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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
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
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
Rock masses are initially stressed in their current in situ state of stress and to a lesser
natural state. Whether one is interested in the extent on the monitoring of stress change.
formation of geological structures (folds, faults, The subject of paleostresses is only briefly
intrusions, etc.), the stability of artificial struc- discussed.
tures (tunnels, caverns, mines, surface excava- The last 30 years have seen a major advance
tions, etc.), or the stability of boreholes, a in our knowledge and understanding of rock
knowledge of the in situ or virgin stress field, stress. A large body of data is now available on
along with other rock mass properties, is the state of stress in the near surface of the
needed in order to predict the response of rock Earth's crust (upper 3-4km of the crust).
masses to the disturbance associated with those Various theories have been proposed regarding
structures. Stress in rock is usually described the origin of in situ stresses and how gravity,
within the context of continuum mechanics. It is tectonics, erosion, lateral straining, rock fabric,
defined at a point and is represented by a glaciation and deglaciation, topography, curva-
second-order Cartesian tensor with six compo- ture of the Earth and other active geological
nents. Because of its definition, rock stress is an features and processes contribute to the current
enigmatic and fictitious quantity creating chal- in situ stress field. The techniques of stress
lenges in its characterization, measurement and measurement have evolved over the years,
application in practice. Stresses in rock cannot starting with the surface relief methods of the
be measured directly and can only be inferred 1930s and 1940s, the flat jack method in the
by disturbing the rock. Furthermore, rock stres- 1950s, the borehole relief methods of the 1950s
ses cannot be determined accurately due to the and 1960s, and the engineering applications of
complex nature of rocks and rock masses. At hydraulic fracturing in the 1970s. Today, innova-
best, and in good to very good rock conditions tive methods are available for measuring rock
where the rock is essentially linearly elastic, stresses within the upper 3-4 km of the Earth's
homogeneous and continuous, and between crust. At greater depths, very specialized tech-
well-defined geological boundaries, rock niques need to be used. The deepest reliable
stresses can be determined with an error of stress measurements ever made were reported
± 10-20% for their magnitude and an error of in 1995 by scientists at the KTB (German Con-
± 10-20° for their orientation. On the other tinental Deep Drilling Project) hole in Germany.
hand, in poor (weathered, weak, soft and Successful hydraulic fracturing stress measure-
heavily fractured) quality rocks, the measure- ments at a depth of 9 km gave maximum and
ment of rock stresses is extremely difficult. In minimum horizontal in situ stress values of 285
such rocks the success rate of stress measure- and 147 MPa, respectively. In general, the meas-
ments is usually low. urement of in situ stresses at depths below 9 km
This book focuses on the problem of in situ remains an unexplored territory where, in the
stresses in the Earth's crust, the methods for future, new techniques will have to be devel-
measuring and monitoring those stresses, and oped and/ or existing ones greatly improved.
their importance in rock engineering, geology Today, a large body of literature is available
and geophysics. The emphasis is mostly on the on the subject of in situ stresses. In writing this
xiv Preface
book we have made a special attempt to refer to measurement in both the scientific and
as many relevant publications and authors as engineering communities. Despite its enigmatic
possible. In general, the reader will find a nature, rock stress was recognized as a critical
comprehensive list of references spread over a factor in a wide range of activities in rock
total of 12 chapters, including the most recent engineering, geology and geophysics. Follow-
contributions presented at the 8th Congress of ing the Stockholm meeting, the late 1980s and
the International Society for Rock Mechanics early 1990s witnessed an explosion in the
(ISRM) in Tokyo in September 1995. number of publications dealing with the subject
This book is directed toward graduate of rock stress and its measurement. The research
students, teachers and practitioners in civil, program conducted at the Underground
mining and petroleum engineering, geology Research Laboratory (URL) in Canada and the
and geophysics. It can be used as a textbook in stress compilation of the World Stress Map
advanced graduate courses in rock mechanics Project were instrumental in our understanding
and rock engineering, structural geology and of the state of stress and its variation in the
geophysics. This book can also be used as a upper part of the Earth's crust. It was therefore
reference manual by practitioners who are faced decided that a book complementing the pro-
with the challenge of rock stress. Actual case ceedings of the Stockholm meeting was timely
studies presented in this book should be of great and that an in-depth discussion of rock stress
interest to students, teachers and practitioners. would be of great benefit to rock engineers,
The book has been written for someone who is geologists and geophysicists, and others inter-
familiar with the basic concepts of mechanics, ested in that subject. Although this book deals
geology and rock mechanics. mostly with the in situ or virgin stress field and
The 12 chapters in this book are presented in its measurement, we have included one chapter
a logical order starting with the methods for (Chapter 10) dealing with the monitoring of
estimating in situ stresses, followed by the stress change. We feel that such a chapter
techniques for measuring and monitoring rock should be included as many of the techniques
stresses, and finally the importance of rock used for monitoring stress change are similar to
stresses in rock engineering, geology and geo- those used for measuring virgin stresses. Fur-
physics. Several case studies of comparison of thermore, stress monitoring plays a crucial role
stress measurements are also presented, ranging in the different phases of development of
in scale from local measurements to the World nuclear waste repositories that are now being
Stress Map. Throughout this book we have considered in different countries in the world.
emphasized the role of geology when estimat- Most of the chapters in this book have a lead
ing and analyzing the results of stress measure- author. The first author was responsible for the
ments. We have also emphasized that the development of Chapters 2 (except section
disciplines of engineering, geology and geo- 2.14.2), 3, 5, 6 and 10, and the appendices. The
physics share many complementary similarities second author was responsible for Chapters 4, 7
when it comes to understanding the state of and 8, and section 2.14.2. Chapters 1,9,11 and
stress in the Earth's crust. 12 were jointly written. Questions and com-
This book satisfies the need to complement ments from the reader should be directed to the
and update the information presented at the appropriate author(s}.
International Symposium on Rock Stress and In writing this book we have made every
Rock Stress Measurements organized by the attempt to be comprehensive in our literature
second author and held in Stockholm on 1-3 search. However, we may have inadvertently
September 1986. The conference revealed the omitted some references. We hope that the
broad range of interest in rock stress and its reader will forgive such a transgression.
ACKNOWLEDGEMENTS
The writing of this book could not have been Discussions with Derek Martin were of great
possible without the help of several of our help in understanding the URL stress results
colleagues. The first author is grateful to and the nature of rock stress in general. We are
Russell Jernigan for reading the entire manu- grateful to J. Lauterjung for sending us a pho-
script. The financial support of the US tograph of the KTB drilling site, to Mary-Lou
National Science Foundation under NSF grant Zoback and Birgir Muller for providing us
no. MS-921S397 contributed to the develop- with originals of maps of the World Stress
ment of several sections in Chapter 2 dealing Map Project, to Maria Ask for providing stress
with the role of rock fabric and topography on data from the Danish sector of the North Sea,
stress. The second author is grateful to the and to David Ferrill for sending us illustra-
Swedish National Science Research Council tions regarding slip-tendency analysis and its
for financial support under grant P3447-331. application at the Yucca Mountain project in
Both authors would like to thank Professor Nevada. A first draft of this book was used in a
John A. Hudson for reviewing this book. His doctoral course at KTH in the fall of 1994.
illuminating and inspiring comments are Valuable comments from the participants are
greatly appreciated. Many thanks go to acknowledged. Ann-Charlotte Akerblom is
Robert Walton from MINDATA (Australia), acknowledged for typing the first version of
Jean-Fran<;ois Cappelle and Pierre Choquet Chapter 4. The illustrations in this book were
from ROCTEST (Canada), and Helmut Bock made by William Semann at the University of
from INTERFELS (Germany) for providing Colorado in Boulder and by Mathias Lindahl
photographs and technical documentation. at KTH in Stockholm.
INTRODUCTION 1
1.1 STRESS AT A POINT vectors ell e2, e3. Consider a volume V in the
continuum, an infinitesimal surface element
Unlike artificial materials such as concrete and AS located on the outer surface S of V, a point
steel, natural materials such as rocks and soils P located on AS, and a unit vector n normal to
are subject to natural (virgin) stresses called in AS atP.
situ stresses. Stress is an enigmatic quantity Under the effect of the body and surface
which, according to classical mechanics, is forces, the material within volume V interacts
defined at a point in a continuum and is with the material outside of V. Let AI and Am
independent of the constitutive behavior of be respectively the resultant force and
the medium. The concept of stress used in rock moment exerted across AS by the material
mechanics is consistent with that formulated outside of V upon the material within V. The
by Cauchy and generalized by St Venant in Cauchy stress principle asserts that the aver-
France during the 19th century (Timoshenko, age force per unit area AI/AS tends to a limit
1983). A summary of the continuum mechan- t(n) = dl/ dS as AS tends to zero, whereas Am
ics description of stress is presented below. vanishes in the limiting process. The limit t(n)
More details can be found in Appendix A or in is called the stress vector and has three compo-
Mase (1970). nents in the x, y, z coordinate system which are
In continuum mechanics, stress is a ficti- expressed in units of force per unit area (MPa,
tious quantity that is defined through a limit- psi, psf, etc.). It is noteworthy that the compo-
ing process by considering the interaction nents of the stress vector depend on the ori-
between two parts of a continuum across a entation of the surface element AS which is
small oriented surface at a point. Consider for defined by the coordinates of its normal unit
instance, the continuum shown in Fig. 1.1 vector n.
occupying a region R of space and subjected to The stress vector t(n) at point P in Fig. 1.1 is
body forces b and surface forces J. Let x, y, z associated with the action of the material out-
be a Cartesian coordinate system with unit side of V upon the material within V. Let t(-n)
R
y
1.2 IMPORTANCE OF ROCK STRESS excessive deformation in the form of roof clo-
sure, sidewall movement and/ or ground sub-
Knowledge of the in situ state of stress in the sidence. On the other hand, tensile stresses in
Earth's crust is very important in many prob- excavation walls may open existing fractures
lems dealing with rocks in civil, mining and or create new ones which could result in block
petroleum engineering and energy develop- stability problems.
ment, as well as in geology and geophysics. A In general, stress-related stability problems
list of activities for which in situ stresses playa increase with depth but can also be found in
critical role is given in Table 1.1. An overview excavations at shallow depths (0-200 m) due
of these activities is presented below. A more to high horizontal in situ stresses such as in
detailed discussion is given in Chapter 12. southern Ontario and upper New York State
In civil and mining engineering, in situ (Adams and Bell, 1991; Franklin and Hungr,
stresses control the distribution and magni- 1978; Lee, 1981; Lee and Lo, 1976; Lo, 1978; Lo
tude of the stresses around underground and Morton, 1976), Fennoscandia (Carlsson
openings such as tunnels, mines, shafts or and Olsson, 1982; Hast, 1958; Myrvang, 1993;
caverns (Hoek and Brown, 1980). Stress Stephansson, 1993; Stephansson, Sarkka and
concentrations in the excavation walls may be Myrvang, 1986) and Australia (Enever, Walton
large enough to overstress the rock, mobilize and Windsor, 1990). High stresses can also be
the strength of the rock mass locally or at found when conducting underground excava-
large, and create failure. They can also induce tion in mountainous regions near steep valley
walls (Myrvang, 1993). In general, excavation
Table 1.1 Activities requiring knowledge of in situ in highly stressed rock is more difficult and
stresses special strategies need to be followed to mini-
mize the impact of high stresses. Potential
Civil and mining engineering
Stability of underground excavations (tunnels,
stability problems associated with the relief of
mines, caverns, shafts, stopes, haulages) high stresses may include floor buckling, spal-
Drilling and blasting ling, squeezing, inward movement of excava-
Pillar design tion walls and rock bursts. Detrimental effects
Design of support systems of high stresses can be found in canals,
Prediction of rock bursts bridges, surface excavations, shafts, tunnels
Fluid flow and contaminant transport and mining excavations. Furthermore, drilling
Dams
Slope stability
in highly stressed rock is more difficult.
Myrvang, Hansen and S0rensen (1993) found,
Energy development for instance, a significant negative correlation
Borehole stability and deviation
between the rate of penetration in rotary drill-
Borehole deformation and failure
Fracturing and fracture propagation ing with increasing stress. A positive aspect of
Fluid flow and geothermal problems high stresses, however, is that the rock is
Reservoir production management tighter, which implies less water inflow in
Energy extraction and storage underground works and shorter pathways for
Geology/geophysics contaminant transport.
Orogeny In the engineering of underground con-
Earthquake prediction struction, in situ stresses enter into excavation
Plate tectonics design and critical decision making. The dis-
Neotectonics tribution and magnitude of in situ stresses
Structural geology affect the geometry, shape, dimensioning,
Volcanology
Glaciation excavation sequence and orientation of under-
ground excavations. They also help in the
4 Introduction
selection and design of support systems. From concentrated in sharp corners and are limited
a practical point of view, when designing in extent (Fairhurst, 1968).
underground openings in rocks where the Figure 1.3 shows a case study where stresses
virgin stresses are low compared with the rock were critical in the layout of a penstock mani-
strength, the goal is to minimize stress concen- fold for the Helms pumped storage project in
tration problems, create a compressive stress the Sierra Nevada (Haimson, 1977, 1984). In
field as uniformly distributed as possible in this project, the penstock bifurcation branch
the excavation walls (the 'harmonic hole' con- was rotated 90° from its original orientation of
cept) and avoid tensile stress regions. For N300E in order to avoid opening of disconti-
instance, a circular excavation is better suited nuities in a direction parallel to the major
in a hydrostatic stress field than in any other horizontal in situ stress O'Hmax measured (by
stress fields. Horizontal caverns with large hydraulic fracturing) in the N25°E direction.
spans require horizontal stresses higher than Mimaki (1976) and Mimaki and Matsuo (1986)
the vertical stress. As an illustrative example, give two examples of design of large under-
the feasibility of the 61 m span, 91 m long and ground caverns in Japan where it was decided
24 m high underground Olympic ice hockey to orient the caverns with their long axes
hall in Lillehammer, Norway, was made pos- parallel to the maximum horizontal in situ
sible due to not only a good geological setting stress. In general, aligning caverns in rocks
but also because of the existence of large hori- with their long axis perpendicular to the
zontal stresses in the order of 4-5 MPa at largest in situ stress component should be
shallow depths ranging between 40 and 100 m avoided (Broch, 1993).
(Myrvang, 1993). It is noteworthy that the Over the past 10 years, rock mechanics has
'harmonic hole' concept is not recommended become more of a practical tool for surface and
when the virgin stresses are high (Hoek underground mine operators. The acceptance
and Brown, 1980). In that case, the excavation of rock mechanics techniques in underground
shape should be selected in such a way that mining is largely due to rapid advancement in
the zones of overstressed rock are numerical modeling techniques, the use of
(JHmax Range of
Powerhouse
-<>1\
-------""'" ';:-,,--------
D
Original/\>-::- 'fo-;=====l
D IC==::::::'"'\
Concrete-lined
penstock manifold
Fig. 1.3 Plan of Helms project powerplant complex showing the original and the redesigned penstock
manifolds. (After Haimson, 1984.)
Importance of rock stress 5
rock mass classification systems and more re- Rock stress measurements are often per-
liable methods for rock stress measurements. formed to provide input to numerical model-
The state of the art in rock engineering for ing of mine design and deformability, strength
underground mine use is presented by Brady and reinforcement of mine openings. For mine
and Brown (1985). In situ stresses form the design applications, the common practice is to
loading system for the underground excava- locate the measuring sites remote from the
tions (Bawden, 1993). It is the redistribution of mining stopes, so that the measured stresses
these stresses due to mining activity that are unaffected by the mining activity. In old
causes deformation and failure of the rock underground mines, where mining occurs at
mass. The adverse effects of mine failure are great depths below the ground surface, stress
fatalities, injuries and damage to equipment measurements have to be made in disturbed
which overall translate into a loss in produc- rock masses. As an illustrative example, in the
tion. In room and pillar mining, stresses in design of the Zinkgruvan mine in central
pillars affect the overall mine extraction ratio Sweden, an approach was adopted in which
and control the overall mine stability and the stress measurement sites were located in
layout. Enever (1993) discussed the impact of the roofs of open stopes in different mine
in situ stresses in Australia for deciding on panels (Borg et al., 1984). The location of the
the location of new coal mine developments sites is shown in Fig. l.4a and the results of the
and mine layouts as well as the location and overcoring stress measurements in the roof of
stability of coal seam methane extraction two stopes are presented in Fig. 1.4b, c. No
wells. stress gradients were found in the vicinity of
Several mining factors, including the depth the stopes, and very small differences in mag-
of mining, mine geometry and the rate and nitude and direction of stresses were recorded
volume extracted, can influence the redistribu- for the measuring points at each site. The
tion of stresses and hence the occurrence of average value of the major principal stress
rockbursts and mine seismicity (Cook, 1976; was found to be equal to 40 MPa, and to be
McGarr and Wiebols, 1977). Mine seismicity is oriented perpendicular to the tabular ore-
essentially rock failure due to the alteration of body. These results were used in the design of
the virgin stress state by mining an opening in mining sequences and rock reinforcement of
rock. Over the years, mining engineers have the stopes. Stress data from the stopes together
had to deal with higher in situ stress fields with stress measurements in an undisturbed
associated with increasingly deep mines. A region at the deepest point accessible in the
combination of deeper mines and larger mine mine (site no. 4 in Fig. 1.4a) were used by Borg
openings has increased the occurrence and et al. (1984) to estimate the variation of the
severity of mine seismicity and collapse of virgin vertical and horizontal stresses with
mine openings. An a priori knowledge of the depth. Then, the estimated stresses were
characteristics of pre-existing zones of weak- applied in the numerical modeling for design
ness in rock masses and the in situ stress field and stability prediction of mining at depths
can assist mining engineers in identifying below 800m.
areas where large mining-induced failure and Knowledge of in situ stresses is also
seismic events are likely to occur. Several case critical for the storage of nuclear waste in rock.
histories which emphasize the importance of The US Nuclear Regulatory Commission
seismological analyses to characterize the (10CFR60), Sections 60.10 and 60.21, specifies
sources of mine seismicity and the effects of that in situ stresses should be measured at the
geological discontinuities and in situ stresses site, before and during the construction of a
are discussed by Gay and Van der Heever repository (Kim, 1992). In situ stresses are
(1982) and Wong (1993). taken into account in repository site suitability,
6 Introduction
Storage hole
III II(==:J
Placement room
Virgin stresses:
E
o
M
6.1 m 26MPa
Fig. 1.5 Suggested layout of underground nuclear waste disposal facility at Hanford, Washington. The
virgin stress values, shown in the insert, were determined by hydraulic fracturing on the candidate
repository horizon at a depth of about 1000 m. (Adapted from Rockwell Hanford Operations, 1982.)
pressure tunnels and shafts is to avoid water having sufficiently high rock stresses for the
leakage by hydraulic opening (also called storage of gas in unlined rock caverns in
hydraulic jacking) of the rock mass. Water Norway. The minimum in situ principal stress
leakage may lead to disastrous and costly must be large enough to prevent leakage
consequences, as illustrated in many case under minimum gas pressures of the order
studies (Brekke and Ripley, 1993; Broch, of 8-10 MPa. Construction cost of storage
1984a, b; Sharma et al., 1991). Hydraulic jack- caverns can be reduced if confinement due to
ing of the rock mass can be prevented by large enough horizontal stresses can be found
positioning unlined pressure tunnels and at shallow depths. The importance of in situ
shafts in competent rock and under enough stresses in critical decision making for gas
rock cover to provide adequate confinement storage was illustrated by Enever (1993)
and watertight conditions. One criterion used regarding a horizontal abandoned coal mine
for positioning unlined pressure tunnels and in Australia which was considered for storage.
shafts in valley sides is that nowhere along the Horizontal fractures obtained during hy-
opening alignment should the internal water draulic fracturing tests in the rock above the
pressure exceed the minimum in situ principal mine showed lower vertical stresses than
stress in the surrounding rock mass (Selmer- expected, indicating cracking of a large part of
Olsen, 1974). Large enough in situ stresses can the overburden rock, thus making the site
help in reducing the need for liners in pressure unsuitable for gas storage. Tightness of a rock
tunnels and shafts, thus creating substantial mass due to large enough in situ stresses is also
cost savings. important for the storage of compressed air,
Myrvang (1993) discussed the importance of cryogenic liquids (LNG, LPG), oil, etc.
8 Introduction
The effective utilization of oil and gas are trying to gain knowledge of the role played
resources on land and offshore and the by in situ stresses in the overall understanding
applications of diverging wellboring technol- of the mechanism of plate movement, collision
ogy have increased over the past 20 years. In and divergence, the dynamics of faulting
particular, in order to determine the direction along plate boundaries and intraplate regions,
of a wellbore and reduce borehole deviations mountain building, basin formation, earth-
and breakouts, a clear understanding of in situ quakes and other active geological processes
stresses is vital. Borehole stability, which is of (M. D. Zoback, 1993). For that purpose, ultra-
major concern to petroleum engineers, is con- deep continental drilling programs have been
trolled by stress concentrations along borehole initiated in various parts of the world. For
walls. Overbreaks due to mobilization of the
rock strength may create large borehole
stability problems (Maury, 1987). Knowledge
of the in situ stress field is also important for
the fracturing of formations of oil and gas
fields to stimulate production (Teufel, 1986).
Reservoir management also requires that
changes in the in situ stress field be known
during reservoir depletion. For instance, in
the Ekofisk field (which is the largest of nine
chalk reservoirs in the southern part of the
Norwegian sector of the North Sea), Teufel,
Rhett and Farrell (1991) reported a 21-24MPa
reduction in reservoir pore pressure and
changes in the total minimum horizontal
stress of about 80% of the changes in pore
pressure, as a follow-up of 20 years of petro-
leum production. As the pore pressure de-
creases, more of the overburden load has to be
carried out by the weak chalk matrix, which in
turn may cause reservoir compaction and sea-
floor subsidence. Such subsidence may require
oil and gas platforms to be jacked up in order
to prevent breaking of sea waves. Figure 1.6
shows a plan view of the Ekofisk field, and the
role played by natural fractures and the dome
shape of the reservoir on the in situ stress Fig. 1.6 Structure contour map for top of the Eko-
distribution. In this figure, the maximum hor- fisk formation in the North Sea showing the azi-
izontal stress is parallel to the long axis of the muth of the maximum horizontal stress determined
reservoir near the dome crest. It becomes per- from anelastic strain recovery measurements of ori-
pendicular to the dome structural contour and ented cores from nine wells in the Ekofisk field. On
parallel to a radial fracture pattern on the the crest of the dome structure, located at a depth of
flanks of the structure (Teufel and Farrell, about 9500 ft (2.9 km), the maximum horizontal
stress is parallel to the long axis of the reservoir. It
1990). becomes perpendicular to the dome structural con-
The new global geology and plate tectonics tour and parallel to a radial fracture pattern on the
form the fundamentals of modern Earth flanks of the structure. (After Teufel and Farrell,
sciences. Here, geologists and geophysicists 1990.)
Importance of rock stress 9
instance, in situ stresses have been measured structures depend largely on the in situ stress
in the mid-crust at depths ranging between 0.8 field that existed prior to their existence.
and 9.0 km at the KTB (German Continental In situ stresses are usually determined along
Deep Drilling Project) hole in Germany with rock mass properties such as deform-
(Baumgartner et al., 1993; Brudy et al., 1995; Te ability, strength and permeability. In situ stress
Kamp, Rummel and Zoback, 1995), and in the measuring techniques can be seen as provid-
vicinity of the San Andreas fault at depths ing samples of the stress field over a certain
ranging between 0.9 and 3.5 km at the volume of interest. Like many rock mass
Cajon Pass drill site (Baumgartner et al., 1993; properties, in situ stresses may vary from point
Zoback and Healy, 1992). Deep stress meas- to point in a rock mass and may have different
urements were also reported by Batchelor and values when measured over different
Pine (1986) and Pine and Kwakwa (1989) at volumes. Such variations are intrinsic and
depths up to 2.6 km in the Carnmenellis gran- should not always be seen as anomalies or
ite in Cornwall, England. Other deep stress errors in the measurements themselves.
measurements were conducted by Haimson In situ stresses are rarely uniform in a rock
(1978) at depths ranging between 3 and 5 km mass. Their distribution depends largely on
in the Michigan Basin. the rock mass structure (discontinuities, heter-
Analysis of over 7300 data points collected ogeneities, folds, faults, dikes, fabric, etc.) and
as part of the World Stress Map Project has on the loads applied to the rock mass through-
revealed some major stress patterns and stress out its entire geological history. For instance,
regimes in the Earth's crust (Zoback et al., competent rock layers tend to carry larger
1989; M. L. Zoback, 1992). Multiple broad- stresses than weak layers. A strong correlation
scale regional stress provinces with uniform has also been observed between rock fabric
horizontal stress orientation have been identi- and stresses. The stress distribution in a rock
fied. Also, there is clear evidence that the mass can be so complex that local stresses may
directions of plate movement for several major be quite different from the average stress.
plates seem to coincide with the directions of In situ stresses interact with other rock mass
maximum horizontal stresses. Other findings properties. For instance, rock mass strength
from the World Stress Map Project include increases with in situ confinement. Stress fields
dominant compressive stress regimes (thrust alter the permeability of rock masses since
or combined thrust and strike-slip faulting) compressive stresses tend to close natural
in most mid-plate or intraplate continental fractures whereas tensile stresses tend to open
regions, and continental extensional stress them. The coupling existing between stress
regimes (normal or combined normal and and flow and pressure in fractures is particu-
strike-slip faulting) in topographically high larly important in understanding fluid flow
areas. As an example, Fig. 1.7 shows the and contaminant transport in rock masses,
stress directions for Europe as compiled by and in predicting the effectiveness of hy-
Muller et al. (1992). Note the consistent NW- draulic injections which are common in the
SE horizontal stress orientation in Western exploitation of hydrocarbon formations and
Europe. geothermal energy systems and for liquid
In situ stresses are important to geologists in waste disposal (Evans, 1966; Grant, Donald-
order to understand various geological proces- son and Bixley, 1982; Pine and Batchelor, 1984).
ses. Over the years, several theories of faulting, On the other hand, rock mass structures such
folding, thrusting, tectonic fabrics, boudinage as joints or foliation planes affect the distribu-
and pinch-and-swell structures, intrusions, sub- tion of in situ stresses. In some recent papers,
sidence and so on have been proposed. The Hudson (1991, 1992a) presented compilations
formation, emplacement and extent of such of rock engineering mechanisms showing the
10 Introduction
EUROPE
--
Fig. 1.7 Generalized stress map of Europe showing maximum horizontal compression directions in
regions of dominantly compressive stress regimes (inward directed arrows) and least horizontal stresses in
regions of extension (outward directed arrows). Thick arrows are shown for average stress directions
which are based on at least ten stress observations with uniform orientations, open arrows are used for
means based on five to ten consistent orientations and thin arrows are for average directions based on less
than five observations. (After Muller et al., 1992.)
importance of in situ stresses in the stability of mass properties. In situ stress is an integral
underground excavations and rock slopes and part of the theory of rock engineering systems
how in situ stresses interact with other rock (Hudson, 1992b; Jiao and Hudson, 1995).
History 11
material. They are superimposed on natural tectonic stresses (due to active present day
stresses which exist prior to excavation. The straining of the Earth's crust) or remnant
natural stress field can be composed of tectonic stresses (due to past tectonic events
gravitational stresses (due to mass of over- which have only been partially relieved by
burden); tectonic stresses and residual stres- natural processes).
ses (a much used and abused term, taken to
mean 'stress components that remain in the In Fig. 1.8, induced stresses have been
structure if external forces and moments are broadened to include artificially induced
removed'). Tectonic stresses may be active stresses as well as those stresses induced by
--------- ~
Rock stresses
Remnant tectonic
stresses
/~
Same as residual but tectonic
activity is involved, such as
Broad scale Local folding, faulting, jointing
and boudinage
• Shear traction • Bending
• Slab pull • Isostatic compensation
• Ridge push • Downbending of
• Trench suction lithosphere
• Membrane stress • Volcanism and heat flow
related to the geology and the applied bound- the moon on underground caverns, in Proc. 33rd
ary conditions. The effect of scale on rock US Symp. Rock Mech., Santa Fe, Balkema,
properties involved in the analysis of stress Rotterdam, pp. 421-8.
Bielenstein, H.U. and Barron, K. (1971) In-situ stres-
measurements such as the Young's modulus, ses. A summary of presentations and discussions
tensile strength and compressive strength given in Theme I at the Conference of Structural
must be taken into account, as it has potential Geology to Rock Mechanics Problems. Dept. of
for influencing the interpretation of various Energy, Mines and Resources, Mines Branch,
stress measurements. Ottawa, Internal Report MR71. Also published in
Comparison of stress measurements Proc. 7th Can. Symp. Rock Mech., Edmonton.
obtained with different techniques at the same Borg, T. et al. (1984) Stability prediction for the
Zinkgruvan Mine, Central Sweden, in Proc. ISRM
site shows that, in good rock conditions, and
Symp. on Design and Performance of Underground
assuming that sufficient reliable tests are con- Excavations, Cambridge, British Geotechnical
ducted, surprisingly similar results can be Society, London, pp. 113-21.
obtained (again within the uncertainty Brady, B.H.G. and Brown, E.T. (1985) Rock Mechanics
expected in stress measu~ments) despite dif- for Underground Mining, Allen & Unwin, London.
ferences in scale between the different tech- Brekke, T. and Ripley, B.D. (1993) Design of pres-
niques. For other rock conditions, the sure tunnels and shafts, in Comprehensive Rock
consistency in stress determination is still Engineering (ed. J.A. Hudson), Pergamon Press,
Oxford, Vol. 2, Chapter 14, pp. 349--69.
open to question.
Broch, E. (1984a) Development of unlined pressure
shafts and tunnels in Norway. Underground Space,
8,177-84.
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Haimson, B.C (1984) Pre-excavation in situ stress horizontal stresses in rocks in southern Ontario.
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ground openings, in Proc. ISRM Symp. on Design Lo, K.Y. and Morton, J.D. (1976) Tunnels in bedded
and Performance of Underground Excavations, Cam- rock with high horizontal stresses. Can. Geotech.
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183-190. Martin, CD. and Simmons, G.R. (1993) 'The Atomic
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London. Mase, G.E. (1970) Continuum Mechanics, Schaum's
Hooker, V.E. and Duvall, w.1. (1971) In situ rock Outline Series, McGraw-Hill.
temperature: stress investigations in rock quar- Maury, V. (1987) Oservations, researches and recent
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Rl7589. galleries, in Proc. 6th Congo Int. Soc. Rock Mech.
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anisms: underground excavations, Technical pp. 1119-28.
Note. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., McGarr, A and Wiebols, G.A (1977) Influence of
28,523-6. mine geometry and closure volume on seismicity
Hudson, J.A (1992a) Atlas of rock engineering in deep-level mine. Int. J. Rock Mech. Min. Sci. &
mechanisms: part 2: slopes, Technical Note. Geomech. Abstr., 14, 139-45.
References 19
Mimaki, Y. (1976) Design and construction of a large Stephansson, O. (1993) Rock stress in the
underground power station, in Design and Con- Fennoscandian shield, in Comprehensive Rock
struction of Underground Structures, The Japan Engineering (ed. J.A. Hudson), Pergamon Press,
Society of Civil Engineers, Tokyo, pp.115-52. Oxford, Chapter 17, Vol. 3, pp. 445-59.
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Myrvang, A.M. (1993) Rock stress and rock stress Te Kamp, L., Rummel, F. and Zoback, M.D. (1995)
problems in Norway, in Comprehensive Rock Hydrofrac stress profile to 9 km at the German
Engineering (ed. J.A. Hudson), Pergamon Press, KTB site, in Proc. Workshop on Rock Stresses in the
Oxford, Chapter 18, Vol. 3, pp. 461-71. North Sea, Trondheim, Norway, NTH and SINTEF
Myrvang, A., Hansen, S.E. and S0rensen, T. (1993) Publ., Trondheim, pp. 147-53.
