input variables and their statistics.

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2007 Taylor & Francis Group, London, UK

 Distribution for Overt-Duvall / Margin of Safety/E14 Table 4. Results of simulations including reliability index for each
0.120 performance function for proposed gallery width (w = 12 m).
Mean=6.669338

0.100 Function E[M ] VAR[M ] Pf Reliability index

0.080
Overt-Duvall 6.67 19.85 2.28% 1.50
Bieniawski 5.97 17.67 3.63% 1.42
0.060
Holland 4.97 14.76 6.51% 1.29

0.040
Table 5. Results of simulations including reliability index for each
0.020
performance function for decreased gallery width (w = 11 m).

Function E[M ] VAR[M ] Pf Reliability index

0.000
-5 0 5 10 15 20 25 30 35

2.28% 97.68% .04%

Overt-Duvall 7.17 19.90 1.09% 1.61
0 30 Bieniawski 6.47 17.72 1.70% 1.54
Distribution for Bieniawsk's formula / Margin of Safety/E15
Holland 5.47 14.80 3.32% 1.42
0.120
Mean=5.970789

0.100
0.793. Currently, decreasing gallery width (or increasing pillar
0.080 width) is a primary alternative.
Optimal pillar width which satisfies the conditions applied
0.060 by target extraction ratio and reliability index (safety and
economics) can be determined through various optimization
0.040 methods.

0.020
7 CONCLUSIONS
0.000
-5 0 5 10 15 20 25 30 35 40 45
Uncertainty is inevitable in rock engineering but it can be
3.63%
0
96.37%
35
0%
managed instead of being ignored. In this paper, preliminary
Distribution for Holland (1973) / Margin of Safety/E16 design of underground limestone mine in Korea and reliability
0.120 analysis of the pillar stability is briefly described.
Mean=4.966086 The acceptance level of reliability index or probability of
0.100 failure for mining engineering contrast to the civil engineering
should be prepared by accumulating the world wide data and
0.080
experience.
0.060

ACKNOWLEDGEMENTS
0.040

This research was supported by the Basic Research Project

0.020
0.000
-5 0 5 10 15
6.51% 93.49%
0 35
Figure 7. Distribution of margin of safety using different perfor-
mance model (Overt-Duvall, Bieniawski and Holland).
6.2 Results and discussion
The distributions of margin of safety are shown in Figure 7
for each performance function and reliability index calculated
from the simulation results are shown in Table 4.
According to the table 1, the stability of pillar is consid-
ered unsatisfactory level. However, these results were based
on limited information. Direction of future plan for detailed
investigation and design can be established based on these
results.
Through the simulation using decreased gallery width,
increased margin of safety and reliability index were obtained
(Table 5). But the extraction ratio was decreased to 0.773 from
of Korea Institute of Geoscience and Mineral Resources
(KIGAM) funded by the Ministry of Science and Technology
20 25 30 35 40 45 of Korea.
0%
REFERENCES
Bieniawski, Z.T. 1968. In-situ strength and deformation characteris-
tics of coal, Engng. Geol. 2:325340.
Melchers, R.E. 1987. Structural Reliability: Analysis and Prediction.
New York, Wiley.
Hoek, E., Kaiser, P.K. & Bawden, W.F. 1995. Support of underground
excavation in hard rock. Balkema.
Holland, C.T. 1964. The strength of coal in mine pillars. Proc. of 6th
Symp. on Rock Mechanics:450466.
KORES. 2002. Geological inspection report (Limestone :
Samcheok-Hajang region). DS2002-LS(II).
Sunwoo et al. 2005. KIGAM Report KR-04(c)-17, MOCIE,
Baecher, G.B. & Christian, J.T. 2003. Reliability and Statistics in
Geotechnical Engineering. John Wiely & Sons Ltd.
Corps of Engineers. 1997. Engineering and Design Introduction
to Probability and Reliability Methods for Use in Geotechnical
Engineering. Engineering Technical Letter NO.1110-2-547, DOA,
Washington, D.C.

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2007 Taylor & Francis Group, London, UK

 Design of a large deep cavern at the United States Deep Underground
Science and Engineering Laboratory (DUSEL)

Christopher Laughton
Fermi Research Alliance, USA

Mark Kuchta
Colorado School of Mines, USA

William Roggenthen
South Dakota School of Mines and Technology, USA

ABSTRACT: Construction of a Deep Underground Science and Engineering Laboratory (DUSEL) has been proposed under
the auspices of the US National Science Foundation. The DUSEL facility will provide a diverse group of scientists and engineers
with a dedicated underground facility capable of supporting a broad spectrum of fundamental and applied research at depth
in the Earths crust. In 2005, NSF selected two sites for funded conceptual study. The two sites are at the Henderson Mine in
Colorado and the Homestake Mine in South Dakota. Both sites take advantage of existing mined facilities to provide access
and infrastructure support to the DUSEL. This paper discusses key aspects of an integrated design and research program being
developed to support the construction of a large-deep cavern to house a new generation of physics detector. The detector
proposals are being developed to pursue research into the properties and behaviors of fundamental particles, the neutrino and
the proton. As currently scoped, these proposals call for the excavation of large-span caverns, over 50 m wide, mined at depths
in excess of a kilometer. The paper discusses the main engineering features of the project and emphasizes the need to select the
most appropriate state-of-the-art technologies in site investigation, excavation, ground treatment and reinforcement in order to
deliver a safe, cost-effective, and fit-for-purpose opening.
The DUSEL will also include opportunities for earth scientists and engineers to study key aspects of rock mass behavior at
depth, notably under conditions of high stress, a key challenge faced by todays underground engineering community. The paper
proposes that adroit coordination between earth scientists and the engineers responsible for cavern design and construction
can be mutually beneficial. In particular, an integrated planning effort that allows the cavern engineers to incorporate discrete
research tasks aimed at improving cavern design and construction technologies, within the scope of the DUSEL experimental
umbrella, may significantly enhance the viability of cavern-based physics experiment, such as the Long Baseline, and advance
the state-of-the-art in cavern engineering.

