Engineering Properties of Rocks

Engineering Properties of Rocks

Second Edition

Lianyang Zhang

University of Arizona, Tucson, Arizona, United States

Table of Contents

Cover image

Title page

Copyright

About the Author

Preface to the Second Edition

Series Preface to the First Edition

Preface to the First Edition

Chapter 1: Introduction

Abstract

1.1 Rock Engineering Problems

1.2 Determination of Engineering Properties of Rocks

1.3 Examples on Determining Engineering Properties of Rocks

1.4 Rock Expert System for Evaluation of Rock Engineering Properties

1.5 Content of the Book

Chapter 2: In Situ Stresses

Abstract

2.1 Introduction

2.2 Strategy for Determining In Situ Rock Stresses

2.3 World Stress Map (WSM)

2.4 Variation of In Situ Stresses With Depth

2.5 Comments

Chapter 3: Intact Rock

Abstract

3.1 Introduction

3.2 Classification of Intact Rocks

3.3 Index Properties of Intact Rocks

Chapter 4: Rock Discontinuities

Abstract

4.1 Introduction

4.2 Types of Discontinuities

4.3 Description of Discontinuities

4.4 Discontinuity Orientation

4.5 Discontinuity Intensity

4.6 Discontinuity Persistence, Trace Length and Size

4.7 Fracture Tensor

4.8 Discontinuity Roughness

4.9 Discontinuity Aperture

4.10 Discontinuity Filling

Chapter 5: Rock Masses

Abstract

5.1 Introduction

5.2 Classification of Rock Masses

5.3 Correlations Between Different Classification Indices

5.4 Classification of Weathering of Rock

Chapter 6: Deformability

Abstract

6.1 Introduction

6.2 Deformability of Intact Rock

6.3 Deformability of Rock Discontinuities

6.4 Deformability of Rock Mass

6.5 Scale Effect on Rock Deformability

6.6 Effect of Confining Stress on Rock Deformability

6.7 Anisotropy of Rock Deformability

Chapter 7: Strength

Abstract

7.1 Introduction

7.2 Strength of Intact Rock

7.3 Strength of Rock Discontinuities

7.4 Strength of Rock Mass

7.5 Three-Dimensional Strength Criteria of Rock

7.6 Residual Strength of Rock

7.7 Scale Effect on Rock Strength

7.8 Anisotropy of Rock Strength

Chapter 8: Permeability

Abstract

8.1 Introduction

8.2 Permeability of Intact Rock

8.3 Permeability of Discontinuities

8.4 Permeability of Rock Mass

8.5 Effect of Stress on Rock Permeability

8.6 Variation of Rock Permeability With Depth

8.7 Effect of Temperature on Rock Permeability

8.8 Scale Effect on Rock Permeability

8.9 Interconnectivity of Discontinuities

8.10 Anisotropy of Rock Permeability

Index

Copyright

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Notices

Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary.

Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility.

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ISBN: 978-0-12-802833-9

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About the Author

Lianyang Zhang is a professor in Civil Engineering at the University of Arizona. He received his B.S. degree in Naval Architecture and Ocean Engineering from Shanghai JiaoTong University, his M.S. degree in Geotechnical Engineering from Tongji University, and his Ph.D. degree in Geotechnical Engineering from Massachusetts Institute of Technology. His areas of expertise include rock characterization, pile foundations, and sustainable construction materials. Dr. Zhang has published more than 100 technical papers in international journals and is also the author of the book Drilled Shafts in Rock—Analysis and Design.

Preface to the Second Edition

It has been more than a decade since the first edition of this book was published. During this time, much progress has been made in the field of rock mechanics and rock engineering, including the 2008 release of the World Stress Map (WSM) and the development of the three-dimensional Hoek-Brown strength criteria. This, along with the popular reception of the first edition of the book, has motivated the author to update the book with a second edition. The purpose of preparing the second edition is to expand the various topics presented in the first edition and add new topics that have either gained in importance or been developed since the publication of the first edition.

Because many readers are familiar with the layout of the first edition, the same format with the same number of chapters is followed in the second edition. Yet all chapters have been revised to include the latest development in rock mechanics and rock engineering. The following is a summary of the main additions and changes:

• Chapter 1: A new section has been added to describe briefly the rock expert system for evaluation of rock engineering properties.

• Chapter 2: The ISRM suggested method for establishing the final rock stress model has been added in the section on the strategy for determining in situ rock stresses. The 2004 WSM has been replaced by the 2008 one. Also, new empirical relations between in situ stresses and depth have been added.

