Technology Communications - www.controls-group.

com (2016)

ROCK PROPERTIES: THE CONTRIBUTION OF LABORATORY TESTS

IN THE DESIGN ACTIVITIES
PIER LUIGI RAVIOLO
plraviolo@controls.it

Rock mass: rock matrix (intact rock) and discontinuities

One of the major obstacles which is encountered in the field of numerical modelling for rock mechanics, is the
problem of data input for rock mass properties.
The term “rock mass” indicates the rock as shown on site, including not homogeneous parts, that is rocks with
different physic-mechanical characteristics, separated by discontinuity systems of different origin, such as
bedding planes, joints, shear zones and faults. From the engineering point of view the characterization of the
rock mass is the first main task in the design activity.
The usefulness of elaborate constitutive models, and powerful numerical analysis programs, is greatly limited,
if the analyst does not have reliable input data for rock mass properties.
The task of determining rock mass properties is not usually an end in itself. It is carried out in order to provide
input for numerical analysis programs, which require material properties in order to perform for example a
stability analysis of open quarries or a stress analysis for the effect of tunneling excavations.
For the evaluation of the mechanical characteristics of the rock mass it is widely recognised that it is necessary
to start from the rock matrix, i.e. from the intact rock. Its strength and deformation characteristics can be
investigated using specific laboratory tests.
On the other hand, the information acquired on the behaviour of intact rock cannot be directly extended to the
design of the structures on the rock site, without a proper analysis of the characteristics of the rock mass as
a whole. In other words, the rock mass is a structure substantially composed of blocks, separated by
discontinuities, that is, by sections or planes of lower resistance, which can be of different nature and size, the
characteristics of which are related to the genesis of geological formations and tectonic events.
From the point of view of rock mechanics, the discontinuities have in common the property of being provided
with mechanical characteristics (resistance, deformability, etc.) generally much lower and weaker than those
of the rock matrix and such as to strongly influence the mechanical behaviour of the entire rock mass.
Starting from the survey of the rock mass and then from its discontinuities and characteristic parameters, it is
possible to make an analysis of the fracturing situation of the rock mass and to get its classification. The
classification systems actually available in literature and internationally recognized (Wickham, Bieniawski, Barton,
Laubscher etc.) are based precisely on the examination of several of the most significant characteristic parameters,
selected so as to provide an evaluation as complete as possible on the global characteristics of the rock mass.
Laboratory tests
The discussion exposed here below is intended to provide a summary assessment of the possibilities and
supports offered by laboratory tests, provided with more or less sophisticated levels of automation, for the
translation of several mechanical properties of the intact matrix and of the rock mass, it being understood that
the main aspect for its characterization is represented by the geological and structural survey and by on-site
investigations.

Tests on the rock matrix (intact rock)

From an experimental point of view the characteristics of resistance and in part of deformability can be
evaluated on samples of intact rock, for example by the following tests:
• Uniaxial and triaxial compression tests
• Indirect tensile tests
• Point Load tests
• Permeability tests on intact rock samples

Uniaxial and triaxial compression tests: deformability parameters

Triaxial tests are usually carried out in order to get a single point of strength for different levels of cell pressure.
The behaviour that we generally monitor along a test on a rock sample, subjected to uniaxial or triaxial
stresses for low levels of cell pressure, can be described by the following diagram:

Behaviour of a rock sample along a triaxial test

Along the shear stage the behaviour of the rock sample can be summarized as follows:
Zone I setting deformation
Zone II elastic zone
Zone III new micro cracks
Zone IV propagation of the new micro cracks
Zone V macro cracks
Zone VI shear plane along the macro cracks

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From the point B of the curve, the rate of radial deformation starts to increase with respect to the axial one
(Poisson ratio increases); this increase is originated since new micro fractures are developing in the area of the
sample subjected to higher stress levels. From this point we can observe an increasing of the sample volume.
Initial Poisson ratio starts from about 0.2 and increases up to the peak resistance, where the increase is very fast
and the final value exceeds the theoretical value of 0.5.
Between the points B and C the micro cracks start to develop but stabilize up to a characteristic size.
After the point C the cracks propagation continues up to the sides of the sample and a system of coalescent
cracks is developed, that will originate a continuous plane of shearing.