1 INTRODUCTION group of physicists and engineers, based at the US Depart-

For over half a century the particle physics community has
used underground space to house major experiments. These
underground experiments have allowed the physicists to probe
into the fundamental nature of matter. To support this research,
tunnels up to 27 km long have been bored and caverns up to
40 m in span excavated. The overburden not only provides
shielding to protect the surface environment from the radiation
emitted by the research equipment, but also serves to range-out
the cosmic particles that inhibit the ability of detection systems
to uniquely identify the most delicate particle signatures.
A new generation of underground physics experiments is
now being planned to study some of the most compelling
contemporary scientific questions relating to the nature and
behaviours of neutrino and proton particles. To perform these
new studies research resources are being focused on the devel-
opment of a Long Baseline experiment. Proposals to perform
this research call for the construction of a very large-span,
deep permanent cavern. In the US, such a cavern would be
constructed at the US Deep Underground Science and Engi-
neering Laboratory (DUSEL). Pre-project planning for the
construction of such an experiment is being led by a working
ment of Energys Brookhaven and Fermi National Accelerator
Laboratories.
2 KEY CAVERN DESIGN REQUIREMENTS
Although most design criteria for physics caverns are some-
what comparable to those of other underground facilities built
to fulfill more conventional functions associated with civil
or mining applications, the size and depth of the Long Base-
line cavern will present engineers with some unusual, if not
unique, design challenges. In particular, as currently scoped,
these caverns are, without exception, very large. A cavern
to accommodate a large water tank (Water Cherenkov detec-
tor technology), requires a span in excess of 50 m, mined at
depths of up to 1500 m. Figure 1 summarizes the dimensional
criteria for a cavern, proposed by the UNO Experimental
Collaboration (Jung, 1999).
A second Water Cherenkov-based proposal calls for the
mining of a suite of ten dome-shaped 50 m-span caverns at
a similar depth. An alternate design concept, based on the use
of liquid argon particle detection technology, is also being

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2007 Taylor & Francis Group, London, UK

