ROCK STRESS

AND ITS
MEASUREMENT
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ROCK STRESS AND
ITS MEASUREMENT
Bernard Amadei
Professor, Department of Civil, Environmental and Architectural Engineering,
University of Colorado, Boulder, USA

and

Ove 5tephansson
Professor, Department of Civil and Environmental Engineering,
Royal Institute of Technology, Stockholm, Sweden

[O 111 SPRINGER-SCIENCE+BUSINESS MEDIA, B.V.

First edition 1997
©1997 Springer Science+Business Media Dordrecht
Originally published by Chapman & Hali in 1997
Softcover reprint of the hardcover 1st edition 1997
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ISBN 978-94-010-6247-3 ISBN 978-94-011-5346-1 (eBook)

DOI 10.1007/978-94-011-5346-1
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From Bernard to Robin, Liz-Ann and Alex
and
from Ove to Eija
for their patience, love and encouragement.
CONTENTS

Preface xiii
Acknowledgements xv

1 Introduction 1
1.1 Stress at a point 1
1.2 Importance of rock stress 3
1.3 History 11
1.4 Classification of rock stresses 12
1.5 Content of the book 14
1.6 General observations 16
References 17
Conferences and workshops on in situ stresses 20
Major sessions in conferences 20

2 Estimating in situ stresses 23

2.1 Introduction 23
2.2 Variation of in situ stresses with depth 25
2.3 Vertical and horizontal stresses as principal stresses 30
2.4 Limits of in situ stresses with depth 32
2.4.1 Intact rock strength model 32
2.4.2 Effect of planes of weakness 34
2.4.3 Geophysical models 35
2.5 Effect of anisotropy 36
2.6 Effect of stratification 41
2.7 Effect of geological structures and heterogeneities 45
2.8 Effect of topography 51
2.8.1 Modeling the effect of topography 51
2.8.2 Symmetric ridges and valleys under gravity only 53
2.8.3 Asymmetric ridges and valleys under gravity only 59
2.8.4 Ridges and valleys under gravity and tectonic loading 60
2.8.5 Tensile stresses in valley bottoms 61
2.9 Tectonic and residual stresses 64
2.9.1 Tectonic stresses 64
2.9.2 Residual stresses 65
2.10 Effect of erosion, overconsolidation, uplift and glaciation 68
2.11 High horizontal stresses 69
2.12 Spherical shell models of stresses in the Earth 71
2.13 Effect of boundary conditions and time on in situ stress 74
viii Contents
2.14 Estimating stress orientation 76
2.14.1 Stress orientation from geological structures 76
2.14.2 Stress orientation from fault-plane solutions 79
2.14.3 Breakouts 81
2.15 Summary 82
References 82

3 Methods of in situ stress measurement 95

3.1 Introduction 95
3.2 Hydraulic methods 97
3.2.1 Hydraulic fracturing 97
3.2.2 Sleeve fracturing 97
3.2.3 HTPF method 98
3.3 Relief methods 98
3.3.1 Surface relief methods 99
3.3.2 Borehole relief methods 99
3.3.3 Relief of large rock volumes 100
3.4 Jacking methods 101
3.5 Strain recovery methods 101
3.6 Borehole breakout method 102
3.7 Other methods 102
3.7.1 Fault-slip data analysis 102
3.7.2 Earthquake focal mechanisms 103
3.7.3 Indirect methods 103
3.7.4 Inclusions in time-dependent materials 104
3.7.5 Measurement of residual stresses 104
3.8 Rock volume in stress measurements 104
3.9 Accuracy and uncertainty in stress measurements 105
3.9.1 Natural (intrinsic, inherent) uncertainty 106
3.9.2 Measurement-related uncertainty 107
3.9.3 Data analysis-related uncertainty 108
3.9.4 Understanding and reducing uncertainties 110
3.9.5 Expected uncertainties 113
References 116

4 Hydraulic methods 121

4.1 Introduction 121
4.2 Hydraulic fracturing 121
4.2.1 History 121
4.2.2 Techniques, equipment and procedures 130
4.2.3 Theory of hydraulic fracturing 141
4.2.4 Data analysis and interpretation 162
4.3 Sleeve fracturing 176
4.3.1 History 177
4.3.2 Techniques, equipment and procedures 178
4.3.3 Theory of sleeve fracturing 180
 Contents ix
4.3.4 Recordings and interpretation 182
4.3.5 Data analysis and presentation 184
4.4 HTPF 186
4.4.1 History 187
4.4.2 Techniques, equipment and procedures 187
4.4.3 Theory 189
4.4.4 Recordings and interpretation 190
4.5 Integrated stress determination method 193
4.6 Technical information 193
References 194