• Chapter 3: Many new typical values and empirical correlations for the index properties of intact rock have been added.

• Chapter 4: The effect of direction on rock quality designation (RQD) has been briefly discussed. New methods for determining discontinuity frequency and trace length using planar and nonplanar sampling windows have been included. New information has been added on determination of block size for rock masses containing nonpersistent discontinuities. The discussion on discontinuity shape has also been expanded.

• Chapter 5: New methods for estimating the geological strength index (GSI) have been included. A new section has been added to describe the rock mass index (RMi). A number of new empirical correlations between different classification indices have been added. The section on classification of weathering of rock is also expanded.

• Chapter 6: New data and empirical relations for the elastic modulus of intact rock have been added. New subsections have been added on the Poisson’s ratio of intact rock and rock masses, respectively. The section on evaluating the deformation modulus of rock masses has been expanded by including new methods. The discussion on scale effect and anisotropy for rock deformability has also been updated.

• Chapter 7: New data and empirical relations for the unconfined compressive strength (UCS) and tensile strength of intact rock have been added. The section on evaluating the UCS of rock masses has been expanded by including new methods especially those based on RQD. Two new sections, one on the three-dimensional Hoek-Brown strength criteria and the other on the residual strength, have been added. The discussion on scale effect and anisotropy for rock strength has also been updated.

• Chapter 8: The section on the permeability of rock masses has been expanded by including new empirical relations between permeability and porosity and those between permeability and RQD and RMR. The discussion on the effect of different factors and the anisotropy of rock permeability has also been updated by including new data.

It is believed that this is still one of the very few books devoted to the evaluation of rock engineering properties. As with the first edition, it is still intended to be a book that provides a single source of information and serves as a valuable tool for practitioners to determine the engineering properties of rocks required for particular projects. It is also a useful reference for researchers and students to look into the typical values of different rock properties and the factors affecting them.

I would like to add some acknowledgments to those I made in the preface to the first edition. Working with the Elsevier staff was once again a pleasure. I thank, in particular, André Gerhard Wolff, the Publisher of Elsevier S&T Books, and Mariana Kühl Leme, the Editorial Project Manager of Elsevier S&T Books. I moved from industry back to academia in 2007. My gratitude extends to my colleagues in the Department of Civil Engineering and Engineering Mechanics at the University of Arizona, Tucson, AZ, as well as my students, from whom I learn new things all the time. Finally, I would like to thank my wife and two children for their understanding and support during the preparation of this book.

Lianyang Zhang, Tucson, AZ

Series Preface to the First Edition

The objective of the Elsevier Geo-Engineering Book Series is to provide high-quality books on subjects within the broad geo-engineering subject area—eg, on engineering geology, soil mechanics, rock mechanics, civil/mining/environmental/petroleum engineering, etc. The first three books in the series have already been published:

• Stability Analysis and Modelling of Underground Excavations in Fractured Rocks by Weishen Zhu and Jian Zhao.

• Coupled Thermo-Hydro-Mechanical-Chemical Processes in Geo-Systems edited by Ove Stephansson, John A. Hudson and Lanru Jing.

• Ground Improvement—Case Histories edited by Buddhima Indraratna and Jian Chu.

These three books already represent an admirable, high-quality start to the series.

Now, I am delighted to introduce the fourth book in the series:

• Engineering Properties of Rocks by Lianyang Zhang.

This book provides expert, up-to-date information on rock mechanics and rock engineering for both the engineering and academic communities. It is a particularly logical and helpful book because it sequentially outlines the key aspects of the rock mechanics problem: the rock stress, and then the intact rock, the discontinuities and rock masses, followed by the deformability, strength and permeability of these components.

The author, in his own preface, states that The typical values of and correlations between rock properties come in many forms and are scattered in different textbooks, reference manuals, reports, and articles published in technical journals and conference proceedings. It is often difficult, time-consuming, or even impossible for a practitioner to find appropriate information to determine the rock properties required for a particular project. Not only is this true, but the rock property values are the key to rock engineering design, whether it be by an empirical approach or by numerical modeling—as is evident from the content of the first two books in the Geo-Engineering Series.

The rock engineer must be able to predict the consequences of a particular excavation design. This can only be done via an adequate model, and the model can only be adequate if it is supported by the appropriate rock property values. Thus, the content of this book has a value which transcends the direct explanations of the rock mechanics and the rock properties: it represents one of the fundamental and essential keys to good rock engineering design. I am more than pleased to recommend that you read the book from cover to cover.