 ~1.2 to 1.5 km
60 m
180 m
60 m
Figure 1. Excavation Dimensions of the UNO Detector.
developed (Fleming 2006). Using this technology, the detec-
tor may function effectively with less overburden. However, it
requires the safe management of large volumes of cryogenic
fluid, including provisions for either the fail-safe containment
or exhausting of cryogenic gases in the event of a leak or
catastrophic release and, most critically, the safe evacuation
of personnel.
Other design criteria associated with the construction and
operation of Long Baseline experimental options include the
installation of impermeable membranes to keep water in and
radon out. Additionally, for the liquid Argon detector option,
where the storage of cryogenic fluids is required, thermal
protection of the rock mass may be needed. Insulation bar-
riers would likely be required to limit thermal contraction
and expansion of the rock mass during cool-down and warm-
up (filling-emptying) of the cry-vessel or during leak events.
Freeze-thaw action could compromise the long-term stability
of the excavation.
Key design issues related to the storage of cold fluids under-
ground are discussed relative to the storage of compressed
liquid natural gas in a lined rock cavern by Glamheden and
Curtis (2006). As the designs of alternate experimental tech-
nologies are developed, further reference to relevant industrial
experiences and on-going research will be initiated to support
the development of cost-effective solutions to these unique
combinations of design criteria.
The long-term science opportunities opened-up by the Long
Baseline experiment are extremely exciting to the physics
community. However, irrespective of the detector technology
selected, the construction of the caverns and detectors will
represent a major investment of scientific research resources
and the decision to conduct the experiment will, to no small
extent, be driven by construction cost and risk. To enhance
the viability of this flagship experiment, a strong onus will be
placed on the rock engineers to develop demonstrably cost-
effective, low-risk solutions. Funding review committees will
need this information in order to objectively balance the con-
struction and operational risks against the scientific rewards
that such an experiment can yield.
It is proposed here that an early emphasis on design opti-
mization, through the selection of best practices and the
incorporation of research specifically targeted at reducing
risk and cost associated with cavern construction, may sig-
nificantly enhance the viability of the overall experiment in
the eyes of peers and funding agencies (Laughton 2006).
Precedent In Cavern Construction for Physics Detectors.
Over the past twenty-five years, the physics community
has gained a significant amount of experience in the con-
struction and operation of large cavern facilities. Worldwide,
over a dozen caverns with spans of 20 m or greater have been
838
2007 Taylor & Francis Group, London, UK
Span, approx. m
20 40 60
0
LEP LHC Gjovik
1
Kamland Super-K
Gran Sasso
Long Baseline
Span:Depth
2 SNO
Target Domain
Western Deep
3
Depth, approx. km
Figure 2. Scatter Plot of Permanent Cavern Span versus Depth.
constructed to house physics detectors. Some larger, purpose-
built physics detector caverns are:
six 21 m span caverns constructed for the Super Positron
Super Synchrotron and the Large Electron Positron, LEP
European Particle Physics Laboratory (CERN), France-
Switzerland (Laughton, 1990),
two 35 m span caverns constructed for the Large Hadron
Collider, LHC, France-Switzerland ( Wallis, 2001),
three 20 m span caverns constructed at Gran Sasso Labora-
tory, Italy (Ianni, 2005),
one 20 m span cavern and one 40 m span cavern constructed
at the Kamioka Mine (Yamatomi et al., 1995), and
one 20 m span cavern constructed at the Sudbury Neutrino
Observatory, Creighton Mine, Canada (Zsaki & Curran,
2002).
Of this set of purpose-built physics caverns, the most expe-
rience has been accumulated at the European Particle Physics
Laboratory (CERN) in support of accelerator-based physics
experiments. Here a total of eight large-span caverns have
been constructed in a weak interbedded series of sandstones,
siltstones and marls.
The deeper hard rock sites are at Gran Sasso, and the
Kamioka and Creighton mines. These laboratories were con-
structed to house detectors that study some of the more elusive
naturally occurring particles and phenomena, which are only
possible to observe reliably at depth under the shielding of
the earths crust. At Gran Sasso, three 20 m span caverns were
mined at a depth of some 1.5 km in a dolomitic rock mass
adjacent to a road tunnel within the Italian Appenine moun-
tain range. At the Creighton Mine a 20 m domed cavern was
mined at a depth of nearly two kilometres in Norite. At the
Kamioka mine two generations of domed cavern, 20 m and
40 m in span, have been excavated at a depth of approximately
one kilometre in hard metamorphic rock units.
To place these physics caverns in a broader perspective,
reference caverns (dark squares) have been added to the
 0 20 40 m
Kamland
Super-K Hyper-K
Figure 3. Three Generations of Physics Cavern at Kamioka Mine.
plot to indicate an approximate envelope for the state-of-the-
industry in wide and deep large permanent cavern construc-
tion. The widest span excavation in the figure is the 60 m-span
Gjovik Hall, Norway. This cavern was mined at relatively
shallow depth (2550 m), in hard metamorphic rock, under
favorable stress-field conditions (Meland & Broch, 1994).
The deepest excavation plotted has a span of roughly 17 m.
It houses a hoist system at a depth approaching three kilo-
metres in the Western Deep Mine of South Africa (Hoek &
Brown, 1980).
The scatter plot indicates that the dimensional requirements
of a cavern for a detector such as UNO reside outside of
the span-depth envelope of precedent for physics caverns.
Indeed, this combination of span and depth is without prece-
dent in wider underground engineering practice too. However,
although there are no direct precedents for the construction of
such a cavern for physics, further review of the span:depth
scatter plot shows that there is some relevant experience that
will be of value to the cavern design team. The Kamioka cav-
erns share many of the design criteria that would be associated
with an UNO-type detector. Designers may be able to draw
upon Kamioka in the development of their design criteria for
UNO and other proposals.
At the Kamioka Mine site, 20 and 40 m span domed-caverns
were excavated in the late 80s and early 90s to house the
Kamland and SuperKamiokande (Super-K) detector exper-
iments respectively. The construction of 50 m span cavern is
now being developed to house a detector referred to as Hyper-
Kamiokande or Hyper-K. Figure 3 shows the relative scale
of the Kamland (20 m span), Superkamioka (40 m span) and
the originally proposed Hyper-K (50 m span) caverns.
The field experience gained during the excavation of a 40 m
domed excavation, assumed to be that of the Super-K experi-
ment (congruent dimensions), is described by Utagawa et al.
(1997). The paper highlights the signs of rock mass distress
that occurred during the excavation phase of construction by
reference to acoustic emissions measurements. These mea-
surements were closely correlated to individual excavation
blasts.
Since the original development of the Hyper-K design con-
cept, significant changes to the design have been made. The
design team has relocated the proposed Hyper-K experiment
to another mine and modified key depth and shape parame-
ters. Adjustment of these key design parameters was made to
optimize the stability of the excavation. Adoption of a new,
shallower site in a different rock unit and the increased use
of curved sidewalls are all likely to favor improved stability
under conditions of high stress.
The Japanese experience in excavating the Super-K cav-
ern and its application in the development of the Hyper-K
design, textits the influence that stress may have on the sta-
bility of DUSEL excavations at depth. It will be important
2007 Taylor & Francis Group, London, UK
Homestake Mine
Henderson Mine
Figure 4. Approximate Locations of Proposed Site.
that designers do not focus uniquely on the performance of
stability analyses and use of classifications that focus on mit-
igation against block and wedge fall-out driven by gravity.
Stress may play an important if not dominant role in deter-
mining the stability of some deeper excavations even in an
hard rock setting.
3 THE PROPOSED DUSEL SITES
In February 2005, the United States National Science Foun-
dation (NSF) received eight site proposals to house a DUSEL
in North America. After the completion of a peer review,
NSF short-listed two of the eight proposed sites for funded
study; they are the Henderson Mine, Empire, Colorado and
the Homestake Mine, Lead, South Dakota. Final selection of
the preferred site is slated for mid-2007.
The Henderson site would be located adjacent to an oper-
ating mine in the front range of the Rocky Mountains some
80 km West of Denver in Colorado.This site would be accessed
and serviced through a combination of existing and purpose-
mined shaft and decline tunnel excavations. The Henderson
DUSEL would be sited in granites.
The Homestake site would be located within the boundaries
of the closed Homestake gold mine located on the eastern
flank of the Black Hills, some 60 kilometers to the north-
west of Rapid City in South Dakota. This site would be
largely accessed and serviced through existing excavations.