Uniaxial and triaxial compression tests: failure envelope

In addition to the parameters of resistance and deformability (elastic modulus, Poisson ratio, volumetric
compressibility), the different tests related to the mechanical properties of intact rocks allow to obtain evaluations
on the failure envelope.
For almost any analysis in rock mechanics (either in case of slope stability analysis or design of foundations and
underground cavities) one of the most important tasks is to determine the failure curves of rocks. For determining
a generalized failure envelope a minimum of three parameters is required: tensile strength, uniaxial compressive
strength and the triaxial compressive strengths with at least one level of representative confining pressure.
In the case in which the failure envelope is assumed not linear (according to Mohr-Coulomb criterion), but
parabolic, according for example to Hoek & Brown model, it is necessary to provide additional rock samples
with homogeneous characteristics to be submitted to several triaxial compression tests, each with a different
level of confining pressure; this has the consequence to increase costs and times of investigations.

Uniaxial and triaxial compression tests: multi stage method

A solution to this problem is represented by the possibility to perform several tests on the same sample, with
increasing levels of confining pressure, for each of them approaching very close the peak resistance, without
failing, except for the last level of confining pressure. This triaxial test procedure is commonly known as
multistage triaxial test, is described by ISRM and allows to obtain several points of peak strength in triaxial
conditions with a single sample. With this test methodology (multistage triaxial testing associated to indirect
tensile test and uniaxial compression) the parabolic failure envelope, according to Hoek & Brown criterion,
can be determined properly.
The multistage triaxial test is usually carried out under strain (or displacement) control conditions; this means
that it is possible to continue the test even once reached the peak resistance, and to repeat the same levels
of confining pressure in reverse order, and thus obtaining a failure envelope also in terms of residual strength.
Controls Group, Italian manufacturer specialized in the field of materials testing machines, is able to offer a
wide range of solutions, equipment and testing systems that operate according to more or less automated
modes, with more and more advanced levels of sophistication in terms of both software and hardware.
In details, for multistage triaxial tests, the equipment designed and manufactured by CONTROLS Group, includes:
• high stiffness load frame 3 MN capacity, connected to the servo controlled hydraulic unit Advantest 9;

• confining pressure system 70 MPa capacity, connected to the automatic console Sercomp 7;

• on request, additional load frame 600 kN capacity, to be used as alternative to that of 3 MN, when testing
soft rocks under triaxial conditions
The control system, integrated with the two units, is particularly advanced: in order to carry out a multistage
triaxial tests, the axial force applied to the sample can be managed at constant rate of load or at constant rate
of displacement with a great precision both in loading and in unloading conditions. The whole control and
measurement process is managed via a single software, specially designed for this kind of tests.

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In order to avoid that the definition of the approaching failure, for each applied pressure level, is carried out trough
a subjective evaluation by the operator, an automatic system has been set, where the tangent elastic modulus is
constantly monitored in real-time.
When the variation of the elastic modulus exceeds a threshold, defined by the operator according to the
characteristics of the rock under test, the system operates by reducing the axial load and applying the next
ramp of confining pressure to the next target value. Once this target level of pressure has been reached, the
system automatically resumes the application of the axial load at constant speed of displacement.
In addition to the evaluation of the failure envelope, the different test systems available allow for determining
other relevant parameters:
• tangent and secant Young’s modulus;

• Poisson’s ratio;

• volumetric compressibility.

Indirect tensile tests

For a correct evaluation of the failure envelope, in addition to the compression tests (uniaxial and triaxial),
one or more tensile tests should be carried out; for which two different testing modes are suggested for
example by ISRM recommendations: direct tensile and indirect tensile strength (Brazilian test).
Since the first method (direct tensile) is quite complex and in particular for the mode of load transfer from the
rock sample to the testing machine (i.e. alignment of the anchors and cementation method of the ends of the
rock sample), the method widely used in the laboratory is represented by the indirect tensile test procedure.
As it is well known, the test consists in subjecting a cylindrical disc of rock sample to compression along a
diameter. The test is usually carried out using a mechanical press at constant speed of displacement up to
failure; the peak compression strength of the disk is then measured. From this value the tensile strength of
the rock is calculated.
In order to reduce the concentration of the contact stresses between rock sample and loading platens of the
compression machine, ASTM standard suggests for example to provide a larger contact area between disk
and plates, through the insertion of strips of plywood, 5 mm thick approximately.
With reference to relevant standards (ISRM and ASTM) as far as the geometric characteristics of the test
samples are concerned:

• diameter of the disc between 50 and 100 mm

• thickness / diameter ratio between 0.2 and 0.75

and taking into account the significant values of the tensile strength t of most common rocks, the following
table has been generated, in order to give details about the maximum range of the compression machine required
to carry out Brazilian tests.

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 t D T/D

0.2 0.4 0.6 0.75

MPa mm kN kN kN kN

3 54 2.75 5.50 8.24 10.31

9 54 8.24 16.49 24.73 30.92

15 54 13.74 27.48 41.22 51.53

3 63.5 3.80 7.60 11.40 14.25

9 63.5 11.40 22.80 34.20 42.75

15 63.5 19.00 38.00 57.00 71.26

3 70 4.62 9.24 13.85 17.32

9 70 13.85 27.71 41.56 51.95

15 70 23.09 46.18 69.27 86.59

3 100 9.42 18.85 28.27 35.34

9 100 28.27 56.55 84.82 106.03

15 100 47.12 94.25 141.37 176.72

The test must be carried out at constant gradient of force or displacement, with a duration between 1 and 10 min.

Indirect tensile – capacity of the compression machines

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 Indirect tensile – capacity of the compression machines

Point Load tests

It can be considered a relatively simple test, performed either in laboratory or on site, that allows a strength index
(IS) to be obtained, the Point Load Strength Index, by means of a punctual test on cores of rock sample of
different size and shape, generally extracted from the bore holes. The test, which does not require a specific
preparation of the sample, consists of compressing up to failure a rock sample by applying a compression force
transmitted by a pair of conical tips. It measures the load required to determine the rupture of the sample and the
distance between the tips of the instrument before and after the punching.
The samples can be tested both in natural moisture conditions and under saturation, according to three methods:
on a rock cylinder (along a diameter or axially), or on irregular cores.
Generally the rock samples have a cylindrical shape, since are taken from drill cores, but can also be of different
shape. It is not important the thickness of the cores but the shape ratio, i.e.the ratio between diameter and
length:
test along the diameter (L / D) > 1
axial test 0.30 < (L / D) < 1.00
Appropriate correction factors allow to calculate the normalized stress index, referred to point load tests, made
on cores of 50 mm in diameter.
When the resistance index is used within the clssification systems, it is appropriate to refer to average values
obtained from a minimum of ten tests, rejecting the two highest and the two lowest values and making the
average of the remaining six tests.
In case of anisotropic rocks an anisotropy index can also be defined, by performing the point load tests in two
directions: perpendicular and parallel to the planes of weakness.

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Permeability tests on intact rock samples

From the results of the tests described above it is possible to define the failure envelope. Different solutions are available in
literature, both for intact rocks and for the rock mass. The solution proposed by Hoek & Brown (1980) for intact rock is
described here below:

Where:

Uniaxial compressive strength

Confining pressure

Peak resistance measured in triaxial tests for the specific confining pressure

Material constant

Estimate of failure envelope of intact rocks

The permeability characteristics of intact rock samples can also be determined along the triaxial tests. In details
it is possible to evaluate the effect of the overburden pressure on the permeability values.
Porosity and permeability are two of the primary factors that control the movement and storage of fluids in rocks
and sediments. They are intrinsic characteristics of these geologic materials. The exploitation of natural resources,
such as groundwater and petroleum, is partly dependent on the properties of porosity and permeability of intact
rocks.
Here below an example, where a constant head water permeability test is carried out in automatic
mode, along a triaxial test with a rock sample inside an Hoek cell.