Rock stress redistribution around an open pit Teufel, L.W. (1986) In situ stress and natural fracture
mine in hardrock. Int. J. Rock Mech. Min. Sci. & distribution at depth in the Piceance Basin,
Geomech. Abstr., 30, 1001-4. Colorado: implications to stimulation and
Obert, L. (1968) Determination of stress in rock. A production of low permeability gas reservoirs, in
state of the art report. Appendix 5 in report by Proc. 27th US Symp. Rock Mech., Tuscaloosa,
Fairhurst titled: Methods of determining in-situ SME/ AIME, pp. 702-8.
rock stresses at great depths. Tech. Report No. Teufel, L.W. and Farrell, HE. (1990) In Situ Stress
1-68, Corps of Engineers, Omaha, Nebraska. and Natural Fracture Distribution in the Ekofisk
Pine, RJ. and Batchelor, A.S. (1984) Downward Field, North Sea. Sandia National Labs. Report
migration of shearing in jointed rock during No. SAND-90-1058C.
hydraulic injections. Int. J. Rock Mech. Min. Sci. & Teufel, L.W., Rhett, D.W. and Farrell, HE. (1991)
Geomech. Abstr., 21, 249-63. Effect of reservoir depletion and pore pressure
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hydrofracture stress measurements to depths of the Ekofisk Field, North Sea, in Proc. 32nd US
2.6 km and implications for measurements to Symp. Rock Mech., Norman, Balkema, Rotterdam,
6 km in the Carnmenellis granite. Int. J. Rock pp.63-72.
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Price, N.J. and Cosgrove, rw. (1990) Analysis of Materials, Dover Publications.
Geological Structures, Cambridge University Voight, B. (1966) Interpretation of in-situ stress
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Rockwell Hanford Operations (1982) Site Charac- Mech. (ISRM), Lisbon, Lab. Nac. de Eng. Civil,
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measurements along the San Andreas fault Pergamon Press, Oxford, Chapter 15, Vol. 5, pp.
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3rd edn, Springer-Verlag. Course on Modern In Situ Stress Measurement
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Rotterdam, Vol. 2, pp. 1355-8. Zoback, M.L. (1992) First- and second-order
20 Introduction
patterns of stress in the lithosphere: The World Published in Vol. 3 of Proceedings of 8th ISRM
Stress Map project. J. Geophys. Res., 97, 11703-28. Congress, Balkema, Rotterdam, in press.
Zoback, M.L. et al. (1989) Global patterns of tectonic
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Session on Residual Stresses in Rock Masses
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International Conference on State of Stress in the See Vol. III of Proceedings of the Congress.
Earth's Crust, Santa Monica, California, June Session on Rock Pressure Measurements and
13-14,1963. Proceedings published by American Interpretation of the Results at the Int. Symp. on
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19-21, 1969. Proceedings published by Lab. Nac. Session on Basic Considerations for Field
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Centek Publishers, Lulea, Sweden, 1986. by SME/ AIME, Colorado.
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Specialty Conference on Stresses in Underground Mech., Evanston, 1984. In proceedings published
Structures, October 2-3, 1990, Ottawa, Canada. by SME/ AIME, Colorado.
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Ottawa, Canada, 1990. Mech., Rapid City, 1985. In proceedings pub-
Workshop on Stresses in the Earth's Crust, Aachen, lished by Balkema, Rotterdam.
Germany, 1991. Published in Vol. 3 of Proceedings Session on Hydrofracture and Borehole Stability at
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Workshop: Seminaire Formation: Mesure des proceedings published by Balkema, Rotterdam.
Sollicitations et des Contraintes dans les Session on Fundamentals at the 2nd Int. Symp. on
Ouvrages et dans les Terrains (in French). Ecole Field Measurements in Geomechanics, Kobe,
des Mines, Nancy, France, September 12-16, Japan, 1987. In Vol. 1 of the proceedings pub-
1994. lished by Balkema, Rotterdam.
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Trondheim, Norway, February 13-14, 1995. Pro- Symp. on Rock at Great Depth, Pau, France, 1989.
ceedings published by NTH and SINTEF Publ., In Vol. 2 of the proceedings published by
Trondheim, Norway, 1995. Balkema, Rotterdam.
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Depth, Tokyo, Japan, September 30, 1995. fracturing at the 30th US Symp. Rock Mech.,
References 21
Morgantown, West Virginia, 1990. In proceedings Rock Mech., Madison, Wisconsin, 1993. In
published by Balkema, Rotterdam. proceedings published by Pergamon Press in Int.
Session on In-Situ Stresses at 32nd US Symp. Rock J. Rock Mech. Min. Sci. & Geomech. Abstr., 30(7).
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33rd US Symp. Rock Mech., Santa Fe, New Rotterdam.
Mexico, 1992. In proceedings published by Session on In-Situ Measurement at Eurock '94: Int.
Balkema, Rotterdam. Symp. on Rock Mechanics in Petroleum
Sessions on In-Situ Stress Measurements and Bore- Engineering, Delft, The Netherlands, 1994. In
hole Instability and Breakouts at 34th US Symp. proceedings published by Balkema, Rotterdam.
ESTIMATING IN SITU STRESSES 2
,
"
"" ';'
·0'"
... Q . . . . . . .
...-00-..• [] "te •
:
. 0·- o·
..~.
son and Lee (1980), Doe et al. (1981), Swolfs
"."..
, ' . , ....: '\ °0 0
SOO
.~... c;J. ... , .... -
(1984), Stephansson, Sarkka and Myrvang ...
The stress variations with depth are given for All stresses are total stresses. In some recent
the vertical stress, (Jv, the maximum and mini- papers, the variation of in situ stresses with
mum horizontal stresses, (JH and (Jh, the mean depth has also been presented in terms of
Herget (1974) (1.9 ::!:: 1.26) + (0.0266 ::!:: 0.0028)z World data (0-2400)
Lindner and Halpern (1977) (0.942::!:: 1.31) + (0.0339 ::!:: 0.0067)z North America (0-1500)
Brown and Hoek (1978) 0.027z World data (0-3000)
McGarr and Gay (1978) 0.0265z World data (100-3000)
Herget (1987) 0.026z-O.0324z Canadian Shield (0-2200)
Arjang (1989) (0.0266 ::!:: 0.008)z Canadian Shield (0-2000)
Baumgartner et al. (1993) (0.0275-0.0284)z KTB pilot hole (800-3000)
Herget (1993) 0.0285z Canadian Shield (0-2300)
Sugawara and Obara (1993) 0.027z Japanese Islands (0-1200)
Te Kamp, Rummel and Zoback (1995) (0.0275-0.0284)z KTB hole (0-9000)
Lim and Lee (1995) 0.233 + 0.024z South Korea (0-850)
principal stresses, in particular when the increase linearly with depth with a gradient
stresses are determined by techniques other ranging between 0.025 and 0.033 MPa/m. An
than hydraulic fracturing or when the average value for the rock unit weight of
principal in situ stress components are not in 0.027MN/m3 (quartz has a specific gravity of
the vertical or horizontal directions. Table 2.3 2.65) is often assumed, giving an average ver-
gives, for instance, the major, intermediate and tical stress gradient of 0.027 MPa/m. Taking a
minor in situ stress magnitude versus depth value for the Poisson's ratio v = 0.25 gives
relationships for the Canadian Shield (Herget, Ko = v/(l - v) = 1/3. In other words, if the Ko
1993) and Sweden (Stephansson, 1993). In condition were true, the horizontal stress
Tables 2.1-2.3, r indicates the accuracy of the should increase with a gradient of 0.009 MPa/
fit. It should be noted that it is common prac- m. Note that Ko can only vary between 0 and 1
tice, when presenting the distribution of stres- as the Poisson's ratio v varies between 0 and
ses with depth, to assume that each stress 0.5.
component increases linearly with the depth, Comparison of the vertical stress gradient of
Z, and that the horizontal to vertical stress 0.027 MPa/m with those reported in Table 2.2
ratios depend on l/z. and in the literature shows that, in most cases,
The unit weight y = pg of rocks varies, in the magnitude of the vertical stress can be
general, between 0.025 and 0.033MN/m3. explained by the overburden weight only.
Thus the gravitational vertical stress yz should Localized departures from this assumption are
Table 2.3 Variation of major, intermediate and minor principal stress components with depth
Herget (1993) (71 = 12.1 + (0.0403 ::!:: 0.002)z (r = 0.84) Canadian Shield (0-2300)
(72 = 6.4+ (0.0293 ::!:: 0.0019)z (r = 0.77)
(73 = 1.4 + (0.0225 ::!:: 0.0015)z (r = 0.75)
Stephansson (1993) (71 = 10.8 + 0.037z (r = 0.68) Sweden (0-1000)
(72 = 5.1 + 0.029z (r = 0.72)
(73 = 0.8 + 0.020z (r = 0.75)
28 Estimating in situ stresses
not uncommon, however, and have been present and that both maximum and mini-
observed due to local geological features or mum horizontal stresses often exceed the ver-
active tectonic zones (Herget, 1980, 1986). tical stress at the depth of measurement. Also,
Bulin (1971) reported values of the vertical within the Canadian Shield the difference
stress measured at depths of 600 and 900 m (in between the maximum and minimum princi-
the Donets-Makeyekva area in the former pal stresses seems to increase with depth and
Soviet Union) three to four times higher than the major and intermediate principal stresses
those predicted by gravity due to complex tend to be aligned in the horizontal plane
geological structures. Localized departure can (Herget, 1993; Martin and Chandler, 1993).
also be due to shear stresses as suggested by Rummel (1986) concluded that the maximum
Voight (1966a) and Howard (1966). shear stress in the upper crust of the Earth is
Comparison of the horizontal stress gradi- determined by the two horizontal in situ stres-
ent of 0.009MPa/m with those reported in ses; however, at shallow depths the maximum
Table 2.1 and in the literature shows much shear stress is determined by the maximum
more discrepancy. The stress ratio, K, horizontal stress and the vertical stress. He
measured in the field is rarely equal to t also concluded that stike-slip faulting would
especially at shallow depths, and is often be the dominant fault mechanism in a ran-
larger than unity. For instance, Herget (1974) domly fractured Earth's crust if the empirical
noted that 75% of his world stress data (at the friction law proposed by Byerlee (1978) was
time) showed higher horizontal than vertical satisfied.
stresses. Table 2.1 also shows that within a The conclusions reached by Rummel (1986)
single region of the world, such as Fenno- reveal that the ordering of in situ stresses (i.e.
scandia, several distributions of horizontal the stress regime) is not necessarily constant
stress with depth can be obtained with differ- with depth. Adams and Bell (1991) reported
ent stress measurement methods (Stephans- stress measurements conducted in the
son, 1993). Beaufort Sea showing a change in stress
Generic stress versus depth relationships regime from strike-slip faulting (I1H > I1v > I1h)
such as those reported in Tables 2.1-2.3 can be to thrust faulting (I1H> I1h > I1v) at a depth of
useful in estimating the magnitude of the 3 km. A similar observation was made by Dey
stress field at a given depth. They also provide and Brown (1986) in a deep borehole at the
an overall idea of the stress regime (normal, Hot Dry Rock Project in New Mexico. They
strike-slip, thrust) in a given area of interest, found using the differential strain curve
and how the stress regime varies with depth. analysis method a change of stress regime
For instance, in Fennoscandia one can expect from normal faulting (I1v > O"H > O"h) at a depth
the maximum and minimum horizontal stres- of 2.8 km to strike-slip faulting (O"H > O"V > O"h)
ses to exceed the vertical stress (Stephansson, at a depth of 3.8 km. In a 5110 m ultra deep oil
1993). The hydraulic fracturing tests at the well near the center of the Michigan Basin,
KTB hole in Germany revealed a strike-slip hydraulic fracturing tests conducted by Haim-
stress regime at depths ranging between 800 son (1977) revealed a change in stress regime
and 3000 m (Baumgartner et al., 1993). This with depth: thrust faulting (O"H > O"h > O"v) from
conclusion has recently been extended to a o to 200 m, strike-slip faulting (O"H> O"V > O"h)
depth of 9000m by Te Kamp, Rummel and from 200 to 4500 m and normal faulting
Zoback (1995). For more information about the (O"v > O"H > O"h) at depths larger than 4500 m.
KTB hole, the reader is referred to section Finally, using a recent survey of 1000 measure-
12.4.7. ments of the least principal stress measured by
Adams and Bell (1991) concluded that for hydraulic fracturing, Plumb (1994) concluded
Canada, high horizontal stresses are widely that in sedimentary basins, thrust faulting
Variation of in situ stresses with depth 29
seems to be dominant in the upper 1 km, but maximum horizontal stress of 60° over a dis-
changes to strike-slip or normal faulting at tance of 500 m were observed by Haimson and
greater depths. Rummel (1982) in lava flows in Iceland.
It must be emphasized that the generic Martin and Chandler (1993) reported a 90°
stress versus depth relationships presented in rotation of the maximum in situ stress compo-
Tables 2.1-2.3 should be used with caution as nent across fault zone no. 2 at the URL site.
they are usually associated with scatter. Local This large rotation was attributed in part to
stresses can vary locally due, for instance, to stress release associated with slip along the
stratification and heterogeneities (section 2.6), fault. At the Cajon Pass well in California, the
geological structures such as faults, dikes, direction of the maximum horizontal stress
shear zones and folds (section 2.7) or topog- determined by breakouts was found to vary
raphy (section 2.8). When the effect of these widely over depths ranging between 2700 and
parameters is important, assuming a linear 3500 m (Shamir and Zoback, 1992). On the
variation of stress components with depth can other hand, Pine and Kwakwa (1989) found a
be misleading. As an illustrative example, relatively consistent orientation of the princi-
hydraulic stress measurements conducted pal stresses measured by hydraulic fracturing
adjacent to a postglacial fault at Lansjarv, at depths up to 2.6 km in the Carnmenellis
Sweden, gave a maximum horizontal in situ granite in Cornwall, England. Adams and Bell
stress of 12 MPa and a minimum horizontal (1991) reported that in Canada, most wells
stress of 6 MPa at a depth of 500 m show breakouts implying little changes in
(Stephansson, 1993). Using the best-fit stress stress orientation with depth, rock type or rock
versus depth relationships for hydraulic frac- age. An example of breakout orientation in an
turing in Table 2.1 at that depth would give offshore well in eastern Canada reported by
values of 22.8 and 14.2MPa for the maximum Adams and Bell (1991) is shown in Fig. 2.2.
and minimum stresses, respectively, As dis- This figure shows consistency in the orienta-
cussed by Stephansson (1993), the discrepancy tion of the breakout azimuths over a depth
between predicted and observed stresses can ranging from 800 to 5000 m and in rocks rang-
be attributed to stress relief associated with ing in age from Jurassic to Miocene.
10 m of displacement along the fault about Some measured variations of stresses with
8000 years ago (section 12.4.5). Large varia- depths have also revealed that over the length
tions in the horizontal stress that did not fit the of a vertical hole, stresses at shallow depths
model of linear increase with depth were also may be entirely different (in magnitude,
found at the URL site in Canada and were orientation or both) from those at deeper
attributed to major thrust faults (Martin and depths. This phenomenon, sometimes referred
Chandler, 1993). For more information about to as 'stress decoupling', usually indicates sep-
the URL project, the reader is referred to sec- arate stress regimes with depth and has been
tion 9.l. found at several sites (Haimson, 1979, 1980;
Stress measurements have also revealed Haimson and Lee, 1980). For instance, the
that, within a given stress regime, the orien- hydraulic fracturing tests conducted by Haim-
tation of in situ stresses mayor may not son and Lee (1980) at depths up to 303 m in
change with depth. Stephans son (1993) gives southwestern Ontario, have revealed that the
examples of stress measurements by hydraulic anomalously high stresses measured in the
fracturing in a deep well where the maximum overlying Paleozoic sedimentary rock units
horizontal stress was found to be approx- (30-210 m in depth) were not necessarily con-
imately E-W from the surface down to 200m tinuous in the underlying Precambrian granite
depth and to rotate by 30° to N600W from 200 gneiss (220-300 m in depth). There the stress
to 500 m. Variations in the orientation of the distributions were markedly different in the
30 Estimating in situ stresses
....
...
Paleocene STRESSES AS PRINCIPAL STRESSES
1500 Upper
In areas of smooth topography, it is often
5 2000
• 138.4±9.4' assumed that horizontal and vertical stress
..c:
0..
Cretaceous • • components are principal stresses. McGarr
.
Q) 2500
0 and Gay (1978) checked the validity of that
assumption by plotting on a lower hemisphere
3000
•
:). stereographic projection net the orientation of
Lower
141.1±5.S'
Cretaceous
3500 principal stresses measured in several mines
··a· in southern Africa. They found a loose cluster
.."..,:.
4000
Upper of points around the center of the net with
.
145.9±B.9'
4500
Jurassic most of the points falling within a circle of
~C radius of 30° about the vertical axis, thus
Total depth
E-W NW-SE N-S
indicating some deviation from the vertical
and horizontal assumption. McGarr and Gay
Fig, 2,2 Mean azimuth of 64 breakouts measured in (1978) suggested that the observed scatter
the Sachem D-76 well, Scotian Shelf, offshore east- could be attributed to complex geology in the
ern Canada. (After Adams and Bell, 1991.) areas of stress measurements. They also sug-
gested that for sedimentary basins the scatter
Paleozoic and Precambrian units, with a shift should be less.
in direction in the horizontal principal stresses The conclusions reached by McGarr and
of about 45°, In this example, stress de- Gay (1978) seem to be consistent with the
coupling was likely to be associated with the analysis of 165 overcoring stress measure-
marked change in lithology. As remarked by ments in the Canadian Shield reported by
Haimson (1990b), several examples of stress Herget (1993). The orientation of the major,
decoupling due to lithology have been intermediate and minor principal in situ stres-
reported with oil wells traversing sedimentary ses was plotted on the lower hemisphere of an
formations, equal area net and concentration contour dia-
Stress decoupling can also be due to grams were constructed as shown in Figs 2.3a,
topography effects where the shallow stresses 2,3b and 2,3c, respectively. It can be seen from
align themselves with the local topography these figures that the maximum concentration
(and away from regional trends), whereas the for the major principal stress, 0'1, is 5% for a
stresses at larger depths align themselves with dip direction/dip of 248°/10°. The inter-
the regional trends. Several case studies mediate principal stress, 0'2, shows a max-
clearly showing this effect can be found in imum concentration of 5% at 300-340 % 0°
Haimson (1979), and in particular stress and the minor principal stress, 0'3, shows a
measurements at the site of the Kerckoff-2 concentration of 8% in the vertical direction
project showing alignment of measured shal- and the smallest amount of scatter. As pointed
low stresses with the local Sierra Nevada out by Herget (1993), the direction of 0'1 seems
topography, In general, the phenomenon of to coincide with the NE to ENE maximum
Vertical and horizontal stresses as principal stresses 31
N horizontal stress direction in North America
reported by Sbar and Sykes (1973), and more
recently by M.L. Zoback et al. (1989) and
Zoback (1992) in the World Stress Map
Project.
Bulin (1971) analyzed a large amount of in
situ stress measurements conducted around
the world at depths ranging between 25 and
2700 m (with many measurements in the
former Soviet Union). He found that for over
m 5% 165 OBSERVATIONS 60% of the cases, the principal stresses were
§ ~~:} per 1% area (a) °1 inclined at less than 30° to the horizontal and
vertical directions. Similar conclusions were
reached for the stresses measured in various
N
parts of China (Li, 1986). Myrvang (1993)
reported that, in Norway, the horizontal and
vertical stresses coincide relatively well with
the principal stress directions and that at
depths down to 500 m the vertical stress is the
minor principal stress. Stephansson (1993)
concluded that for the majority of test sites in
Fennoscandia, one of the intermediate or
minor principal stresses is vertical and its
magnitude is equal to the weight of the over-
165 OBSERVATIONS burden. Klein and Brown (1983) also con-
5%} cluded that the principal stress directions in
2%
1%
per 1% area
(b) °2 the UK are near vertical and horizontal with
the maximum principal stress being hori-
zontal and trending NW-SE, the minimum
N
principal stress being horizontal and the inter-
mediate principal stress being vertical (Klein
and Barr, 1986). Observation of crustal earth-
quake focal mechanisms around the world
seem also to support the assumption of verti-
cal and horizontal stresses as principal stresses
(Zoback et al., 1989). Finally, Worotnicki and
Walton (1976) concluded, from stress measure-
ments in Australia, that the assumption that
vertical and horizontal stresses are principal
• 8%} 165 OBSERVATIONS
1m 6%
stresses is quite good with horizontal stresses
§ 3% per 1% area in excess of the vertical stress with a stress
[J 1% (C) °3 ratio of about 1.5:1. The major horizontal stress
was found to be close to the E-W direction for
Fig. 2.3 Orientation of principal in situ stresses
based on 165 overcoring measurements in the
most of the Australian continent, except in the
Canadian Shield. Lower hemisphere projection, southern-central portion where it was found
equal area net. Orientation of 0"1, 0"2 and 0"3 in (a)-(c), to be N-S. More recent in situ stress data
respectively. (After Herget, 1993.) analyzed by Brown and Windsor (1990) have
32 Estimating in situ stresses
revealed that, in Australia, the stress orienta- tion of the greatest principal stress Gaeger and
tion may not be as consistent as originally Cook, 1976). For the Mohr-Coulomb criterion,
described by Worotnicki and Walton (1976) the major and minor principal stresses at
and shows more scatter (section 11.1.3). failure, CT1 and CT3, are related as follows (Good-
man, 1989):
2.4 LIMITS OF IN SITU STRESSES WITH
DEPTH CT1 - CT3 = Co +CT3[tan2(~ +~) -1] (2.1)
The domains of variation for horizontal in situ
stress components are restricted by the where Co is the unconfined compressive
strength of the rock mass. Stresses in the strength equal to
Earth's crust may build up until failure occurs.
This failure could occur either by the forma- Co = 250 . tan(~ +~) (2.2)
tion of new faults or by reactivation and slip
on pre-existing discontinuities. Limits on crus- Equation (2.1) indicates that, in this model, the
tal stresses have been proposed using different maximum shear stress is proportional to the
models based on various assumptions regard- minimum principal stress CT3.
ing the brittle or ductile behavior of rocks at Let us assume that at a given depth, z, the
depth. As pointed out by Rummel (1986), state of stress consists of a vertical stress com-
' ... there is no consensus whatsoever among ponent, CTv = yz and two non-equal horizontal
Earth scientists about the magnitude of shear stresses. Due to straining of the rock mass, the
stress, its variation with depth or about the horizontal stresses may increase or decrease
depth of brittle-ductile transition in crustal (at different rates or not) until failure of the
deformation behavior. Stresses at depths rock mass takes place. Three cases can be
greater than 3 km can only be estimated from considered at failure (Anderson, 1951):
empirical results of rock mechanics laboratory • case 1: CTv > CTH > CTh (normal dip-slip
fracture and deformation studies, or by faulting);
extrapolating existing stress data measured at • case 2: CTH > CTv > CTh (horizontal-slip
shallow depth'. Since 1986 the deep stress faulting);
measurements in the KTB boreholes in
• case 3: CTH > CTh > CTv (reverse dip-slip
Germany, down to a depth of 9 km, have faulting);
revealed that stress magnitudes are limited by
the frictional equilibrium on pre-existing opti- where CTH and CTh are the maximum and
mally oriented faults (Brudy et al., 1985). minimum horizontal stress components,
respectively.
2.4.1 INTACT ROCK STRENGTH MODEL
Consider an intact rock mass whose strength (a) Case 1
can be described by a Mohr-Coulomb criter- This case corresponds to normal faulting
ion with internal cohesion, 50, and internal which is characteristic of an extensional tec-
friction angle fjJ. In selecting this failure criter- tonic environment. Substituting CTv = CT1 and
ion, we are assuming here (1) that the rock CTh = CT3 into equation (2.1) and rearranging
strength is independent of the intermediate gives the following expression for the
principal stress, and (2) that fracture takes minimum horizontal to vertical stress ratio
place in one or both of a pair of conjugate Kmin = CTh / CTv :
planes which pass through the direction of the
intermediate principal stress and are equally (2.3)
inclined at angles of less than 45° to the direc-
Limits oj in situ stresses with depth 33
In this case, fracturing of the rock will be equation (2.1) and rearranging gives the fol-
parallel to the largest horizontal stress com- lowing expression between the horizontal
ponent, O"H, as shown in Fig. 2.4a. stress ratios Kh = O"h /0" y and KH = O"H /0" y at
failure:
(b) Case 2
This case corresponds to a strike-slip stress
KH =
yz
t)
Co + Kh • tan2(~ +
4 2
(2.4)
regime. Substituting O"H = 0"1 and O"h = 0"3 into
Fracturing of the rock will be parallel to the
vertical stress component, O"y, as shown in Fig.
(a) 2.4b.
(c) Case 3
This case corresponds to a thrust faulting
stress regime which is characteristic of a com-
pressional tectonic environment. Substituting
O"y = 0"3 and O"H = 0"1 into equation (2.1) and
rearranging gives the following expression for
the maximum horizontal to vertical stress ratio
Kmax = O"H/O"v:
(b) K
max
t)
= tan2(~4 + 2 + Co
yz
(2.5)
(a)
(b) 0"~/Co=2.0
10
9 -
6 0"3/Co=1.0
0
~ 5
6"
4 0"3/Co=0.5
3
o 10 20 30 40 50 60 70 80 90
o(degrees)
Fig. 2.5 (a) Regularly jointed rock mass subject to an axisymmetric state of stress 0"1, 0"3. (b) Variation of
0"1IC o with J showing joint strength for different values of 0"3 ICo. The intact rock strength is shown as a
series of horizontal lines.
Limits of in situ stresses with depth 35
the Mohr-Coulomb criterion with expression more and more the rock mass strength.
given in equation (2.1). On the other hand, the Sugawara and Obara (1993) give a good exam-
joint shear strength is defined by a Coulomb ple of a tunnel project in Japan for which the
criterion with zero cohesion and a friction joint system was found to play an important
angle <Pi. In terms of principal stresses (0"1, 0"3), role in the magnitude and distribution of the
the joint shear strength takes the following in situ stress field. In particular, they showed
form (Goodman, 1976): how rock bursts, created by joint slip and
monitored in situ, could be predicted knowing
0"1 = 0"3. tan(c5 + <Pi) (2.6) the in situ stress field and the joint orientation
tanc5 and by assuming a simple Coulomb criterion
Equations (2.1) and (2.6) have been plotted for joint slip.
on the same diagram (0"1 /e o versus c5) in Fig.
2.5b for <P = 40°, So = 5 MPa and <Pi = 30°. It can 2.4.3 GEOPHYSICAL MODELS
be seen that for values of the orientation angle
c5 ranging essentially between 15 and 45°, slip Equation (2.1) was derived using a simple
along the joints takes place before the intact model for intact rock strength assuming brittle
rock strength is mobilized. This, in tum, response and no effect of strain rate or tem-
decreases the possible domain of variation for perature on rock behavior. Many researchers
K. Starting with an initial state of stress in the geophysics literature have proposed
(O"v = yz, O"h) and using equation (2.6), Kmin and upper limits to the stresses in the Earth's crust
Kmax are independent of the depth z and are based on laboratory experiments conducted
now equal to on intact core samples at very large confining
pressures (up to 1000 MPa) and high tem-
tanc5 peratures (up to 900°C); (Brace and Kohlstedt,
Kmin = ;
tan(c5 + <Pi) 1980; Goetze and Evans, 1979; Kirby, 1983;
McGarr, 1980; McGarr, 1988; McGarr and Gay,
K tan(c5 + <Pi) (2.7) 1978; Meissner and Strehlau, 1982; Smith and
max = tanc5
Bruhn, 1984). Rummel (1986) concluded that
Equations (2.6) and (2.7) indicate that the most experimental data on rock strength
smallest domain of variation for K always reported in the literature could be fitted by an
occurs when c5 = n/4 - <p/2. For instance, for equation of the form
<Pi =30°, 0.33<K<3.00 when c5=n/4-
<Pi /2 = 30°.
Expressions for the maximum and mini-
mum values of K can also be derived if the where 0"3is the effective confining stress,
joint planes are located in a non-axisymmetric is the peak differential strength, and
(0"1 - 0"3)c
stress field. In that case the joint failure criter- A and B are constants which depend on the
ion is more complex, as discussed by Amadei temperature. By substituting o"v, O"H or O"h for 0"1
and Savage (1989, 1993), and involves all three or 0"3, Rummel (1986) was able to derive limits
principal stresses. Also, expressions for the for O"H - O"v (reverse faulting) and o"v - O"h
limiting values of K can be derived for other (normal faulting) as a function of depth for dry
joint failure criteria, such as that of Barton or wet conditions and for a normal geothermal
(1976) as demonstrated by Pine and Batchelor gradient in the upper 30 km of the crust (Fig.
(1984). 2.6). As mentioned by Rummel (1986), equa-
Note that if several joint sets exist in a given tion (2.8) can be applied for strain rates of the
rock mass, the possible range for K will be order of 1O- 6 /s. For smaller strain rates, he
further reduced as joint strength dominates suggested that rock creep could create in situ
36 Estimating in situ stresses
STRESS, (Jv - (Jh and (JH - (Jv (MPa) tional and intact rock strengths were assumed
500 1000
to be described by a Coulomb criterion with
cohesion and friction. Strain rates were related
to stresses assuming associated plasticity. It
was found that rock strength constrains in situ
stresses and that those stresses become
-
E
~
10
independent of strain rates once failure has
occurred during plastic flow of the crust. The
plasticity model also predicted non-zero hori-
I dry zontal in situ stresses at the Earth's surface for
I-
a.. plastically deforming rocks having cohesion.
w
0 20
2.5 EFFECT OF ANISOTROPY
0.40
If the plane of transverse isotropy is vertical
(If! = 90°), equation (2.11) is replaced by 0.30 I (a)
ax v'(l + v) 0.20
K =-= .
pgz 1 - v' 2(E I E') '
x 0.50 1.00 1.50 2.00 2.50 3.00 3.50
E/E'
1.00 GIG'
a y v + v,2(EIE') 3
2
K = -= (2.12)
y pgz 1 - v,2(EIE')
0.80
--
0..
'0 1.00
mass becomes more deformable in directions GIG'
normal to the plane of transverse isotropy. 0.80
3
2
Note that for a fixed value of EIE', the stress ax
parallel to the dip direction of the plane of 0.60
transverse isotropy depends strongly on the
value of GIG'. On the other hand, the stress ay 0.40 tw.l.J..I.U.Lll.U.J..I.U.Lll.U.J..I.U.Lll.U.J..I.U.Lll.U.J..I.U.Lll.U.J.W.LI.U.I..U
0.50 1.00 1.50 2.00 2.50 3.00 3.50
parallel to the strike of the plane of transverse E/E'
isotropy is not much affected by the value of Fig. 2.8 Variation of (a) axlpgz, (b) aylpgz and
GIG'. An increase of GIG' indicates that the (c) axlay with EIE', GIG' for v=v'=O.25 and
rock mass becomes more deformable in shear 'I' = 30°. (After Amadei and Pan, 1992.)