The Homestake DUSEL would be sited in meta-sedimentary
and meta-volcanic rock units. The approximate locations of
the two proposed DUSEL sites in the USA are shown in
Figure 4.
4 ANTICIPATED SITE CONDITIONS AT THE DUSEL
Based on the descriptions of the sites presented by the site
teams (Kuchta & Golden, 2005 and Roggenthen, 2005), it
appears that both host rock masses can be characterized to first
order as hard and blocky. At depth, at either of these sites,
such conditions should be favorable to the construction and
operation of permanent laboratory facilities and to the study of
a range of important basic research topics in the geosciences
and engineering notably relating to the comportment of rock
under stress and water flow in fractured aquifers.
In situ stress levels at both proposed DUSEL sites should
allow for a wide range of stress-induced behaviors to be
studied in detail under experimenter-controlled conditions.
In particular, deeper locations should permit the long-term
study of rock mass behaviour under post-peak conditions of
burst and/or squeeze. At the Homestake Mine, Tesarik
et al. (2002) predict overstress conditions at the perimeter of
excavations mined at DUSEL depths. At the Henderson Mine,
839
 Stress Structure
+ +
Geo-Structure
Stress Water
Figure 5. Schematic of DUSEL Rock Mass Conditions.
Callahan et al. (2000) observed stress-induced behaviours
at DUSEL depths during excavation of the Henderson 2000
Project.
Total water inflow rates at the two mines are moderate.
Homestake reports an inflow rate of some 2700 l/min (Lesko,
2005).The UNO Collaboration (2003) reports that the Hender-
son mine pumps approximately 3700 l/min of water. Although
the total flow rates are moderate, neither mine should be con-
sidered dry. It is anticipated that rock mass volumes can be
found at both proposed sites within which fracture-based flow
experiments can be performed over a range of physical scales.
In summary, either of these two sites will provide a strong
platform from which to launch a wide range of compelling
research in the geo-scientific and geo-engineering fields. In
addition, based on the preliminary site investigation work
performed to date, it appears that suitable host sites for the
construction of large excavations can be found at depth at
either of the two proposed sites.
5 KEY FACTORS IN DUSEL OPENING DESIGNS
As previously noted, at depth, in a DUSEL hard rock setting,
it is anticipated that mass conditions of primary importance to
cavern stability will be related to the in situ stresses, rock mass
structure, and potentially water conditions, as shown schemat-
ically in Figure 5. Site investigation and characterization work
undertaken at DUSEL will need to provide the requisite input
to the design analysis and modeling of these key rock mass
conditions in order to satisfy siting criteria and develop opti-
mized design measures. Although, with drainage, the impacts
of steady-state water inflow levels on long-term stability may
be marginal, the impacts of transient water inflows and pres-
sure on stability and constructability during excavation will
warrant particular attention when mining below the water
table, particularly if traversing local fractured or altered zones.
The design processes for large-deep caverns at a hard rock
DUSEL will take into account both scale independent (stress)
and scale-dependent (structure) failure mechanisms. Scale
independent design optimization will take into account the
shape of the cavern and its orientation within the in situ
stress regime. Scale dependent optimization will focus on
evaluating the size and orientation of the cavern relative to
dominant planes of weakness. Reinforcement and lining ele-
ments should be sized and installation timed to ensure an
optimal excavation process.
In addition to incorporating design elements that will ensure
the long-term stability and serviceability of the opening, the
2007 Taylor & Francis Group, London, UK
Water engineers responsible for the design will also need to pay
attention to issues of constructability. Particular emphasis
should be placed on ensuring that the design is compatible
with cost-effective and industry-standard methods and means.
The adoption of familiar methods and means will allow for
more reliability in performance forecasting and maximize the
probability of maintaining a competitive bidding environment.
Constructability criteria are not always given due considera-
tion within the context of an underground design, as noted by
Brannsfors and Nord (1979). Relative to the design of under-
ground structures, the design of a structure is not always
made with due respect to modern construction methods.
6 LARGE-DEEP CAVERN ENGINEERING
Although the proposed DUSEL sites are likely to contain rock
masses suitable for siting large-deep caverns the size, depth
and permanency of the Long Baseline cavern are outside engi-
neering precedent, and as demonstrated by the evolution of
the Hyper K design, rock engineers cannot simply scale-up
existing designs, without a reconsideration of at least the scale-
dependent aspects of the cavern design. Indeed, the authors
believe that detailed reconsideration of all the design elements
will be merited to support the construction of such challenging
structures. This is not to say that the feasibility of such struc-
tures is in doubt. Large unsupported rock arches are formed
by mining operations and found in natural cave networks. The
spans of these stopes and caves often surpass the targeted
spans required for the Long Baseline Experiment.
From a rock engineering perspective, there is no intrinsic
reason why large-span, deep permanent caverns cannot be
constructed. Under the right site conditions, and using appro-
priate excavation and support techniques, a cavern could be
constructed to satisfy the needs of the physics end-user. Best
sites likely to be present and identifiable within the bound-
aries of either of the two known hard rock DUSEL sites should
be able to host such a cavern.
However, feasibility is not the only criterion that is likely to
determine whether designs are completed and a cavern ulti-
mately built. As previously noted, the scope of the proposed
facilities is large, with excavated volumes for single or mul-
tiple caverns well in excess of half a million cubic meters.
The duration, cost and risk of cavern construction may have
a profound impact on the overall viability of the experiment.
The resources required to execute the work will consume a
major portion of the project budget. Cavern construction will
undoubtedly be a multi-year undertaking and the cost may be
well in excess of a hundred million dollars. An order of mag-
nitude estimate for UNO, based on an extrapolation of the
Super-K facility budget, indicates that the cost for the UNO
cavern excavation and support work alone would represent
approximately one third of a half billion dollar project bud-
get (Jung, 1999). The order of magnitude estimate associated
with the cost of cavern construction assumed an average rock
mass Q-value of 100 rock conditions that might be difficult
to find or create within the confines of DUSEL or many hard
rock sites. In the eyes of managers, sponsors and peers, the
cost-effective design and construction of the cavern may be a
prerequisite to the success of the Experiment itself.
To this end it will be appropriate for the Project to eval-
uate issues of cost and risk within a comprehensive Value
Engineering (VE) framework. This framework should not only
840
include the consideration of the full range of available state-
of-the-industry techniques and reference innovation in other
industries, but also encompass consideration of research prod-
ucts emanating industry, academia and other underground
research laboratories, worldwide. Added risks associated with
undertaking research in parallel with contracted work should
be identified early and mitigated before the contract work
packages are finalized. Opportunities for innovation that could
enhance the viability of Large-Deep excavations are seen in
three main areas:
Site Investigation and Characterization
Rock and Support Modelling
Construction Methods, Means and Monitoring
Advances in the state of practice in any one of these areas
could find immediate application at the DUSEL, and notably
in the case of the Large-Deep excavations where significant
reductions in design and construction durations, costs and
associated risks. Such advances can make a significant contri-
bution to the overall viability of cavern-based physics research
and potentially lead to more general improvements in cavern
engineering practices.
7 RESEARCH IN SITE INVESTIGATION
Developing a site investigation campaign that can support a
safe and cost-effective design and construction process is a
key prerequisite for a large cavern. A phased approach to site
investigation is anticipated that allows for adequate field data
to be collected and interpreted before sites are selected and
detailed designs begun in earnest.
The DUSEL site will have a large footprint, and within these
boundaries there is likely to be significant variation in rock
mass quality, in situ stress regimes and hydrologic conditions.
An initial round of site investigation will be needed to identify
the best potential sites for further studies. Such an initial phase
will lead to the delineation of best sites and stay-away zones,
a critical first step towards an optimized design and construc-
tion process for both the Large-Deep cavern and other major
DUSEL facilities. Follow-on investigation can focus on the