5 Relief methods 201

5.1 Introduction 201
5.2 History 201
5.2.1 Surface relief methods 201
5.2.2 Borehole relief methods 203
5.2.3 Rock mass relief methods 210
5.3 Techniques, equipment and procedures 211
5.3.1 Basic steps in borehole overcoring 211
5.3.2 USBM gage 212
5.3.3 Cells of Bonnechere and Kanagawa 215
5.3.4 CSIR Doorstopper 216
5.3.5 CSIR triaxial strain cell 218
5.3.6 CSIRO HI cell 223
5.3.7 Biaxial testing 226
5.3.8 Borehole slotting 227
5.3.9 Stress relief by center hole 230
5.4 Theory 230
5.4.1 Assumptions in the analysis of overcoring tests 230
5.4.2 Analysis of USBM gage measurements 234
5.4.3 Analysis of CSIR Doorstopper measurements 244
5.4.4 Analysis of measurements with CSIR-type triaxial strain cells 246
5.4.5 Analysis of measurements with the CSIRO HI cell 249
5.4.6 Measurement of elastic properties on overcore samples 250
5.4.7 Analysis of surface relief by undercoring measurements 253
5.4.8 Analysis of borehole slotting measurements 254
5.5 Statistical analysis of overcoring measurements 256
5.5.1 Least squares analysis 256
5.5.2 Remarks 257
5.6 Effect of nonlinearity on overcoring results 258
5.7 Effect of anisotropy on overcoring results 260
5.7.1 Literature review 260
5.7.2 Laboratory and field studies 262
5.7.3 Numerical examples 265
5.8 Technical information 267
References 268
x Contents
6 Jacking methods 277
6.1 Introduction 277
6.2 History 277
6.3 Techniques, equipment and procedures 279
6.4 Theory 284
6.5 Technical information 287
References 287

7 Strain recovery methods 289

7.1 Introduction 289
7.2 History 290
7.2.1 ASR method 290
7.2.2 DSCA method 292
7.3 Techniques, equipment and procedures 293
7.3.1 ASR 293
7.3.2 DSCA 294
7.4 Theory 295
7.4.1 ASR 295
7.4.2 DSCA 297
7.5 Data analysis and interpretation 298
7.5.1 ASR 298
7.5.2 DSCA 300
References 301

8 Borehole breakout method 303

8.1 Introduction 303
8.2 History 304
8.2.1 Observations 304
8.2.2 Theories of breakout formation 305
8.2.3 Laboratory studies 306
8.2.4 Recent developments 307
8.3 Techniques, equipment and procedures 308
8.3.1 Dipmeter 309
8.3.2 Televiewer 309
8.3.3 FMS 310
8.4 Theory 311
8.5 Data analysis and interpretation 317
8.5.1 Analysis of four-arm dipmeter logs 318
8.5.2 Analysis of borehole televiewer and FMS logs 321
References 323

9 Case studies and comparison between different methods 327

9.1 Stress measurements at the URL project 327
9.1.1 Geological setting 327
9.1.2 Stress measurements 329
 Contents xi
9.1.3 Observations 334
9.1.4 Summary 339
9.2 Comparison between different overcoring techniques 339
9.3 Comparison between hydraulic fracturing and overcoring techniques 341
9.4 Comparison between hydraulic methods 346
9.4.1 Hydraulic fracturing and HTPF methods 346
9.4.2 Hydraulic fracturing, sleeve fracturing and the HTPF method 351
9.4.3 Cyclic hydraulic testing 352
9.5 Comparison between hydraulic fracturing and borehole breakout methods 353
9.5.1 The Auburn Geothermal Well, New York 354
9.5.2 Hanford Test Site, Washington 355
9.5.3 Cajon Pass scientific drill site, California 356
References 358

10 Monitoring of stress change 361

10.1 Introduction 361
10.2 Techniques and applications 364
10.2.1 Deformation gages 365
10.2.2 Strain cells 367
10.2.3 Stiff cylindrical inclusions 367
10.2.4 Solid and hollow deformable inclusions 373
10.2.5 Flat jacks and hydraulic borehole pressure cells 375
10.3 Technical information 380
References 381

11 The state of stress in the Earth's crust: from local measurements to the
World Stress Map 387
11.1 The World Stress Map 387
11.1.1 The WSM database 387
11.1.2 Determination of stress regimes and global stress patterns 394
11.1.3 Brief summary of stress patterns in continents 397
11.2 Effect of scale on in situ stresses: fact or fiction? 406
11.2.1 Effect of scale on stress 408
11.2.2 Effect of scale on stress measurements 410
11.2.3 Effect of scale on rock properties involved in the analysis of stress
measurements 413
References 415