Effect of anisotropy 39
in planes normal to the plane of transverse _ (~ . (1 ; V)) 1/2 < v' < (~ . (1 ; v) y/2
isotropy. For a fixed value of GIG', the stress
ratio (J x I (J y decreases as E IE' increases. (2.15)
The models of Amadei, Savage and Swolfs
(1987) and Amadei and Pan (1992) show that Considering only the positive part of the
for anisotropic rock masses, the gravity-in- domains of variations for the Poisson's ratios v
duced stress field is multiaxial and is strongly and v', the inequalities (2.13) to (2.15) provide
correlated to the rock mass structure. The ver- constraints on the types of stress fields that
tical stress is always a principal stress and is are admissible in transversely isotropic rock
equal to the weight of the overlying rock. Its masses. Figure 2.9 shows, for instance, the
magnitude is independent of anisotropy. The variation of the horizontal stress ratio
two horizontal principal stress components (Jh I pgz = (J x I pgz = (J y I pgz defined in equa-
are, in general, not equal and their magnitude tion (2.11) with v'EIE' and v for a horizontally
and orientation in the horizontal plane depend transverse isotropic rock mass. The horizontal
on the anisotropic character of the rock mass. stress can vary over a large region compared
Note that the solutions of Amadei, Savage and to the isotropic solution since the domains of
Swolfs (1987) and Amadei and Pan (1992) variation for v and v' in inequalities (2.13) to
should not be used to estimate gravitational (2.15) are not as restrictive as the domain of
stresses in rock masses with rigid lateral variation for v in the isotropic model. The
boundaries (no horizontal lateral displace- region is bounded by a curve that depends on
ment) when the dip angle !jI is not equal to 0 or the value of EIE' and whose equation is
90°. For those cases it has been shown by
Dolezalova (1974), using the finite element O'h
/
method, that the principal stresses are inclined pgz
v· _ 0.3
1.4 1.4
1.2 1.2
1.0 1.0
N N
Ol 0.8 ~ 0.8
~
>. >.
I:> 0.6 I:> 0.6
(c)
0.4 0.4
0.2 0.2
OLUUU~~LLLUUU~LLLUUU~~LLLUWWU
-0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 -0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4
ax/pgz ax/pgz
1.4 1.4
1.2 1.2
1.0 1.0
- -
N N
~ 0.8 Ol 0.8
c.
>. >.
I:> 0.6 I:> 0.6
(b) (d)
0.4 0.4
0.2 0.2
o UU~~LWWW~~LLLWUU~~LWUU~~ OWW~...L.J<Ll..WW~~LLLWUU~~LLLUUU~
-0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 -0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4
ax/pgz ax/pgz
Fig. 2.10 Domains of variation of ax I pgz and ayl pgz with EIE' and v' for transversely isotropic rock
masses with inclined layers dipping at angles If! of 30, 45, 60 and 90° in (a)-(d), respectively. EIE' varies
between 1 and 4, v = 0.25, GIG' = 1 and v' varies between 0.1 and 004. The constraint associated with the
positive part of inequality (2.15) is indicated as dotted dashed lines. (After Amadei and Pan, 1992.)
Effect of stratification 41
of E/E' between 1 and 2 and for Poisson's Holditch, 1987) and volcanic rocks (Haimson
ratio v' larger than 0.3. Compared with the and Rummel, 1982; Warpinski and Teufel,
isotropic solution represented by point I, hor- 1991). As an example, Fig. 2.11a shows the
izontal stresses larger than the vertical stress variation of the minimum horizontal in situ
pgz are thermodynamically admissible. How- stress with depth measured by hydraulic frac-
ever, this becomes less admissible as 'f/ increa- turing through perforations by Warpinski,
ses, that is, as the plane of transverse isotropy Branagan and Wilmer (1985) at the DOE's
becomes steeper. Note also that for low values Multiwell Experiment site in the Mesaverde
of v' and large values of E/E', tensile stresses sedimentary formation of western Colorado.
can develop in the x direction. As shown by This figure shows higher stresses in the shale
Amadei and Pan (1992), the trends observed in layers compared with the surrounding sand-
Fig. 2.10a-d can also be found for larger values stones and siltstones. Similar conclusions were
of C / C'. However, the likelihood of having reached by Teufel (1986) who measured sharp
tensile stresses in the x direction when E / E' differences in the in situ stress field in sand-
ranges between 1 and 4, diminishes as C / C' stone and shale layers at depths of about 2 km
increases. Also, it was found that for values using both hydraulic fracturing tests and ane-
ranging between 0.15 and 0.35, the Poisson's lastic strain recovery tests on oriented cores. In
ratio v has little effect on the stress variations the sandstone layers the average ratios of the
shown in Fig. 2.10a-d. minimum and maximum horizontal stresses
to the overburden stress were found to be
equal to 0.82 and 0.96, respectively. On the
2.6 EFFECT OF STRATIFICATION
other hand, the shale formations bounding the
The expressions for Kx = l7x / pgz and Ky = sandstone were found to be under a lithostatic
l7y / pgz proposed by Amadei, Savage and stress field (see also Warpinski, 1989; Warpin-
Swolfs (1987) and Amadei and Pan (1992) ski and Teufel, 1987). Another interesting
apply only to rock masses that are homogen- observation made by Teufel (1986) is that
eous. Stratification, which is common in sed- major joint sets in the sandstone layers were
imentary as well as volcanic rock masses, found to be aligned with the maximum hori-
creates heterogeneities. Depending on the zontal stress direction. Another example,
lithology and the relative stiffness between the shown in Fig. 2.11b, corresponds to hydraulic
different layers, in situ stresses may vary sub- stress measurements conducted by Haimson
stantially from one layer to another. In general, and Rummel (1982) in lava flows in Iceland.
abrupt changes in horizontal stress can take Here, both horizontal stress components vary
place across contacts between strata with dif- from one lava flow to the next.
ferent properties. Stress measurements by hydraulic fractur-
The influence of lithology on the distribu- ing conducted by Warpinski and Teufel (1991)
tion of horizontal stresses at depth has been in welded tuff in Rainier Mesa at the Nevada
demonstrated by numerous measurements in Test Site have also revealed large stress con-
sedimentary rocks (Burlet and Ouvry, 1989; trasts due to changes in material properties,
Enever, Walton and Wold, 1990; Evans, 1989; beddings and faults. Such contrasts were
Evans, Engelder and Plumb, 1989; Hansen and found to occur sometimes on a scale of less
Purcell, 1986; Jeffery and North, 1993; Lo, than 1 m if the contrast in rock properties was
1978; Plumb, 1994; Plumb, Evans and sufficient. The minimum horizontal stress
Engelder, 1991; Swolfs, 1984; Szymanski and determined from the instantaneous shut-in
Harper, 1979; Teufel, 1986; Warpinski, 1989; pressure of hydraulic fracturing tests was
Warpinski, Branagan and Wilmer, 1985; War- found to be lower in layers with a high
pinski and Teufel, 1987; Whitehead, Hunt and Young's modulus and low Poisson's ratio and
42 Estimating in situ stresses
STRESS (psi)
0 0 0 0
0 0 0 0
0 0 0 0
GAMMA <0 ..... IX> 0>
...J It I I m
<{
C
:::J
7300 -0
'-
...J
<{ ,,
a. - 2250
7400 - ~ , - ESTIMATED OVER-
0 , BURDEN STRESS
7500 - (1.05 psi/It)
0 0: - 2300
7600
(a)
'- 0
,
p
7700 - - 2350
,, 0
i ""
7800 ,.....
,,
2 , - 2400
r-
8 0
0 ,
CiiW 8000 I-
O:::J 0: - 2450
t)C!l
ZZ 0:,
_:§~_ 8100 '- ,
I I I 'I
45 50 55 60 MPa
.
IRDP-REYDARF JORDUR
LEGEND
RUB UW ,,
~ "X"cr HMIN ,
o 0 cr HMAX e:,
2
• cr HMAX
DIRECTION /e
• :
(b)
• •
)( 3 N500E
J:
,.....
c...
•
UJ
Cl 4
•
5
•
LAVA FLOW c::==:l
BASALT DIKE IZZZZ2l
Fig.2.11 Two examples showing the influence of lithology on in situ stress distribution. (a) Variation of the
minimum horizontal in situ stress with depth measured by hydraulic fracturing through perforations in
lower Mesaverde Formation. (Adapted from Warpinski, Branagan and Wilmer, 1985.) (b) In situ stress
measurements in layered lava flows in Iceland. (After Haimson and Rummel, 1982.)
Effect of stratification 43
higher in layers with a low Young's modulus rock layers have sometimes been found to
and high Poisson's ratio. carry higher stresses. This remark must be
Swolfs (1984) compiled data on the varia- taken with caution as several phenomena may
tion of ratio of the minimum horizontal stress be responsible for that observation. For
to vertical stress with depth measured by instance, Franklin and Hungr (1978) attributed
hydraulic fracturing in sedimentary basins. that trend to the fact that weaker rocks are
He concluded that, at depths greater than more difficult to sample, tend to deteriorate
600 m, the effect of lithology in basins is more quickly and therefore appear to be softer
important and that at shallower depths, other when tested in the laboratory. Another poss-
near-surface phenomena may predominate in ible explanation is that the modulus of the
affecting the stress distribution. In a recent apparently stiffer rock units may not be as
survey of 1000 least principal stress measure- large in situ as it is when measured in the
ments in various sedimentary basins in the laboratory, due to natural fractures or other
world, Plumb (1994) found high values of the planes of weakness present in the field. Also,
ratio of minimum horizontal stress to vertical the range of elastic behavior for weaker rocks
stress for depths less than 1 km. He found that is more limited than for stiffer rocks. Non-
the effect of lithology varied with the type of linear, time-dependent and pore pressure-
basin. For relaxed-state basins, values of the related phenomena may occur as the rock is
stress ratio for softer rocks such as shales were disturbed during in situ measurements. Such
found to be 4 to 15% higher than stiffer rocks phenomena are not necessarily accounted for
such as sandstones. On the other hand, in in the analysis of the field tests.
compressed-state basins, stiffer rocks were As a possible explanation for the role of
found to show higher values of the stress ratio lithology on in situ stresses, Amadei, Savage
with values in carbonate rocks 40% greater and Swolfs (1988) proposed analytical solu-
than in sandstones and values in sandstones tions based on the theory of linear elasticity for
20% higher than in shale. Plumb (1994) also the stresses in horizontal strata under a condi-
concluded that, despite its importance, tion of no lateral displacement. In the model,
lithology has less influence on stresses than each stratum can be isotropic or horizontally
changes in rock pore pressure. Finally, analysis layered with moduli Ei , E{, Gi and GI and
of overcoring and hydraulic fracturing stress Poisson's ratios Vi and vI. For the geometry of
measurements conducted by Enever, Walton Fig. 2.12, and assuming continuity along the
and Wold (1990) in the northern coalfields of
New South Wales in Australia revealed higher x,v Ground surface
stresses in the stiffer sedimentary strata.
Figure 2.11a, b and the examples mentioned
above clearly indicate that when lithology
affects the distribution of in situ stresses, stress
differences (sometimes large) should be expec-
ted across layers of different rock types. Thus, z h. i-th unit
for such geological environments, using linear 1 I
42°r-~tt ______-r-+__~O:RE~G:O:N__~________-+________-1--~I:D~AH~O~-,
CALIFORNIA NEVADA
--A
- C I
I
SANTA IJAI11J111HAI
/ ' BOREHOLE ELONGATION -------'~j,s::;~4f.~~~~.J;.\;:~~tJ_.?'fo.,--r;
/ FOCAL MECHANISM
/ 'GEOLOGICAL
116 0
Fig. 2.15 Generalized geological map of California with data points showing the direction of maximum
horizontal compression in the crust. (After Zoback et al., 1987.)
48 Estimating in situ stresses
horizontal stress was found to be continuous was conducted by Stephansson, Ljunggren
in the near vicinity of the Rhine Graben rift and Jing (1991) using the two-dimensional
zone. distinct element method. It indicates dearly
Figure 2.16 shows an example of stress dis- that, despite uniform stresses applied on the
tribution in a 6000 m X 4000 m rock mass con- boundaries of the domain, non-uniform
sisting of three distinct blocks. The analysis stresses develop in each block of the rock mass
T E
o
o
o
'<t
--
DISPLACEMENT STRESS
-t-
Fig. 2.16 Displacements and stresses in a distinct element model with three blocks. (After Stephansson,
Ljunggren and Jing, 1991.)
Effect of geological structures and heterogeneities 49
and stress discontinuities occur due to sliding As an example, Fig. 2.17 shows the stress
along the block boundaries. Similar conclu- concentration in a circular inclusion perfectly
sions were reported by Brown, Leijon and bonded to an infinite isotropic plate subjected
Hustrulid (1986) in their numerical analysis of to uniaxial compression (Leeman, 1964). It can
block tests conducted at the Colorado School be seen from this figure that the vertical stress
of Mines experimental mine in Idaho Springs, in the inclusion can be as large as 1.5 times that
Colorado, and by Martin and Chandler (1993) in the host material provided the inclusion has
in their numerical analysis of the granite at the a modulus four to five times that of the host
URL site in Canada. The non-uniformity of material. A detailed study on stress concen-
load distribution in granular assemblies was trations in single inclusions of elliptical,
clearly demonstrated by Cundall and Strack ovaloid and rectangular shapes under uni-
(1979) using the discrete element method. All axial and biaxial loading and their applica-
these examples show that stresses in rock tions to mining problems can be found in
depend on the boundary loading conditions Oudenhoven, Babcock and Blake (1972) and
and the rock structure and that, even though Babcock (1974b). Inclusions also have a zone
the boundary conditions may be well defined, of influence on the encapsulating medium. For
the local stress field can be quite complex. instance, work conducted by Stephen and
In addition to discontinuities, stresses in Pirtz (1963) revealed that an inclusion with a
rock masses can also change due to local
heterogeneities such as strata, dikes and ore- cr,
bodies. Arjang (1989) conducted a survey on
the orientation of the maximum and minimum
horizontal in situ stresses in mines near several E,v
vertical orebodies in the Canadian Shield. It
was found that the maximum horizontal stress
often acts perpendicular to the strike of ore-
bodies whereas the minimum stress acts paral-
lel to their strike. Alignment of principal in situ
stresses with orebodies has also been reported
by Enever, Walton and Wold (1990) for various
mines in Australia.
Disturbance of the in situ stress field due to
heterogeneities can be understood using the cr,
analogy of a solid inclusion embedded into an
infinite medium. It can be shown, using the 2r---,----,---,----~---.---,--_.
theory of elasticity, that the stresses in a solid
inclusion perfectly bonded to a continuum
differ from those in the surrounding host
material (Coutinho, 1949; Donnell, 1941;
Sezawa and Nishimura, 1931). In particular, if
the medium is infinite (isotropic or aniso- o 2 3 4 5 6 7
tropic), the stresses and strains in the inclusion E'/E
are uniform (Amadei, 1983; Babcock, 1974a;
Fig. 2.17 Stress concentration in a circular inclusion
Eshelby, 1957; Niwa and Hirashima, 1971). (with elastic properties E', v') perfectly bonded to
On the other hand, if the medium is finite, an infinite isotropic plate (with elastic properties
stresses in the inclusion vary from point to E, v) subjected to uniaxial compression. (After
point. Leeman, 1964.)
50 Estimating in situ stresses
modulus four times that of the surrounding
material has an area of influence roughly one
diameter from the edge of the hole in which
the inclusion is placed.
Gay (1979) gives an example of stress
measurements in a quartz dolerite dike in
South Africa showing much higher stresses in
the dike than in the host quartzitic rock. Gay
(1979) invoked residual tectonic and thermal
stresses to explain the observations. The differ-
ence in stiffness between the dike (the inclu-
sion) with a Young's modulus of 91 GPa and
that in the surrounding rock (the host
medium) with a modulus ranging between 75 Fig. 2.18 Stresses in an idealized rock mass consist-
and 86 GPa may well be responsible, in part, ing of N juxtaposed elements with different moduli
for the observed stress concentration. The Ej (i = l,N).
inclusion analogy was also used by Germain
and Bawden (1989) to explain the stress dis- average stress, and that it is controlled by the
tribution near a sulfide orebody in an under- value of the modulus in that element. Stiffer
ground mine in Quebec. The softer nature of elements give higher stresses whereas softer
the orebody compared to the stiffer andesite/ elements give lower stresses. If, for instance,
rhyolite surrounding rock was believed to be all the elements in Fig. 2.18 are horizontal and
responsible for the observed diversion of the are located at a depth z with (Jav = yz, excava-
in situ stresses away from the orebody and for tion through those elements can be expected to
stress concentrations in the surrounding rock. take place under a changing vertical stress
In general, and from a practical point of view, whose magnitude depends on the local rock
heterogeneities may create stress concentra- stiffness.
tions that could lead to rockbursts and local Another example showing that the vertical
stability problems during excavations. average stress at a given depth may not
The effect of heterogeneities on stresses in always be representative at the local level is
rock can also be illustrated using the simple shown in Fig. 2.19 and is associated with
model of Fig. 2.18. Here, a medium consisting folding (Goodman, 1989). Here we consider
of N juxtaposed and connected elements with tunneling at two different depths z (defined as
Young's moduli Ei (i = I, N) is subject to a AA' and BB' in Fig. 2.19) in a folded sedi-
normal force F. The force is applied over an mentary rock formation consisting of stiffer
area A = LAi = LXI where Ai = Wi X 1 is the (more competent) beds such as sandstone or
area of each element i. Using the basic strength limestone surrounded by softer beds such as
of materials and assuming uniform displace- shale. Along AA' the two right and left anti-
ment over the area A (or length L), the average clines create shielding and divert the stresses
stress (Ji in each element is equal to toward the center syncline. The local vertical
stresses almost vanish below the anticlines
Ei L
(Ji = N . (Jav (2.19) and increase above the average value «(Jv = yz)
L. WkEk in the syncline. Along BB' the shielding still
k=l holds, but the vertical stress in the trough of
where (J av is the average stress and is equal to the syncline is now higher than for AA' due to
F / A. Equation (2.19) shows that the local the additional weight of the stiffer layers.
stress in each element can differ from the Figure 2.19 illustrates that in folded rock
Effect of topography 51
4,--------------------------------,
3~------------------------------~
N
?-
~ 2~------------~--~------------~
\::)
- - - - - 2000m
·r·~<Jvvm
LIAS
1000 m E3 LIMESTONE .. ~:~~~S
lEi! DACHSTEIN ~ RAMSAU lUI GREEN
LIMESTONE DOLOMITE .. SERIES
(vert. and horiz.)
(a) Sketch map 01 area. Site 01 stress measurements at BMAIN lim GUTENSTEIN ~ PURPLE
location shown is 884 m above sea level. DOLOMITE DOLOMITE SERIES
Line 01 geological profile shown.
(b) Geological section along line shown in (a)
Point of measurement
and direction of
(c) principal stresses
1000 m
Fig. 2.21 Finite element analysis conducted for the Hochkonig massif in Austria. (a) Sketch of the area; (b) geological section along line shown
in (a); (c) principal stresses determined with finite element analysis. (After Sturgul, Scheidegger and Greenshpan, 1976.)
Effect of topography 55
half-space is defined by an analytic function
y = y(x) or in parametric form
x( t) = t ( - 00 < t < + 00 )
(2.20)
y(t) = a2b/(t 2 +a2)
where b is the ridge height and is assumed to
be positive. If b is negative, equation (2.20)
corresponds to a long, isolated, symmetric
valley where Ibl is the depth of the valley (Fig.
2.23b). The parameter a in equation (2.20) is
defined by the inflection points of the bound-
z ary curve. They are located at x = ± a/(3)1/2
and y = 0.75b at which the slopes are equal to
± (3b(3)1!2)/ (8a). For instance, for a/lbl = 0.5, 1
and 2, the slopes at the inflection points of the
Fig. 2.22 Half-space limited by a boundary curve ridges and valleys are equal to ± 1.30 (52.4°),
y = y(x) and subject to gravity. ± 0.65 (33.0°) and ± 0.32 (18°), respectively.
Using the analytical solution of Pan and
Amadei (1994), the stresses can be determined
strain, e.g. all planes normal to the z-axis are
at each point (x, y) in the ridge and valley of
assumed to warp identically with ez = O. As
Figs 2.23a and 2.23b, respectively. The rock
x -+ ± 00, the lateral horizontal strains ex and mass can be orthotropic or transversely iso-
Yxz approach zero. The boundary curve of the
tropic in an n, s, t coordinate system inclined
with respect to the X-, y- and z-axes. The
y
orientation of the n, s, t coordinate system with
respect to the X-, y- and z-axes is defined by a
dip azimuth f3 and a dip angle If! as shown in
Fig. 2.24. The t-axis is located in the x, z plane.
I
I
I
I PLANE OF
I
I Z
y SYMMETRY
-a/(3) v, 0 a/(3) v, x
(a)
y x
(b)
Fig. 2.24 Orientation of planes of symmetry with
Fig. 2.23 (a) Symmetric ridge of height b; (b) sym- respect to the x, y, z coordinate system attached to
metric valley of depth JbJ. the ridge or valley.
56 Estimating in situ stresses
As shown by Pan and Amadei (1994) and Pan, horizontal and vertical as for flat ground but
Amadei and Savage (1994), the ratios between are oriented parallel and normal to the ground
the six stress components Ciij (i, j = x, y, z) and a surface along the boundary of the ridge and
characteristic stress pglbl depend on the valley and gradually turn to become hori-
dimensionless ratios of elastic constants such zontal and vertical with depth. Figure 2.25c
as EIE', GIG', v and v' for transversely iso- indicates that the largest value of the maxi-
tropic rocks. The stress ratios Ciij I pglbl also mum compressive principal stress Ci1 I Ciglbl is
depend on (1) the orientation angles Pand lfI of reached on the sides of the ridge (0.33 at
the planes of anisotropy with respect to the x-, xllbl = ± 0.94). For the ridge, the contours of
y- and z-axes attached to the ridge or valley, (2) the minimum compressive stress Ci2 / pglbl tend
the coordinates (xllbl, y/lbl) of the points at to follow the ridge shape (Fig. 2.25d). For the
which the stresses are calculated and (3) the valley, Figs 2.25e-f indicate that there is a
ratios alibi and bllbl describing the geometry concentration of tensile stress Ci2 I pglbl at the
of the ridge or valley. valley bottom ( - 0.51 at x I Ibl = 0) and that the
In general, at each point in the ridge and maximum stress Ci1 / pglbl is compressive with
valley of Figs 2.23a, b, the stress field is three- contours that follow the valley shape. Figures
dimensional and the principal stress compo- 2.25g, h show the variation of the vertical
nents are inclined with respect to the x-, y- and stress Ciyy I pglbl and the horizontal stresses
z-axes attached to the ridge or valley. For the Cixx I pglbl and Cizz I pglbl with ylbl along the
special case when there is a plane of elastic ridge and valley centerline (xllbl = 0). The
symmetry normal to the z-axis of Figs 2.23a, b, short dashed lines in those two figures repre-
it can be shown that two of the three principal sent the variation of the standard vertical and
stresses induced by gravity are located in the horizontal stresses for the case when b = 0;
x, y plane normal to the ridge or valley axis that is, when the ground surface is flat. The
and that the longitudinal stress Cizz is the third topographically induced stresses in the ridge
principal stress. This special case takes place and valley become, with increasing depth,
(1) when the dip azimuth Pin Fig. 2.24 is zero asymptotic to the standard stresses. The stress
and the dip angle lfI varies between 0 and 90°, regime is Cixx < Cizz < Ci yy •
or (2) when both p and lfI are equal to 90°. Several major trends were observed by Pan,
As a numerical example, Figs 2.25a-h show Amadei and Savage (1994) after conducting a
the gravitational stress regime for a ridge and parametric studywithEIE' and GIG' varying
a valley with alibi = 1 in a transversely iso- between 1 and 3, v = 0.25 and v' ranging
tropic rock mass with EIE' = GIG' = 3, between 0.15 and 0.35. The topographic ratio
v = 0.25 and v' = 0.15 with vertical anisotropy alibi was taken equal to 0.5,1 or 2, correspond-
(lfl = 90°). In this example, the geometry of ing to ridges and valleys with slopes at their
Figs 2.23a, band 2.24 is adopted with planes of inflection points equal to ± 1.30 (52.4°), ± 0.65
transverse isotropy parallel to the ridge or (33.0°) and ± 0.32 (18°), respectively. The dip
valley axis (p = 0°). In Figs 2.25a-f the stress angle lfI varied between 0° (horizontal aniso-
distributions are presented using trajectories tropy) and 90° (vertical anisotropy).
and contours of dimensionless stresses
Ci1 I pglbl and CiZ I pglbl where Ci1 and Ci2 are the (a) Effect of dip angle and degree of
maximum and minimum in-plane principal
anisotropy
stresses in the x, y plane normal to the ridge or
valley axis. Only the right halves of the plots of At a given depth, the horizontal stress Cixx I
stress trajectories and contours are presented pglbl decreases as the dip angle lfI increases.
because of symmetry. As expected, the This stress is the greatest for ridges and valleys
principal stresses in Figs 2.25a, b are no longer with horizontal anisotropy and the smallest
Effect of topography 57
0.-------.------,
(b) 01 pglbl =1
f-----1
-0.5
.0
~-1.0 - * +
-1.5
o 1 2 o 1 2
x/b x/lbl
1.0 r"""'::-----.---,-----,.------,
0.3
(c) (d)
0.5 r -_ _
0.5
0.5
o r=---_ 0.7
0.9
o
1.1
-0.5 L---_ -0.5
1.3
1.5
-1.0 1.7 -1.0 ~-------
0.2
-0.5 -0.5
0.4
0.6
-1.0 0.8
-1.0
.0 .0
1.0
~ ~
-1.5 1.2 -1.5 0.05
r--_-0.10
1.4 r-----0.15
1.6 r-----0.20----
-2.0 -2.0 0.25----~
1.8 r-----0.30 _ _ _ _- - - ,
2.0
-2.5 L-~::::...L_ ___""__ 2.""'2
___.J'---.... = -2.5 <=-"-0.""40"---'--_---'-_ _-..1....._-'
o 0.5 1.0 1.5 2.0 o 0.5 1.0 1.5 2.0
x/lbl x/lbl
58 Estimating in situ stresses
1.0 , - - - - o < 1 r - - - - - - - - - - - - - - , 0,----,------------,
". (g) (h)
1 1
1 1
1 \ " 1
o - - - - I \-~~------------------
1
-1.0 - ~~----------------------
• '. ----- Flat
1
1
\
\',
"'.
----- Flat
- - Cl xx : \
, '. " - - Cl xx
1
-1.0 1 \', - " - Cl yy -2.0 \ ' - " - Cl yy
--
1 I ' - - - Cl zz
- - - C l zz
--
\ "'.
.0 1
\
.0
\ '
>.
'.
1 "" \
>.
-2.0
1
1 \ '. -3.0
\
I '.
, ,
\ "" "
1 I
\
1
\
I
,
,
\
'\ '. \ '.
-3.0 '. \
'. \ ,
-4.0
I"
I' ,
'.1 I'.
'I , \ '.
-4.0 '--_~_ _.L_'__....!.\\_ _'__ _'___-'-'-_"_____' -5.0 '___~_ _.lI......_\.:..l'._..l._ __'__ ___.J'__''__..:.J
-1 0 2 3 4 5 -1 o 2 3 4 5
O'/pgb 0' /p glbl
Fig_ 2_25 Gravitational stress regime for a ridge and a valley with alibi = 1 in a strongly transversely
isotropic rock mass (EIE' = GIG' = 3, v = 0.25, v' = 0.15 and If! = 90°). Stress trajectories for the ridge in (a)
and the valley in (b), al I pglbl and a2 I pglbl stress contours for the ridge in (c) and (d) and for the valley in (e)
and (f), and variation of axx I pglbl, a zz I pglbl and a yy I pglbl with y Ilbl along the ridge and valley centerline
(xllbl = 0) in (g) and (h). The short dashed lines in (g) and (h) represent the variation of the standard
stresses in the absence of topography for this case of anisotropy. The shaded region in (b) represents the
extent of the tensile region at the valley bottom. (After Pan, Amadei and Savage, 1994.)
for ridges and valleys with vertical anisotropy. vertical direction). For vertical anisotropy the
The principal stresses adjust to the horizontal effect of EIE' on the magnitude of O'xx I pglbl is
and vertical directions more rapidly with small. For inclined planes of anisotropy, an
depth for vertical planes of anisotropy increase in EIE' results in a decrease in O'xxl
('1/ = 90°) than when the planes of anisotropy pglbl·
are horizontal ('1/ = 0°). For rocks with inclined
planes of anisotropy, the principal stress trajec- (b) Effect of ridge and valley geometry
tories and the tensile region are no longer
The maximum value of 0'1 I pglbl along the
symmetric with respect to the vertical axial
ground surface increases with alibi. The loca-
planes of the ridge and valley. For a fixed
tion where the stress maximum is reached on
value of EIE', the value of the ratio GIG' has
the sides of the ridge moves farther away from
no effect on the variation of 0'xx I pglbl with
the ridge axis as alibi increases or, in other
depth for rock masses with horizontal and
words, as the ridge broadens. Also, the vari-
vertical anisotropy. On the other hand, for
ation of 0'1 I pglbl along the ground surface
inclined planes of anisotropy, the ratio GIG'
becomes gentler as alibi increases. The lateral
has a strong effect where an increase in GIG'
extent of the tensile region at the valley bottom
(as the rock mass becomes more deformable in
increases with alibi or, in other words, as the
shear in planes normal to the planes of trans-
valley slope decreases.
verse isotropy) results in an increase in 0'xx I
pglbl and a decrease of the tensile region at the
valley bottom. For a fixed value of GIG', EIE' (c) Depth of influence of topography
affects the value of 0'xx I pglbl the most for Broader ridges and valleys affect the stress
horizontal anisotropy where 0'xx I pglbl in- field to a greater depth and to a wider area. For
creases with EIE' (or in other words as the a given ridge geometry, the effect of the topog-
rock mass becomes more deformable in the raphy on the stresses at depth is the strongest
Effect of topography 59
for ridges and valleys in rock masses with Equations (2.21) and (2.22) correspond to the
vertical planes of anisotropy. geometric superposition of i = 1, N symmetric
ridges or valleys x(t), Yi(t) centered at x = Xi. If
bi is positive, equation (2.22) corresponds to a
(d) Tensile region at valley bottoms
ridge with height bi . If bi is negative, equation
The maximum tensile stress is at the valley (2.22) corresponds to a valley with depth 1M
bottom and the zone of tension is symmetric The parameter ai controls the lateral extent of
for isotropic rocks and for transversely iso- each ridge or valley with inflection points
tropic rocks with vertical and horizontal located at x = Xi ± ai 1(3)1/2, Y = 0.75b i at which
planes of anisotropy. If the planes of aniso- the slopes are equal to ± 3bi (3)1/2/(8a;). Thus
tropy are inclined, the tension zone is no different complex and smooth topographies
longer symmetric and extends on the side of can be obtained by choosing different positive
the valley that is dipping in the same direction or negative values of ai, bi and Xi for i = 1, N.
as the planes of anisotropy. The other side of As an example, Figs 2.26a, b show asymmetric
the valley experiences a compressive state of topographies obtained by superposition of
stress. For a given valley geometry and a given N = 2 symmetric ridges or valleys,
value of the dip angle VI, the extent of the respectively.
tensile region depends on the value of the For geometries such as those of Figs 2.26a, b,
elastic properties. For a fixed value of GIG', Pan and Amadei (1993) have shown that the
the size of the tensile region decreases as EIE' ratios between the six stress components O'ij
increases. It also decreases as GIG' increases (i, j = X, Y, z) and a characteristic stress pgldl
for a fixed value of EIE'. The size of the tensile (where Idl is a characteristic elevation) depend
region decreases significantly as v' increases. on the dimensionless ratios of elastic constants
For given values of the rock elastic properties such as EIE', GIG', v and v' for transversely
and the dip angle of the planes of transverse isotropic rocks. The stress ratios O'ij I pgldl also
isotropy, the extent of the tensile region depend on (1) the orientation angles p and VI of
decreases as the topography ratio alibi decrea- the planes of anisotropy with respect to the X-,
ses, that is, as the valley becomes narrower. Y- and z-axes attached to the ridge or valley
(Fig. 2.24), (2) the coordinates (x114 y/ldl) of
the points at which the stresses are calculated,
2.8.3 ASYMMETRIC RIDGES AND VALLEYS and (3) the ratios adl4 bdldl and xdldl for
UNDER GRAVITY ONLY i = IN describing the geometry of the asym-
As shown by Pan and Amadei (1993, 1994), metric ridge or valley.
asymmetric topographies can be obtained by As a numerical example, Fig. 2.27a shows
superposition of the topography of several the contours of maximum principal stress
symmetric ridges and valleys. The topography 0'1 I pgldl (with d = b2 ) for the ridge of Fig.
is assumed to be smooth and to be expressed 2.26a and for a rock mass with EIE' = 1,
in parametric form as follows: GIG' = 3, v = 0.25, v' = 0.15 and VI = 90°.