site-specific investigation of the identified best sites and any
poor quality rock volumes (shear zones, contacts, faulting etc.)
that cannot be avoided or could prove a target of opportunity
for further geo-scientific exploration.
Research can readily be incorporated into both the site-
wide and site-specific steps of the site investigation. Ideally,
such investigative work would be scoped and scheduled to
be decoupled from the critical path of any facility design or
construction activities.
Areas that can support a better engineering process include
research tasks aimed at improving the definition of the
following:
Rock mass structure
In situ stress regime
Mechanical properties of the intact rock
Hydrologic properties of the rock mass
Distinct research opportunities exist for the characteriza-
tion of rock mass heterogeneity over a wide range of scales,
from millimetres to kilometers. There should be a number of
opportunities to investigate the virgin rock mass conditions,
study the results of excavation and validate the investigative
geo-models based on remote sensing and borehole sampling
841
2007 Taylor & Francis Group, London, UK
and testing. Such studies should offer new opportunities to
improve investigative and geologic modeling procedures and
develop expert systems that can better serve the engineers
needs in site selection and geotechnical characterization.
Such advances have long been desired by the engineering
profession. However, as noted by Glaser and Laughton (2004)
this research list has remained essentially the same for the past
30 years, a comment corroborated by reference to Browns
research list for Large Cavern R&D generated in the late 70s.
This is not to say that progress has not been made in these areas
in the last three decades. Indeed, much progress in hard rock
site characterizations has been achieved, notably at a number
of underground laboratories worldwide, such as Aspo, Pinawa
andYucca Mountain. However, further progress is still needed
to support a yet more reliable rock mass characterization pro-
cess for engineering purposes. The goals of a transparent or
glass earth are, as yet, far from realized.
As facility dedicated to research, DUSEL will allow the
scope and duration of studies to be largely unfettered by the
economic constraints of time and money that often severely
hamper the performance of research within the scope of a tun-
neling or mining project. Opportunities for comprehensive site
investigation and characterization studies will exist at DUSEL
that could never be accommodated within the scope of a for
profit operation.
DUSEL research during the investigative phases of DUSEL
could have a major beneficial impact on the design of
the excavations, in general and the Large-Deep cavern, in
particular.
8 RESEARCH IN DESIGN
Design methodologies are needed that reconcile, fully-
integrate and reliably transform the diverse site investigation
data sets and characterization studies into a reliable 3-D model
of the rock mass discontinuum. Analyses and models adopted
in the design of the Large-Deep excavation(s) will need to
assess the impacts of both stress and structure on the overall
stability of the excavation. Ideally, design models will also
need to provide easily interpreted outputs (3-D graphics) that
allow for the identification of the types and locations of poten-
tial stability problems. Given the required longevity of the
structure (>20 years), issues of long-term stability will need
to be specifically addressed, even in such hard blocky materi-
als. The onset of even minor amounts of instability occurring
after beneficial occupancy could have major consequences for
the experimental program.
The design process should result in the adoption of prac-
tical engineering solutions, notably relative to the selection
of methods and means and selection of compatible excava-
tion phasing, reinforcement and linings to result in a low-risk,
cost-effective solution.
With specific regard to risk, it will be important for cavern
designers to explicitly acknowledge the predictive accuracy
or limitations of the design work they perform. Models must
not only reasonably represent the reality of the construction
situation, but must also provide management with a defen-
sible logic that can associate specific construction risks to
quantified values of severity and probability of occurrence.
Improvements in the engineers ability to model the com-
portment of the excavated rock mass structure and the modi-
fication of its behaviour that can be achieved through the use
of alternate engineering measures will provide valuable input
in to the design of future hard rock excavations at DUSEL and
elsewhere.
9 RESEARCH IN CAVERN CONSTRUCTION
Given the span, depth and permanency requirements of the
Long Baseline cavern, it is likely that a substantial engineer-
ing effort will be required to secure the excavation against
short- and long-term instability. Although a site has not
yet been selected and hence site-specific rock mass con-
ditions remain to be evaluated and modeled, several areas
of research appear worthy of early consideration. As previ-
ously noted, successful engineering innovation in these areas
could potentially improve the viability of the Long Baseline
Experiment:
De-stressing
Pre-Excavation Reinforcement
Syn-Excavation Monitoring and Model Feedback
Post-Excavation Reinforcement and Treatments
Permanent Liners Burst Protection or Waterproofing
Long-Term Monitoring, Maintenance and Repair
De-stressing through the use of explosives is incorporated
in mining operations as a method for reducing the potential
of rock burst behaviour. It is used in more brittle, massive
rocks, subject to high stress, where rock burst behaviour can be
induced during the excavation of tunnels and stopes (Rourke &
Brummer, 1990). In this practice, explosives are used to cre-
ate new fractures in the rock mass. The damage induced by
the explosives effectively reduces the strength and stiffness
of the blasted volume. This practice modifies the response
of the rock mass to stress changes during mining and has
proven effective at rock burst mitigation, providing for safer
short-term access required for stoping. Reductions in stiff-
ness resulting from blasting may translate to lower near-field
stress levels around the openings, but they may also result in
the treated rock mass being subject to larger displacements
and potentially being more prone to blocky fall-out over time.
Though effective for reducing rock burst potential for short
term access, other techniques may warrant investigation for
use adjacent to a permanent cavern.
Alternate destress systems have been proposed and used in
the excavation of permanent excavations subject to high in situ
stress. These systems, based on the use of discrete cut, drilled
or blasted slots allow stress to be relieved through their closure,
without significantly impacting the overall competence of the
rock mass bordering the excavation. Duffaut (2005) describes
a number of strategies that can be used ahead of the main
excavation work to improve stress field conditions for cavern
construction. These strategies involve the pre-mining of slots
or tunnels around the major opening, in order to reduce the
high stress concentrations and maintain rock integrity at the
cavern perimeter.
Pre-Excavation Reinforcement: State-of-the industry appli-
cations of pre-excavation reinforcement typically employ steel
members installed in the rock mass prior to excavation. Such
reinforcement can be installed sub-radially or sub-tangentially
to the excavation perimeter. Hoek (2001) describes the use of
tensioned cables to pre-reinforce the crown of a large power-
house excavation in weak rock. Windsor et al. (1984) describe
rock pre-reinforcement of a stope hanging wall using steel
dowels. The latter reinforcement scheme successfully limited
ore dilution. It is similar in certain key respects to the Rib-in-
Roc concept first promulgated by Stillborg and Stephansson
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2007 Taylor & Francis Group, London, UK
Exploration Galleries
Pre-Reinforcement
Sub-perpendicular
Pre-Reinformcent
Sub-Parallel
Figure 6. Pre-Excavation Cavern Support Concepts.
(1979) in as much as the reinforcement elements are aligned
with the excavation perimeter, concept more consistent with
the classic principles of structural reinforcement. The two
concepts of pre-reinforcement are shown schematically in
Figure 6.
Construction Monitoring: Realistically, even the most con-
sistent application of best practices in site investigation, will
not provide for a perfect characterization of the site. At some
point the designer may be obliged to use her or his best judg-
ment to fill-in the data gaps left between the investigation,
characterization, and analytical/modeling phases of the design
process. Shortcomings in the data collection, characterization
and modeling processes result in uncertainties in the predic-
tion of rock mass behaviour during construction. There will
be an imperative to monitor the construction process to ensure
that the structure remains within the thresholds of expected
behavior. Contingency plans also need to be in-place to ensure
a ready-response in the event that untoward ground responses
are observed locally or more generally around the excavation.
The construction uncertainties that remain after the baseline
design is complete may be expected to result in an increase
in the conservatism of the designed systematically-installed
support systems. Given these remaining geo-uncertainties