We hope that you enjoy the book and we welcome proposals for new books. Please send these to me at the email address as follows.

Professor John A. HudsonFREng jah@rockeng.co.uk, Geo-Engineering Series Editor

Preface to the First Edition

For different reasons, it is often difficult for rock engineers to obtain directly the specific design parameter(s) of interest. As an alternative, they use the typical values or empirical correlations of similar rocks to estimate the specific parameter(s) of interest indirectly. For example, the unconfined compressive strength (UCS) of intact rock is widely used in designing surface and underground structures. The procedure for measuring UCS has been standardized by both the American Society for Testing and Materials (ASTM) and the International Society for Rock Mechanics (ISRM). Although the method is relatively simple, it is time-consuming and expensive; also, it requires well-prepared rock cores, which is often difficult or even impossible for weak rocks. Therefore, indirect tests are often conducted to estimate the UCS by using empirical correlations, such as point load, Schmidt hammer, sound velocity, and impact strength tests. Another example is the determination of the deformation modulus of rock masses. Rock masses usually contain discontinuities. To obtain realistic values of rock mass deformation modulus, in situ tests, such as plate bearing, flat jack, pressure chamber, borehole jacking and dilatometer tests, need be conducted. The in situ tests, however, are time-consuming, expensive and, in some cases, even impossible to carry out. Therefore, the deformation modulus of rock masses is often estimated indirectly from correlations with classification indices such as rock quality designation, rock mass rating, Q-system, and geological strength index.

The typical values of and correlations between rock properties come in many forms and are scattered in different textbooks, reference manuals, reports, and articles published in technical journals and conference proceedings. It is often difficult, time-consuming, or even impossible for a practitioner to find appropriate information to determine the rock properties required for a particular project. The main purpose of this book is to summarize and present, in one volume, the correlations between different rock properties, together with the typical values of rock properties.

This book contains eight chapters which are presented in a logical order. Chapter 1 provides a general introduction to rock engineering problems and methods for determining rock properties, and presents examples on using empirical correlations to estimate rock properties. Chapter 2 describes in situ rock stresses and presents different empirical correlations for estimating them. Chapters 3–5 describe the classification of intact rock and rock masses and the characterization of rock discontinuities. Chapters 6–8 present the typical values and correlations of deformability, strength and permeability of intact rock, rock discontinuities, and rock masses.

It must be noted that the typical values and correlations should never be used as a substitute for a proper testing program, but rather to complement and verify specific project-related information.

This book is intended for people involved in rock mechanics and rock engineering. It can be used by practicing engineers to determine the engineering properties of rocks required for particular projects. It will be useful for teaching to look into the typical values of different rock properties and the factors affecting them. It will also be useful for people engaged in numerical modeling to choose appropriate values for the properties included in the model.

Prof. Harun Sönmez of Hacettepe University, Turkey provided the deformation modulus data that was included in Fig. 6.14. The author sincerely thanks him.

Dr. Evert Hoek, Evert Hoek Consulting Engineer Inc., Canada sent the author his discussion papers and provided valuable information on the rock mass strength data included in Fig. 7.11. The author is grateful to him.

Portions of Chapters 4, 6, and 7 are based on the author’s doctoral research conducted at the Massachusetts Institute of Technology. The author acknowledges the support and advice given by Prof. Herbert Einstein.

Finally, the author wants to thank Dr. Francisco Silva and Mr. Ralph Grismala of ICF Consulting for their support during the preparation of this book.

Lianyang Zhang, Lexington, MA

Chapter 1

Introduction

Abstract

This chapter first describes rock engineering problems and the importance in determination of rock engineering properties. Then the two general categories of methods (direct and indirect methods) for determining rock engineering properties are briefly discussed and two examples are presented to show how existing data and empirical correlations can be used to estimate the engineering properties of rocks. Finally, the content of this book is outlined.

Keywords

Rock engineering problems; Rock engineering properties; Direct methods; Indirect methods; Typical values; Empirical correlations

1.1 Rock Engineering Problems

Rock has been used as a construction material since the down of civilization. Different structures have been built on, in or of rock, including houses, bridges, dams, tunnels, and caverns (Bieniawski, 1984; Goodman, 1989; Brown, 1993; Fairhurst, 1993; Hudson, 1993; Hudson and Harrison, 1997; Hoek, 2000; Zhang, 2004). Table 1.1 lists different types of structures built on, in or of rock and the fields of their applications. Brown (1993) produced this table by adding surface civil engineering structures to that given by Bieniawski (1984) in his book on rock mechanics design in mining and tunneling.