12 Using stresses in rock engineering, geology and geophysics 419

12.1 Introduction 419
12.2 Stresses in civil rock engineering 420
12.2.1 Role of in situ stresses in the behavior of underground excavations 421
12.2.2 Importance of in situ stresses for pressure tunnels and shafts 429
12.2.3 Importance of in situ stresses for underground storage of fluids 433
12.2.4 Role of in situ stresses in the behavior of surface excavations 434
12.3 Stresses in mining engineering 436
xii Contents
12.4 Stresses in geology and geophysics 441
12.4.1 Emplacement of igneous intrusions 441
12.4.2 Salt diapirs 443
12.4.3 Dome structures 444
12.4.4 Single layer buckling 447
12.4.5 Neotectonic or postglacial faulting 449
12.4.6 Fault slip 450
12.4.7 Intraplate stresses in the upper Earth's crust 452
References 456

Appendix A Analysis of stress 461

Al Cauchy stress principle 461
A2 State of stress at a point 461
A3 State of stress on an inclined plane 462
A4 Force and moment equilibrium 463
A5 Stress transformation law 463
A6 Normal and shear stresses on an inclined plane 465
A7 Principal stresses 465

Appendix B Displacements, stresses and strains around a circular hole: anisotropic

solution 467
B.l General expressions for displacement components 467
B.2 Expressions for displacement components when hole axis z is perpendicular to a
plane of elastic symmetry 468
B.3 Radial displacement induced by drilling a hole in an infinite anisotropic medium 468
B.4 Radial displacement induced by application of in situ stress field 470
B.5 Total radial displacement around the borehole contour 471
B.6 General expressions for stress components 473
B.7 Stresses around a circular hole drilled in an infinite anisotropic medium under a
3D state o( stress acting at infinity 473
B.8 Strain components 476