provision within the scope of the contract for additional con-
struction methods and means to be applied on an as-needed
basis to enable an adjustment of the system in a cost-effective
design as you go basis, as shown schematically in Figure 7.
Wherever possible the type of contractually adjustable meth-
ods and means should be consistent with established industry
practices to ensure that the amount of adjustment is consis-
tent with designer expectations. Unit pricing, durations, and
quantities written-in to the contract for the performance of
the contingency work should be consistent with industry
standards of cost and efficiency and the amount of rock mass
variation anticipated within the mined volume. In this regard
it should be borne in mind that the larger the rock mass vol-
ume, the more likely it is that a wider range of rock mass
conditions will be encountered, including some more extreme
conditions.
 Drill
Charge
Support
Evaluate Rock Mass at
Heading & Update Drill &
Muck Blast
Blast Plan and Support Design
Vent
Figure 7. Real Time Design Updating during the Mining Cycle.
Permanent Liners: Permanent liners may be sprayed directly
on or pinned onto the rock surface. They can serve a number of
key roles for the physics experiments. They can hold in place
rock mass materials that may detach, notably under the action
of rock stress or gravity. Such liners may need to be flexible
enough to withstand significant long-term displacements of
the rock mass.
Ideally pre-excavation measures would ensure that high
stress concentrations at brittle rock boundaries are mitigated
by the adoption of appropriate pre-excavation measures. How-
ever, if rock burst conditions are anticipated, Thin Spray-on
Liners (TSLs) could provide a higher degree of personnel
protection in the containment of burst events. Even minor
burst conditions could prove extremely hazardous to personnel
given the height of the cavern and the occupancy level.
In the event that a Water Cherenkov detector were chosen,
designs would likely call for the installation of a compos-
ite drainage and waterproofing membrane that can be quality
assured for water tightness, is readily repairable if damaged
by rock failure or construction equipment, and adequately
provides for low maintenance over the life of the Project.
In the event that a Liquid Argon detector were chosen,
designs would likely call for the use of a multi-skin contain-
ment vessel, which could be either free standing or embedded
into the rock cavern walls. The former scenario would allow
all-round access and leak management to take place in a
manner similar to that employed at many LNG terminals,
thus limiting any concerns relative to the thermal response
of the rock mass surrounding response to cold temperature.
The latter scenario would involve a more complex interaction
between the rock mass and containment vessel, notably under
a varying temperature regime.
Long-Term Monitoring: Specific attention to the stability of
the rock adjacent to the caverns, as well as other critical infras-
tructure such as intersections and larger drifts, will be required
throughout the life of the project. Studies of rock displacement
and seismic attributes of the rock will be worthy subjects for
long-term monitoring, particularly at locations where perime-
ter stress concentrations may approach the strength of the
material and creep or burst behaviors are anticipated. Innova-
tive systems to monitor displacements, such as those reporting
real-time extensometer data, will provide important informa-
tion regarding the mechanical stability of the facility. Seismic
systems can monitor acoustic emissions associated with rock
failure (e.g. Gale et al., 2001), and seismic studies can also
be used to characterize the state of stress in the rock in criti-
cal areas (Friedel et al., 1996; Scott et al., 2004). Cooperation
between the physics experiments and the monitoring programs
will be critical to ensure that sufficient monitoring informa-
tion can be gathered without interfering with the necessary
activities of the experiments.
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2007 Taylor & Francis Group, London, UK
10 CONCLUSION
The development of the physics detectors to perform a Long
Baseline Experiment at DUSEL has led to the identification of
some very interesting engineering requirements, notably, the
physicistsdemands for the construction of large-deep excava-
tions. These dimensions are outside the bounds of normal rock
cavern engineering practice. Despite the challenging require-
ments, there is no intrinsic reason why such caverns cannot be
built. Large spans have been observed in nature and are formed
within the scope of some mass mining operations. Although
site investigation will be required to find an optimal site and
appropriate engineering expertise will need to be brought to
bear during design and construction, such a large-deep cavern
can, in all likelihood, be successfully constructed at either of
the two known sites.
However, the physical scope of the excavation is large and
the construction contract work is likely to be expensive and
carry a high contingency.An early commitment of engineering
resources is justified to support the development of a design
baseline and support the construction process. Most impor-
tantly, it will behoove management to consider the value of
participating in early rock engineering research in support of
the Long Baseline Proposal or as a partner in collaboration
with DUSEL engineering partners. An improved fundamental
understanding of the fractured rock mass response to stress
and the influence of support measures on excavation behaviour
are prime research targets for a DUSEL hard rock site. Poten-
tially, there are several areas where a small investment in
cavern-targeted research could yield proportionally signifi-
cant payback to the Long Baseline Project in particular and
the hard rock construction industry as a whole.
To best guarantee success in the design and construction
of underground structures, in general, and such a large cav-
ern in particular, a research emphasis needs to be placed
on the design and construction aspects of all the DUSEL
excavations.
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of the Crusher Development Level at Henderson. Proceedings of
MassMin 2000, Brisbane, Australia.
Brannsfor S. and G. Nord (1979). Design of Underground Structures
with respect to Modern Construction methods from a Contractors
Viewpoint. Fourth International Congress of the International
Society for Rock Mechanics, Montreux, pp. 303311.
Duffaut, P. (2005) Engineering of Large and Deep Caverns for
Physics Research. Conference on the Next Generation of Nucleon
Decay and Neutrino Detectors, 79 April 2005 Aussois, Savoie,
France, pages 43.
Fleming, B. (2006) Massive Liquid Argon TPCs for DUSEL.
Henderson Capstone Workshop, May 6th, 20 pages.
Friedel, M.J., Scott, D.F., Jackson, M.J., Williams, T.J., and Killen,
S.M., 1996, 3-D tomographic imaging of anomalous stress con-
ditions in a deep US gold mine: Jour. of Applied Geophys., v. 36,
no. 1, pp. 117.
Gale, W.J., K.A. Heasley, A.T. Iannacchione, P.L. Swanson, and
P. Hatherly, A. King, 2001, Rock damage characterization from
microseismic monitoring, in Rock Mechanics in the National
Interst, Vol. II, Lisse, Netherlands, A.A. Balkema, p. 13131320.
Glamheden, R, P. Curtis (2006). Excavation of a cavern for high-
pressure storage of natural gas. Tunnelling and Underground
Space technology Vol. 21, pp. 5667.
Hoek, E. Brown, E. (1980). Underground Excavations in Rock.
Institution of Mining and Metallurgy.
Ianni, A. (2005). Status and Future Prospects of Gran Sasso. Next
Generation of Nucleon Decay and Neutrino Detectors. Aussois,
France. 2005.
Jung C.K. (1999). Feasibility of a Next Generation Underground
Water Cherenkov Detector: UNO. Proceedings of the Next Gen-
eration Nucleon Decay and Neutrino Detector Workshop. Stony
Brook, New York USA.
Kuchta, M., Golden, R. (2004) Summary of Candidate Site Geology
etc. Henderson. Blacksburg.
Laughton, C. (1990). Support of the L3 Experimental Hall. Inter-
national Symposium on Unique Underground Structures, Denver,
Colorado.
Lesko, K. (2005) Homestake Mine, Lead, SD (2005), Deep Seminar
Series. Berkeley.
Lombardi, G. (1981). Les Ouvrages Souterrain du LEP. Societe
Suisse de Mecanique des Sols et des Roches, Session de Printemps.
McPherson et al. EarthLab, (2003). A Subterranean Laboratory
and Observatory to Study Microbial Life, Fluid Flow and Rock
Deformation. NSF.
Meland, O, Broch, E. (1994). Underground openings for public use
Some Results from the Research Program for the Gjovik Olympic
Mountain Hall. In Abdel Salam (ed). ITA Conference Tunnelling
and Ground Conditions. 4957.
Rourke, A.J. & Brummer, R.K. (1990). The Use of Explosives in
Rockburst Control Techniques. In Fairhurst (ed) Rockburst and
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Roggenthen, W. 2004 Summary of Candidate Site Geology etc.
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Sadoulet, B. 2005. The Deep Underground Science and Engineering
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Scott, D.F., Williams, T.J., Tesarik, D., Denton, D.K., Knoll, S.J.,
Jordan, J., 2004, Geophysical Methods to Detect Stress in Under-
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Working Group 8 Presentation. http://neutrino.lbl.gov/DUSELS-
1/talks/Laughton.ppt#257,2,The Importance of DUSEL. Berkeley.
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844
 Design of displacement chamber with bedding parallel shear zones in
Siah Bishe Dam, Iran