Table 1.1

Different Types of Structures on, in or of Rock

Based on Brown, E.T., 1993. The nature and fundamentals of rock engineering. In: Hudson, J.A. (Ed.), Comprehensive Rock Engineering—Principle, Practice and Projects, vol. 1. Pergamon, Oxford, UK, pp. 1–23.

Rock differs from most other engineering materials in that it contains discontinuities such as joints, bedding planes, folds, sheared zones, and faults which render its structure discontinuous. A clear distinction must be made between the intact rock or rock material and the rock mass. The intact rock may be considered a continuum or polycrystalline solid between discontinuities consisting of an aggregate of minerals or grains. The rock mass is the in situ medium comprised of intact rock blocks separated by discontinuities such as joints, bedding planes, folds, sheared zones, and faults. The properties of the intact rock are governed by the physical characteristics of the materials of which it is composed and the manner in which they are bonded to each other. Rock masses are discontinuous and often have heterogeneous and anisotropic properties.

Because rock masses are discontinuous and variable in space, it is important to choose the right domain that is representative of the rock mass affected by the structure being analyzed. Fig. 1.1 shows a simplified representation of the influence exerted on the selection of a rock mass behavior model by the relation of the discontinuity spacing and the size of the problem domain. When the problem domain is much smaller than the blocks of rock formed by the discontinuities, such as the excavation of rock by drilling, the behavior of the intact rock material will be of concern. When the block size is of the same order of the structure being analyzed or when one of the discontinuity sets is significantly weaker than the others, the stability of the structure should be analyzed by considering failure mechanisms involving sliding or rotation of blocks and wedges defined by intersecting structural features. When the structure being analyzed is much larger than the blocks of rock formed by the discontinuities, the rock mass can be simply treated as an equivalent continuum (Brady and Brown, 1985; Brown, 1993; Hoek, 2000).

Fig. 1.1 Simplified representation of the influence of scale on the type of rock mass behavior. Based on Hoek, E., Kaiser, P.K., Bawden, W.F., 1995. Support of Underground Excavations in Hard Rock. Balkema, Rotterdam.

Hudson (1993) developed a general three-tier approach to all rock engineering problems as represented by the three borders shown in Fig. 1.2. The main project subjects concerned, such as foundations, rock slopes, shafts, tunnels, and caverns, are illustrated within the three borders of the diagram. The words in the borders at the top of the diagram represent the entry into the design problem: the whole project complete with its specific objective in the outer border, the inter-relation between various components of the total problem in the middle border, and the individual aspects of each project in the central border. The words in the borders at the lower part of the diagram illustrate how the different components of the design might be executed. Different methods, such as the knowledge-based expert system, the rock mechanics interaction matrix analysis and the numerical analysis, can be used to consider the problem. It is noted that, for any project problem considered and any deign method used, the material properties (highlighted as intact rock, discontinuities, and permeability in the figure) and the boundary conditions (highlighted as in situ stress and the hydrogeological regime in the figure) should be known. Therefore, determination of the engineering properties of rocks (including the boundary conditions) is an essential part of all rock engineering problems.

Fig. 1.2 Three-tier approach to all rock engineering problems. Based on Hudson, J.A., 1993. Rock properties, testing methods and site characterization. In: Hudson, J.A. (Ed.), Rock Engineering—Principle, Practice & Projects, vol. 3. Pergamon, Oxford, UK, pp. 1–39.

Fig. 1.3 shows the components of a general rock mechanics program for predicting the responses of rock masses associated with rock engineering projects (Brady and Brown, 1985). Determination of the engineering (or geotechnical) properties of rock masses is an important part of the general rock mechanics program. Brown (1986) clearly stated the importance of site characterization for determining the engineering properties of rock masses: Inadequacies in site characterization of geological data probably present the major impediment to the design, construction, and operation of excavations in rock. Improvements in site characterization methodology and techniques, and in the interpretation of the data are of primary research requirements, not only for large rock caverns, but for all forms of rock engineering.

Fig. 1.3 Components of a general rock mechanics program. Based on Brady, B.H.G., Brown, E.T., 1985. Rock Mechanics for Underground Mining. George Allen & Unwin, London.