Figure 2.27b shows the variation of 0'1 I pgldl
x(t) =t (-oo<t< +00)
(2.21) along the ground surface for EIE' = 1,2 and
N 3. We note from Fig. 2.27a that near the
y(t) = i~l Yi(t) ground surface, the distribution of 0'1 I pgldl is
complicated with local maxima and minima.
with As shown in Fig. 2.27b, the location of those
extrema is controlled by the surface topog-
aI2 bI raphy and their magnitude decreases as EIE'
(t) - (2.22)
Yi - (t - xi + a; increases.
60 Estimating in situ stresses
2.8.4 RIDGES AND VALLEYS UNDER GRAVITY elevation) depend on the ratio (J;x I pgldl in
AND TECTONIC LOADING addition to the same parameters as under
gravity alone.
The effect of horizontal tectonic loading on in As a numerical example, Figs 2.28a-f show
situ stresses in rock masses with smooth and stress contour diagrams below a complex
irregular topographies constructed by the (asymmetric) topography similar to that
superposition of multiple long and symmetric analyzed by Swolfs and Savage (1985). Here,
ridges and valleys was analyzed recently by y(O) is the characteristic height equal to the
Pan, Amadei and Savage (1995). It was found elevation of the topography at x = O. The rock
that addition of a horizontal uniaxial compres- is transversely isotropic with planes of trans-
sion to gravity increases slightly the horizontal verse isotropy striking parallel to the z-axis of
compression at the crests of ridges and dimin- Fig. 2.24 (ft = 0°) and dipping at an angle
ishes the horizontal tension in valley bottoms. 'I' = 30° in the + x direction. The rock mass
Let (J;x be a uniform tectonic stress acting in elastic properties are such that EIE' = 2,
the x direction of Fig. 2.22. For the geometry of GIG' = 1 and v = v' = 0.25.
Figs 2.26a, b, the ratios between the six stress The contour diagrams of (Jxxlpgy(O), (Jyyl
components (Jij (i, j = x, y, z) and a character- pgy(O) and (Jxy I pg(O) in Figs 2.28a-c were
istic stress pgldl (where Idl is a characteristic obtained assuming that the rock mass is under
-Y=Y1+ Y2 Y
Y1 (a)
_.- Y2
--.__'1 <:'
.-
I z
-
-
.j..
--- x
o
Y (b)
z 0 x
--- --- --------
Fig. 2.26 Asymmetric topographies obtained by superposition of two separate symmetric ridges and
valleys (a) bl/idl =0.5 andb2/1dl = 1, (b) bl Iidl = -0.5 andb2 /1dl = -1. In (a) and (b)al/idl = 1,a2/1dl = 1,
Xl Iidl = -1 and x2/1dl = 1. (After Pan and Amadei, 1993.)
Effect of topography 61
gravity alone. For comparison, Figs 2.28d-f effect on the magnitude of the vertical stress
show the corresponding stress contour dia- O"yy / pgy(O) (Fig. 2.28b, e).
grams when the rock mass is now subjected to
combined gravitational loading and far-field
horizontal tectonic loading O";x = pgy(O). The 2.8.5 TENSILE STRESSES IN VALLEY BOTTOMS
contours of O"yy / pgy(O) nearly follow the ridge
and valley shape (Figs 2.28b, e). Also, concen- All the aforementioned analytical solutions
trations of compressive stress 0"xx / pgy(O) and predict tensile stresses in valley bottoms.
shear stress 0"xy / pgy(O) can be seen in the There is field evidence to support that predic-
valley at x/y(O) = 1.6 in Figs 2.28a, 2.28c, 2.28d tion. For instance, Knill (1968) found that there
and 2.28f. Comparing Figs 2.28a-c with Figs is usually a zone near the valley surface in
2.28d-f shows that addition of a far-field hori- which the rock mass is loose and discontinu-
zontal tectonic stress pgy(O) increases the mag- ous. Because of this, Knill (1968) suggested
nitude of 0"xy / pgy(O) near the ground surface that underground excavation, tunneling or
and, to a greater extent, increases the magni- dam foundation should be carried out well
tude of the horizontal stress O"xx / pglbl. For below this zone. Another piece of evidence for
instance at x/y(O) = 1.6, the magnitude of the valley bottom tensile stress is rebound near
concentration of O"xx / pgy(O) is about 0.86 valley bottoms and valley walls, as noted by
under gravity alone and is 2.5 if horizontal Matheson and Thomson (1973). This
tectonic loading is added. Also, addition of the up-warping phenomenon may be considered
far-field horizontal tectonic stress has little as a result of tensile stresses (Matheson and
1.50
1.00 (a)
0.50
"0
0
::::::::
>- -0.50
-1.00
-1.50
-2.00
-3 -2 -1 0 2 3
x/ldl
"0
2
-
.
+
E/E' = 1
E/E' = 2 (b)
2
- I
I
I
--...... --
E/E' = 3
Cl ... ....!.-
--t:r
a.. Topo ylldl ,,
,
--
"0
>-
-1
xlldl
Fig. 2.27 (a) Contours of Ul I pgldl for the ridge of Fig. 2.26a with IfI = 90°, EIE ,= 1, GIG ,= 3, v = 0.25 and
v' = 0.15. (b) Variation of Ul I pgldl along the ground surface. (After Pan and Amadei, 1993.)
62 Estimating in situ stresses
1.0 1.0
Oxx
(a)
0.5 pgy(O) 0.5
0.0 0.0
§
>. -0.5 -0.5
~
-1.0 -1.0
0.7
1.0 1.0
(b)
0.5 0.4 0.5
S
-0.5 -0.5
~
>.
-1.0 -1.0
2.0
-1.5 -1.5
2.4
-2.0 -2.0
-3.0 -2.5 -2.0 -1.5 -1.0 -0.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0
x/y(O)
1.0 1.0
0.5 0.5
0.0 0.0
§ -0.5 -0.5
~
-1.0 -1.0
-1.5 -1.5
Fig. 2.28 Contour diagrams of u xx / pgy(O), uyy / pgy(O) and uxy/pgy(O) in a transversely isotropic rock mass
(E/E I = 2, G/G I = 1, v = v' = 0.25, P= 0° and If/ = 30°) under gravity only in (a), (b) and (c), respectively,
and under combined gravitational and tectonic loading with u;x = pgy(O) in (d), (e) and (f), respectively.
Topography obtained by superposition of N = 4 ridges and valleys with ai /y(O) = 1 for i = 1-4,
bdy(O) = 0.8983, b2 /y(0) = 1.2657, b3 /y(0) = - 2.1186, b4 /y(0) = 1.3438, xdy(O) = 0, X2/Y(0) = 1.35,
X3/Y(0) = 1.6, X4/Y(0) = 2.1. (After Pan, Amadei and Savage, 1995.)
Effect of topography 63
1.0 , - - - - - - - - - - - - - - : ? - " " " " " " " " : : : : : - - - - - - - - - - , 1.0
Oxx
(d) pgy(O) --0.6--~'
0.5 --08-----= ~~===>..j 0.5
0.0
( "'';;-I.o==-----7l~~
~ 1·2 0.0
-1.5 - -_ _ _ _ _ _ 1.8 _ _ _ _ _- - - 1 - 1 . 5
-2.0 -2.0
-3.0 -2.5 -2.0 -1.5 -1.0 -0.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0
x/y(O)
0.5
(e) pgy(O) 0.5
_ - - - -_ _-..::--=-----::::::0.2
0.0 0.2~----0.6------ -------1 0 .0
s
t -0.5
,::=---:==--------------
0.6
_ _..=1- 0 .5
_---1.4---~
-1.0 -1.0
_ - - - 1 . B - - - -_ _~
- 1 . 5 , -_ _ -1.5
__-----2.2------_-1
-~o -~o
-3.0 -2.5 -2.0 -1.5 -1.0 -0.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0
x/y(O)
1.0 , - - - - - - - - - - - - - - : " " ' ' ' ' ' ' : : : : : - - - - - - - - - - - - , 1.0
0.5 0.5
0.0 0.0
s>:: -0.5
-0.5
3.
-1.0 -1.0
-1.5 -1.5
-2.0 '-----'-_-:'-_--'-..L--L-_lL-----'----'-----'-_.LL_...L.>._-'--------'L...-'>---l
-3.0 -2.5 -2.0 -1.5 -1.0 -0.5 0.0 0.5 1.0 2.0 2.5
x/yeO)
Thomson, 1973; Silvestri and Tabib, 1983a, b). on the nature and frequency of coal mine roof
James (1991) also described the evidence of failure beneath valleys, Molinda et al. (1992)
tensile stresses near valley bottoms, such as found that 52% of the unstable roof cases in
bed separation and bedding fractures at the the surveyed mines occurred directly beneath
toes of deep valleys and open (tension) joints the bottom-most part of the valleys. The
deep into valley sides. By conducting a survey survey also showed that broad, flat-bottomed
64 Estimating in situ stresses
valleys were more likely to be sites of hazard- ridges and trench suction; and (2) local tec-
ous roof conditions than narrow-bottomed tonic stresses related to bending of the litho-
valleys. sphere due to surface loads, isostatic
compensation and downbending of oceanic
2.9 TECTONIC AND RESIDUAL STRESSES lithosphere. Tectonic stresses related to plate
tectonics are typically very uniform over areas
2.9.1 TECTONIC STRESSES larger than 10 000 km2 (Herget, 1993). Voight
Current geological structures and their obser- (1966a) also suggested classifying (in a
vations provide incontestable evidence of past broader sense) stresses due to erosion and
and current tectonic activities. Several mech- overconsolidation as tectonic; the rationale
anisms related to plate tectonics have been being that such stresses can be responsible for
proposed to model tectonic stresses (Solomon, the formation of deformational elements such
Richardson and Bergman, 1980; Solomon, as fractures.
Sleep and Richardson 1975; Sykes and Sbar, In general, it is difficult to differentiate
1973; Turcotte, 1973; Turcotte and Oxburgh, between active and remnant tectonic stresses
1973; Voight, 1971; Voight and Hast, 1969). by looking at geological structures alone.
More recently, the World Stress Map Project Although this distinction may not be of major
was able to outline some global patterns of concern to engineers, it is important to geol-
tectonic stresses in the lithosphere (Zoback, ogists and geophysicists. The current state of
1992; Zoback, 1993; Zoback et al., 1989). Two stress in an area may not always be related to
groups of forces shown in Fig. 2.29 were iden- the geological structures that we see today. It is
tified as being responsible for tectonic stresses: likely that it has changed during past tectonic
(1) broad-scale tectonic forces actin~ on litho- events such as folding and faulting. This
spheric plate boundaries such as shear trac- emphasizes the importance of stress history
tions at the base of the lithosphere, slab pull at which can be inferred, only in part, from
subduction zones, ridge push from oceanic kinematic analysis.
Fig. 2.29 Forces responsible for tectonic stresses. (After Zoback et al., 1989.)
Tectonic and residual stresses 65
It is noteworthy that normal horizontal tec- tion, drilling or coring, some of the residual
tonic stresses do not have to be necessarily stresses contribute to instantaneous deforma-
equal on opposite sides of a region. If this is tion and the rest to time-dependent deforma-
the case, boundary shear stresses are needed tion (Voight, 1966a; Nichols and Savage, 1976;
in order to satisfy static equilibrium. This may Bielenstein and Barron, 1971). In order to sepa-
create rotation of the principal stresses in the rate the short-term deformations associated
region of interest (Voight, 1966a). with residual stresses from the short-term
deformations associated with active tectonic
and gravitational stresses, overcoring or
2.9.2 RESIDUAL STRESSES
undercoring of overcored or undercored speci-
Residual stresses are 'self equilibrating stres- mens or specimens cut from a rock mass can
ses that remain in a structure if external forces be carried out (Bielenstein and Barron, 1971;
and moments are removed' (Voight, 1966a). In Friedman, 1972; Gentry, 1973; Lang,
rock mechanics they are also called internal or Thompson and Ng, 1986; Nichols, 1975;
'locked-in' stresses. Residual stresses appear Nichols and Savage, 1976; Russell and Hos-
to be related to a system of balanced (and not kins, 1973; Sbar et al., 1979).
necessarily zero) tensile and compressive Residual stresses can remain in rock masses
forces which are contained in domains rang- which have been subject in the past to higher
ing from the micro-scale (grains and crystals) stresses than they are subject to today or to
to the macro-scale. The presence of residual different conditions. As those rock masses
stresses and strains leads to the existence of tend to relax under reduced load (due to
internal residual strain energy which can be erosion or uplift, for instance) or temperature
critical for the stability of underground open- changes (due to cooling), restraints are created
ings and surface excavations in rock. Residual by the interlocking fabric of the rock itself. The
stresses are believed to be responsible (in part) rock then reaches a new equilibrium with
for phenomena such as rockbursts, rock sur- balanced internal (tensile and compressive)
face spalling and sheet jointing (Varnes, 1970) forces. For instance, Savage (1978) was able to
and time-dependent movements of excava- show, using a thermoelastic bisphere model
tions such as those encountered in the Niagara (spherical inclusion surrounded by an infinite
Falls area (Lo et al., 1975). host material), that residual stresses of the
Although there is a large amount of evi- order of 23 MPa could be induced in granitic
dence for residual stresses in metals (McClin- magmas during cooling from 300°C to o°e.
tock and Argon, 1966; Orowan, 1948), their Haxby and Turcotte (1976) have shown that
existence and contribution to the virgin stress large residual thermal stresses could be
field in rock is still the subject of extensive induced in rocks by changes in the ambient
discussion by geologists, geophysicists and temperature.
engineers. The terms 'residual stresses' and For metals, Orowan (1948) distinguishes
'residual strains' are often used interchange- two types of residual stresses: (1) stresses
ably in the literature. associated with inhomogeneous external
Hyett, Dyke and Hudson (1986) have sug- conditions (mostly at the macroscopic scale),
gested three fundamental requirements for and (2) stresses associated with inhomogene-
generating residual stresses in rock: '(1) a ities within the material itself (mostly at the
change in the energy level, e.g., a stress or microscopic scale). Similar mechanisms pro-
temperature change, (2) a heterogeneity ducing residual stresses in rock were sug-
caused by different constituent parts of the gested by Russell and Hoskins (1973) and
material, and (3) compatibility (at least partial) were classified as macro- and micro-
of these constituent parts'. Upon rock excava- mechanisms.
66 Estimating in situ stresses
An example of the micro-thermoelastic As the load is removed and because of the
mechanism is when a rock containing min- bond that now exists between the two springs,
erals with different coefficients of thermal the springs cannot regain their original posi-
expansion undergoes a uniform change in tion. Residual tension develops in one spring
temperature resulting in non-uniform strains. and compression is created in the other spring.
Residual stresses can also be created at the Another example of micro-mechanism is
microscopic level by elastic deformation when when an undisturbed sample of saturated rock
grains in a sedimentary rock, for instance, are or soil is taken from the ground (Voight,
cemented under load and then unloaded. This 1966a). The external load vanishes and the
can be modeled as shown in Fig. 2.30a. Two intergranular stress becomes equal to the fluid
springs (grains) with different elastic con- pressure according to the effective stress
stants are subject to a same load, P, and deform principle. Figure 2.30b shows an example of a
by different amounts. Following deformation, micro-elastoplastic mechanism where loading
the two springs are connected by a bar of a frictional element creates sliding. Upon
(cement) that can only move parallel to itself. unloading, residual tension and compression
(a)
Compression
Tension
(b)
Fig. 2.30 Models of residual stresses. (a) Micro-elastic mechanism and (b) micro-elastoplastic mechanism.
(After Russell and Hoskins, 1973.)
Tectonic and residual stresses 67
develop in the springs. If the frictional element There seems to be a consensus in the litera-
is replaced by a viscous element, time- ture that the importance of residual stresses in
dependent residual strain recovery can be rock engineering is related to the size of the
modeled. Numerical simulations of locked-in volume of rock in which the residual stresses
stresses created by non-recoverable slip along are locked in (i.e. the volume of rock for which
disconnected (non-continuous) discontinuities equilibrium is reached) versus the size of the
were proposed by Brady, Lemos and Cundall problem of interest (Bielenstein and Barron,
(1986) using a couple discrete element- 1971; Holzhausen and Johnson, 1979; Hyett,
boundary element program. A physical model Dyke and Hudson, 1986; Nichols and Savage,
explaining the concept of residual stresses in 1976; Russell and Hoskins, 1973; Tullis, 1977;
rock was proposed by Varnes (1970). Varnes and Lee, 1972). According to Hyett,
Figure 2.31 shows an example of the macro- Dyke and Hudson (1986), the amount of resid-
mechanism that could take place in a sedi- ual stress should increase as the volume of
mentary layer upon bending and folding. rock decreases from the macro- to the micro-
Residual tension and compression remain in scale. This trend can be attributed to the fact
the layer because yielding has taken place that as the volume increases, discontinuities
during the loading phase. Another example of are more likely to be found and those dis-
macro-mechanism is when several sedi- continuities are not able to transmit the
mentary layers, some stiff and others soft, are residual stresses if they are in tension.
cemented together under load. Upon un- As discussed by Cuisiat and Haimson
loading, residual compression and tension (1992), various authors have used different
develops in the softer and stiffer layers, terms to define the volume of rock over which
respectively, and large shear stresses are likely residual stresses are stored, such as equilib-
to develop at the layer interfaces (Holzhausen rium volume, self-equilibrium volume, lock-
and Johnson, 1979). A similar phenomenon is ing domain, residual stress domain or strain
found in 'pre-tension' reinforced concrete energy storage volume. The volume depen-
beams where the steel is in tension and the dency of residual strains was clearly empha-
concrete in compression (Engelder, 1993). sized by Swolfs, Handin and Pratt (1974) who
measured residual strains on blocks of quartz
Strain Stress diorite freed from their surroundings. The
01 12~~~~:"
strains were found to range between
1400 X 10- 6 (expansion) in small conventional
overcores and - 700 X 10 - 6 (contraction) on
large blocks with volumes of up to 15 m 3 .
How significant are residual stresses com-
Partially yielded plate under load pared with other in situ stress components?
The answer to that question varies. For
c -;
instance, Lang, Thompson and Ng (1986)
Residual compression
measured residual stresses of less than
1.0 MPa, and ranging between 1.5 and 2.5% of
the total stresses, in the granitic rock at the
URL in Pinawa, Canada. Sbar et al. (1979)
found no significant residual stresses near the
Residual tension San Andreas fault. Lindner (1985) measured
Partially yielded plate unloaded residual stresses of the order of : :': : 2 MPa in
Fig. 2.31 Macro-mechanism of residual stresses. sedimentary rocks in the southeastern part of
(After Russell and Hoskins, 1973.) Lake Ontario. These stresses were found to be
68 Estimating in situ stresses
relatively small compared to the high hor- ponent due to the reduction in the overburden
izontal stresses (up to 12 MPa) measured at pressure, a component due to the associated
shallow depths in that area. Finally, Bock uplift by isostatic readjustment and a thermal
(1979) measured significant residual stresses component due to a temperature decrease.
up to 15.2 MPa in compression and 12.6 MPa They also found that the net effect is a reduc-
in tension in a plane across a single basaltic tion instead of an increase in the horizontal
column using the central hole drilling method. stresses which could result in dominantly ten-
This study is interesting in that Bock was able sional stresses.
to show concentric zoning of the residual Overconsolidation of sediments was also
stresses in the cross-section of the column, proposed by Voight (1966a) as another
with compression in the inner and outer parts phenomenon capable of creating high hori-
of the column and tension in the intermediate zontal stresses. For soils, it has been observed
part. He also showed that the measured resid- that the stress ratio Ko depends on the past
ual compressive and tensile stresses were history of loading and unloading of the soils,
approximately balanced. and can be related to a so-called overconsoli-
dation ratio, OCR, which is the ratio of past
2.10 EFFECT OF EROSION,
maximum horizontal stress to vertical stress
OVERCONSOLIDATION, UPLIFT AND (Kulhawy, Jackson and Mayne, 1989; Lambe
GLACIATION
and Whitman, 1969; Skempton, 1961). Both
Steiner (1992) and Kim and Schmidt (1992)
Erosion or denudation was proposed by invoked overconsolidation to explain large Ko
Voight (1966b) as a mechanism that could be values measured in sedimentary rocks in Ger-
responsible for high horizontal stresses at many and Texas, respectively. Voight (1966a)
shallow crustal levels. As summarized by used the results of uniaxial strain tests con-
Goodman (1989), let Ko be the initial hori- ducted by Brooker (1964) on shale to demon-
zontal to vertical stress ratio at a point located strate that large Ko values can be induced upon
at a depth Zo in a rock mass. The rock mass is unloading. The test results are shown in Fig.
subjected to unloading by removal of a layer 2.32. If, in this figure, the radial and axial
of thickness Az. Using the theory of elasticity, stresses are taken as the horizontal and verti-
it can be shown that the new stress ratio at cal stress components respectively, the slope of
depth z = Zo - Az is equal to the unloading curve indicates an increase in
K= Ko + [Ko - _v_]
1- v
. Az
Zo - Az
(2.23) 1600
4'
/""
~v
As an example, let Ko = 0.8, v = 0.25 and ~ 1200
Zo = 5000 m. For values of Az larger than '"~
<Jl /""
,/"
/'
1500 m, K is larger than unity. For instance, for (j)
,/"
V ~/
(ij 800
Az = 2000m, K = 1.11. '0
a:'"
~ V
Voight and St Pierre (1974) included the V ,,/,../
combining mechanical and thermal effects 400
ents the thermal effect predominates, resulting 400 800 1200 1600 2000 2400
Axial stress (psi)
in a reduction and not in an increase in the
horizontal stress. Haxby and Turcotte (1976) Fig. 2.32 Radial stress versus axial stress for Bear-
showed that the state of stress induced by paw shale tested under uniaxial strain condition by
erosion comprises three components: a com- Brooker. (After Voight, 1966a.)
High horizontal stresses 69
the stress ratio Ko during unloading. Also, it (Bulin, 1971). Palmer and Lo (1976), Lo (1978)
shows that Ko can be large near the surface and and Lee (1981) also reported high horizontal
decreases with increasing depth. stresses ranging between 5 and 15 MPa at
Price (1966, 1974) presented another depths less than 25 m in sedimentary Pale-
explanation for the development of high hori- ozoic rocks in southern Ontario. The hori-
zontal stresses in sedimentary basins using a zontal to vertical stress ratio was found to be
complex geological history consisting of first large at shallow depths (0-100 m), sometimes
accumulation of sediments, downwarp and reaching values as high as 10: 100 (Franklin
burial followed by uplift and concomitant and Hungr, 1978). Similar trends were
dewatering. observed in upper New York State and the
It has been suggested that high in situ southeastern shore of Lake Ontario (Lindner,
stresses could be induced in rocks by a se- 1985). Figure 2.33 shows some of the high
quence of glacier loading, isostatic movements horizontal stresses measured around Lake
and postglacial uplift (Adams and Bell, 1991; Ontario.
Artyushkov, 1971; Asmis and Lee, 1980; Hast, High horizontal stresses can usually be
1958; Rosengren and Stephansson, 1990, 1993; inferred from field and core observations. In
Stephansson, 1988; Turcotte and Schubert, the field, high horizontal stresses can manifest
1982). Here, bending stresses in the litho- themselves in different ways. For instance,
sphere stresses are created by subsidence thrust faulting might be dominant. Franklin
under ice loads. Following the melting of the and Hungr (1978) reported that in southern
ice and gradual rebound, locked-in stresses Ontario and in the northern part of New York
remain because of incomplete isostatic State, natural evidence of high horizontal
recovery.
Lee (1995) concluded that core disking is the of outer radius R consisting of material with
result of subhorizontal extensile cracks devel- unit weight y and subject to gravity g. The
oping at the root of drill cores. shell was assumed to be situated on an
It should be emphasized first, that core disk- unyielding massive interior body. Using the
ing is just an indicator of high horizontal equations of equilibrium, the stress-strain
stresses and that disking does not automati- relations and the constitutive equations, the
cally imply high horizontal stresses. Disking radial stress (Tr (also equal to the vertical
depends on many parameters, such as the in stress), the tangential stress (To (assumed the
situ state of stress, the strength properties of same in all tangential directions and equal to
the rock and the stress parallel to the borehole the horizontal stress), and the tangential strain
(Stacey, 1982). Second, the information u/r (where u is the outward radial displace-
inferred from core disking is only qualitative ment) were found to be equal to
(i.e. the potential for having high horizontal
stresses). Third, core disking can also occur
(Tr =4
yR [ -4(1- P)x + (3 - 4PB]
4P)A- 7
due to poor drilling when, for instance, too
much thrust is applied to the drill bit and the
rock (Kutter, 1993). yR [ -2(2-3P)x+(3-4P)A+ 2PB]
(To=4
In general, core disking makes overcoring 7
difficult and thus creates a depth threshold
beyond which stresses cannot be measured.
!!. = gR [_ x + A + ~]
According to Hast (1979), 'it would appear r 4Ji2 x
that the highest stress that can at present be (2.23)
recorded in competent rock is of the order of
100 MPa; for rocks of greater strengths it is In equations (2.23) x is the ratio between the
somewhat higher'. Herget (1980) reported suc- distance r from the center of the sphere and the
cessful stress determinations in the Canadian sphere's outer radius R and is also equal to
Shield at stresses up to 130 MPa and at a depth 1 - z/R where z is the depth below the sur-
of 2100 m. face. The constant P is equal to
High horizontal stresses may also result in 0.5(1 - 2v)/(1 - v) and to (S/p)2 where S is the
difficulties in drilling, excavation and shaft velocity of secondary seismic waves and P the
sinking and may create borehole stability velocity of primary seismic waves. Finally, A
problems such as borehole breakouts and and B are two constants of integration that can
borehole collapse. Breakouts can be used to be determined from the boundary condition
estimate the orientation of in situ stresses, as (Tr = 0 at x = 1 and by assuming that at a
\ \\-~~~--
~ Liquid core
-R,
(a)
0 ...... 0
, ... ...
, I
...... ... ......
...
, ...
I
1000 ,, 1000
§: I" 1500
,' ...... K= ~ +0.5
§:
.s:: .s::
15. 15.
CD
~ Theoretical
CD
0 0
2000 model I
2000
I
I
3000 3000
0 2 3 0 20 40 60 80
Stress (MPa)
K = aatar
(b) (c)
Fig. 2.34 Spherical shell model of Sheorey. (a) Geometry of the Earth consisting of 12 annular slices; (b)
predicted variation of K with depth, H, and comparison with upper and lower bounds of Brown and Hoek
(1978); (c) predicted variation of vertical stress a r and horizontal stress ao with depth. (After Sheorey,
1994.)
In a recent contribution, Sugawara and Obara ment of 2.0 km and 13.0 km, constant thermal
(1995) extended McCutchen's model to account expansion, geothermal gradient and Poisson's
for the geothermal gradient and the vertical ratio, and a stress-dependent Young's modulus,
displacement of the ground surface due to Sugawara and Obara (1995) were able to predict
tectonic forces. By assuming a vertical displace- upper and lower limits for the variation of the
74 Estimating in situ stresses
Table 2.4 Values of coefficient of thermal expansion models yield different in situ stress distribu-
(X;,the Young's modulus E;, the radius R; and the tions and magnitudes.
unit weight y; for each slice i = 1-12 in the spherical
shell model of Sheorey (1994). Slices i = 1-6 corre-
spond to the mantle and slices i = 7-12 correspond
to the crust 2.13 EFFECT OF BOUNDARY CONDITIONS
AND TIME ON IN SITU STRESS
Radius Unit weight
Slice Ri X 106 Ui X 10- 5 Ei Yi Little is known about the precise nature of
no. (m) (Ie) (CPa) (MPalm) lateral restraints to be found at the geological
scale. A large amount of discussion has been
1 3.470 2.4 760 0.052
2 3.870 1.9 700 0.048 placed on the validity of the no lateral
3 4.370 1.6 610 0.045 displacement assumption. Some authors have
4 4.870 1.35 520 0.043 argued that since rocks are deformable, the
5 5.370 1.25 360 0.040 hypothesis of no horizontal displacement is
6 5.958 1.2 200 0.037 non-realistic (Cornet, 1993; McGarr, 1988).