H. Hassani
Faculty of Mining, Metallurgical and Petroleum Engineering, Amirkabir University of Technology, Tehran, Iran

S. Arshadnejad
Mining Engineering Department, Islamic Azad University, Mahallat Branch, Mahallat, Iran

ABSTRACT: The Siah Bishe pumped storage project is now under construction. The investigation results, the stability analysis
and the support concept for the displacement chamber are discussed in this paper. The displacement chamber is arranged in
sedimentary and volcanic rocks of Triasic and Jurasic ages. The length of the chamber is 150 m and the height is 10 m with
relatively north-south trend. The results of geo-engineering surveys and statistical joint-graphics of stereograms reveal at least
three discontinuity systems in the rock mass. Several transversal sections along the chamber were studied in order to analyze
the stability of rock wedges inside the chamber. The frequency and width of bedding parallel shear zones determined the final
support concept. The results of stability analyses show distinctly asymmetrical overstressed zones.

1 INTRODUCTION

Iran Water and Power Resources Development Company was

entrusted 1983 with the design of Siah Bisheh pumped storage
scheme. The waterways of the plant are now under construc-
tion. It is located in the northern part of the Alborz Mountain,
at a distance of 80 km from the Caspian Sea (Moshanir
Figure 1. Geological cross section along displacement chamber and
Consultant Engineer, 2002). Headrace Tunnel.
The pumped storage plant is situated in layers of the
Jurassic Shemshak, Triassic Elika and in the strata of
Permian age called Dorud, Ruteh and Nessen formation. The
Garmrudbar thrust fault separates the Jurassic Formation from
the Triassic one.
The displacement chamber with the approximately dimen-
sions of L: 50 m, W: 7 m, H: 10 m lies in the Shemshak and
Elika Formation. These formations consist of shaly, slightly
sandy siltstone, sandstone and thin layered limestone and
intrusions of igneous rock such as spilitic basalt partially
bedding parallel orientated.
The whole formation is folded and forms the southern flank
of an anticline. The folding process caused a shearing of
incompetent layers such as thin layers of beds but also between
siltstones with different content of fines like clay or fine sand. Figure 2. Geology of displacement chamber area.

geologically mapped (Fig. 2), the discontinuities as joints and

2 INVESTIGATIONS
The area of the underground displacement chamber was inves-
tigated by the excavation of two test adits in total 320 meters
long, by underground drilling of 100 m. The inclination of
borehole is 45 degree with south direction, nearly perpendic-
ular to the shear zone plane (Farab and Tablieh Geotechnical
Company, 2003).
The displacement chamber with a length of about 80 m runs
nearly normal to the strike of the layers of Shemshak and
Elika formations (Fig. 1), mainly in thin and medium siltstone,
sandstone and shaly layers of Shemshak over the first 50 m,
after that follow limestone of Elika formation at the end of
displacement chamber. This exposed rock sequence has been
bedding planes have been evaluated and according to these
results a portal was fixed for a roof chamber considering all
other aspects such as length of displacement chamber and
overburden above cavern roof.
3 GEOLOGY OF THE DISPLACEMENT CHAMBER
3.1 Bedding
The roof of displacement chamber exposed a rock sequence
with a mean dip and dip direction of bedding planes of
N015/50 up to station 50 m where a main thrust fault crossed
displacement chamber. The rock sequence over the first 20 m

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2007 Taylor & Francis Group, London, UK

 Figure 5. Joint representations around displacement chamber.

Figure 3. Thickness of bedding around displacement chamber. Table 1. Test results (Mpa).

UCS TS Ed

Red shale 50 7.5 7.5

Sandy siltstone 60 7.5 8.0
Quartzite & sandstone 100 15 15.0
Igneous rocks 100 15 15.0

Table 2. Discontinuity shear strength parameters.

Friction cohesion (Mpa)

Figure 4. Thickness of shear zones.
Siltstone All other rock types
Bedding
consists of 33.5% of sandstone, 23% of siltstones with a vary- planes & a) 25 0 a) 25 0
ing content of fine sand, 22.4% of irregularly intercalated shale shear planes b) 20 0.05 b) 20 0.05
and 34.6 % thin and medium limestone.
The sedimentary rocks are well stratified having an average Longit. Joints 27.5 0.05 30 0.10
thickness of 22 cm (Fig. 3). Their properties are as follows: Transv. Joints 27.5 0.05 30 0.10
Degree of separation: 100% related to the width of the
a) Thickness > 1 cm; b) Thickness < 1 cm.
structure.
Waviness: undulating to slightly irregular wavy.
Roughness: Rough, slightly smooth in shaly parts only, no The longitudinal joints have a mean orientation of N 98E/
weathering or alteration on bedding planes was observed. 58E. This joint set shows however a wide range of scatter
of 40 in regards to the strike. The joint sets J2 should be
3.2 Shear planes considered as diagonally orientated joints to the longitudinal
joint set J1.
Bedding parallel shearing of strata is a common phenomenon The transversal joints are less distinctly developed in com-
over the whole sedimentary rock sequence (Hoek & Evert, parison to the longitudinal joints. Their mean orientation is
1999). The alternating beds of different rock mechanical N 172E/90. The spatial distribution is from 10 to 26 m 2.1 m,
properties led to shearing e.g. thin layers of shale between from 26 to 50 m, 12 m.
sandstones. Sheared layers of less than 1 cm thickness contain According to the exposure of all discontinuities of the rock
often soft, slightly plastic silty clay. The layers with a thick- mass, their spatial distribution, their degree of separation and
ness of more than 1 cm contain soft material in the area of the their rock mechanical properties, a direction of the chamber
shear planes but sheared rock fragments up to gravel size in axis of N 357 was determined which is most suitable regard-
the central part of the shear zone. ing the major in-situ stress direction and the direction of the
The spacing and thickness of the individual zones were mea- general slope (Fig. 5).
sured in detail and evaluated for determination of initial and
permanent support measure. The average thickness revealed
is T = 1.8 1.1 cm (Fig. 4). 4 ROCK MECHNICAL PARAMETERS
The extension of these zones is unknown and may dif-
fer strongly. A conservative assumption is that the extension 4.1 Rock Strength and Deformability
should not be taken less than 35% of the displacement chamber
width. The different rock types to be expected during excavation of
the chamber have been tested in laboratory using NX-size
cores from the various drillings and also in-situ by perfor-
3.3 Joint pattern
mance of dilatometer tests and large flat jack tests. The average
The exposed strata along displacement chamber walls and roof results are listed in Table 1.
are moderately jointed, i.e. a spacing of 0.3 to 1.0 m according The shear parameters for the discontinuities were estab-
to the classification Deere (1989). According to the stereo- lished as given in Table 2. The existence of shear planes
graphic projection of measured joints two major joint sets of considerable extent strongly influences the anisotropy of
could be established: Longitudinal joints running parallel to the rock mass deformability characteristics (Goodman &
the strike of the beds and transversal joints. Richard 1989), (Goodman & Richard 1976). Assuming an