Layout of automatic permeability test under triaxial conditions

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 Hydraulic circuit designed for permeability test on rock sample

Hoek cell equipped for permeability test

On the other hand, for the rock mass, it is not possible to extrapolate the results of laboratory
permeability tests to the real stuation in the field, where the presence of more or less regular fractures
is decisive for the hydraulic characterization.
This is the reason why for the caracterization of the rock mass, permeability tests are usually
performed in the field (i.e. pressure or packer tests).

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Laboratory tests on joints
The term discontinuity or joint, is usually associated with weakness surfaces inside the rock mass, which is
subdivided by the discontinuities into defined units that are called unitary rock volumes. The joints may be of
different origin in relation to the genesis of the geological formations and tectonic events suffered.

As first approach, the characterization of the rock mass is provided by mapping the discontinuities. From their
spatial distribution depends the degree of fracturing of the entire rock mass, the possible formation of sliding
surfaces and the overall stability. Other specific factors are: the geometry, the roughness, the undulations and
the amplitude of the joints. The evaluation of these parameters is performed both on rock cores, taken from
surveys at the joints and discontinuities, both directly on the joint as it appears from the outcrops. Disregarding
the investigation of geometric characterization of the rock mass, the following notes will focus on the evidence
to evaluate the characteristics of deformability and strength of discontinuirties and joints.

Roughness of the joints (Barton comb)

The instrument that allows to measure the roughness of the joints is the so-called Barton’s Technical Profilograph
(Barton Comb). It is a portable instrument 30 cm in length, consisting of a splined bar inside which a hundred
of independent slates are positioned perpendicularly to it side by side, 10-15 cm long. Supporting the individual
slates to the surface of the joint under investigation, it is possible to reproduce the profile, which is subsequently
compared with a series of standard profiles, associated with a scale of values, JRC (joint roughness coefficient)
ranging from 1 to 20, starting from the smooth joint.

Roughness profile and corresponding JRC values Alternative method to evaluate JRC

Measurement of asperities

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Tilt test
Another method for the assessment of roughness of a joint is represented by the tilt test, where the rock sample,
consisting of two pieces separated from the joint, is arranged on a horizontal plane, that is tilted at a constant
speed. The slope of the plane continue to increase, until the upper portion of the sample begins to slide with
respect to the lower one, bound to the test instrument. In this test the JRC index is calculated by measuring the
inclination angle obtained by the tilt test and the angle of residual strength, obtained from the direct shear test,
as described in next sections.

Strength of the walls and thickness of the joint

The strength of the walls is conventionally determined by the Schmidt Hammer (L model, 0.74 N x m impact
energy), which measures the rebound of a known mass, pushed against the surface of the joint. Such rebound
index is related to the compressive strength of the rock material of the joint itself.

Schmidt hardness – Type L Hammer

In addition to the roughness of the joint it is necessary to know the magnitude and thickness of the asperities.
When the discontinuity is filled with material of different origin, the strength characteristics of the coupling can
be affected by the characteristics of the filling material. If the thickness of the material filling the joint is less
than the asperities, the strength of the joint will be generated almost exclusively by the roughness of the
asperities, and then directly related to the coefficient JRC. Otherwise the strength of the joint shall be assessed
with other testing methods, for example by the direct shear tests

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Direct and residual shear test

This equipment has been designed to apply both a compression force normal to the joint and a shear force,
parallel to the joint. The rock specimen is placed within a proper rigid shear box and oriented so that the shear
force acts along the plane of the joint. The positioning of the specimen is made by using a quick-setting
cement mixture or epoxy resin, so as to ensure the rock core to be firmly gripped and rigidly inserted in the
mortar block within the shear box along the plane of discontinuity.

Shear testing on discontinuities

The next stages of application of the axial force and of the shearing action, as well as with traditional systems
consisting of hydraulic jacks controlled manually by the operator, can be carried out also with servo controlled
hydraulic automatic systems and managed by specific software, in the same way of the triaxial multistage
tests, described above. The tests can then be carried out either under load control or under displacement
control, allowing to determine both peak and residual resistance.
During the test, due to the roughness of the joint, dilatancy phenomena can occur, mainly caused by the
increase of the distance of the walls of the joint; which can lead to an increase of the normal force applied to
the surface of the joint. To avoid this inconvenience, if the machine operate in manual control, a floating
piston, sliding within a steel cylinder with minimum friction, is inserted in the hydraulic circuit of the axial jack.
This device allows to absorb the dilatancy and keep constant the normal force.