7 6.335 0.77 20 0.027 It is well known that the stress field within a
8 6.340 0 30 0.027 certain volume of rock will depend on the
9 6.436 2.2 40 0.027
10 6.352 1.5 45 0.027 applied loads (body and surface forces), and
11 6.358 0.9 50 0.027 the constitutive model of the rock, as well as
12 6.364 0.6 50 0.027 the boundary conditions applied along the
boundaries of the domain under considera-
tion. In fact, by varying these parameters,
various in situ stress regimes can be predicted
(Denkhaus, 1966). This can be demonstrated
using numerical methods for complex rock
stress ratio K with depth. They observed that masses (e.g. Figs 2.16 and 2.21) or analytical
most stress observations in Japan fell in between solutions for simpler cases.
those limits, which led them to conclude that Consider, for instance, the simple case of a
near-surface stresses in Japan are sensitive to the homogeneous isotropic rock mass with
vertical displacement (upheaval) caused by the Young's modulus E and Poisson's ratio v, and
plate tectonics at the collision boundaries of unit weight y = pg, subject to gravity only. The
merging plates. rock mass has the geometry of Fig. 2.7 with the
The reader should be aware -that more x- and y-axes being horizontal and the z-axis
complex spherical and multilayered models of vertical downward. The vertical stress at
the Earth that include the crust, core and depth z is equal to (Jv = pgz. If the rock mass is
mantle rheology have been proposed in the free to deform laterally with no lateral stress,
geophysics literature. A review of these the state of stress will be uniaxial in the
models can be found in a recent paper by vertical direction and the horizontal stresses
Aydan (1995), who used the finite element will be zero. This condition could take place
method to predict in situ stresses for the fol- for instance in rock masses with vertical and
lowing models of the Earth: (1) the crust and open joints. Consider now another special case
mantle are elastic solids and the core is in a where the rock mass is under gravity and is
liquid state, (2) the crust and mantle are also strained (due to tectonics) in the x and y
elastoplastic solids and the core is in a liquid directions by an amount ex and eyt respectively.
isothermic state, and (3) the crust and mantle As shown by Savage, Swolfs and Amadei
are thermo-elastoplastic solids and the core is (1992), and assuming Hooke's law, the hori-
in a non-isothermic state. All these different zontal stress components are equal to
Effect of boundary conditions and time on in situ stress 75
E v rock response to those loads is elastic. This
(Jx = (1 -i) (ex + vey) + (1 _ v) pgz cannot be the case for tectonic processes of
(2.24) relatively long durations. Failure may occur in
E v brittle rocks either by creating new fault
(Jy = (1 2) (ey + ve) + --pgz
- v (1- v) planes or by slip along existing fractures as
These expressions for the horizontal stress discussed in section 2.4. Stress relaxation by
components include the combining effect of creep may also occur in more ductile rocks
gravity and horizontal straining due to tec- (Rummel, 1986; Savage, Swolfs and Amadei,
tonics. They also predict non-zero horizontal 1992).
stresses at the Earth's surface. Various three- Since rocks show some form of viscoelastic
dimensional stress regimes can be predicted behavior (Goodman, 1989; Jaeger and Cook,
depending on the vanishing or non-vanishing 1976), stresses might be expected to relax over
character of the lateral strains and their time in the more ductile parts of the crust
respective values. If the horizontal strains when subject to a constant level of strain. This
vanish, equations (2.24) reduce to the Ko condi- phenomenon was modeled by Savage, Swolfs
tion mentioned at the beginning of this chap- and Amadei (1992), assuming that the crustal
ter. As shown by Savage, Swolfs and Amadei rock is isotropic and behaves elastically under
(1992), equations (2.24) can be generalized to hydrostatic loading, and as a Maxwell visco-
anisotropic rock masses. For horizontally elastic substance (a spring and a dashpot in
layered rock masses modeled as transversely series) under deviatoric loading. The short-
isotropic, equations (2.24) are replaced by term Young's modulus and Poisson's ratio of
the rock are Eo and Vo and the relaxation time is
E E v' denoted as YJ. For a Maxwell substance, the
(Jx = (I-i) (ex + vey) + E' (1- v)pgz time-dependent Young's modulus E(t) and
E E v' (2.25) Poisson's ratio v(t) are equal to
(Jy = (1 -i) (e y + ve) + E' (1 _ v) pgz E(t) = Eo e - (t/ Tf);
(2.26)
It is noteworthy that the strains ex and ey v(t) = 0.5(1 - e - (t/ Tf») + Vo e - (t/Tf)
entering into equations (2.24) and (2.25) must Note that, in this model, the modulus
be small since the theory of elasticity is used approaches zero and the Poisson's ratio
in deriving these equations. According to approaches 0.5 for large times. The crust is
Savage, Swolfs and Amadei (1992), equations assumed to be strained uniformly in the hori-
(2.24) and (2.25) would apply for strains as zontal x, y plane by an amount ex = ey =et
large as 1 to 5% which could take place during where e is a constant strain rate. Also, the
tectonic processes of relatively short duration initial strains in the x and y directions at time
and with strain rates of the order of 1.0 X t = 0 are assumed to vanish. For these con-
1O- 15 /S (O.03~-strain/year) to 1.0XlO- 14 /S ditions, Savage, Swolfs and Amadei (1992)
(0.32 ~-strain/year). Such strain rates have found that the vertical stress at depth z is equal
been reported by Savage (1983) and Savage, to yz and that the horizontal stress depends on
Proscott and Lisowski (1987) in geodetic the time t and is equal to
measurements in various parts of the western
United States. (Jh = [2YJEoe + yz][1 - e -r]
Equations (2.24) and (2.25) and other elastic Vo
models presented in this chapter for the pre- +--yze- r
(2.27)
I - vo
diction of the effect of anisotropy, stratification
and topography on in situ stresses imply that where 't = t/[2YJ(1 - vo)] is a dimensionless
loads in situ are applied instantly and that the time. Equation (2.27) consists of a gravitational
76 Estimating in situ stresses
part and a strain rate-dependent part. For parison, the elastic model would give a hor-
t ---> 0, izontal stress of 50 MPa after 238095 years.
As mentioned by Savage, Swolfs and
Vo Amadei (1992), the time-dependent model
O"h --->-- yz (2.28)
1 - Vo summarized above applies for strain accumu-
lation in a homogeneous isothermal visco-
which corresponds to a Ko condition before elastic crust subjected to non-deviatoric strain
initiation of lateral straining in the crust. On rates. It does not apply when large tempera-
the other hand, for t ---> 00 ture gradients exist, nor does it apply near
major active faults where shear strain rates are
(2.29) dominant.
For large times, the gravitational part of the
stress field becomes hydrostatic and the strain 2.14 ESTIMATING STRESS ORIENTATION
rate-dependent part becomes constant. Note
that, in that case, a purely hydrostatic stress Various methods have been proposed in the
state (lithostatic stress field) would exist when literature to estimate the orientation of in situ
the strain rate or the relaxation time is zero. A stresses. These methods can be divided into
similar conclusion was reached by Jaeger and three major groups: (1) methods based on the
orientation, distribution, deformation and
Cook (1976) in the modeling of a continuum
which behaves elastically under hydrostatic fracturing of geological features ranging in
loading and as a Maxwell viscoelastic sub- size between rock crystals and mountain
stance in distortion, and is subject to a vertical ranges, (2) methods that rely on the analysis of
stress at time t = 0 and no lateral displace- first motion of earthquakes, and (3) breakout
ment. Furthermore, this conclusion is in agree- methods. Other methods that use geomorpho-
logical features will not be discussed here and
ment with the hypotheses of Heim (1878) and
can be found, for instance, in the books of
Anderson (1951) that long-term rock creep
Scheidegger (1982) and Mattauer (1973).
could lead to a hydrostatic state of stress in the
Earth's crust.
At the Earth's surface the variation of the 2.14.1 STRESS ORIENTATION FROM
horizontal stress with time is obtained by GEOLOGICAL STRUCTURES
taking z = 0 in equation (2.27), which gives
Geological structures such as faults, folds,
(2.30) joints, dikes, sills, volcanoes, fault striations or
slickensides, etc. have been used by geologists
For large times, relaxation causes the hori- and geophysicists as indicators of paleostres-
zontal stress to approach a constant value ses, i.e. stresses previously active and no
equal to 2l]eE o. This is in contrast with the longer in existence (Anderson, 1951; Arthaud
elastic model where stresses would continue and Mattauer, 1969; Buchner, 1981; Engelder,
to increase linearly with time if a constant 1993; Ode, 1957; Parker, 1973; Price, 1966, 1974;
strain rate was applied. Using a value of Price and Cosgrove, 1990; Scheidegger, 1982).
10 MPa for 21]eEo (Swolfs, 1984), Eo = 0.5 GPa, a Friedman (1964) presented various petro-
strain rate of 1.0 X 10 -14/ s (0.32 f.l-strain/ graphic techniques that could be used to
year), the relaxation time I] is found to be equal determine the direction of in situ stresses at the
to 31746 years. Assuming that Vo = 0.25, equa- time of deformation. Some of these techniques
tion (2.30) gives a horizontal stress of 0 at t = 0, range between analysis of orientation and
a stress of 4.87MPa at t = 31746 years, and a distribution of fractures and folds at the
stress of 9.9 MPa at t = 238095 years. In com- macro-scale, and intercrystalline gliding,
Estimating stress orientation 77
rotation phenomena such as kink bands and and more recently Nakamura (1977) and
recrystallization at the micro-scale. Nakamura, Jacob and Davies (1977) suggested
Using petrographic techniques to estimate using the orientation of flank volcanoes
the orientation of the current state of stress formed by radial dikes originating from the
should be approached with caution, since the central conduit of a main volcano, to deter-
stresses that created the geological structures mine the orientation of in situ stresses. The
may have been modified over time due to rationale is (1) that the propagation of dikes is
additional tectonic events, erosion, glaciation, comparable to a large hydraulic fracturing test
etc. Hence the current rock fabric mayor may with magma instead of water, and (2) that the
not be correlated at all with the current in situ dikes are more likely to propagate in a direc-
stress field (Terzaghi, 1962). Therefore, it is tion normal to the minimum in situ principal
necessary to seek out the most recent geo- stress.
logical structures (Parker, 1973). A study on The use of slickensides (striae) on fault
the relationship between geological structures planes to determine not only the orientation
and hydrofracture direction by Towse and but also the magnitude of the in situ stress field
Heuze (1983), for tight gas reservoirs in the has received a lot of attention in the geology
USA, concluded that geological structures are and geophysics literature over the past 15
helpful but not always sufficient in predicting years. The method (sometimes called fault-slip
hydrofracture orientation and therefore the analysis) was first proposed by Carey and
orientation of the horizontal principal stresses. Brunier (1974) and extended by others such as
When inferring both the orientation and mag- Angelier (1979, 1984, 1989), Etchecopar, Vas-
nitude of in situ stresses from geological struc- seur and Daignieres (1981), Angelier et al.
tures, a model of rock behavior must be (1982), Michael (1984), Reches (1987) and
assumed (elasticity, plasticity, Coulomb fric- Huang (1989). Both graphical and more
tion, Mohr-type fracturing, etc.). recently numerical techniques have been used.
Examples of determination of paleostresses The methodology consists, first, of recording
from fault orientation can be found in the orientation and direction of motion of
Friedman (1964), Gresseth (1964), Chappell slickensides on a given population of non-
(1973), Spicak (1988), Zoback et al. (1987) and parallel fault planes. Several basic assump-
Zoback (1993). The rationale is that the order- tions are made in the analysis of the field
ing and orientation of in situ stress compo- measurements: (1) all the slickensides on the
nents can be inferred by comparing a given faults in the population are related to a given
fault with one of the three faulting modes and uniform but unknown stress tensor, (2)
shown in Fig. 2.4. The orientation of in situ motion on each fault plane is parallel to the
stresses has also been estimated from joint sets acting shear stress on that plane, and (3) fault
in a given area. The principal stresses are motions are independent and there is no fault
assumed to be oriented in directions bisecting interaction. These assumptions are important
the angles between major joint sets (Mattauer, since they somewhat limit the range of appli-
1973; Scheidegger, 1982, 1995). cation of the method. The third step in the
The orientation of sheet intrusions such as method is to assume Coulomb friction. This
dikes and sills has also been used to determine slip condition is then expressed in terms of the
principal stress directions (Eisbacher and six components of the in situ stress field in
Bielenstein, 1971; Muller and Pollard, 1977; an arbitrary coordinate system using the
Pollard, 1978). Parker (1973) suggested that expression for the normal and shear stress
veins or dikes are commonly emplaced paral- components on each plane (see for instance
lel to the maximum compressive stress as they equations (A.18) and (A.19) in Appendix A).
follow the path of least resistance. Ode (1957) Finally, using a large number of faults (10 to
78 Estimating in situ stresses
100), the in situ stress field that best fits the stress determination proposed by Reches
field measurements is determined by least (1987) and obtained by analysis of slickensides
squares. Figure 2.35 gives an example of in situ on 22 faults in Dixie Valley, Nevada.
The orientation of slickensides on fracture
surfaces in oriented core samples can also be
(a) used to determine the in situ stress field. This
N method was suggested in a recent paper by
..••.: ..
Hayashi and Masuoka (1995). It is essentially
an extension of the method of Angelier and
co-workers (1982) to fractures on core samples
instead of rock outcrops, and relies on the
• same assumptions. Hayashi and Masuoka
Arrival of
P-wave
Nodal plane
Fig. 2.36 Fault-plane solution of a strike-slip fault. (a) Motion of a P-wave detected by a seismograph, (b)
plot of the first motion detected at a number of seismograph stations (arrows) and determination of right-
lateral displacement of the fault.
slip on a fault and the pressure (P) and tension the proposed model of using P-, T- and B-axes
(T) axes represent the axes of maximum as the directions of principal stresses did not
shortening and maximum extension. The apply to earthquakes associated with slip
P-axis is located in the middle of the quadrants along pre-existing faults. Hence, according to
with dilations and the T-axis is in the middle McKenzie (1969), the fault-plane solution
of the quadrants with compressions. The method could not be used to infer precisely
so-called B-axis is located at the intersection of stress orientations in the crust. In fact,
the fault plane and the auxiliary plane. McKenzie (1969) showed that the only restric-
An early assumption made by seismologists tion for mapping stress orientation based on
was that earthquakes were due to the failure of fault-plane solutions is that 0"1 must lie in a
intact rock, which justified using the P-axis as quadrant associated with dilations, whereas 0"3
the direction of 0"11 T as 0"3 and B as 0"2 must lie in a quadrant related to compression.
(Engelder, 1993). However, laboratory and In order to activate slip along a fault, the shear
field data have shown that stress drops accom- stress along the fault must exceed a critical
panying fracture of intact rock can be more stress. In an area of pre-existing faults, the
than ten times higher than those associated fault planes oriented such that they have the
with earthquakes. McKenzie (1969) noted that highest resolved shear stress will slip.
Estimating stress orientation 81
Table 3.1 Methods of in situ stress measurement and estimates of rock volume involved in each method
Method
3.2 HYDRAULIC METHODS case, the least horizontal stress is inferred from
the pressure (also called shut-in pressure) at
Hydraulic methods measure the state of stress
which the induced fractures dose in the
in situ in boreholes. Pressure is applied along a
pressure-time record. Several interpretation
section of a borehole isolated by packers and is
increased until existing fractures are open or procedures have been proposed on this sub-
new fractures are created. The fluid pressure ject. The largest horizontal stress is deter-
required to open, generate, propagate, sustain mined from the pressure-time record, the
and reopen fractures in rock at a given depth is stress concentrations around a circular hole in
measured and is related to the existing in situ an isotropic medium and knowledge of the
stress field. The direction of the in situ stresses rock tensile strength. Various interpretation
is inferred by observing or measuring the procedures have been proposed in the litera-
orientation of the hydraulically induced or ture with regard to what value of the tensile
open fractures. strength should be used, the type of stress
Hydraulic methods can be divided into analysis (Kirsch solution or fracture mech-
anics) to be employed for different rock types,
three subgroups: the hydraulic fracturing
method, the sleeve fracturing method, and the and the effect of temperature, fluids and poro-
hydraulic tests on pre-existing fractures elasticity. Both horizontal stress components
(HTPF) method. All three types have the main are determined by hydraulic fracturing if the
advantage that they do not require advanced measurements are made in vertical open
knowledge of the rock deformability proper- holes. In cased holes with perforations, which
are more popular in the oil and gas industry,
ties and that they can be carried out without
much difficulty below the water table. only the minimum horizontal stress can be
Hydraulic methods are discussed in more determined accurately.
In general the interpretation of hydraulic
detail in Chapter 4.
fracturing tests in very porous rocks can be
difficult. Also, in sedimentary rock formations,
3.2.1 HYDRAULIC FRACTURING hydraulic fracturing requires relatively thick
Hydraulic fracturing is by far the most popu- formations of at least 2-3 m and preferably
lar of the three hydraulic methods. Fairhurst larger. The applicability of hydraulic fractur-
(1964) was the first to recommend such a ing under hostile conditions such as under
method for stress measurement. The method- very high stresses and very high temperatures
ology has been tested in deep to very deep (above 200°C), which are found in ultradeep
vertical holes and in various (but continuous) boreholes, is very limited. There it is difficult
rock conditions. The deepest hydraulic frac- to crack the rock and special equipment
turing tests conducted to date have been at (valves, tubings and packers) is required. Also,
depths between 6 and 9 km (Te Kamp, the rock may show nonlinear as well as ductile
Rummel and Zoback, 1995). The vertical and behavior with possible borehole wall
horizontal stresses are assumed to be principal breakouts.
stresses and the vertical stress is assumed to be
due to the weight of the overburden rock. The
3.2.2 SLEEVE FRACTURING
rock is cracked by pumping water or drilling
mud in a section of a borehole. The orientation Sleeve fracturing is similar to hydraulic frac-
of the resulting fracture is obtained using tele- turing except that it has the major advantage
viewers or impression packers. By far the larg- that no fluid penetrates the rock upon fractur-
est proportion of in situ stress measurements ing. The method was first proposed by
by hydraulic fracturing has been obtained Stephansson (1983). A neoprene (hard rubber)
when vertical fractures are formed. In that membrane is inserted into the borehole and
98 Methods oj in situ stress measurement
pressurized. As in conventional hydraulic that stress field, a system of equations can be
fracturing, a fracture is initiated at the bore- created to determine the six in situ stress
hole wall once the pressure exceeds the rock components without making any assumption
tensile strength and the fracture propagates in with regard to the orientation of the principal
the direction perpendicular to the least stresses and the rock's constitutive behavior.
horizontal in situ stress. The maximum and The system can account for the lateral and
minimum principal stresses in the plane per- vertical variations of the in situ stress field in
pendicular to the borehole are determined the volume of rock involved in the HTPF tests.
from the breakdown and reopening pressures Further, the method does not require determi-
of an induced single or double fracture at the nation of the rock's tensile strength and is
borehole wall, and by using Kirsch solution. independent of pore pressure effects. The
The fracture orientation is determined using HTPF method requires the same equipment as
impression packers. Until fracturing, the test is the hydraulic fracturing method. However,
essentially a dilatometer test which can be when conducting HTPF tests, special attention
used to determine the rock mass modulus of must be placed on the fracture itself as it must
deformation, by assuming a value for the be of a size for which the normal stress can be
rock's Poisson's ratio. A drawback of the assumed to be uniform and its geometry must
sleeve fracturing method is that, compared be planar. The HTPF method requires a large
with hydraulic fracturing, the breakdown number of tests on fractures of various dips
pressure is not well defined, thus complicating and strikes in a region where the stress field
the interpretation of the field test results. can be assumed to be continuous. Further, the
Another limitation is that the induced frac- rock mass cannot be too fractured since each
tures do not propagate far from the borehole fracture needs to be isolated. Finally, it has
wall. been found that the HTPF method does not
work well in heterogeneous (stratified) rock
formations, but works well in homogeneous
3.2.3 HTPF METHOD
rock formations (Burlet, Cornet and Feuga,
The HTPF method is the only hydraulic 1989).
method and the only in situ stress determina-
tion method at great depth, where the bore-
3.3 RELIEF METHODS
hole does not have to be assumed to be vertical
and perpendicular to a principal in situ stress The main idea behind relief methods is to
component. The method was first proposed by isolate (partially or wholly) a rock sample
Cornet (1986) and consists of reopening an from the stress field in the surrounding rock
existing fracture of known orientation that has mass and monitor its response. This can be
previously been isolated in between two pack- done by different methods such as over- or
ers. From that point of view, it is the opposite undercoring holes, cutting slots or under-
of hydraulic fracturing where sections of bore- excavation. The stresses are not related to
holes with competent rock are sought. By applied pressures such as in hydraulic meth-
using a low flow rate of injection, the fluid ods. Instead, the stresses are inferred from
pressure which balances exactly the normal strains or displacements created by the relief
stress across the fracture is measured. The (unloading) process and measured on isolated
method is then repeated for other non-parallel rock samples, in boreholes or on the surround-
fractures of known orientation. Since the ing rock associated with the relief process. The
normal stress across a fracture depends on the successful interpretation of stress relief tests
six components of the in situ stress field and depends to a great extent on the ability (1) to
the orientation of the fracture with respect to establish a stress-strain (or displacement)
Relief methods 99
relationship for the rock, (2) to be able to limitations. First, the performance of the gages
determine rock mass properties from tests on or pins can be affected by humidity and dust.
samples, and (3) to have instrumentation Second, the strains or displacements are
sensitive enough to capture small strains or measured on a rock that may have been
displacements. It is common practice to relate disturbed and damaged by weathering and
strains or displacements to the in situ stress the excavation process itself. Third, stress con-
components through equations derived from centration factors have to be assumed in order
the theory of linear elasticity. Borehole and to relate the stresses measured locally in the
surface relief methods require rock volumes to walls of the excavation to the far-field stress
be fracture-free. Other techniques, such as components.
under-excavation, do not have those limita-
tions. In general, relief methods originally
3.3.2 BOREHOLE RELIEF METHODS
developed for hard rocks have been tested for
use in less ideal materials such as weak and The methods that use instruments in bore-
soft rocks, as well as evaporitic rocks such as holes, also known as overcoring methods, are
rock salt and potash. The success rate in such by far the most commonly used relief meth-
rock conditions has been found to vary a lot. ods. They can be classified as total relief meth-
Several stress relief methods have been ods. First, a large-diameter hole is drilled to
proposed since the early 1930s. They can be the required depth in the volume of rock in
divided into three major groups: (1) the which stresses have to be determined. In some
methods that involve strain or displacement techniques, a small pilot hole is drilled at the
measurements on rock surfaces in under- end of the previous hole. An instrumented
ground or surface excavations, (2) the device that can measure strains or displace-
methods that use instruments in boreholes, ments is inserted into the pilot hole. Then,
and, (3) the methods that involve the response drilling of the large-diameter hole is resumed
of large volumes of rock. Relief methods are and resulting changes of strain or displace-
discussed in more detail in Chapter 5. ment within the instrumented device are
recorded. A variety of instrumented devices
are available. Devices that seem to have had a
3.3.1 SURFACE RELIEF METHODS
high success rate in the field include the South
Surface relief methods were the very first tech- African CSIR triaxial strain cell (Leeman and
niques used to determine in situ stresses on Hayes, 1966), the Australian CSIRO Hollow
underground excavation walls. Rock surfaces Inclusion (HI) Cell (Worotnicki and Walton,
are first instrumented with gages or pins. 1976), and the US Bureau of Mines (USBM)
Then, the rock response to stress relief (by gage (Merrill, 1967). Most of these devices
cutting or drilling) is obtained by recording work well at distances not exceeding 10-50 m
the gages and pins before and after the relief from existing free surfaces and in good rock
process. A well-known surface relief method is conditions. They usually require unbroken
that of stress relief by center hole or under- cores at least 150 to 300 mm in length. Several
coring of Duvall (1974), where a hole 6 inches modified versions of the CSIR triaxial strain
(152 mm) diameter is drilled at the center of a cell and USBM gage have been proposed in
circle 10 inches (254 mm) in diameter along the literature and some of them have recently
which six pins have been installed 60° apart. been tested in vertical water-filled boreholes
The pin displacements induced by drilling are down to a depth of 500-1000 m.
related to the in situ stress components in the Another technique consists of attaching an
plane of the rock surface. instrumented device at the bottom of the
Surface relief methods suffer from many large-diameter hole which is then overcored.
100 Methods of in situ stress measurement
This approach does not require a pilot hole borehole is not exceeded. Phenomena such as
and has been used with the South Mrican core disking or shearing off of thin flakes of
CSIR 'Doorstopper' (Leeman, 1971) at dis- rock may make strain or displacement
tances from free surfaces not exceeding 60 m. measurements during overcoring very diffi-
Furthermore, the overcore does not have to be cult and the analysis meaningless. Hast (1979)
long as for the other overcoring methods. A suggested that with overcoring, and because
length of core of as little as 50 mm is required of these phenomena, the maximum recordable
for successful overcoring, thus making this stress is about 100 MPa. Herget (1986) repor-
instrument very useful for measuring stresses ted measured stresses in high-strength rocks
in weak and broken ground and in rocks in the Canadian Shield as high as 130 MPa,
under high stresses for which core disking is and at a depth of 2100 m.
common. An innovative but different borehole relief
A third and more recent technique was devel- method called 'borehole slotting' was pro-
oped in Japan and consists of attaching a posed by Bock and Foruria (1983) and Bock
spherical or conical strain cell to the bottom of a (1986). It consists of cutting three longitudinal
pilot hole which is then overcored (Kobayashi slots, 1200 apart, into the wall of a borehole.
et al., 1991; Sugawara and Obara, 1995). After Tangential strains induced by release of tan-
drilling the hole, its bottom surface is reshaped gential stresses are measured on the borehole
into a spherical or conical shape using special surface in the near vicinity of each slot. This is
drill bits. Thereafter, the bottom surface is a partial relief method which does not require
ground and polished before the strain cell is any overcoring. The method is fast, and the
bonded onto the rock. During the overcoring instrument is reusable and is self-contained in
operation, changes in strain are recorded con- both its stress release operations and strain
tinuously. Like the CSIR Doorstopper, a small measuring capabilities. However, the method
volume of rock is required for overcoring. is limited to two-dimensional analysis.
Depending on the instrument used to moni-
tor the rock during overcoring, the complete
3.3.3 RELIEF OF LARGE ROCK VOLUMES
state of stress can be determined in one, two or
three non-parallel boreholes. No assumption The main drawback with surface and borehole
needs to be made regarding the in situ stress relief methods is that they involve small rock
field as with the hydraulic fracturing method. volumes. Thus the measured stresses can be
Some problems may arise, however, with the sensitive to changes in the mineral composi-
installation of some of the instrumented de- tion of the rock and to the rock grain size.
vices in situ, in particular in wet and dusty Relief methods involving much larger rock
environments and poor rock conditions. How- volumes have been proposed. One method
ever, many of those problems seem to have consists of overcoring several strain gages on
been remedied over the past 5 to 10 years. the surface of a large-diameter bored raise and
Furthermore, when using more than one bore- at different levels in the bored raise (Brady,
hole, the stress field needs to be somewhat Friday and Alexander, 1976; Brady, Lemos and
homogeneous throughout the volume of Cundall, 1976; Chandler, 1993). The data can
interest. be analyzed to determine the local stresses or
The success rate with overcoring methods to determine the average stress over the entire
rarely exceeds 50% (Herget, 1993). The over- volume of rock involved in all the
coring method is also limited by the magni- measurements.
tude of the in situ stresses themselves. It can Other techniques consist of using measure-
only be used at depths for which the strength ments made while excavating an under-
of the rock in the wall and bottom of the ground opening. This approach was proposed
Strain recovery methods 101
simultaneously by Zajic and Bohac (1986) and to be carried out to obtain the complete in situ
Sakurai and Shimizu (1986). The rationale of stress field.
this approach is to measure displacements in The flat jack method represents one of the
one or several cross-sections of an opening first techniques used in rock mechanics for
following excavation. The displacements are measuring in situ stresses (Mayer, Habib and
related to the in situ stress field using ana- Marchand, 1951). It was very popular in the
lytical methods or numerical methods (finite 1950s and 1960s. The main advantage of the
element or boundary element method). flat jack method is that it does not require
Simplifying assumptions are usually made knowledge of the elastic constants of the rock
about the mechanical properties of the rock. in order to determine the tangential stress at
Another back-analysis approach, called the points in the wall of an excavation, and the
under-excavation technique by Wiles and stresses are measured directly. Furthermore,
Kaiser (1994), uses measurements in the near the equipment used in flat jack tests is rugged
vicinity of an advancing excavation. Com- and stable. Also, relatively large rock volumes
bined measurements, such as strains from can be involved in the tests and the stresses
CSIR or CSIRO HI cells and displacements can be determined over large areas. Never-
measured with convergence gages, extensom- theless, flat jacks have many disadvantages
eters, closure meters, tiltmeters or inclinom- and limitations that limit their range of appli-
eters, are used simultaneously to determine cation. Jacking methods are discussed more
the three-dimensional in situ stress field. The extensively in Chapter 6.
in situ stress field is determined (using a three-
dimensional boundary element method) as
3.5 STRAIN RECOVERY METHODS
the stress field that gives the 'best fit' to the
measured displacements and strain changes Strain recovery methods are based on moni-
associated with the advancing excavation. toring the response of core samples following
drilling. In many ways they can be seen as
relief methods.
3.4 JACKING METHODS
One method, called the anelastic strain
Jacking methods are sometimes called 'stress recovery (ASR) method, consists of instru-
compensating methods'. The equilibrium of a menting an oriented core sample following its
rock mass is disturbed by cutting slots (planar removal from a borehole and monitoring its
or circular) on rock surfaces. This in turn strain response as it continues to recover (or
creates deformations that are measured with relax) from the in situ state of stress (Teufel,
reference pins or strain gages placed in the 1982). It is assumed that the direction of the
near vicinity of the slots. Equilibrium is principal recovery strains coincides with the
restored by inserting a device such as a jack in direction of the in situ principal stresses. Deter-
the slots. Then the jack is pressurized until all mination of in situ stress magnitudes using the
deformations have vanished. In situ stresses ASR method requires a viscoelastic model for
are determined from the rock response during the rock response to unloading. In the analy-
pressurizing assuming the rock response to be sis, the vertical stress is usually assumed.
elastic. Another technique, called the differential
The flat jack method is by far the most strain curve analysis (DSCA) method, consists
popular of all jacking methods. When using of applying a hydrostatic pressure to a cubic
flat jacks, the cancellation pressure is used as a sample cut from an oriented drill core follow-
direct estimate of the stress normal to the jack. ing its removal from the ground (Strickland
Since each flat jack test yields one component and Ren, 1980). Microcracks which developed
of the in situ stress field, a total of six tests need during drill core removal and its expansion
102 Methods of in situ stress measurement
are then closed under pressure. The response kilometers deep and in all rock types. The
of the cubic sample to hydrostatic loading is deepest breakouts analyzed have been at a
monitored using strain gages previously depth of about 11.6 km in the Kola Peninsula
attached to its surfaces. Using a minimum of hole in the former Soviet Union (Zoback,
six strain gages, the principal strains due to Mastin and Barton, 1986). In general, break-
microcrack closure and their orientation can outs have helped to bridge the gap between
be determined. The principal directions of the near-surface stress indicators and deep stress
current in situ stress field and ratios between indicators from earthquake focal mechanisms.
the three principal in situ stresses can be deter- They are useful as stress indicators at large
mined assuming (1) that most of the micro- depths for which it is difficult to conduct
cracks in the core samples are due to the relief direct measurements of stress.
of the current in situ stress field, (2) that the in In general, it is difficult to use borehole
situ stress tensor has the same orientation as breakouts to estimate the magnitude of in situ
the strain tensor due to crack closure, and (3) stresses (although several attempts have been
that the cracks are proportional volumetrically proposed using the breakout geometry).
to the in situ stress magnitude in any Several models have been proposed for the
direction. formation of breakouts. In these models the
Strain recovery methods have been found to principal in situ stresses are assumed to be
be very well suited for stress measurements in horizontal and vertical. A conventional
deep to very deep wells for which many of the approach is to assume that breakouts are
other techniques do not work and for which formed in shear and that their location can be
only small core samples are available. Several predicted using the Kirsch solution for the
examples proposed in the literature have stresses around a circular hole drilled in a
shown that those methods can give reasonable linear elastic, isotropic and homogeneous con-
measurements of in situ stresses, especially tinuum subject to a three-dimensional stress
when combined with hydraulic methods. field at infinity. A Mohr-Coulomb failure cri-
Strain recovery methods are discussed in more terion is superimposed on the elastic stress
detail in Chapter 7. field in order to determine where failure takes
place. This theory may have limited value if
the rock is anisotropic or time dependent and/
3.6 BOREHOLE BREAKOUT METHOD
or yielding of the borehole wall takes place.
