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Abstract
The deformation modulus of a rock mass is an important input parameter in any analysis of rock mass behaviour that includes
deformations. Field tests to determine this parameter directly are time consuming, expensive and the reliability of the results of these
tests is sometimes questionable. Consequently, several authors have proposed empirical relationships for estimating the value of
rock mass deformation modulus on the basis of classification schemes. These relationships are reviewed and their limitations are
discussed. Based on data from a large number of in situ measurements from China and Taiwan a new relationship, based upon a
sigmoid function, is proposed. The properties of the intact rock as well as the effects of disturbance due to blast damage and/or
stress relaxation are also included in this new relationship.
r 2005 Elsevier Ltd. All rights reserved.
Keywords: Rock mass; Classification; Deformation modulus; In situ tests; Specimen damage; Blast damage; Disturbance
1365-1609/$ - see front matter r 2005 Elsevier Ltd. All rights reserved.
doi:10.1016/j.ijrmms.2005.06.005
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204 E. Hoek, M.S. Diederichs / International Journal of Rock Mechanics & Mining Sciences 43 (2006) 203–215
mass modulus decreasing as joint spacing increases. The 2. In situ test methods
authors adopted similar reasoning when choosing a
sigmoid equation to constrain the increase of modulus The most common in situ test for the determination
as the rock becomes more massive. of the deformation modulus of a rock mass is the
Note that all of the correlations discussed above as plate loading test or jacking test such as those shown in
well as those presented in this paper assume that the Figs. 2 and 3. These tests involve either a pressurized flat
rock mass is isotropic. Obviously there are situations, jack acting against a strut or a set of hydraulic jacks
such as foundations on schistose rock masses, where the which apply the load to a prepared surface.
variation of modulus with loading direction is impor- Measurement of the displacement of the loading
tant. These conditions are outside the scope of this plates, as is frequently done in these tests, results in
paper as are numerical model simulations of the significant inaccuracies. This is because of deflections of
modulus of discontinuous systems. the plates, closure of gaps between the plates and the
Before presenting an alternative equation the authors rock mass and closure of cracks in the blast damaged
consider that it is necessary to review the in situ test and stress relieved rock under the loading plates. This
methods and the interpretation of the results of in situ question has been examined in detail by Ribacchi [18]
tests. who concludes that reliable results can be obtained only
when the displacements are measured at depth below the
loading plates. Hence, where possible, deformations
should be measured by means of a multi-point
extensometer in the rock mass as shown in Fig. 2.
The interpretation of the measurements from such a
test requires considerable care since, as shown in Fig. 4,
there are several alternative definitions that can be
applied to the deformability of the rock mass. The initial
tangent modulus (1), related to the initial part of the
stress–strain curve, is probably not related to the
properties of the rock mass but is associated with the
closing of gaps in the near surface rock and the
mechanical components of the loading system.
Some authors quote both the elastic tangent modulus
or modulus of elasticity (2) and the (secant) modulus of
deformation (4). For an undamaged, confined rock
mass, the two values should be similar. In practice, most
authors quote only the modulus of deformation results
which typically give low estimates for deformability of
the rock mass.
An alternative method of in situ testing for rock mass
Fig. 1. Empirical equations for predicting rock mass deformation modulus was devised by Dr. Manuel Rocha of the
modulus compared with data from in situ measurements. National Laboratory for Civil Engineering in Lisbon in
Table 1
Data and fitted equations for estimation of rock mass modulus plotted in Fig. 1
Fig. 2. Set-up for a plate jacking test with a multi-point extensometer Fig. 4. Alternative definitions for the deformability of a rock mass. (1)
installed in the rock mass and deformation measurement on the Initial tangent modulus, (2) elastic tangent modulus, (3) recovery
loading plates. modulus and (4) modulus of deformation.
the 1960s [19] and this was used in several large dams in
Portugal and its African territories. This method involved
cutting a deep slot into the rock mass by means of a
diamond impregnated saw as shown in Fig. 5. A large flat
jack (Fig. 6) was then inserted into the slot and
pressurized to induce deformations which were measured
to determine the modulus of deformation. While this
method gave reliable results, it was time consuming and
expensive and it has not been used in recent years.
Large-scale tests using pressure chambers were proposed
by Oberti et al. [20] in 1983 but these have only been used
on a few projects because of the time and expense
involved. Similarly, a detailed back analysis of deforma-
tion associated with an advancing tunnel face was reported
by Tanimoto [21] but, as far as the authors are aware, only
one such study was conducted. The details of this test are
shown in Fig. 7 in which deformation measurements were
made using a strain-gauged aluminium tube grouted into a
borehole 2 m above and parallel to the axis of a 10 m span
tunnel. A three-dimensional finite analysis of the deforma-
tion of the rock mass around the advancing tunnel face
provided a curve which could be fitted to the measured
deformations to obtain an estimate of the rock mass
deformation modulus.