1.2 Determination of Engineering Properties of Rocks

As stated earlier, determination of the engineering properties of rocks is an important part of all rock engineering problems. Because of the discontinuous and variable nature of rock masses, however, it is a complex and difficult task to determine the engineering properties of rocks. As Hudson (1992) noted, The subject of rock characterization is far more complex and intractable than might appear at first sight. The subject does not merely concern the optimal length-to-diameter ratio for a compression test specimen and other similar tactical aspects of testing procedures; it concerns the whole strategic concept of how to characterize naturally occurring rock masses, which have been in existence for millions of years, have been operating as natural process-response systems for all that time and are about to be perturbed by engineers in order to achieve particular objectives.

Despite the complexity and difficulty in determining the engineering properties of rocks, we still need to do the best we can to decide the specific rock properties required for a particular rock engineering problem and assign reliable values to them. Table 1.2 lists some of the typical rock engineering applications and the required accuracy for corresponding rock properties suggested by Pine and Harrison (2003).

Table 1.2

Suggested Levels of Accuracy Required for Rock Mass Properties in Different Applications

Based on Pine, R.J., Harrison, J.P., 2003. Rock mass properties for engineering design. Q. J. Eng. Geol. Hydrogeol. 36, 5–16.

There are different methods for determining the engineering properties of rocks, which can be divided in two general categories: direct and indirect methods (Table 1.3). The direct methods include laboratory and in situ tests. Many rock mechanics and rock engineering textbooks provide information on conducting laboratory and in situ tests to determine the engineering properties of rocks. In addition, the American Society for Testing and Materials (ASTM) and International Society for Rock Mechanics (ISRM) standards provide guidance related to the specific procedures for performing the different types of laboratory and in situ tests. Table 1.4 lists the categories of the suggested test methods by ISRM.

Table 1.3

Methods for Determining Rock Mass Properties

Based on Brown, E.T., 1993. The nature and fundamentals of rock engineering. In: Hudson, J.A. (Ed.), Comprehensive Rock Engineering—Principle, Practice and Projects, vol. 1. Pergamon, Oxford, UK, pp. 1–23; Pine, R.J., Harrison, J.P., 2003. Rock mass properties for engineering design. Q. J. Eng. Geol. Hydrogeol. 36, 5–16; Zhang, L., 2004. Drilled Shafts in Rock—Analysis and Design. Balkema, Leiden.

Table 1.4

Categories of Test Methods Suggested by ISRM

Based on Brown, E.T., 1981. Rock Characterization, Testing and Monitoring—ISRM Suggested Methods. Pergamon, Oxford, UK.

The direct methods have different limitations. To obtain realistic results of rock mass properties, rock specimens of different volumes having a number of different known discontinuity configurations should be tested at relevant stress levels under different stress paths. Such an experimental program is almost impossible to carry out in the laboratory. With in situ tests, such an experimental program would be very difficult, time-consuming, and expensive.

The indirect methods include empirical or theoretical correlations, combination of intact rock and discontinuity properties using analytical or numerical methods, and back-analysis using field observations of prototype structures. Because of the limitations of the direct methods, current practice relies heavily on the indirect methods. The indirect methods can be used not only for determining the rock properties but also for checking the test results. The data resulting from laboratory and in situ tests are often not completely consistent with other data obtained for a particular project. The indirect methods such as the empirical or theoretical correlations can be used to check the data from the tests and investigate the reasons for the inconsistency. The two examples presented in next section also show the applications of existing data and empirical correlations in the determination of the engineering properties of rocks.

1.3 Examples on Determining Engineering Properties of Rocks

This section presents two examples to show how the existing data and empirical correlations are used to determine the engineering properties of rocks.

(a) Estimation of rock discontinuity shear strength (Wines and Lilly, 2003)

This example shows the estimation of rock discontinuity shear strength in part of the Fimiston open pit operation in Western Australia (Wines and Lilly, 2003). There are four major discontinuity sets at the pit site:

• The discontinuities in Set 1 are generally rough, planar and clean, with occasional quartz infill and have an average dip/dip direction of 65°/271°.

• The discontinuities in Set 2 are generally rough and planar to undulating, with regular quartz infill and have an average dip/dip direction of 2°/306°.

• The discontinuities in Set 3 are generally rough and planar, with regular quartz infill and have an average dip/dip direction of 82°/323°.

• The discontinuities in Set 4 include tightly healed, rough and undulating quartz veins and have an average dip/dip direction of 86°/001°.

The shear strength data of the discontinuities were required in order to design a major part of the eastern