The rock around boreholes may not be able to Despite these limitations, borehole breakouts
sustain the compressive stress concentration have played a major role in defining stress
associated with the process of drilling itself. provinces in the World Stress Map Project, and
Breakage of the rock results in two dia- are reliable indicators of the direction of hor-
metrically opposed zones of enlargement izontal principal stresses in vertical boreholes.
called 'breakouts'. In vertical boreholes, the The borehole breakout method is discussed
smallest horizontal in situ stress component is further in Chapter 8.
assumed to coincide with the breakout direc-
tion. When logged in vertical boreholes, using 3.7 OTHER METHODS
tools such as dipmeters or borehole teleview-
ers, breakouts can give an estimate of the 3.7.1 FAULT-SLIP DATA ANALYSIS
orientation of the maximum and minimum As discussed in section 2.14.1, measurement of
horizontal principal stresses and the variation slickensides on a population of faults can be
of that orientation with depth. used to determine the orientation as well as
Breakouts have been used as an indicator of the magnitude of the in situ stress field. This
in situ stress orientation in boreholes several method, which involves large rock volumes
Other methods 103
(at the outcrop scale), is based on three other rock properties as a result of a change in
assumptions: (1) all the slickensides on the stress. Beside relief methods that use strains
faults in the population are related to a given and displacements, other techniques include
but unknown stress tensor, (2) motion on each monitoring of opening displacement and
fault plane is parallel to the acting shear stress convergence measurements (Martin, 1989), the
on that plane, and (3) fault motions are inde- acoustic method (Rivkin, Zapolskiy and
pendent. These provisos are important since Bogdanov, 1956), seismic and microseismic
they somewhat limit the range of application methods (Bridges et al., 1976; Martin, Read and
of the method. Lang, 1990; Swolfs and Handin, 1976; Talebi
This method has the main advantage that and Young, 1989), sonic and ultrasonic meth-
advance knowledge of the rock deformability ods (Aggson, 1978; Mao et al., 1984; Pitt and
properties is not required. However, Coulomb Klosterman, 1984; Sun and Peng, 1989), the
friction and the aforementioned assumptions radioisotope method (Riznichanko et al., 1967),
are implied in the analysis. If the method is the atomic magnetic resonance method (Cook,
used to determine the current in situ stress 1972) and electromagnetic methods (Petu-
field, there must be enough evidence that the khov, Marmorshteyn and Morozov, 1961). The
striations used in the analysis are related to in situ state of stress can also be measured by
that stress field only. The same limitations using holographic methods (Smither, Schmitt
apply if striations on fractures in core samples and Ahrens, 1988; Smither and Ahrens, 1991;
are used instead of striations on outcrop frac- Schmitt and Li, 1993) where displacements
tures, as suggested by Hayashi and Masuoka induced by the drilling of a small (stress-
(1995). It is noteworthy that using striations on relieving) hole at three different locations in
oriented core samples to determine in situ the wall of a borehole are measured using
stresses has great potential in rock double-exposure optical holograms. The
engineering. reader should note that these various tech-
niques are listed here for completeness but
will not be the subject of discussion in this
3.7.2 EARTHQUAKE FOCAL MECHANISMS
book since they have not yet gained much
As discussed in section 2.14.2, the first motion popularity in practice.
analysis of earthquakes can provide the sense Some remarks need to be made, however,
of faulting, and the relative magnitudes of the about a method called the Kaiser effect
three in situ principal stress components and method which has been investigated over the
their orientation. It is the only method that past 10 years as a potential method for deter-
provides data about in situ stresses at mid- mining in situ stresses. Research originally
crustal or greater depths (5-20 km) and conducted by Kaiser (1950) on the acoustic
involves very large rock volumes. The method emission of metal revealed that when the
is most effective for large earthquakes that stress on metal is relaxed from a certain level
occur deep within the crust at plate bound- and then increased, there is a significant
aries, but is also applicable to small earth- increase in the rate of acoustic emission as the
quakes within the interior of lithospheric stress exceeds its previous higher value.
plates and in the vicinity of mines and oil and Several attempts have been made to use this
gas fields. observation, also known as the Kaiser effect, as
a method for determining in situ stresses in
rock. In particular, it has been hypothesized
3.7.3 INDIRECT METHODS
for a long time that the stress experienced by a
Indirect methods measure stresses by looking rock in situ could be inferred by monitoring
at changes in some physical, mechanical or acoustic emission on core samples cut from
104 Methods of in situ stress measurement
different directions and loaded cyclically in 3.7.5 MEASUREMENT OF RESIDUAL
uniaxial compression in the laboratory. An STRESSES
extensive review of the different studies con- As discussed in Chapter 2, residual stresses
ducted on the Kaiser effect can be found in represent a class on their own. There seems to
Holcomb (1993). Despite encouraging results be a consensus in the literature that they exist
obtained by several authors showing a fairly on at least two different scales: the microscopic
good correlation between stresses determined scale and the macroscopic scale. Depending on
with the Kaiser effect and with other methods, the scale that is being considered, the methods
research carried out by Holcomb (1993) used for the measurement of residual stresses
revealed that using the acoustic emission emit- are different. At the microscopic scale (crystal
ted during uniaxial compression laboratory or grain scale), possible methods include the
tests to infer in situ stresses could not be calorimetric technique, the X-ray technique
justified. and the spot-drilling or center hole-drilling
technique. A review of these methods can be
3.7.4 INCLUSIONS IN TIME-DEPENDENT found, for instance, in Voight (1966) and Bock
MATERIALS (1979). It is noteworthy that all these methods
were borrowed from the study of residual
Inserting and casting an inclusion in a bore- stresses in metals. At the macroscopic level
hole drilled in an already stressed material (specimen to rock mass), overcoring of over-
with creep properties can theoretically be a cored specimens (double overcoring) or
technique to measure in situ stresses in rock. undercoring of undercored specimens is
Indeed, viscoelasticity theory tells us that with highly recommended.
time the steady state of stress in the inclusion
will approach the absolute stress in the rock
3.8 ROCK VOLUME IN STRESS
(Peleg, 1968). Thus if the creep characteristics
MEASUREMENTS
of the rock are known, stresses can be deduced
from inclusion readings over shorter periods All the techniques mentioned above involve
of time (Berry and Fairhurst, 1966; Leeman, rock volumes that differ by several orders of
1971). magnitude. A list of volume estimates is given
This concept has been used in the literature in Table 3.1. According to this table, very few of
for measuring in situ stresses in viscoelastic the stress measurement methods involve large
rocks such as rock salt or potash for which volumes of rocks. The earthquake focal mecha-
other methods of stress measurements have nism method provides stress information at
had a limited amount of success. Inclusions mid-crustal or greater depths and includes by
such as the vibrating wire stressmeter, flat far the largest rock volumes, of the order of
jacks and other borehole pressure cells such as 109 m 3 . The fault-slip data analysis method
the Glatzl (or Gloetzl) cell have been installed comes next with slitPhtly smaller rock volumes,
in rock masses or in boreholes to measure of the order of 10 m 3 , because of its surface
absolute stresses, and thereafter monitor stress nature. This is followed by the large rock
changes. An interesting application of this volume relief methods. For instance, the overall
method was demonstrated by Natau, Lempp volume of rock involved in the bored raise tests
and Borm (1986) in Germany and by Lu (1986) of Brady, Lemos and Cundall (1986) has been
from the US Bureau of Mines in Denver, estimated to be about 100 m 3 (Fig. 3.1a). Accord-
Colorado. Lu (1986) used a system of three ing to Zou and Kaiser (1990) and Wiles and
pressure cells (one cylindrical cell and two flat Kaiser (1994), the under-excavation technique
cells) to determine absolute stresses and stress involves several hundred or thousand cubic
changes in salt and coal. meters of rock (Fig. 3.1b). All these methods
Accuracy and uncertainty in stress measurements 105
20
10~(J3
Sm
Fig. 3.2 Random variations of principal stresses measured along a borehole in uniform rock conditions.
(Source: Leijon, B.A., Copyright 1989, with kind permission from Elsevier Science Ltd, The Boulevard,
Langford Lane, Kidlington, UK.)
Accuracy and uncertainty in stress measurements 107
(is 14
c..
::E
~ 12
0
~
If) 10
::l
"3
"0
0 8
E
If)
-0)
c: 6
::l
~ 0 2 3 4 5
Length (m)
Fig. 3.3 Variation of modulus of elasticity along a borehole in granitic rock. (After Aytmatov, 1986.)
108 Methods of in situ stress measurement
samples. Martin, Read and Chandler (1990) when measuring in situ stresses, we want a
concluded that temperature variations of less volume large enough to obtain a representa-
than 2°C do not significantly affect the over- tive sample of the in situ stress field.
coring test results. On the other hand, varia- In hydraulic fracturing tests, errors may
tions of 8°C can change principal stress arise if the borehole is inclined and is not
magnitudes by as much as 25%. The accuracy vertical. Even if it is vertical, hydraulic frac-
of the instruments can also vary with the type tures may initially (or not) propagate in the
of temperature compensation scheme used vertical direction and then turn to become
(Cai, 1990) and if a quarter-bridge, half-bridge parallel to most favorably oriented pre-
or full bridge is used (Garritty, Irvin and existing natural cracks, joints or partings in the
Farmer, 1985). rock. This phenomenon can create a major
Tsur-Lavie and Van Ham (1974) investi- source of error in the analysis of hydraulic
gated different sources of error when measur- fracturing tests (Brown, 1989). According to
ing stresses with the undercoring method. Haimson (1988), the conventional theory for
They found that errors in the readings of the the analysis of hydraulic fracturing tests
pin displacements of 0.001 rom would result in assuming a vertical fracture gives reliable esti-
small errors in the calculated stresses if the mates of the in situ stress field as long as the
stresses are high. They also found that hole fracture deviates only several degrees from the
eccentricity and errors in measuring pin vertical (less than 20°). Additional sources of
location would only result in small errors uncertainty when measuring in situ stresses
when calculating the stresses. The conclusions with hydraulic fracturing might be related to
of Tsur-Lavie and Van Ham (1974) should the malfunction of packers, valves and pumps
probably apply to other surface methods as or to the use of cased instead of open holes.
well.
All the problems mentioned above are even
3.9.3 DATA ANALYSIS-RELATED
more critical when conducting measurements
UNCERTAINTY
at shallow depths, for which the measured
strains or displacements are in general small Uncertainty can be associated with errors in
and the measuring instruments work near the selection of data to be analyzed, such as
their limit of resolution. In such conditions, strains or deformations in overcoring tests. For
slight changes in the experimental conditions, instance, neglecting strain gage length when
such as changes in temperature during over- analyzing overcoring results may create some
coring, could drastically affect the measure- error. Natau (1974) and Amadei (1986)
ments (Cooling, Hudson and Tunbridge, 1988; reported errors of 2 and 5% for the CSIR and
Garritty, Irvin and Farmer, 1985). Furthermore, CSIRO HI cells placed in 38 mm diameter
as discussed in Chapter I, stresses at shallow holes. Mills and Pender (1986) recommended
depths may also be affected by phenomena using smaller strain gages of the order of 5 rom
such as diurnal and seasonal variations in in length rather than 10 mm. They found that
temperature, and Moon pull, which may add for longer gages, the average strain could be
to the observed scatter. quite different from the strain at the middle of
When using more than one borehole to the gage. When analyzing strains obtained in
determine the in situ state of stress such as overcoring, special attention must be placed
with the USBM gage or the CSIR Doorstopper, on the size of the strain gages with respect to
errors may arise if the volume of rock involved the size, shape and distribution of rock grains
with all the boreholes is too large. The volume and pores (Cyrul, 1983). It has been found that
must be kept to a minimum and within the consistent strain readings in rock are usually
size of the stress domain. On the other hand, obtained when strain gages have a length
Accuracy and uncertainty in stress measurements 109
greater than or equal to ten times the average lie fracturing tests. As discussed in Chapter 5,
crystal dimension (Garritty, Irvin and Farmer, determination of the elastic properties
1985). through biaxial testing is subject to some
In hydraulic fracturing, uncertainty may errors, in particular when dealing with
arise in the interpretation of the fluid pressure complex cells such as the CSIRO HI cell
versus flow behavior during crack initiation (Worotnicki, 1993). The other alternative,
and propagation (Fairhurst, 1986). For in- which is to test rock cores, may also yield
stance, errors may arise when selecting the errors. Tests on overcore samples containing
shut-in and reopening pressures, and the rock either a CSIRO HI cell or a LuH gage con-
tensile strength. Using the results of hydraulic ducted by Leijon and Stillborg (1986) revealed
fracturing tests at the Basalt Waste Isolation that markedly different rock properties could
Project in Hanford, Washington, Aggson and be determined by using biaxial tests or triaxial
Kim (1987) compared five different methods of tests (biaxial plus longitudinal loading) on the
determining the shut-in pressure and ana- overcores. Triaxial testing was found to
lyzed their effect on stress determination. increase the values of the Young's modulus by
They found that for their specific set of data, as much as 20% compared with biaxial load-
and depending on the method used, the calcu- ing. Also, the biaxial test values for the Pois-
lated minimum and maximum horizontal son's ratio were found to be on average more
stresses could vary as much as 4.9 MPa (14%) than twice as large and more scattered than
and 14.7MPa (23%), respectively. those obtained by triaxial testing. It is note-
Errors may arise when assumptions asso- worthy that this discrepancy in the elastic
ciated with individual measuring techniques properties must come from the rock since
are not fulfilled or are partially fulfilled. For Leijon and Stillborg (1986) reported that biax-
instance, overcoring tests are often analyzed ial and triaxial tests on an aluminum cylinder
by assuming that the rock is a linearly elastic, yielded similar properties. As remarked by
isotropic and homogeneous continuum. Leijon and Stillborg (1986), such discrepancies
Errors may be created due to nonlinear or in the elastic properties have a strong effect on
inelastic response, time-dependent response, the in situ stresses, as illustrated in Fig. 3.4.
overstressing (yielding) of the rock after drill- This figure shows the effect of varying the
ing, anisotropy, and inhomogeneities at the Poisson's ratio on the magnitude of the princi-
scale of the overcore sample. pal stresses. It can be seen that the effect is
Errors may arise in the analysis of hydraulic moderate for low values of the Poisson's ratio
fracturing tests by assuming that the vertical and increases as the Poisson's ratio approa-
stress is a principal stress. For flat jack tests the ches the limiting value of 0.5.
stresses across the jacks may not be uniform, Another source of error can be created when
as is often assumed. Using flat jacks in areas of analyzing the results of stress measurements
high stress gradients or in sections of under- conducted at several locations and when
ground openings that have been disturbed determining the average principal stresses for
may yield erroneous stress measurements. If a certain region of interest. As remarked by
the rock shows a viscous behavior, substantial Hudson and Cooling (1988) and Walker,
errors may arise by analyzing field test results Martin and Dzik (1990), the magnitude and
using the theory of linear elasticity. orientation of the average principal stresses
Another source of uncertainty is associated cannot be determined by simply calculating
with errors in the mechanical properties enter- the average of the magnitudes and the average
ing into the calculation of the stresses such as of the orientations of the principal stresses.
the Young's modulus and Poisson's ratio in This approach may lead to non-orthogonal
overcoring tests or tensile strength in hydrau- average principal stresses. All stress tensors
110 Methods of in situ stress measurement
(J1
10
(J2
8
as
a.. 6 (J3
~
(/)
~ 4 S
CiS
O~--~----~----L---~----~--
o 0.1 0.2 0.3 0.4 0.5
Poisson's ratio, v
Fig. 3.4 Effect of the value of Poisson's ratio on Fig. 3.5 Schematic example illustrating sampling
magnitude of in situ stresses determined by over- bias due to variable rock conditions. Diagram
coring. (After Leijon and Stillborg, 1986.) shows variation of the rock mass stiffness 5 and the
mean stress u. In this diagram, Urn and Ut denote the
measured and true borehole averages, respectively.
must first be expressed in the same coordinate (Source: Leijon, B.A. Copyright 1989, with kind
system. Then the average stress tensor is calcu- permission from Elsevier Science Ltd, The Boule-
lated by determining the average of each of vard, Langford Lane, Kidlington, UK.)
the six stress components. Finally, the average
principal stresses and their orientation are rocks, such as shales or other clay-bearing
determined from the eigenvalues and eigen- rocks, which are included in the analysis of
vectors of the average stress tensor. overcoring tests. When subject to unloading,
It must also be kept in mind that most stress such rocks often expand and deteriorate rela-
measurements are carried out in good and tively quickly. Thus the rocks tested later in the
competent rock conditions. Among engineers, laboratory will appear softer than in situ.
geologists and geophysicists there is a maxim According to Franklin and Hungr (1978), this
that in situ stresses cannot be determined in phenomenon may be responsible for the
fractured or weak rocks. Since, as discussed in observation made by some authors that softer
sections 2.6 and 2.12, stiffer and harder rocks rocks carry higher horizontal stresses. In
seem to be able to carry higher than average in general, errors in stress determination with
situ stresses, a significant error in measuring in methods such as overcoring can be expected
situ stresses may result (Voight, 1966), with a even in medium- to good-quality rocks due to
bias toward an overestimation of in situ the sampling process itself and possible altera-
stresses (Leijon, 1989). This is illustrated sche- tion associated with coring and core
matically in Fig. 3.5 for a borehole traversing a handling.
series of porous, fractured and sound rock
sections with different stiffnesses. Thus sig-
3.9.4 UNDERSTANDING AND REDUCING
nificant errors may arise due to indiscriminate
UNCERTAINTIES
selection of sites for stress measurements.
Another source of bias is associated with the Many of the uncertainties listed above can be
determination of elastic properties of weak overcome or at least understood (or even
Accuracy and uncertainty in stress measurements III
quantified) by using one or several of the (2) Discard bad (erroneous) data resulting
following steps. from obvious blunders in the measurements.
(1) Conduct laboratory tests where instru- Bad data points that fall outside the range of
ments are subjected to known stress fields and normally expected random deviations may be
simulated field conditions. The orientation discarded, based on statistical analysis,
and magnitude of the measured stresses are response to loads or simple compatibility tests.
then compared with those applied. Such This must be done in a consistent and
laboratory experiments can help, among other unbiased manner. For instance, in overcoring
things, in identifying the limitations of the tests, strain gage readings may be discarded
instruments, their performance and accuracy, because of obvious debonding (partial or com-
and their suitability in various geological plete), low sensitivity or core breakage. Such
environments. They can also help in assessing phenomena usually create anomalies and
if the rock responds during overcoring in a irregularities in the strain or displacement
linearly elastic manner or if it has any non- relief curves recorded during overcoring. Such
linear or time-dependent characteristics curves can therefore be used as a diagnostic
requiring the rock to be treated as viscoelastic tool to evaluate the quality of the measure-
or with more complex constitutive behavior. ments (Blackwood, 1978). Good relief curves
An example of an extensive experimental are usually regular and stabilize after the
study conducted to verify the suitability of the depth of overcoring is beyond the plane of
USBM gage, the CSIRO HI cell, the CSIR cell measurement. Compatibility checks between
and a solid inclusion cell for rock stress the strains in a given strain rosette or in
measurements was reported by Cai (1990). between separate rosettes may also help in
Full-scale overcoring tests under biaxial loads eliminating bad data. Biaxial (radial) tests or
were carried out in rock (coal, sandstone and uniaxial tests on the overcore after core
marble) and rock-like materials (cement recovery may also indicate deficient and mal-
mortar and cement concrete) with Young's functioning strain gages. Another simple test
moduli ranging between 3 and 40 GPa. Such that can be used with USBM-type gages and
tests were able to reveal the performance of the CSIR Doorstopper (in order to identify bad
various instruments in materials ranging data) is to check if the sum of two normal
from ideal linearly elastic, homogeneous and strains or two diametral deformations in two
isotropic continua to less ideal nonlinearly orthogonal directions is close to being invar-
elastic, heterogeneous and anisotropic discon- iant. In hydraulic fracturing tests the absence
tinua. All the tests on ideal media revealed of a distinct breakdown pressure in the
that all the instruments were reliable with a pressure-time record may indicate reopening
difference between applied and measured of an existing fracture or joint.
stresses of less than 10%. On non-ideal materi- (3) Compare stress measurements in the
als, the differences were found to be much same borehole obtained with the same method
larger (Cai, Qiao and Yu, 1995). or compare parallel measurements obtained
Simulated field conditions can also be done with different methods. Such comparisons
by conducting block tests in situ, a good provide a measure of consistency of the stress
example of which can be found in Gregory et measurements. Repeating tests a number of
al. (1983) in relation to the Near-Surface Test times along one, or occasionally more than
Facility at the Basalt Waste Isolation Project in one hole, can be used to quantify and smooth
Hanford, Washington. There, five overcoring out apparent scatter of the results obtained.
techniques were tested and all were found Multiple boreholes can also be used as a
unsuitable for the closely jointed rock found at crosscheck. In general, it is believed that
the site. using hybrid stress methods can reduce
112 Methods of in situ stress measurement
uncertainties in stress determination (Brudy et example of continuous monitoring of in situ
al., 1995; Cornet, 1993; Haimson, 1988). conditions obtained with a data logger during
(4) Analyze the results of stress measure- overcoring of a CSIR-type of triaxial strain cell
ments using statistical techniques (Cornet and at the URL site. The advantage of monitoring
Valette, 1984; Dey and Brown, 1986; Gray and test conditions is that adjustments can be
Toews, 1968, 1975; Panek, 1966; Walker, Martin made to reduce uncertainties. Also, correc-
and Dzik, 1990; Worotnicki, 1993). Methods tions can be applied to the various measure-
such as least squares and Monte Carlo analysis ments. Discussion of the importance of
can be used to determine the magnitude and applying corrections to account for the effect
orientation of mean principal stresses, as well of temperature in the analysis of strain
as their domain of variation for different con- measurements with a modified CSIR Door-
fidence intervals. stopper can be found in Corthesy, Gill and
(5) Monitor (if possible) as many in situ and Nguyen (1990).
laboratory test conditions as possible, such as (6) Investigate whether the observed
humidity, rock and air temperatures, and drill- scatter in stress measurements can be related
ing fluid temperature. Figure 3.6 shows an to the effect of topography, anisotropy,
-...
6
Q)
~:j
:l
...
1;; Waterin~
Q)
Water out>
a.
E
Q)
t-
'iU-
~~ 600,---------------------------------~
i~~~ 400 -.L----~- ~!?
, ...
lZ ~m 200 11~~~~==~::;:~::::::::~~=-~::==
:l c~~
10 .- E
a. Drilling rate./' 'E E
etC/)
Q)
a 00-
800
c 600
.~
Fig. 3.6 Typical example of continuous monitoring of in situ conditions during overcoring of a CSIR-type
strain cell at the URL site in Canada. (After Martin, Read and Chandler, 1990.)
Accuracy and uncertainty in stress measurements 113
heterogeneities or any geological structures. the site geology and the difficulties encoun-
Such effects can be simulated using analytical tered when conducting measurements in the
or numerical techniques. geological environment of interest. According
to Goodman (1989), results are usually con-
sidered satisfactory if they are consistent and
3.9.5 EXPECTED UNCERTAINTIES
give stress values to within about 0.3 MPa.
Although the accuracy varies with the method Leijon (1986) found that four to five overcoring
employed, a natural scatter in in situ stress tests with the LuH gage in a homogeneous
measurements should be expected as for any granite in the Malmberget mine in Sweden
other rock properties. According to Gonano were sufficient to determine the principal
and Sharp (1983) for borehole strain devices, stress magnitudes with an accuracy of 14%
' ... confidence intervals of the order of ±20% (±3 MPa) at a depth of 600 m. For five tests, the
are generally the limit of accuracy obtainable, accuracy on the stress orientation was about
even with rock masses that can be described as 15°. The same number of tests conducted in a
linear elastic'. Herget (1986) mentioned that highly foliated and jointed leptite at the same
errors of ±10-15% for stress components are depth, but at a different location in the mine,
common. Rocha (1968) concluded that in situ increased the uncertainty to 35% (±8 MPa) for
stresses could be determined with flat jack the stress magnitude and 40° for the stress
tests with an error of less than 10%. When orientation. In the granite it was found that the
estimating in situ stresses at large depths in the confidence was not improved by conducting
Carnmenellis granite, Pine and Kwakwa additional tests. On the other hand, for the
(1989) reported errors of the order of ±15% leptite it was found that the confidence could
for the maximum horizontal stress, ±5-1O% be somewhat improved by doubling the
for the minimum horizontal stress, and ±5% number of tests.
for the vertical stress. The results of hydraulic In general, it is recommended that the
fracturing tests by Haimson (1990) in the Sioux presentation of stress measurement data in-
Falls quartzite were presented with errors of cludes error bars or confidence intervals (with
±10% for the vertical stress, and ±15% and mean value and standard deviation) for both
±25% for the minimum and maximum hori- stress magnitude and stress orientation. For
zontal stresses, respectively. The orientation instance, Fig. 3.7 gives the orientation and
of the latter was measured with an error of magnitude of the three mean principal stresses
±15°. This is comparable with the 5-20° varia- based on the results of six measurements con-
tion in hydro fracture orientation reported by ducted in a single borehole at the URL site in
Baumgartner et al. (1993) and Brudy et al. Canada (Walker, Martin and Dzik, 1990). The
(1995) for the KTB and Cajon Pass holes. 90% confidence intervals for stress magnitude
Finally, Warpinski and Teufel (1991) suggested and orientation obtained using a Monte Carlo
that in hydraulic fracturing, the minimum analysis are also shown. As a second example,
in situ principal stress determined from the Figs 3.8a, b show the uncertainty on the mag-
shut-in pressure could be determined with an nitude and orientation of principal stresses
accuracy of 0.1-0.2MPa in clear pressure determined with the DSCA method obtained
records and 1-2 MPa for more obscure by Dey and Brown (1986) down to a depth of
pressure records. 4 km at the Fenton Hill Hot Dry Rock site in
The answers to what can be considered an New Mexico. These figures indicate rotation of
acceptable in situ stress measurement and how the principal stresses with depth and depth-
many reliable stress measurements need to be dependent uncertainty. Finally, as a last illus-
carried out are somewhat subjective. They trative example, Figs 3.9a, b show the
largely depend on the type of technique used, magnitude of the horizontal principal stresses
114 Methods of in situ stress measurement
2.5
Confidence intervals (MPa)
Principal stress Lower 90% Mean Upper 90%
3.0
0", 30.97 34.03 37.59 . - Overburden
E
0"2 16.01 17.74 21.02 ~
4.0
4.5 '---'-------'-"'----'----'--'----'-----'
o ~ W ~ 100 1~ 1W
N Stress (MPa)
(a)
N 2880m N 3315 m
w E w E
S S
N 3536m N 3791 m
90%
confidence E E
interval
Mean
S S
Fig. 3.7 Confidence intervals for principal stress (b)
magnitude (table) and orientation (hemispherical
projection). In situ stress measurements from bore- Fig. 3.8 Stress measurements determined with the
hole 209-056-0C1 at the URL site in Canada. (After DSCA method down to a depth of 4 km at the
Walker, Martin and Dzik, 1990.) Fenton Hill Hot Dry Rock site in New Mexico. (a)
Stress magnitude versus depth. The horizontal bars
represent an error of one standard deviation on the
estimates. At a given depth, the bars represent from
and the orientation of the maximum hori- left to right the minimum, intermediate and max-
zontal stress with depth obtained by Haimson imum principal stresses. (b) Stress orientation and
(1982) by hydraulic fracturing of three holes uncertainty at different depths using lower hemi-
near Anna, Ohio. The stresses were measured sphere stereographic projection. (After Dey and
Brown, 1986.)
at depths from 0 to 200 m. Several tests resul-
ted in horizontal fractures due to horizontal
bedded partings in the rock, thus giving an
estimate of the vertical stress (Fig. 3.9a). Linear lying rock), and the maximum and minimum
regression analysis of the hydraulic fracturing horizontal stresses (JHmax and (JHmin
test results gave the following variations with
(J;t = 0.026z; (Jv = 0.4 + 0.029z
depth z (at depths larger than 50 m) for the
vertical stress, (Jv (determined from the hor- (JHmin = 5.1 + 0.014z at N200W (3.1)
izontal hydraulic fractures), the vertical stress,
(J;t (estimated from the weight of the over- (JHmax = 10.1 + 0.014z at N700E
Accuracy and uncertainty in stress measurements 115
• • •
50 50 - I. r-
I •
E I
·1· I
I ./'" N700E ± 15°
I (50-160 m)
100 100 - r-
•
.r: .r:
a. a.
Q
Q)
Q
Q)
I
I·
I
150 150 - I r-
.~.
• cr.
• I • • G Hmin
... GHmax
200~-------.-------.--------r 200 I I I I I
(a) (b)
Fig. 3.9 Stress data in three quarries near Anna, Ohio. (a) Variation of principal stresses with depth and
(b) variation of major horizontal stress direction with depth. (Adapted from Haimson, 1982.)
As remarked by Haimson (1982), the varia- ences in the magnitude of the stresses deter-
tions of rJv and rJ;t with depth in Fig. 3.9a mined. Doe (1983) gives differences of the
confirm the reliability of estimating the verti- order of 20% for the stress magnitudes
cal stress from the weight of the overlying obtained with those two methods. Haimson
rock. Here rJv is slightly larger than rJ;t by an (1981) compared hydraulic fracturing test
average of 0.7 MPa. Figure 3.9a also shows the results with overcoring test results at several
scatter in the horizontal stresses around the sites in North America and in Sweden. He
best-fit lines defined by equations (3.1). The found that (1) the directions of the horizontal
minimum and maximum horizontal stresses stresses determined by the two methods were
can deviate by as much as ± 1.25 and within ±IQo, (2) the magnitudes of the mini-
±2.50 MPa, respectively. The standard devia- mum horizontal stress were within ±2 MPa
tion in the direction of the maximum hori- (equivalent to a discrepancy of up to 30% of
zontal stress is ± 15° around the N700E the stresses determined by hydraulic fractur-
direction. ing), (3) the magnitudes of the maximum hor-
The combined effect of volume and the izontal stress were within ±5 MPa (equivalent
errors associated with each technique may to a discrepancy of up to 50% of the stresses
create discrepancies when comparing stress determined by hydraulic fracturing) and (4)
measurements obtained with different the principal stress axes between the two
methods. Gonano and Sharp (1983) estimated methods were less than 30° apart. According
that errors in both hydraulic fracturing and to Haimson (1981), the larger discrepancy for
overcoring methods may lead to 5-10% differ- the maximum horizontal stress arises from
116 Methods of in situ stress measurement
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120 Methods of in situ stress measurement
technique - I: theory. Int. J. Rock Mech. Min. Sci. & mass, in Proc. Int. Symp. on Large Rock Caverns,
Geomech. Abstr., 31, 439-46. Helsinki, Pergamon Press, Oxford, Vol. 2, pp.
Worotnicki, G. (1993) CSIRO triaxial stress measure- 1123-31.
ment cell, in Comprehensive Rock Engineering (ed. Zoback, M.D., Mastin, L. and Barton, C. (1986)
J.A. Hudson), Pergamon Press, Oxford, Chapter In-situ stress measurements in deep boreholes
13, Vol. 3, pp. 329-94. using hydraulic fracturing, wellbore break-
Worotnicki, G. and Walton, R.J. (1976) Triaxial outs, and stonely wave polarization, in Proc. Int.
hollow inclusion gauges for determination of Symp. on Rock Stress and Rock Stress Measure-
rock stresses in-situ, Supplement to Proc. ISRM ments, Stockholm, Centek Publ., Lulea, pp.
Symposium on Investigation of Stress in Rock, 289-99.
Advances in Stress Measurement, Sydney, The Zou, D. and Kaiser, P.K. (1990) In situ stress deter-
Institution of Engineers, Australia, pp. 1-8. mination by stress change monitoring, in Proc.
Zajic, J. and Bohac, V. (1986) Gallery excavation 31st US Symp. Rock Mech., Golden, Balkema,
method for the stress determination in a rock Rotterdam, pp. 27-34.
HYDRAULIC METHODS 4
Time
Time
Fig. 4.1 First idealized diagram of stress determination by hydraulic fracturing showing two possible
types of pressure behavior during fracture treatment depending upon various underground conditions.