During the past decade, the availability of powerful
numerical analysis codes has made it possible to back-
analyse the behaviour of rock masses surrounding tunnels
and to estimate or verify estimates of rock mass properties
that give the best correlation between predicted and
measured behaviour. The results of several such back
analyses have been included in the database analysed by
the authors in the next section of this paper. We anticipate
Fig. 3. In situ jacking test in an exploration adit for the New Tienlun that such back-analyses will become the most important
hydroelectric project in Taiwan. source of reliable data in the future.
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206 E. Hoek, M.S. Diederichs / International Journal of Rock Mechanics & Mining Sciences 43 (2006) 203–215
Fig. 5. Diamond impregnated saw for creating deep slots in a rock Fig. 6. Flat jack for installation in the deep slot created by the saw
mass for flat jacks. Photographed by E. Hoek in LNEC laboratory, shown in Fig. 5. Photographed by E. Hoek in LNEC laboratory,
Lisbon, 1974. Lisbon, 1974.
Table 2
Details of in situ tests in new database
Test Type
Back Analysis 18
Flat Jack 53
Plate Tests 423
A detailed analysis of the Chinese and Taiwanese data, cause for these unusual results. It is particularly
using Eq. (3) to estimate E i resulted in the following important to note the additional footnotes to Table 3
equation: on the selection of MR values for foliated rocks.
The relative effect of damage is greater for jointed
1 D=2
E rm ¼ E i 0:02 þ . (4) rock masses (GSIo80) as shown in Fig. 11. This is
1 þ eðð60þ15DGSIÞ=11Þ consistent with findings from Palmstrom and Singh [15]
This equation incorporates a finite value for the who found that, for GSI ¼ 50–70, the measured moduli
parameter c (Eq. (1)) to account for the modulus of fully for TBM driven tunnels (D ¼ 0) was 2–3 times higher
broken rock (transported rock, aggregate or soil) than blasted tunnels (D ¼ 0:521) for the same rock
described by GSI ¼ 0. This equation is plotted against masses.
the average normalized field data from China and Using the product of the MR values listed in Table 3
Taiwan in Fig. 11. and the values of sci measured in the laboratory, the
Table 3, based on the modulus reduction (MR) values ‘‘intact’’ rock modulus values from Eq. (3) for the
proposed by Deere [22] can be used for calculating the Chinese and Taiwanese data were calculated and
intact rock modulus E i . In general, measured values of substituted into Eq. (4) to produce the plot given in
E i are seldom available and, even when they are, their Fig. 12 (assuming D ¼ 0:5). This compares the average
reliability is suspect because of specimen damage. This measured and the calculated rock mass modulus plotted
specimen damage has a greater impact on modulus than on a log scale to show the differences more clearly. This
on strength and, hence, the intact rock strength, when plot shows excellent agreement between the calculated
available, can usually be considered more reliable. values and the average measured values and suggests
Data from Martin and Stimpson [23] show that severe that Eq. (4) provides an estimate of rock mass modulus
sample damage (micro-cracking) due to stress relaxa- which is sufficiently accurate for most practical en-
tion, even in visibly intact rock (GSI ¼ 100), can reduce gineering applications.
the elastic modulus by up to 50% compared to
undamaged samples and compared to geophysical
determination of the confined modulus at depth. This 6. Comparison between predictive models
observation is reflected in the limiting D ¼ 1 curve for
GSI ¼ 100 in Eq. (4) and Fig. 11. This type of damage A final check on the adequacy of the Hoek and
may also occur in a zone adjacent to excavations at Diederichs equations is carried out by comparing the
depth well before any visible yield is observed. Similar errors involved in predicting the deformation modulus
grain scale damage can also be induced by excessive of individual in situ measurements as shown in Fig. 13.
blasting. This comparison is based upon an error ratio, ER, for
Ribacchi [18] had reported measured in situ moduli overestimated values and ER* for underestimated
up to twice the value for intact non-foliated rocks and values defined as
even higher values for foliated rocks. He also suggests Calculated E rm
that micro-cracking due to stress relief is the most likely ER ¼ ,
Measured E rm
Measured E rm
ER ¼ . ð5Þ
Calculated E rm
Using the Chinese and Taiwanese data set, this error
ratio is plotted against GSI for the calculated rock mass
moduli by Serafim and Pereira [4], Read et al. [7], Eqs.
(2) and (4) in Fig. 14.
The improved accuracy of the Hoek and Diederichs
equations is evident from this plot and it is also clear
that, where information on the uniaxial compressive
strength of the intact rock is available, the detailed Hoek
and Diederichs solution in Eq. (4) should be used in
conjunction with Eq. (3). If reliable intact modulus data
is available then Eq. (4) may be used alone.