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2007 Taylor & Francis Group, London, UK

Table 3. Geomechanical properties of rock mass.

Parameters Er Em Gr Gm Kn Ks S C

Shear zone 2300 269.48 920 108 122.36 48.95 2.5 0.016 16.17
Shemshak 8000 3121.7 3330 1300 1112.9 463.59 4.6 0.402 48.94
formation

average width of 2 to 0.5 cm and an average spacing of 0.40 to

0.50 m the contribution to the rock mass volume is 4 to 5 per-
cent. Consequently, the deformation modulus perpendicular
to bedding is roughly 50% of the value parallel to bedding.
The lateral load factor without consideration of tectonic
stresses will be at least 100% higher perpendicular to bedding
than parallel to bedding.

5 DISPLACEMENT CHAMBER STABILITY ANALYSIS

To investigate the sensitivity of displacement chamber stabil-

ity and support to the scatter of geotechnical conditions the
following variations were made in Finite Element Analyses: Figure 6. Amount of displacement around chamber in static
condition.
Lateral stress factor in between 0.67 and 1.33, most
probable is a factor of 1.0.
Different bedding parallel shear plane strength according
to the thickness smaller or larger than 1 cm.
The displacement chamber is located on a shear zone. Upper
layer of the shear zone is Elika formation and lower layer
is Shemshak formation. Critical section of the displacement
chamber occurs when all of overburden is located on shear Where: KN , KS are normal and shear stiffness in MPa/m. Em ,
zone.Therefore this section has simulated by well known finite Gm are Young modulus and shear modulus in rock mass in
element software that its name is phase2 . Over burden height MPa. Er , Gr are Young modulus and shear modulus of intact
in the section is 82 meters. There are three joints and one fault, rock in MPa, S is joint spacing in m and is Poissons ratio.
in this section. C is cohesion in Mpa, is internal friction angle. Table 3
Dip and dip direction of the fault, joints, bedding and summarizes the results of in situ stress measurements at shear
displacement chamber are as follow: zone and shemshak formation.
1. Fault: N 110/55NE Dilation angle for rock mass is calculated by Arshadnejad
2. Joints: J1 = N 98E/58E, J2 = N 172E/90 formula (Arshadnejad, Poshtvan & Parsaee 2006):
3. Bedding: N 015/50
4. Displacement chamber: N 357/0
Appearance dip in the section plane is calculated as follow:

Where v is appearance dip, is horizontal angle between

actual plane -a plane that is normal to strike of the layer- and
section plane and v is actual dip.
Therefore, appearance dip and dip direction are as follow:
1. Fault: = 113 , = 55 ,  = 29.16
2. Joints: J1 = = 101 , = 58 ,  = 16.98
3. Bedding: = 18 , = 50 ,  = 48.58
GSI (Geological Strength Index) in shear zone and
Shemshak formation is 15 , 38 respectively. Shear modulus
and normal and shear stiffness are as follow (Goodman &
Richard, 1976):
Where GSI is Geological strength index and is internal fric-
tion angle in rock mass and is dilation angle of rock mass.
Then for shear zone is 0 and for Shemshak formation is
2.57 .
Using finite element method (phase2 ), the stability of cham-
ber was investigated. The results (Fig. 6), (Fig. 7) show that
chamber is stable in static condition. Table 4 shows support
system including shotcrete thickness, rock bolt dimensions
and steel frame.
Maximum support pressure (bearing capacity) for the steel
fram determined by Hoek formula (Hoek & Evert, 1999):

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2007 Taylor & Francis Group, London, UK

 Figure 9. Safety factor around chamber in dynamic condition.
Figure 7. Safety factor around of chamber in static condition.
6 CONCLUSIONS
Table 4. Support system of the chamber in static condition.
Details of the investigation, rock mass parameters determina-
Shotcrete thickness Rock bolt (fully bonded) Steel frame
tion, stability analysis and support systems design for the Siah
Roof and walls: Spacing:1 1(m) Profile: Bishe displacement chamber are reported.
15 (cm) Length: 2.5 (m) 82 (kg/m) The chamber is situated in sedimentary rocks and intru-
Floor: 10 (cm) diameter: 25 (mm) I section sive igneous rocks. The folding and thrust faulting of the rock
sequence caused shearing of weak sedimentary layers. These
observed shear planes defined the amount of systematic cham-
Table 5. Support pressure in static condition. ber support consisting of shotcrete, fully bonded rock bolts and
steel frame. Simulations by computer show that the chamber is
Pimax (MPa) Roof and Floor Walls S (m) stable in static and dynamic condition with 15 cm thickness of
concrete, fully bonded rock bolt and steel frame with 82 kg/m
1.43 1.573 1 I section with 0.85 m spacing.
The chamber axis is oriented in such a way to mini-
mize the unfavorable effects of bedding parallel shear planes,
Table 6. Support pressure in dynamic condition. longitudinal joints, major in-situ stress and nearby valley
slope.
Pimax (MPa) Roof and Floor Walls S (m) A
Only a slight decrease of support is possible in massive
1.682 1.851 0.85 0.35 g quartzitic sandstones and volcanic rocks compared to the con-
tinuous existence of shear zones. The static analysis shows the
prevailing influence of shear zone and related joint sets on the
chamber.

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