(Redrawn after Hubbert and Willis, 1957.)
industry in the Gulf Coast, mid-continental Scheidegger (1962) was the first scientist to
and West Texas-New Mexico areas of the propose a method for determining the three
United States required injection pressures less principal stresses in the Earth's upper crust
than the overburden pressure, Hubbert and directly by analyzing the bottom hole pressure
Willis (1957) concluded that most of these charts obtained from the hydra-fracturing (old
fractures were vertical and controlled by the term for hydrofracturing) process of oil wells.
pre-existing stress field of the rocks into which He investigated the connection between frac-
the fluid was injected. turing in wells and the prevalent regional
124 Hydraulic methods
stress for penetrating and non-penetrating stresses and the orientation of fractures, but
fluids. He also introduced the finite strength of Fairhurst (1964) was the first to recommend
the rock into the equations for hydraulic frac- hydraulic fracturing for the primary purpose
turing. Furthermore, Scheidegger (1962) noted of stress measurement. He listed several
that the bottom hole pressure during a fractur- attractive features of hydraulic fracturing not
ing job usually settles to a value which is less possessed by the other stress measurement
than the fracture pressure. Like Hubbert and techniques available at that time, such as the
Willis (1957), he assumed that this pressure is flat jack and overcoring methods. Fairhurst
just able to keep the fracture open and there- (1964) also adopted the theory developed by
fore must be equal to the least principal stress Kehle (1964) to study the stresses developed
acting in the plane perpendicular to the around the wall of the pressurized interval
induced fracture. Scheidegger (1962) calcu- between two packers and developed a simple
lated the regional stresses and the apparent theory to determine the stress distribution
tensile strength for five wells in Canada for around a hole in orthotropic rock subjected to
which bottom hole pressure charts were avail- a far-field stress. He also stressed the possi-
able at that time during a fracturing operation. bility of determining fracture orientation by
The stress state was found to correspond to using an inflatable lining extruded slightly
incipient wrench faulting, and to be in into the fracture, similar to the technique dem-
agreement with the transcurrent faulting onstrated by Fraser and Pettitt (1962). The
postulated by seismologists from their fault- impression packer technique is still exten-
plane solutions of earthquakes in the same sively used today for determining hydraulic
region. fracture orientation.
Kehle (1964) provided the next significant The process of hydraulic fracturing as a
step in the development of hydraulic fractur- method for determining in situ stresses in
ing by analyzing the stress distribution around brittle elastic formations at great depths was
the packed-off section of a well and the shear analyzed both theoretically and experimen-
stresses caused by the packers. The short- tally in the doctoral thesis by Haimson (1968).
coming of Kehle's model is the oversimplifica- This work represents a milestone in the history
tion of the shear stress bands produced by the of hydraulic fracturing as Haimson (1968) was
rubber packers. Later, Haimson (1968) pointed the first to point out the importance of inves-
out that rubber is incompressible, so that axial tigating whether or not the fluid used to
compression results in a considerable lateral induce and extend the fracture penetrates and
expansion which applies a normal load to the flows into rock strata. Haimson (1968) showed
wellbore wall and thereby reduces the stress that the pumped flow raises the pore fluid
concentration at the corners between the pressure in porous formations and creates
rubber packers and the open hole. This will additional stresses and displacements. This in
diminish the possibility of horizontal fracture turn lowers the critical pressure required to
initiation at these corners. Later, Stephansson initiate the fracture and reduces the width of
(1983a) presented the results of laboratory the newly formed fracture.
tests of packers installed in steel tubes where In a joint paper, Haimson and Fairhurst
he demonstrated the very low risk of fracture (1967) proposed a criterion for the initiation of
initiation at the packer ends of a straddle vertical fractures, taking into consideration the
packer with a steel mandrel. contribution of the following three stress fields
Hubbert and Willis (1957), Scheidegger around a wellbore: (1) the non-hydrostatic
(1962), Kehle (1964) and others discussed the regional stresses in the Earth's crust, (2) the
implications of pump pressure records in difference between the fluid pressure in the
wellbores with regard to the regional tectonic wellbore and the formation fluid pressure, and
Hydraulic fracturing 125
(3) the radial fluid flow through the porous measurements were considered very suc-
rock from the wellbore into the formation due cessful and a flurry of hydrofracturing
to the pressure difference. research activities followed. Soon hydraulic
Despite the extensive theoretical work on fracturing was used to measure rock stresses
the subject of hydraulic fracturing that had from inside tunnels and shafts, as well as from
been carried out by the mid-1960s, the amount boreholes drilled at the surface, to solve engi-
of experimental work had thus far been very neering problems. At the same time, hydraulic
limited. In Haimson's thesis (1968), about 400 fracturing increased our understanding of the
tests on hollow cylindrical and cubical speci- state of stress in the Earth's crust (Bredehoeft
mens of five different porous and non-porous et al., 1976; Haimson, 1976, 1978a, b, 1980;
rocks were conducted under constant triaxial Rummel and Jung, 1975; Zoback, Healy and
external loading and increasing borehole fluid Rolles, 1977; Zoback, Tsukahara and Hick-
pressure. In all of the samples tested, the mann, 1980).
induced hydraulic fractures were always ten-
sile and no shear failure was observed. The
(a) First workshop on hydraulic
fractures in all the rock types were either
fracturing
vertical or horizontal depending on the
applied stresses. Later, Haimson and Fairhurst The first workshop on hydraulic fracturing for
(1970) made the statement that hydraulic frac- stress determination was held in Monterey,
turing may soon cease to be a potential California, in 1981. Scientists and engineers
method and become a practical tool of stress interested in the technique convened for the
determination. first time to compare the different approaches,
Two of the first opportunities to test the and also to learn from colleagues in order to
hydraulic fracturing method in the field were improve the method. At that time, stress
made in an underground mine and a granite measurements with hydraulic fracturing had
quarry, both in Minnesota, by Von Schonfeldt been introduced: (1) in North America by
and Fairhurst (1970). The tests were carried Haimson (1978a, b, 1983), Barton (1983), Hick-
out in open holes, 2.25 inches (57.1 mm) in man and Zoback (1983), and Haimson and
diameter, with specially designed equipment. Doe (1983); (2) in Germany by Rummel and
Fractures extending in the direction perpen- Jung (1975) and Rummel, Baumgartner and
dicular to the least compressive stress were Alheid (1983); (3) in Iceland by Haimson and
reported. The opportunity to test the applic- Voight (1977); (4) in the United Kingdom by
ability of the method at greater depths came Pine, Ledingham and Merrifield (1983); (5) in
with the experiment in the Rangely oil field, France and Belgium by Cornet (1983); (6) in
Colorado (Haimson, 1973; Raleigh, Healy and Japan by Tsukahara (1983); (7) in China by Li et
Bredehoeft, 1976). Intense seismic activity al. (1983); and (7) in Australia by Enever and
centered in and around the Rangely field in Wooltorton (1983). In addition to hydraulic
the vicinity of a strike-slip fault had been fracturing case histories, major issues
recorded and a research program was initiated addressed at the workshop included: inter-
to determine whether a correlation existed pretation techniques, innovation methods and
between earthquake triggering and the pore technological improvements, and comparison
pressure of the formation. The hydro- between different stress measurement tech-
fracturing tool (down to a depth of 1900 m) niques. Haimson (1983), Doe et al. (1981, 1983),
showed that the vertical principal stress was and Li et al. (1983) demonstrated good to
intermediate in magnitude and that the excellent agreement between the results of
remaining stresses were in accordance with a deep hole hydrofracturing stress measure-
strike-slip fault stress regime. The stress ments and overcoring stress measurements,
126 Hydraulic methods
with respect to both stress magnitudes and observations known to us about the contem-
directions. porary state of stress in continental areas.
Haimson (1977) was the first to summarize
stresses within the United States using the
(b) International Symposium on Rock
hydraulic fracturing technique. Later, McGarr
Stress and Rock Stress Measurements in
and Gay (1978) presented results of stress
Stockholm
versus depth from a compilation of stress data
The next major event where hydraulic frac- from Canada, southern Africa and sedimen-
turing was discussed in depth was the tary basins in the United States. They found
International Symposium on Rock Stress and that, in the United States, most of the measure-
Rock Stress Measurements held in Stockholm, ments conducted using the hydrofrac tech-
in 1986. At that time, several countries had nique in the upper 2.3 km in basins fell
started (or were about to start) deep con- remarkably close to a gradient of 15 MPa/km.
tinental drilling programs in hard rocks. Rock The measurements in granitic rocks did not
stresses became a major issue in the research show such a regular increase of stress with
programs of the 1980s as it became clearer that depth as the measurements in sandstone and
stresses at great depths in the crust control the shale. This conclusion was derived from the
stability of borehole walls and the possible results of stress measurements in granitic
depth of drilling and extraction of heat rocks conducted in old shield areas such as
(Batchelor and Pine, 1986; Dey and Brown, Fennoscandia, Canada, South Africa and
1986). Questions of borehole stability and state Australia. The scatter in the direction of the
of stress brought up the issue of the state of maximum horizontal stress was demonstrated
stress in different tectonic environments. by Stephansson, Sarkka and Myrvang (1986)
Zoback, Mastin and Barton (1986) found that using the stress measurements compiled in
the limit of the commercially available the Fennoscandian Rock Stress Data Base.
equipment at that time was such that hydrau- Hydraulic fracturing methods were found to
lic fracturing in deep boreholes could reach give the smallest stress magnitudes of all
depths of about 3 km for reverse faulting stress measuring techniques used ill
conditions, 8 km for strike-slip faulting and Fennoscandia.
only 2 km in a situation with normal faulting. Based on the results from deep continental
All these estimates were based on an assump- drilling projects, the constraints imposed by
tion of f1 = 0.6 for the frictional coefficient of experimental rock mechanics and existing in
faults in geological formations. situ stress data from deep hydraulic fracturing
The application of stress measurements to borehole profiles, Rummel (1986) proposed
the solution of problems in tectonics is not as the following expressions for the variation of
easy as in engineering design. Whereas the the magnitude of the horizontal stresses with
engineer is concerned with the current stress depth in the upper continental crust:
field affecting the rock, the geologist attempts
to deduce the process that might have caused Sh/SV = 0.15/z + 0.65
the stress. Representatives of the two schools SH/SV = 0.25/z + 0.98
met at the international symposium in
Stockholm in 1986 and were able to exchange where SH and Sh are the maximum and mini-
ideas about the role played by in situ mum horizontal stresses, Sv is the vertical
stresses in both geological and engineering stress and z is the depth in kilometers.
disciplines. Stress orientations are intrinsically much
At that time several review articles had been more amenable to analysis than magnitudes
published that summarized many of the stress because measurements of stress direction at all
Hydraulic fracturing 127
pumps capable of delivering a flow rate of portable hoist, and replacing the drill rods
about l1/min at 70MPa were used to inject with a slim, continuous high-pressure hose
the fracturing fluid. Breakdown pressures of and wireline, the system becomes consider-
up to 40 MPa were recorded at two under- ably lighter to operate, substantially faster and
ground locations and one near-surface loca- thus more economical (Fig. 4.4). The wireline
tion in igneous and shale formations. Even conductors and downhole instrumentation
during these very first hydraulic fracturing attached to the straddle packer and impres-
tests, some of the problems (which still exist sion packer allow hydro fracturing and packer
even today) were explored, such as the rate pressure readings to be taken at the depth of
effect of pumping, the reduction of breakdown testing. Wireline hydrofracturing has been
pressure in subsequent tests and the formation used extensively in Europe by Rummel,
of horizontal fractures in high stress regions. Baumgartner and Alheid (1983) and Rummel,
The introduction of the hydrofracturing H6hring-Erdmann and Baumgartner (1986), in
technique for stress measurement of deep the United States by Haimson and Lee (1984)
wells had some definite initial drawbacks as it and Haimson (1988), and in Australia by
required heavy equipment such as a drill rig Enever and Chopra (1986). These measure-
and drill rods for lowering the probe down- ments have been conducted in 56 mm and
hole (Haimson and Fairhurst, 1970; Haimson 75 mm diameter drillholes down to a depth of
and Stahl, 1970). Currently, the oil industry 1000 m in many different rock types.
service companies can provide a straddle
packer system and special pipes which permit
(b) Multihose system
control of packer inflation and test zone pres-
surization with valves which operate by vary- The multihose system field unit constructed at
ing the weight on the rods, rotating the rods, the Lulea University of Technology in
or by dropping bars or balls down the drill 1981-1982 was the first of its kind for hydro-
string. In 1989 Tunbridge, Cooling and fracturing application in which pressure lines,
Haimson proposed a new system for signal cable and load-carrying wire were
hydraulic fracturing stress measurement in combined into a single umbilical cable
deep boreholes within the United Kingdom. (Stephansson, 1983a). Due to very good
The system, shown in Fig. 4.3, is simple, robust experience with the first multihose system, a
and reliable. second system was built and permanently
An improvement in the conventional tech- installed on a new field truck (Figs 4.5 and 4.6).
nique used in the 1970s and thereafter came A detailed description of the system is pre-
with the introduction of a flexible, high- sented by Bjarnason, Ljunggren and Stephans-
pressure hose solely for the inflation of the son (1989), and a summary of the experience
downhole packers (Haimson, 1978a, b). The with the multihose system for hydraulic frac-
hose was lowered strapped to the outside of turing stress measurement is discussed below.
the drill rod, and was instrumental in making The main advantages of the multihose
hydrofracturing a continuous method without system are independence of drill rig, and
the need to retrieve the straddle packer after simplicity and efficiency during operation.
each test. The same independence can be achieved with-
An improvement which dramatically con- out the expensive multihose using loose com-
tributed to enhancing the cost efficiency of ponent wireline systems in which pressure
stress measurements was the introduction of tubing is clamped to the wire. The operation of
wireline hydrofracturing (Rummel, Baumgart- a loose component wireline system is, how-
ner and Alheid, 1983). By replacing conven- ever, more cumbersome and the risk of getting
tional drilling with a lightweight tripod and a stuck is probably larger. Rigging up at the test
132 Hydraulic methods
>-
a.
c.
Flow :::l
transducer C/)
....
·iii
12 mm <il high pressure hoses i
C/)
~
c.
E
o
()
t
Pressure Packer
transducer pressure
Pressure
gage Water in regulator
Packer outlet Packer pressure Packer supply
stop valve release/relief valves stop valve
H - - - Packer inflation line
BO drilling rod
[ J~ shot
ITf
(length as necessary) Wireline magnetic single
orientation tool
Packer inflation line 3 mm BO drilling rod
high pressure hose (length as necessary)
Packer
Fig. 4.3 System for hydraulic fracturing stress measurement in deep boreholes. (After Tunbridge, Cooling
and Haimson, 1989, Courtesy of the National Academy Press, Washington, DC.)
Hydraulic fracturing 133
Steel cable enclosing
electrical lines
Counter
Tripod
\
High-pressure hose - - - - - f - j [
Electrical pressure
transducer and amplifier Release valve
Packerlinterval switch valve ---+l::~
Fig. 4.4 The Ruhr University Bochum wireline hydraulic fracturing system mounted on a trailer. (After
Rummel, Baumgartner and Alheid, 1983.)
site takes 2 h. All fracturing work and impres- option of a flowmeter and a shut-in valve
sion work can be operated by one person, with located downhole and close to the straddle
the exception of installing and removing the packer. The installation of a downhole valve
packers from the borehole, which requires two takes care of the problems with flow-depen-
persons. Travel times in the hole are short; the dent pressure drop and recording of multihose
1000 m hose is run from the surface down to stiffness. This version of the system allows
the bottom within 15 min and up again in less determination of rock mass stiffness and the
than 30 min. This is particularly important in stiffness of single fractures (Rutqvist et al.,
deep boreholes with a large number of test 1992).
points (40-50 test points in a 1000m deep Disadvantages of the multihose system on a
borehole) where the application of the con- truck include the high initial cost, the fact that
ventional impression method for fracture manufacturing of the multihose is highly
orientation would otherwise result in specialized work, and once finished, it is not
excessively long and expensive field periods. possible to change its design or performance.
The latest version of the system has the To benefit fully from the advantages of a
134 Hydraulic methods
Fig. 4.5 Photograph of first-generation hydrofracturing field truck at Lulea University of Technology,
Sweden.
multihose system, a wide range of auxiliary chart recorder and data logger, is used to
components are needed which are not readily measure and record the data during the tests.
available on the market. Auxiliaries include
everything from vital components, such as a
(c) Borehole tools
drum and a hose feeder, up to a full-size truck
for permanent installation of the instrumenta- The most common downhole tools for
tion. The risk of the equipment getting stuck in hydrofracturing stress measurements are (1) a
the borehole is greater than for conventional straddle packer, (2) an impression packer, and
drillstring operated instruments. The chance (3) a single-shot magnetic orientation tool (Fig.
of recovering equipment stuck downhole by 4.9). The straddle packer system comprises
means of the multihose is small. The hose heavy-duty inflatable rubber packer elements
should therefore be designed with a weak on a specially designed and constructed
tension link at the cable head to be torn off in hollow mandrel. The connecting piece
an emergency, leaving only the packer between the packers is perforated to transmit
assembly in the hole. hydraulic pressure in the hose to the test zone.
A cross-section of a 1000 m long multihose The packers are inflated by hydraulic pressure
with three high-pressure hoses, two electrical in a separate system. An example of the strad-
cables, a stress member and filler compound dle packer assembly is shown in Fig. 4.10.
is presented in Fig. 4.7. The multihose is Tangential and axial tensile stresses at
designed to be slightly denser than water to the ends of a pressurized straddle packer
minimize loading on the stress member. The with and without a connecting piece have
pumping system consists of three different been studied theoretically and experimentally
units and each unit is remotely controlled and by Stephansson (1983a). The calculated
computerized (Fig. 4.8). The data measuring circumferential stresses at the ends of a pres-
and logging system, comprising transducers, surized straddle packer in a steel tube were
Hydraulic fracturing 135
CD 00 00 7
16 15 14
Fig. 4.6 Components of the hydrofracturing field truck at Lulea University of Technology, Sweden. 1,
Guidewheel for multihose; 2, multihose; 3, control unit of the hydraulic system, remote controlled
proportional valves; 4, drum for multihose, 1000 m; 5, flowmeters; 6, manifold for control of fracturing flow
and packer pressure; 7, data acquisition system; 8, working lights, 24 V DC and 220 V AC; 9, cabin heater,
7kW; 10, high-pressure water pump; 11, compressed air tubes; 12, hydraulic pump; 13, diesel fuel tanks,
400 I for long field periods; 14, hydraulic tank; 15, winch; 16, working platform, adjustable height and
inclination; 17, borehole. (Source: Int. J. Rock. Mech. Min. Sci. & Geomech. Abstr., 26, Bjamason, B., Ljunggren,
C. and Stephansson, 0., New developments in hydrofracturing stress measurements at Lulea University of
Technology, p. 582, Copyright 1989, with kind permission from Elsevier Science Ltd, The Boulevard,
Langford Lane, Kidlington, UK.)
o Valve
Q
err
Manometer
1 Filter
~-U----~ [J.:J Coupling
1
c=:=:J Pressure gage
, Pump
Flowmeters
1
1 By-pass valves
1
Test line
I __________ ~
~ I
Packer line
Fig. 4.8 Pumping system and control unit for hydraulic fracturing at Lulea University of Technology.
(After Bjamason, Ljunggren and Stephansson, 1989.)
Hydraulic fracturing 137
0
G) II II
A :.II D []
® I ~)I @ 101 @
C E=O§? )
I(Di @ I@: @ @ I
0 §;; >
0 2 3m
I I I I I I I I I I I I I I I I I I I I I I I I I I
Fig. 4.9 Borehole tools for hydraulic fracturing with multihose system. A, Multihose and cable head; B,
straddle packer for fracturing and injection testing; C, impression packer; D, single-shot magnetic borehole
compass. 1, Cable head connection to multihose; 2, cable head; 3, upper end of fracturing tool, connects to
(2); 4, packer end, pressed-on steel binding to the inflatable rubber; 5, inflatable packer rubber; 6, mandrel;
7, bottom end of fracturing tool; 8, upper end of impression tool, connects to (2); 9, inflatable part of
impression packer, covered with uncured rubber; 10, bottom end of impression tool; 11, connection of
orientation tool to the impression packer, connects to (10); fixed orientation against packer; 12, extension
rod, aluminum; 13, upper end plug to Single-shot barrel; 14, stainless steel barrel to single-shot compass
camera; 15, bottom end plug to the barrel, fixes the orientation of the single-shot compass camera.
(Fig. 4.9). After a certain time allowed for discussed in Chapter 8 in relation to the bore-
lowering the equipment into the borehole, the hole breakout method.
instrument shoots a picture of an inclinometer
and a compass and this allows the tracing of
(d) Minifrac system
the fracture orientation. To facilitate proper
recording of the fracture impression on the The growing demand for rock stress data in
packer element, a transparent celluloid sheet is mining and underground construction, and
normally wrapped around the packer and the the need for developing smaller and easier
impression is marked with permanent ink. systems to use instead of the large-scale equip-
The fracture azimuth can also be recorded ment, have led to the manufacturing of self-
with an ultrasonic borehole televiewer contained and portable systems, such as the
(Zemanek et al., 1970) or more modern bore- CSIRO Minifrac system (Enever, Walton and
hole scanners. The televiewer displays, as Wold, 1990). The equipment is made for
brightness, the amplitude of an acoustic pulse 38 mm diameter boreholes and a maximum
reflected off the borehole wall, and the packer pressure of 35 MPa (Fig. 4.11). Hand
induced fracture is viewed as a dark line on pumps allow for a maximum pressure of
the image, as demonstrated by Zoback, 40 MPa and a maximum flow rate of
Tsukahara and Hickmann (1980). The applica- 200ml/min. An intrinsically safe version is
tion of borehole scanners such as FACSIMILE available, suitable for use in hazardous areas
for the analysis of fractures in boreholes is such as underground coal mines.
138 Hydraulic methods
e~uafil.tiOn
pori
Bail <hoke
(AlJIO-ChoI<e I)(
standing vaNG
opdonol)
SteJnloSS·$IoellU!>Ing
P"'S$Ut1t>rettol
ehombor
Fig. 4.10 Example of straddle packer assembly. The upper and lower packers inflate and deflate
simultaneously and are separated by perforated tubing nipples. (Courtesy of TAM International.)
Hydraulic fracturing 139
Fig. 4.11 The CSIRO Minifrac system supplied with two transportation modules comprising installation
and test tools and a pressurization and recording system. (Courtesy of MINDATA, Australia.)
tion in a poroelastic rock formation. with Ul1 ;::: U22, and Po is the formation pore
fluid pressure. Note that here we consider
compressive stresses to be positive whereas
(a) Breakdown pressure Pc
Haimson and Fairhurst (1967) defined tensile
In this section the basic equations for the stresses to be positive.
breakdown pressure are derived for the most When a vertical borehole of radius rw is
general case of hydrofracturing of a linearly drilled into the formation, the original state of
elastic, porous, isotropic and homogeneous stress is disturbed and the new resulting total
rock formation. A second assumption is that stress field Si~l) (i, j = r,O) around the borehole
the rock formation is subjected to a non- has components
142 Hydraulic methods
S~p = 11~) + Po ratio of the formation and ()( is the Biot coeffi-
S (l) _ (1) +p cient equal to
88 - 1188 0 (4.2)
S(l) _
rO - I1rO
(1) ()(= l-KIKs (4.5)
where S~), sW and sW are the radial, tangen- where Ks and K are the bulk moduli of the rock
tial and shear stresses acting on the borehole constituents (grains) and the rock (grains,
wall, respectively. The Kirsch solution (Jaeger pores and microcracks), respectively. The
and Cook, 1976) can be used to determine the parameters ()( and v are thus characteristics of
expression for the radial effective stress 11~), the porous solid only.
the tan~ential effective stress 11~~ and the shear The distribution of stresses around the bore-
stress I1r~)' These stress components vary with hole is then obtained by superposition of the
the distance r from the center of the borehole three different stress fields, e.g.
and the angle 0 measured counterclockwise = Sq(1) + S(~)
S··
q q + S(~)
q (4.6)
from the direction of SH'
When fluid is pumped into the borehole, At the borehole wall (r = r w ), it can be shown
two additional stress fields are introduced. that, at the two points aligned with the direc-
The increase in pressure from the original tion of the maximum horizontal principal
pressure Po to Pw at the borehole wall intro- stress SH (corresponding to 0 = 0° and 180°),
duces a stress field s~f) (i, j = r,O) at any dis- the total stress components are equal to
tance r with components
Srr = Po + Pw = Pw
= ';'p
S (2)
rr r w S88 = 1188 + Pw = 31122 - 1111 + Po
(4.7)
(2)
S88 = - r
,;,
pw (4.3) - pw + ()(Pw(\ -=- 2:)
Sr8 = 0
S~~) = 0
where pw is the pressure difference between Rearranging equation (4.7) gives the expres-
the injected fluid Pw and the pore fluid in the sion of the tangential effective stress 1188 in the
formation Po. Provided that the rock forma- direction of SH, e.g.
tion is permeable to the injected fluid, that
= 31122 - pw( 2 -
()(1 -
.
2V)) (4.8)
difference will cause an outward radial flow. If 1188 1111 -
I-v
the injected fluid has properties similar to
those of the formation pore fluid and the fluid which is the first to become tensile around the
flow is assumed to be axisymmetric, the borehole wall.
theory of poroelasticity holds and the third We now postulate that the breakdown of the
stress field SW) (i, j = r, 0) can be expressed as borehole wall and fracture initiation take place
when the tangential effective stress given by
Srr
(3) -
-
()(1-
2
() d r
2V)f,r prr equation (4.8) is equal to the tensile strength T
r (1 - v) rw
of the rock, e.g.
S~~ = -()(1-2V)[If,r
'2 p(r)rdr - p(r)
] (4.4) (4.9)
1- v r rw
and that the hydraulic fracture extends in a
sW=o vertical plane perpendicular to Sh. Combining
In equation (4.4) p(r) is the increase in pressure equations (4.8) and (4.9), the minimum pres-
above Po at any distance r, v is the Poisson's sure at the borehole wall to induce fracture,
Hydraulic fracturing 143
also known as the breakdown pressure Pc, is horizontal in situ stresses SH and Sh by using
given by the equation equation (4.1). This gives
Table 4.1 Poroelastic constants for water-saturated rocks (Source: Detoumay, E. et a/.
Copyright 1989, with kind permission from Elsevier Science Ltd, The Boulevard, Lang-
ford Lane, Kidlington, UK.)
Ruhr sandstone 1.3 X 1010 0.12 0.31 0.88 5.3 X 10- 3 0.28 0.65
Tennessee marble 2.4 X 1010 0.25 0.27 0.51 1.3 X 10- 5 0.06 0.19
Charcoal granite 1.9 X 1010 0.27 0.30 0.55 7.0 X 10- 6 0.09 0.27
Berea sandstone 6.0 X 109 0.20 0.33 0.62 1.6 X 10° 0.30 0.79
Westerly granite 1.5 X 1010 0.25 0.34 0.85 2.2 X 10- 5 0.16 0.47
Weber sandstone 1.2 X 1010 0.15 0.29 0.73 2.1 X 10- 2 0.26 0.64
Ohio sandstone 6.8 X 109 0.18 0.28 0.50 3.9 X 10- 2 0.29 0.74
Pecos sandstone 5.9 X 109 0.16 0.31 0.61 5.4 X 10- 3 0.34 0.83
Boise sandstone 4.2 X 109 0.15 0.31 0.61 4.0 X 10- 1 0.35 0.85
144 Hydraulic methods
in pressure between the borehole and the rock down expression (4.13) to the limiting case of
formation (e.g. S~J in equation (4.4)), evolves zero porosity. It is noteworthy that equation
with time. They also discussed how rapid (4.13) does not reduce to equation (4.14) as the
drainage of the rock mass near the borehole porosity (or the poroelastic coefficient 1/)
has a direct impact on the stress concentration. approaches zero. In the diffusion phenomenon
At the borehole wall, the rock is characterized of the fluid, it is assumed that one can always
by the drained elastic modulus, while the rock locate an arbitrary small distance near the wall
farther away is characterized by the stiffer where the pore pressure is a significant por-
undrained modulus. As a result of this stiff- tion of the borehole pressure, no matter how
ness contrast, the borehole is partially shielded small the porosity. This assumption breaks
from the stress concentration during the down at zero porosity when there is no pore
period soon after drilling. This short-term pressure anywhere.
stress concentration at the point of fracture Equations (4.13) and (4.14) also apply for the
initiation of the borehole wall was derived by reopening pressure Pr defined in Fig. 4.12,
Detournay and Cheng (1988) and is given by provided that the tensile strength is set at zero.
Sometimes the reopening pressure Pr co-
(4.16) incides with the second and successive break-
down pressures P~ and P~' also shown in Fig.
4.12. The reopening pressure is a reliable
where v and Vu are the drained and undrained
measure of the stress concentration when a
Poisson's ratios, respectively, and t is the time
sharp drop in pressure is obtained in the
elapsing from drilling a borehole with radius
pressure-time record (Detournay et al., 1989).
rw. At very small times the peak of the tangen-
tial stress is actually located inside the rock
and not at the wall of the borehole as predicted (b) Tensile strength from field testing, T
by the elastic analysis. At greater times the
tangential stress decreases monotonically with Bredehoeft et al. (1976) first suggested that the
distance and the stress concentration at the tensile strength of the formation could be
wall increases toward the long-term elastic determined from the difference in pressure
values of 3an - al1 in the direction of the between the first breakdown pressure P~ and
maximum horizontal stress SH. The character- the borehole reopening (refrac) pressure P r
istic time to reach this stage is about T = r?:v/C, necessary to open an existing hydraulic frac-
where C is the diffusivity constant given by ture, so that
the following expression:
T= P~ - Pr (4.18)
+ vu )2
2KB 2 C(1 - v)(l
C = ---'---'--'-----'- (4.17) The assumption here is that the fracture closes
9(1 - vu)(v u - v)
completely between each cycle of pressuriza-
where K is the mobility coefficient defined as tion and that Pr is the pressure level at which
the ratio of the permeability to the fluid vis- the pre-existing hydrofracture just begins to
cosity, B is the Skempton coefficient and C is open, i.e. it is equal to the minimum com-
the shear modulus. The radial stress compo- pressive hoop stress at the hole wall induced
nent is reported to experience little variation by the far-field stresses. Notice that the value
as a function of time and distance from the of Pr is not necessarily the peak of the pres-
borehole wall. sure-time curve during the second and sub-
As remarked first by Haimson and Fairhurst sequent cycles but the point where a sudden
(1967) and more extensively by Detournay et slowdown in pressure increases with time
al. (1989), it is not correct to apply the break- (Fig. 4.12). Combining equations (4.14) and
Hydraulic fracturing 145
(4.18), the maximum horizontal in situ stress affect tensile failure by reducing the tensile
SH is equal to strength of the rock. Wang and Dusseault
(1991b) analyzed that problem by assuming
(4.19)
that shear failure of the rock is governed by a
From about 1978 onward, the above method Mohr-Coulomb criterion, which in terms of
of determining the tensile strength of rock effective stresses can be expressed as follows:
formations in hydrofracturing stress measure-
ments has been commonly used (Haimson, 'l" = Co + a~ tan~p (4.21)
1978a, b; Hickman and Zoback, 1983; Lee and where Co and ~p are the peak cohesion and
Haimson, 1989; Zoback, Tsukahara and Hick- friction angle of the rock, respectively. The
man, 1980). If equation (4.13) is used to deter- Mohr-Coulomb criterion can be rewritten in
mine the reopening pressure P., equation terms of the major and minor (effective) prin-
(4.18) is now replaced by T = 2(1 - rt)(P~ - Pr ), cipal stresses, at and a3 as follows:
and the maximum horizontal in situ stress SH
is now equal to
at -Na3+M=0 (4.22)
(4.20) where
N = 1 + sin~p (4.23)
(c) Breakdown pressures in poorly 1 - sin~p
consolidated strata
2cocos~p
M = - __ --'--L (4.24)
Analytical solutions for stresses and strains 1 - sin~p
around a circular borehole in an impermeable
and permeable unconsolidated medium Two shear rupture modes were considered by
during drilling and hydraulic fracturing were Wang and Dusseault (1991a, b): active and
derived by Wang and Dusseault (1991a, b). passive. The active shear rupture can occur
Their theories also account for the effect of during drilling of the borehole and along the
stress path and strain weakening yield before minimum principal in situ stress axis (Fig.
injection of a fluid into the borehole. They 4.13a). No tensile fractures are normally
demonstrated that the breakdown pressure in created in this load path unless there is an
a plastically deformed medium cannot be exceptionally large stress difference, and even
used to predict the in situ state of stress by the then the tensile fractures are of limited length.
conventional breakdown pressure analysis For active shear rupture, ae = at and a; = a3.
since unconsolidated rocks such as oil sand or Substituting into equation (4.22) the expres-
weak shale display hysteresis in their de- sions for the effective tangential and radial
formation response to external loading. A stresses at the borehole wall in the direction of
simple elastoplastic model was used where Sh, Wang and Dusseault (1991b) determined
the material is linearly elastic until the yield the expression for the borehole pressure Psa
criterion is reached, weakens instantly and when active shearing is initiated, e.g.
thereafter behaves perfectly plastically. 3SH - Sh + Ma - 2rtPo
The equations for the breakdown pressure Psa = (4.25)
presented above assume tensile rupture (equa-
(1 + ()(s) + N a (l - ()(s) - 2rt
tion (4.9». As this type of rupture might be the where Ma = M and Na = N, rt is defined in
case in elastic impermeable media, it is reason- equation (4.15), and ()(s is a poroelastic
able to assume that in weak permeable media, constant.
either during borehole drilling or borehole The passive shear rupture can occur during
injection, shear failure of the borehole wall borehole injection and at right angles to the
may occur before tensile failure, and may even minimum principal in situ stress axis (Fig.