Table 3
Guidelines for the selection of modulus ratio (MR) values in Eq. (3)—based on Deere [24] and Palmstrom and Singh [15]
its use. From the results presented in the preceding relief and, in some cases, to stress induced fracturing. In
discussion it is clear that it has a significant influence a recent tunnel design project the authors assumed that
upon the estimated rock mass modulus of deformation the value of D varied in proportion to the strain induced
and this influence appears to be in accordance with in the failure zone surrounding the tunnel. Very few
practical observations and engineering reasoning. numerical models allow this variation to be incorpo-
The disturbance of the rock mass will vary with rated directly into the model but it is generally possible
distance from a free face due to blast damage and stress to include a number of concentric rings around the
ARTICLE IN PRESS
E. Hoek, M.S. Diederichs / International Journal of Rock Mechanics & Mining Sciences 43 (2006) 203–215 211
excavation and to assign a lower value of D to each It is difficult to give precise guidelines on the use of
successive ring. This procedure can be used for either the disturbance factor D since this use will vary for each
the back analysis of measured deformations in order application, depending upon the excavation and loading
to estimate the deformation modulus or a design in sequence for the particular structure being designed. For
which estimated deformation modulus values are example, the excavation and loading sequence for a
applied in order to calculate the deformations around foundation is quite different from that of a tunnel and
the excavation. the designer has to take these differences into account in
Fig. 13. Comparison of prediction errors (D ¼ 0:5 for Hoek and Diederichs).
ARTICLE IN PRESS
212 E. Hoek, M.S. Diederichs / International Journal of Rock Mechanics & Mining Sciences 43 (2006) 203–215
[21] Tanimoto C. Contribution to discussion in proceedings of the [23] Martin DM, Stimpson B. The effect of sample disturbance on
paris conference on analysis of tunnel stability by the convergen- laboratory properties of Lac du Bonnet granite. Can Geotechn J
ce–confinement method (Published in Underground Space 4 (4)). 1994;31(5):692–702.
Oxford: Pergamon Press; 1980. [24] Cheng Y, Liu SC. Power caverns of the Mingtan Pumped Storage
[22] Deere DU. Chapter 1: geological considerations. In: Stagg KG, Project, Taiwan. In: Hudson JA, editor. Comprehensive rock
Zienkiewicz OC, editors. Rock mechanics in engineering practice. engineering, vol. 5; 1990. p. 111–32.
London: Wiley; 1968. p. 1–20.
ARTICLE IN PRESS
Discussion
In their Discussion on our paper, Sonmez and Gokceo- intact rock. A table of suggested values of MR for different
glu appear to have assumed that this paper is directly rock types is included in the paper. Compared to Fig. 1, the
linked to the most recent paper on the Hoek–Brown failure scatter is reduced in the normalized plot in Fig. 2 as the
criterion [1]. In fact, these two papers are entirely separate variability in the test data only reflects different levels of
and are only linked by the common use of the Geological damage and relaxation represented by D.
Strength Index (GSI), the uniaxial compressive strength of Nowhere, in any of these equations or in the text of the
intact rock (sci) and the disturbance factor D. paper, is there any reference to the rock mass strength scm
Fig. 1 shows that the simplified version of the or to the components mb, s and a of the Hoek–Brown
Hoek–Diederichs equation for predicting the rock mass equations for rock mass strength prediction.
modulus Erm is a function of GSI and D only. The constant These equations have been proposed in an effort to assist
multiplier (100,000) is required to fit the curves to the engineering designers during the early stages of the design
existing rock mass modulus data and to establish the of a rock structure such as a tunnel in which deformation is
correct scale and, as stated clearly in the paper, is not important. If the preliminary design studies show that
related to any assumed strength or deformation modulus deformation of the structure is critical, then the designer is
properties. The range of predicted values between D ¼ 0 obliged to investigate this issue in more detail and, if
and D ¼ 1 for the simplified equation represents the effect necessary, to embark on a program of in situ testing.
of disturbance and relaxation but also brackets the The authors have chosen the disturbance factor D as a
observed range of expected values when only the rock means of explaining the scatter of measured in situ
mass quality GSI is considered, independent of the deformation moduli and of providing the user with a basis
properties of the intact rock. for estimating the influence of damage due to blasting and
The more comprehensive Hoek–Diederichs equation, stress relief. A scale of 0 (undamaged) to 1.0 (heavily
shown in Fig. 2, includes the modulus of the intact rock Ei damaged) has been chosen for the factor D and this is
but is otherwise a function of GSI and D only and is not precisely the same scale as used by Hoek et al. [1] in the
directly associated with rock strength. As intact rock latest paper on rock mass strength. There is no need to
stiffness is correlated with unconfined strength, the paper discuss the choice of this scale which is based purely on an
suggests, where no reliable measurements of Ei are arbitrary decision by the authors of both papers on how
available, that an estimate of its valve can be obtained they wished to assign a numerical value to damage.
from E i ¼ MRsci (Eq. (3)) where MR is a modulus ratio The authors have presented a number of examples to
factor and sci is the uniaxial compressive strength of the illustrate how they would interpret the disturbance factor
D of a variety of applications. They caution that it is very
DOI of original article: 10.1016/j.ijrmms.2005.10.002 difficult to give precise guidelines since there will be
Corresponding author. variations depending upon the excavation and loading
E-mail address: ehoek@attglobal.net (E. Hoek). sequence for each type of excavation. Only time will tell