Author index 477

Subject index 483
PREFACE
Rock masses are initially stressed in their
natural state. Whether one is interested in the
formation of geological structures (folds, faults,
intrusions, etc.), the stability of artificial struc-
tures (tunnels, caverns, mines, surface excava-
tions, etc.), or the stability of boreholes, a
knowledge of the in situ or virgin stress field,
along with other rock mass properties, is
needed in order to predict the response of rock
masses to the disturbance associated with those
structures. Stress in rock is usually described
within the context of continuum mechanics. It is
defined at a point and is represented by a
second-order Cartesian tensor with six compo-
nents. Because of its definition, rock stress is an
enigmatic and fictitious quantity creating chal-
lenges in its characterization, measurement and
application in practice. Stresses in rock cannot
be measured directly and can only be inferred
by disturbing the rock. Furthermore, rock stres-
ses cannot be determined accurately due to the
complex nature of rocks and rock masses. At
best, and in good to very good rock conditions
where the rock is essentially linearly elastic,
homogeneous and continuous, and between
well-defined geological boundaries, rock
stresses can be determined with an error of
± 10-20% for their magnitude and an error of
± 10-20° for their orientation. On the other
hand, in poor (weathered, weak, soft and
heavily fractured) quality rocks, the measure-
ment of rock stresses is extremely difficult. In
such rocks the success rate of stress measure-
ments is usually low.
This book focuses on the problem of in situ
stresses in the Earth's crust, the methods for
measuring and monitoring those stresses, and
their importance in rock engineering, geology
and geophysics. The emphasis is mostly on the
current in situ state of stress and to a lesser
extent on the monitoring of stress change.
The subject of paleostresses is only briefly
discussed.
The last 30 years have seen a major advance
in our knowledge and understanding of rock
stress. A large body of data is now available on
the state of stress in the near surface of the
Earth's crust (upper 3-4km of the crust).
Various theories have been proposed regarding
the origin of in situ stresses and how gravity,
tectonics, erosion, lateral straining, rock fabric,
glaciation and deglaciation, topography, curva-
ture of the Earth and other active geological
features and processes contribute to the current
in situ stress field. The techniques of stress
measurement have evolved over the years,
starting with the surface relief methods of the
1930s and 1940s, the flat jack method in the
1950s, the borehole relief methods of the 1950s
and 1960s, and the engineering applications of
hydraulic fracturing in the 1970s. Today, innova-
tive methods are available for measuring rock
stresses within the upper 3-4 km of the Earth's
crust. At greater depths, very specialized tech-
niques need to be used. The deepest reliable
stress measurements ever made were reported
in 1995 by scientists at the KTB (German Con-
tinental Deep Drilling Project) hole in Germany.
Successful hydraulic fracturing stress measure-
ments at a depth of 9 km gave maximum and
minimum horizontal in situ stress values of 285
and 147 MPa, respectively. In general, the meas-
urement of in situ stresses at depths below 9 km
remains an unexplored territory where, in the
future, new techniques will have to be devel-
oped and/ or existing ones greatly improved.
Today, a large body of literature is available
on the subject of in situ stresses. In writing this
xiv Preface
book we have made a special attempt to refer to
as many relevant publications and authors as
possible. In general, the reader will find a
comprehensive list of references spread over a
total of 12 chapters, including the most recent
contributions presented at the 8th Congress of
the International Society for Rock Mechanics
(ISRM) in Tokyo in September 1995.
This book is directed toward graduate
students, teachers and practitioners in civil,
mining and petroleum engineering, geology
and geophysics. It can be used as a textbook in
advanced graduate courses in rock mechanics
and rock engineering, structural geology and
geophysics. This book can also be used as a
reference manual by practitioners who are faced
with the challenge of rock stress. Actual case
studies presented in this book should be of great
interest to students, teachers and practitioners.
The book has been written for someone who is
familiar with the basic concepts of mechanics,
geology and rock mechanics.
The 12 chapters in this book are presented in
a logical order starting with the methods for
estimating in situ stresses, followed by the
techniques for measuring and monitoring rock
stresses, and finally the importance of rock
stresses in rock engineering, geology and geo-
physics. Several case studies of comparison of
stress measurements are also presented, ranging
in scale from local measurements to the World
Stress Map. Throughout this book we have
emphasized the role of geology when estimat-
ing and analyzing the results of stress measure-
ments. We have also emphasized that the
disciplines of engineering, geology and geo-
physics share many complementary similarities
when it comes to understanding the state of
stress in the Earth's crust.
This book satisfies the need to complement
and update the information presented at the
International Symposium on Rock Stress and
Rock Stress Measurements organized by the
second author and held in Stockholm on 1-3
September 1986. The conference revealed the
broad range of interest in rock stress and its
measurement in both the scientific and
engineering communities. Despite its enigmatic
nature, rock stress was recognized as a critical
factor in a wide range of activities in rock
engineering, geology and geophysics. Follow-
ing the Stockholm meeting, the late 1980s and
early 1990s witnessed an explosion in the
number of publications dealing with the subject
of rock stress and its measurement. The research
program conducted at the Underground
Research Laboratory (URL) in Canada and the
stress compilation of the World Stress Map
Project were instrumental in our understanding
of the state of stress and its variation in the
upper part of the Earth's crust. It was therefore
decided that a book complementing the pro-
ceedings of the Stockholm meeting was timely
and that an in-depth discussion of rock stress
would be of great benefit to rock engineers,
geologists and geophysicists, and others inter-
ested in that subject. Although this book deals
mostly with the in situ or virgin stress field and
its measurement, we have included one chapter
(Chapter 10) dealing with the monitoring of
stress change. We feel that such a chapter
should be included as many of the techniques
used for monitoring stress change are similar to
those used for measuring virgin stresses. Fur-
thermore, stress monitoring plays a crucial role
in the different phases of development of
nuclear waste repositories that are now being
considered in different countries in the world.
Most of the chapters in this book have a lead
author. The first author was responsible for the
development of Chapters 2 (except section
2.14.2), 3, 5, 6 and 10, and the appendices. The
second author was responsible for Chapters 4, 7
and 8, and section 2.14.2. Chapters 1,9,11 and
12 were jointly written. Questions and com-
ments from the reader should be directed to the
appropriate author(s}.
In writing this book we have made every
attempt to be comprehensive in our literature
search. However, we may have inadvertently
omitted some references. We hope that the
reader will forgive such a transgression.
ACKNOWLEDGEMENTS
The writing of this book could not have been
possible without the help of several of our
colleagues. The first author is grateful to
Russell Jernigan for reading the entire manu-
script. The financial support of the US
National Science Foundation under NSF grant
no. MS-921S397 contributed to the develop-
ment of several sections in Chapter 2 dealing
with the role of rock fabric and topography on
stress. The second author is grateful to the
Swedish National Science Research Council
for financial support under grant P3447-331.
Both authors would like to thank Professor
John A. Hudson for reviewing this book. His
illuminating and inspiring comments are
greatly appreciated. Many thanks go to
Robert Walton from MINDATA (Australia),
Jean-Fran<;ois Cappelle and Pierre Choquet
from ROCTEST (Canada), and Helmut Bock
from INTERFELS (Germany) for providing
photographs and technical documentation.
Discussions with Derek Martin were of great
help in understanding the URL stress results
and the nature of rock stress in general. We are
grateful to J. Lauterjung for sending us a pho-
tograph of the KTB drilling site, to Mary-Lou
Zoback and Birgir Muller for providing us
with originals of maps of the World Stress
Map Project, to Maria Ask for providing stress
data from the Danish sector of the North Sea,
and to David Ferrill for sending us illustra-
tions regarding slip-tendency analysis and its
application at the Yucca Mountain project in
Nevada. A first draft of this book was used in a
doctoral course at KTH in the fall of 1994.
Valuable comments from the participants are
acknowledged. Ann-Charlotte Akerblom is
acknowledged for typing the first version of
Chapter 4. The illustrations in this book were
made by William Semann at the University of
Colorado in Boulder and by Mathias Lindahl
at KTH in Stockholm.