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More advanced automatic solutions are available, where the same direct shear equipment is connected to servo
controlled hydraulic systems, to automatically maintain constant the axial force and perform the shear stage
either under horizontal displacement or force control. By this way the tests are performed much easily with much
accurate and reliable measurements and final results.

Different soultions are available in literature where the results of laboratory

and field tests are considered. Here below the solution proposed by Barton (1976):

And the solution of Barton and Choubey (1977):

Where:

Normal stress applied on the joint

Basic friction angle

Residual friction angle

JRC and JCS should be corrected to be extrapolated from laboratory tests on joints

of small size to the joints in real scale (Barton & Bandis, 1982):

Ln -0.02JRC 0
JRCn = JRC0
L0

Ln -0.03JRC0 0
JCSn = JCS0
L0
Where:

L0, JRC0, JCS0 refer to 100 mm laboratory scale samples

Ln, JRCn, JCSn refer to in situ block size

Estimation of shear strength

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REFERENCES
Barton, N. 1976. The shear strength of rock and rock joints. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr.
13, 1-24.
Barton, N., Løset, F., Lien, R. and Lunde, J. 1980. Application of the Q-system in design decisions. In
Subsurface space, (ed. M. Bergman) 2, 553-561. New York: Pergamon.

Barton, N.R. and Bandis, S.C. 1990. Review of predictive capabilites of JRC-JCS model in engineering
practice. In Rock joints, proc. int. symp. on rock joints, Loen, Norway, (eds N. Barton and O. Stephansson),
603-610. Rotterdam: Balkema.

Barton, N.R. and Choubey, V. 1977. The shear strength of rock joints in theory and practice. Rock Mech.
10(1-2), 1-54.

Bieniawski, Z.T. 1973. Engineering classification of jointed rock masses. Trans S. Afr. Inst. Civ. Engrs 15, 335-
344.
Bieniawski, Z.T. 1989. Engineering rock mass classifications. New York: Wiley.

Franklin, J.A. and Hoek, E. 1970. Developments in triaxial testing equipment. Rock Mech. 2, 223-228. Berlin:
Springer-Verlag.

Griffith, A.A. 1924. Theory of rupture. Proc. 1st congr. applied mechanics, Delft, 55-63. Delft: Technische
Bockhandel en Drukkerij.
Hoek Evert. Practical Rock Engineering

Hoek, E., and J.A. Franklin (1968). A simple triaxial cell for field and laboratory testing of rock. Trans. Inst.
Mining & Metallugy. Vol.77, pp A22-A26.

Hoek, E. and Brown, E.T. 1980b. Empirical strength criterion for rock masses. J. Geotech. Engng Div., ASCE
106(GT9), 1013-1035.

Hoek, E. and Brown, E.T. 1988. The Hoek-Brown failure criterion - a 1988 update. In Rock engineering for
underground excavations, proc. 15th Canadian rock mech. symp., (ed. J.C. Curran), 31-38. Toronto: Dept. Civ.
Engineering, University of Toronto.
International Society for Rock Mechanics Commission on Standardisation of Laboratory and Field Tests. 1978.
Suggested methods for the quantitative description of discontinuities in rock masses. Int. J. Rock Mech. Min.
Sci. & Geomech. Abstr. 15, 319-368.

Patton, F.D. 1966. Multiple modes of shear failure in rock. Proc. 1st congr. Int. Soc. Rock Mech., Lisbon 1,
509-513.

The ISRM Suggested Methods for Rock Characterization, Testing and Monitoring: 2007–2014. Springer
International Publishing Switzerland 2015
Laubscher, D.H. 1977. Geomechanics classification of jointed rock masses - mining applications. Trans. Instn
Min. Metall. 86, A1-8.

Wickham, G.E., Tiedemann, H.R. and Skinner, E.H. 1972. Support determination based on geologic
predictions. In Proc. North American rapid excav. tunneling conf., Chicago, (eds K.S. Lane and L.A. Garfield),
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