146 Hydraulic methods
where Np = liN and Mp = - MIN. Rearrang-
ing equation (4.26) by dividing the numerator
and denominator by Np, using MplNp = - M
and letting exs = I, gives
3Sh - SH - 2"Po + M
Psp 2(1 _ ,,) (4.27)
and Dusseault (1991b). They found that the SH, Schmitt and Zoback (1989) proposed a
minimum radial stress is located inside the breakdown equation based on a modified
porous medium rather than at the borehole effective stress failure criterion in which the
wall. This may force the radial stress to be zero tensile strength is dependent on an effective
inside the porous medium before a tensile stress law of the type
fracture is initiated at the borehole wall. Under
(J = 5 - fJPo (4.30)
these conditions, the initial breakdown pres-
where 5 is the total stress, Po is the pore
sure does not reflect the in situ stress in a
pressure and fJ is a constant that varies
proper manner and the difference between the
between 0 and 1. In rock masses with vanish-
first breakdown pressure and the fracture
ing porosity, we expect fJ to approach zero.
reopening pressure cannot be used to estimate
Using the modified effective stress law,
T". At this stage of knowledge, we must ques-
Schmitt and Zoback (1989) rederived the
tion the possibility of reaching closed-form
breakdown pressure equations. For a porous
analytical solutions in the near future for all
material with penetrating fluid, equation
the complicated processes developed around a
(4.13) is replaced by
borehole in weakly consolidated sedimentary
rocks during hydraulic fracturing. What can T + 3Sh - SH - 217Po
be said, however, is that in the limit of slow Pc = 1 + fJ - 217 (4.31)
pressurization, i.e. when the fluid pressure
both in the pores and the defects in a boundary For the case of non-penetrating fluid, equation
layer of a given thickness is the same as the (4.14) becomes
borehole pressure, the general equation of Pc = T + 3Sh - SH - fJPo (4.32)
Haimson and Fairhurst (1967) applies
(Detournay, personal communication, 1995). As remarked by Schmitt and Zoback (1989),
both equations (4.31) and (4.32) have the
advantage that, for non-porous rocks (for
(d) Breakdown pressure for low-porosity
which 17 and fJ are zero), they reduce to the
rocks
same equation, e.g.
In the derivation of the breakdown equations
(4.33)
(4.13) and (4.14), it is assumed that the hy-
draulic fracture initiates when the circum- The introduction of the modified effective
ferential (Terzaghi) effective stress at the stress law by Schmitt and Zoback (1989) lends
borehole wall first exceeds the rock tensile support to the elimination of the pore pressure
strength T. Schmitt and Zoback (1989) found term in the interpretation of hydrofracturing
major differences between the computed stress measurements in low-permeability,
values of SH associated with three existing hard, granitic rocks which have been applied
breakdown equations, especially for low-com- by researchers such as Pine, Ledingham and
pressibility rocks at great depths for which the Merrifield (1983), Rummel, Baumgartner and
Biot coefficient fX is small. They considered (1) Alheid (1983) and Bjarnason, Ljunggren and
the breakdown equation for a porous material Stephansson (1989).
with fluid penetration (equation (4.13)), (2) the It is noteworthy that in low-porosity / per-
breakdown equation when the fluid is non- meability crystalline rocks, in which most of
penetrating (equation (4.14)), and (3) the the scientific hydraulic fracturing stress meas-
breakdown equation for the case of a non- urements are performed, there exist at least
porous medium without pore pressure (equa- three breakdown pressure criteria on which
tion (4.14) with Po = 0). In order to resolve the the interpretation of SH is based, corre-
discrepancy between the computed values of sponding to equations (4.13), (4.14) and (4.31).
148 Hydraulic methods
According to the classical approach, break- pressures, could be obtained in isotropic stress
down characterizes the end of the elastic fields. Unstable pressure records were found
regime and the immediate initiation of tensile to be characteristic of anisotropic stress condi-
failure. Detournay and Carbonell (1994) tions. Conclusions about the existence of
pointed out that hydraulic fracturing could either isotropic or anisotropic in situ stress
initiate significantly before the borehole pres- were supported by the patterns of the hydrau-
sure attains its peak. Thus the aforementioned lic fractures. The fact that the records of
three breakdown pressure criteria may be hydraulic fracturing tests could not be inter-
more appropriately characterized as fracture preted uniquely led Wawersick and Stone
initiation criteria rather than breakdown (1989) to introduce a factor M, equal to the
criteria. Further, none of the equations for ratio of the relaxed stress concentration to the
breakdown pressure include expressions of instantaneous elastic stress concentration at
size effect and rate of pressurization, although the borehole boundary, in the equation for the
this has been reported in the literature. Finally, breakdown pressure for rock salt. Equation
the fact that there exist three different break- (4.14) becomes
down pressure criteria for low-porosity I
Prs = M(3Sh - SH) - Po(2M -1) +T (4.34)
permeability rocks makes it very important to
state very clearly in the reporting of in situ Likewise, the equation for the fracture reopen-
stress measurements which criterion was ing pressure for rock salt is obtained by setting
applied in the determination of the maximum T = 0 in equation (4.34).
horizontal stress SH. Computed magnitudes of M after 55 days
were found to be M = 0.41 when SHISh = 1,
M = 0.61 when SHI Sh = 1.4 and M = 1.3 when
(e) Breakdown pressure for rock salt
SHISh = 2, assuming Sh = 13.85 MPa. It is
Based on finite element analyses of the nor- important to recognize that the factor M is not
malized tangential stress distribution around a only stress path-dependent but is likely to
borehole in salt subjected to an isotropic far- vary for different types of rock salt. Estimates
field stress state, Wawersick and Stone (1989) of Sh were obtained from the fracture driving
demonstrated that the inelastic properties of process.
rock salt could result in pronounced stress Based on the results of hydraulic fracturing
relaxation at the borehole wall. The inelastic tests in salt beds in Texas, USA, Bush and
rock behavior involves both rate-independent Barton (1989) claimed that the measurement of
and rate-dependent permanent deformations. Sh is applicable in salt using the pressure
Therefore the strong time dependency of the decline method after shut-in. With the reduc-
tangential stress distribution obtained in the tion of the tangential stresses at the borehole
finite element analyses suggests that the and the solubility or erosion of salt along the
shapes of the pressure versus time records of fracture interface, they claimed that neither
hydraulic fracturing tests in rock salt might the calculated maximum stress SH nor the
change with the time delay between drilling values of tensile strength T could be con-
and hydraulic fracturing. This change should sidered realistic of the in situ conditions.
lead to pronounced progressive reduction in In summary, the elastic interpretation of
breakdown and reopening pressures. From hydraulic fracturing test records in salt is sus-
hydraulic fracturing tests in salt formation at pect. Due to the non-elastic properties of salt
the Waste Isolation Pilot Plant in New Mexico, and its solubility, the classical equations for
USA, Wawersick and Stone (1989) found that breakdown pressure are not valid. Neverthe-
stable pressure versus time records, with little less, the form and propagation of the induced
or no pressure drop between peak and driving hydraulic fractures are good indicators of
Hydraulic fracturing 149
hydrostatic or non-hydrostatic stress condi- hole wall in order to determine SH and the
tions. Laboratory experiments conducted by principal stress direction.
Doe and Boyce (1989) proved that hydraulic A linear relationship between the break-
fractures with strong preferred orientations down pressure and the in situ stress compo-
could be indicators of stress ratios nents can be derived using a linear elastic
SH / Sh > 1.1-1.3. Thus proximity to hydro- fracture mechanics (LEFM) approach. We
static conditions can be determined from the present below a summary of that approach.
form of the hydraulic fracture alone, regard- More details of the mathematical derivations
less of the ambiguities in the interpretation of can be found in the papers by Winther (1983)
the pressure versus time records from the field and Rummel (1987).
tests. We consider the geometry of Fig. 4.14 show-
ing a symmetrical double crack of half-length
a extending on each side of a borehole with
(f) Fracture mechanics approach to
radius r. The borehole is drilled in an infinite
determine breakdown pressure
plate subjected to compressive far-field hori-
Fracture mechanics provides the tools neces- zontal stresses SH and Sh. When the pressure
sary to account for the presence of pre-existing Pw in the borehole is such that the tensile
flaws or cracks in the borehole wall rock, and strength of the rock is exceeded, a vertical
to correlate transient pressure recordings fracture is formed parallel to the direction of
during a hydrofracturing test with fracture SH. The fluid is then allowed to penetrate into
propagation. The pressurization of cracks in the crack and the pressure inside the fracture
the rock contributes to the stress intensity at is denoted as Pa . Since we are using an LEFM
their tips. Thus hydraulic fracturing can be approach, the stress intensity in the vicinity of
defined in terms of the critical condition lead- the crack tips can now be expressed by using
ing to crack growth, rather than in terms of the principle of superposition of stress inten-
fracture initiation in an idealized continuum sity factors for each of the four loading sources
as in the 'classical theory'. depicted in Fig. 4.15, e.g.
The use of fracture mechanics principles to
Kr(SH, Sh, Pw , Pa) = Kr(SH) + Kr(Sh)
analyze results from hydraulic fracturing
stress measurements was initiated by Hardy + Kr(Pw ) + Kr(Pa ) (4.35)
(1973) and Hardy and Fairhurst (1974). The where Kr is the stress intensity factor for mode
fact that the effect of pressurizing the borehole I crack propagation. The general formula of
wall with pre-existing cracks had been neglec- the stress intensity factor for a tension crack of
ted, and that the method of Haimson and half-length a, in an infinite plate of the type
Fairhurst (1967) appeared to overestimate the shown in Fig. 4.14 has the form
prediction of the maximum horizontal stress
SH, led Abou-Sayed, Brechtel and Clifton Kr = ~Ia (Joo(X,O)(a + X)1!2 dx (4.36)
(1978) to follow a fracture mechanics approach (na) -a a- x
to in situ stress determination by hydrofractur- where (Joo(X,O) is the tangential stress in the
ing. The fracture mechanics analysis was crack plane y = O. For each of the four loading
applied to determine the stress field at a depth sources of Fig. 4.15, Kr can be determined once
of 837 m in a shale formation in West Virginia, we have an analytical expression for (Jeo(x, 0).
USA. The analysis suggested that uncertain-
ties associated with crack geometry (size and
shape) could be reduced greatly by modifying Derivation ofKrfor loading source SH
hydrofracturing tools to include the cutting of Using the Kirsch solution for the stresses
narrow notches of known depth into the bore- around a circular hole in an infinite plate
t t t
Fig.4.14 Fracture mechanics model of hydraulic fracturing in an infinite plate subjected to a far field state
of stress. (After Rummel, 1987.)
subjected to far-field stresses SH and Sh Gaeger Substituting equation (4.39) into equation
and Cook, 1976), the tangential stress (1(J(J(X, 0) (4.36) and after integration yields
due to the effect of SH only can be expressed as
KI(Sh) = - Sh(r)l/2g(b) (4.40)
follows:
where g(b) is another dimensionless stress
intensity function of b = 1 + afro
(4.37)
Substituting equation (4.37) into equation Derivation ofKrfor loading sources Pw and Pa
(4.36) and integrating yields The stress intensity function due to fluid
penetration depends on both the pressure Pw
KI(SH) =- SH(r)l/'i(b) (4.38) in the borehole and the pressure distribution
Pa along the fracture. Assuming zero fluid
where f(b) is a dimensionless stress intensity
penetration into the fracture gives the stress
function of the normalized crack length
intensity factor
b = 1 + afro
KI(pw) = Pw (r) 1/2h(b) (4.41)
-0-
and
+ f (4.45)
k2 = h+i
The first term in equation (4.43) corresponds to
the borehole pressure under zero external
4,---------,---------,---------.
3· --~~__j__-.
+ 2
2 --t--_____,£---~-----+-------
-~-----
- -4- - - -
---+----~
o~--------~--------~--------~
2 3 4
+ Normalized crack length, 1+a/r
Core diameter Falkenberg 1.25 0-80.0 0-80.0 16-100 16.6:!:: 1.5 1.79:!:: 0.22 2-3 1.04:!:: 0.04
3cm
Block 1m3 Epprechstein 15 5.0 2.0 15.5 13.5 2.47:!:: 0.20 4
Borehole 250 m Falkenberg 48/66 7.0 5.0 10-17 4-9 1.79:!:: 0.22 7-8
depth
considered perfectly acceptable if one assumes which can only be justified for crack lengths
that grain boundaries of coarse granites can that are large compared with the borehole
act as potential microcracks under tensile radius.
loading (Table 4.2). The fracture coefficient k Theoretical analysis and experimental re-
defined in equation (4.48) was calculated only sults were presented by Bruno and Nakagawa
for the laboratory tests on cylindrical cores. (1991) to describe the influence of pore pres-
With the assumption of constant crack pres- sure on tensile fracture initiation and propaga-
sure (Pa = Pw), that coefficient was calculated tion direction. From the application of fracture
to be k = 1.04. This should be compared with mechanics to the problem, these authors
the value of k = 2, as predicted by the 'classical found that the fracture is influenced by both
theory' which neglects the existence of pore pressure magnitude on a local scale
microcracks. around the crack tip and by the orientation
The application of linear elastic fracture and distribution of pore pressure gradients on
mechanics for estimating the breakdown pres- a global scale. If we consider a situation in
sure and tensile strength of rock masses in which fluid flows inwards towards an extend-
hydrofracture stress measurements accounts ing fracture tip, the induced pores are com-
for the presence of pre-existing microfractures pressive and almost perpendicular to the
and flaws in the borehole wall. However, the fracture plane. Their effect will be to reduce
major problem in the application of fracture the effective stress and strain energy available
mechanics to hydro fracturing as a whole, and for crack extension. The opposite will result
hydraulic stress measurement in particular, is where fluid flow is directed outwards along a
to assume a realistic pressure distribution potential fracture path, such as along the line
within the propagating fracture. Despite these connecting two pressure sources. In controlled
problems, Rummel and Hansen (1989) have fracture experiments conducted on porous
developed a simulation program called FRAC limestone and sandstone samples, Bruno and
that allows the estimation of the pressure drop Nakagawa (1991) were able to demonstrate
at the fracture inlet and the pressure distribu- that fractures propagate toward regions of
tion within the hydraulic fracture. The pro- higher local pore pressure.
gram also calculates the energy consumption Detournay and Carbonell (1994) showed
during discrete crack growth as well as rock that a fracture mechanics approach, which
mass permeability data away from the dis- considers a length scale of the induced frac-
turbed zone around the borehole. As pointed tures at the wall of the borehole, appears to
out by Detournay and Carbonell (1994), the remove many of the ambiguities and problems
breakdown criterion proposed by Rummel that afflict the classical interpretation of the
and co-workers is based on an approximation breakdown pressure. Some of the observations
154 Hydraulic methods
and predictions of their approach still need to estimating Ps from pressure-time curves.
be corroborated by experiments. More gener- Today, statistical analysis of hydraulic frac-
ally, these authors demonstrated that a better turing field data enhances the objectivity of
understanding of the breakdown process determining the shut-in pressure, together
could be gained by re-examining the problem with the fracture reopening pressure and frac-
from a more rigorous point of view than has ture orientation (Haimson, 1989; Lee and
been done so far. Progress in understanding Haimson, 1989). The different methods of
the breakdown process by the application of analysis are discussed in section 4.2.4.
fracture mechanics is then likely to lead to the When there is a risk that the induced vertical
development of a more reliable methodology fractures at the borehole wall tend to 'roll
to determine far-field stresses from the over' and propagate horizontally away from
pressure measurements recorded during a the borehole, it is necessary to separate clearly
hydraulic fracturing experiment. the shut-in pressure values for the different
propagation stages. For that purpose,
Baumgartner and Zoback (1989) have devel-
(g) Shut-in pressure, Ps
oped a computer-based interactive analysis
After injecting a volume of fluid sufficient to method where Ps is determined from a hand-
propagate a fracture length equal to about ful of additional parameter combinations from
three times the drillhole diameter, injection is a test, such as pressure versus injection rate.
stopped and the hydraulic system is sealed or Using an LEFM approach, Hayashi and
'shut in'. The instantaneous shut-in pressure Sakurai (1989) developed a theory to demon-
Ps is the pressure when the hydrofracture strate that the pressure decay characteristics of
closes, preventing further flow in the rock shut-in curves are governed by (1) the rate of
formation. If the hydro fracture extends in a leak-off to the formation, (2) the compliance of
vertical plane perpendicular to Sh, it is the equipment and (3) the partial crack clo-
assumed that the pressure at the time of sure. The general conclusions that can be
fracture closing is equal to Sh, e.g. drawn from the study of Hayashi and Sakurai
(1989) are as follows.
(4.50)
Combining equation (4.50) with any of the 1. The downhole pressure corresponding to
breakout equations mentioned above gives a the onset of the closure at the crack tip is
system of two equations that can be solved for very close to the compressive in situ stress
the major and minor horizontal in situ stresses acting perpendicularly to the crack plane.
SH and Sh. The point representing this pressure
The determination of the shut-in pressure Ps appears as the point of maximum curvature
in the pressure-time record of the hydro- on each shut-in curve.
fracturing test is straightforward when a sharp 2. Crack lengths have almost no effect on the
break occurs after the initial fast pressure shut-in pressure, provided the cracks are
decline following pump shut-off. For most longer than the wellbore diameter. The rate
cases, however, the pressure decay is gradual of pressure decay increases with the crack
and Ps is indistinct. height, the stress ratio and the fluid loss
In the early days of hydraulic fracturing for coefficient, making the point of maximum
stress measurements, the determination of Ps curvature more difficult to define. Com-
was simply done by observing a break or a pliance of the tubes located between the
knee in the curve obtained with the recording shut-in valve and the downhole straddle
unit, typically a conventional chart recorder. packers has a large effect on the shape of
Later, graphical methods were employed for the shut-in curves, larger compliances
Hydraulic fracturing 155
being more helpful to the determination of zontal fractures are formed in a field test, the
the point of maximum curvature. data are usually omitted because they oppose
3. The methods using pressure versus log the theoretical assumption that only vertical
(time) plots, log (pressure) versus log (time) fractures can be initiated.
plots, and the pressure versus log (time/ In order to overcome these two limitations,
time after shut-in) plots give essentially the Ljunggren, Amadei and Stephansson (1988)
same instantaneous shut-in pressure result, and Ljunggren and Amadei (1989) replaced
a value which is very close to the minimum the tensile strength criterion by the nonlinear
compressive in situ stress. When the point empirical failure criterion developed by Hoek
of maximum curvature is not clear on the and Brown (1980). For intact rock, this criter-
original shut-in curves, these methods are ion involves the major and minor principal
recommended. stresses (71 and (73 at failure, as follows:
(4.52)
(h) Using the Hoek and Brown failure
criterion to determine in situ stresses where m is an empirical constant that depends
The classical strength criterion used in on the rock type and (7 e is the unconfined
hydraulic fracturing states that once the tan- compressive strength of the rock. Figure 4.18
shows the failure envelope associated with the
gential stress at the borehole wall exceeds the
criterion in the «(711(73) space. Substituting
tensile strength of the rock mass, a fracture
(71 = 0 and (73 = - T in equation (4.52), the
will initiate and propagate away from the
borehole in the direction of the maximum failure criterion gives the following expression
for the uniaxial tensile strength T of the rock:
principal stress. If we consider the case of a
vertical borehole, the state of stress at the two
(7e 2 1/2
points on the borehole wall aligned with the T=(7t=-«m +4) -m) (4.53)
direction of the maximum horizontal principal 2
stress (corresponding to () = 0° and 180°) has
the following components (Jaeger and Cook,
1976):
(a) (b)
(c) (d)
Fig. 4.19 Hoek and Brown failure envelopes and stress paths for the four cases representing equations
(4.58)-(4.61). (After Ljunggren and Amadei, 1989.)
partings, bedding planes, foliation planes, on the borehole wall in isotropic and trans-
joints or microcrack planes. versely isotropic media. Using experiments,
Von Schonfeldt (1970) and Daneshy (1970)
independently observed that under isotropic
(i) Determination of in situ stresses from
conditions the fracture orientation is influ-
measurements in inclined boreholes
enced by the borehole and its vicinity. The
In the derivation of the equations for the trace of inclined hydraulic fractures at the
breakdown and shut-in pressures, it has been wellbore was found to be misleading if used
assumed that one of the principal stresses is for the purpose of determining the overall
oriented parallel to the borehole axis. For this fracture orientation. The inclined fractures are
case the problem reduces to the two- usually rough and very seldom perpendicular
dimensional plane strain situation of a circular to the maximum tensile stresses induced on
hole in an infinite plate subjected to far-field the borehole wall.
boundary stresses. For the case when none of These observations, together with the exist-
the in situ principal stresses are parallel to the ence of shear stresses around the borehole,
borehole wall, Fairhurst (1968) derived math- suggest that inclined hydraulic fractures are
ematical expressions for the stress components initiated as a result of shear as well as tensile
158 Hydraulic methods
fracture of the rock. Starting with the basic systems are related to each other by the
equations for the state of stress around a cylin- coordinate transformation matrix [B] such
drical borehole with internal pressure applied that
on its wall, Daneshy (1973) derived the equa-
{S} = [B]{5} (4.62)
tion for the maximum tensile stress at a point
on the borehole wall. This point has to lie in a where
plane tangent to the borehole axis. One decade
bu = cos ()( . sin Y b12 = sin ()( . sin y b13 = cos Y
later, Richardson (1983) presented an ana-
lytical solution for stresses around a borehole b21 = - sin ()( b22 = cos ()( b23 = 0
arbitrarily oriented with respect to the princi- b31 = - cos ()( . cos Y b32 = - sin ()( . cos Y b33 = sin y
pal stress axes, and solved for the angular (4.63)
error between predicted hydraulic fractures
and the direction of the minimum compres-
53
sive in situ principal stress. Finally, Ljunggren
and Nordlund (1990) presented a method to Oa =5v
determine the orientation of horizontal in situ
stresses from hydrofracturing in inclined bore-
holes. Their method is, in essence, similar to
that proposed by Richardson (1983).
In the method of Ljunggren and Nordlund
(1990), 0"1, 0"2 and 0"3 are three principal in situ
stresses oriented in the vertical and horizontal /"---52
planes as shown in Fig. 4.20a. The rock is
assumed to be linearly elastic, isotropic and
homogeneous. Consider an (51,52,53) coor-
dinate system where 51, 52 and 53 are parallel
to the directions of 0"1, 0"2 and 0"3 (5H , 5h and
5v ), respectively. 5H and 5h are the horizontal 51
(a)
in situ stresses (5 H > 5h ), and 5v is the vertical
stress. The borehole orientation is defined by ~=r----~N
the unit vector b (Fig. 4.20b) parallel to the 51
borehole axis. In Fig. 4.20b Y is the vertical
angle between vector b and the vertical axis
53, and rjJ is the horizontal angle between 51 52
and the projection of vector b onto the 51,52 E
plane.
We now consider a local coordinate system V,53
(51,52,53) attached to the borehole such that 52
the 51 axis is parallel to the borehole axis and
51
the 52 axis is contained in the 51, 52 horizontal Borehole axis
plane (Fig. 4.20b). Finally, a global coordinate
system (N, E, V) is defined where Nand E lie
(b)
in the 51,52 plane and V is vertical. A hori-
zontal angle ()( is introduced which measures Fig. 4.20 Problem geometry and coordinate sys-
the angle from north (N) to the horizontal tems to calculate the stress distribution around an
projection of b. inclined borehole. (a) In situ stresses, (b) definition
The (N, E, V) and (51, 52, 53) coordinate of angles. (After Ljunggren and Nordlund, 1990.)
Hydraulic fracturing 159
COS"
v
Fig.4.22 Definition of strike vector s and dip vector d for a hydrofracture in the global (N, E, V) coordinate
system. (Adapted from Ljunggren and Nordlund, 1990.)
unit vector normal to the true fracture plane that used as input to calculate the orientation
can be determined as follows: of the fictitious fracture. If the error is non-
n = sXd=(nl1n2,n3) zero, a new assumption for the orientation of
the horizontal stress field must be made. This
= (-sine sin 11, -cos e sinll,COS 11) (4.73) procedure is repeated until the magnitude of
The angular difference P between the normal the error becomes zero and the complete stress
to the fictitious fracture and the normal to the field is obtained.
true fracture plane can be obtained by using The method presented above was tested by
the scalar product, which is written as Ljunggren and Nordlund (1990) on three field
cases in Sweden and Finland. The boreholes
N·n = N1nl + N2n2 + N3n3 = cosp (4.74) had inclinations ranging between 62° and 69°
The angle p represents the angular error from the horizontal plane. At each site, the in
between the two normals nand N. situ stress field was known from measure-
Let us consider coaxial hydrofractures ments in adjacent vertical holes and coaxial
obtained from measurements in an inclined hydrofractures were created. It was found that
borehole. Assume that the orientation of the the orientation of SH differed between 0 and 9°
fractures is controlled only by the far-field in from the strikes of the hydrofractures.
situ stresses (SH, Sh and Sv). The rock is con- Ljunggren and Nordlund (1990) concluded
sidered to be impermeable and no anisotropy that the most important factors that seem to
exists. The in situ stress magnitude is assumed control the orientation of axially induced frac-
to be known, as well as the breakdown pres- tures from hydrofracturing tests in inclined
sure and the orientations of the borehole and boreholes, beside the angles y and ¢ of Fig.
hydrofracture. Assuming a given orientation 4.20b, are (1) the magnitude of the horizontal
for the horizontal stress field, equations stress difference SH - Sh; (2) the difference in
(4.62)-(4.70) give the orientation of the ficti- magnitude between the three principal in situ
tious hydrofracture. The latter is then com- stresses; and (3) the magnitude of the break-
pared with the orientation from in situ down pressure required to initiate the
measurements (equation (4.74». When the hydrofractures.
angular error is zero (p = 0), the true orienta- The maximum and minimum in situ hori-
tion of the horizontal stresses is the same as zontal stresses SH and Sh can be determined by
162 Hydraulic methods
hydrofracturing of the walls of an inclined holes), the breakdown pressure when the
borehole for certain borehole orientations and crack propagates is equal to
assumptions. Consider, for instance, the case
Pc = 3Sh - SH cos 2 y - Sv sin2y + T (4.76)
when the borehole of Fig. 4.20b is inclined in
the direction of SH (e.g. fjJ = 0°). Combining Assuming that the hydrofracture propagates
equations (4.65) and (4.66), the tangential in the vertical plane parallel to SH, the hori-
stress around the borehole wall has the zontal stress Sh can again be estimated from
following expression: the shut-in pressure Ps .
(Je = Sh + SHCOS 2 y + Svsin2y
4.2.4 DATA ANALYSIS AND INTERPRETATION
- 2(Sh - SH cos 2 y - Sv sin2y)
The basic data collected during hydraulic frac-
X cos2() - Pw (4.75)
turing are essentially of two types: pressure
As the pressure increases in the borehole, (Je data and hydrofracture data. Pressure data are
becomes tensile in the borehole wall at () = 90° obtained from the records of pressure versus
and 270°, i.e. in the direction parallel to SH. For time and volume of fluid injected and recov-
those angles the shear stress 'fez vanishes, ered versus time during multiple pumping
which means that the tangential stress is a cycles. An idealized hydraulic fracturing pres-
principal stress. Assuming that, for those sure record for two cycles of pressurization
values of the angle (), hydrofracturing takes and venting is shown in Fig. 4.23. From that
place when the tangential stress is equal to the record it is possible to extract the data neces-
rock tensile strength T (as for vertical bore- sary to determine the in situ state of stress, e.g.
/
i Pr = Fracture reopening pressure
'i
Shut in
/ Ps = Shut-in / Shut in
/ Ps = Shut-in pressure
pressure
/
Cycle 1 Cycle 2
Time-
Fig. 4.23 Idealized hydraulic fracturing pressure record for two cycles of pressurization and venting.
(Source: Enever, J.R., Cornet, F. and Roegiers, J.e. Copyright 1992, with kind permission from Elsevier
Science Ltd, The Boulevard, Langford Lane, Kidlington, UK.)
Hydraulic fracturing 163
the fracture initiation (breakdown) pressure estimating Ps from pressure versus time
PC! the shut-in pressure or instantaneous shut- curves. A review of these various methods can
in pressure Ps and the fracture reopening pres- be found in Tunbridge (1989) and Lee and
sure Pro The second set of data obtained from Haimson (1989), among others. Gronseth and
hydraulic fracturing tests includes the hydro- Kry (1983) proposed the inflection point
fracture delineation and orientation. The method which consists of first drawing a
reader should be aware of the existence of the tangent to the pressure versus time curve fol-
ISRM comnusslOn on interpretation of lowing shut-in. The shut-in pressure is then
hydraulic fracture records (Enever, Cornet and defined as the point at which the response
Roegiers, 1992), whose role is to provide a curve (or the tangent to the curve) diverges
basis for the systematic interpretation of from this tangent. Another more frequently
hydraulic fracture records. We present below a used method is the tangent intersection
review of the various methods available for method (Enever and Chopra, 1986), where Ps
the interpretation of hydraulic fracturing is represented by the point of intersection
data. between the tangent to the pressure curve
immediately after pump shut-off and that to
(a) Fracture breakdown pressure, Pc the late stable section of the pressure curve
(Fig. 4.24a). A third method to determine Ps
The fracture breakdown pressure is deter-
consists of finding the point of maximum
mined as the sharp pressure peak on the
curvature on the pressure versus time record.
pressure versus time record during the initial
This method was first suggested by Hardy
(first) pressurization cycle. The pumping is
(1973) and later applied by Hayashi and
carried out at a constant flow rate, about
Sakurai (1989).
3.5l/min for slim-hole conditions in hard
When using the aforementioned methods, it
granitic rocks (Bjarnason, Ljunggren and
is common practice to determine the shut-in
Stephansson,1989).
pressure after two or three pressurization
cycles (Hickman and Zoback, 1983). In
(b) Shut-in pressure, P s general, the shut-in pressure determined in
The shut-in pressure is the pressure at which a the first cycle is usually higher and decreases
hydrofracture stops propagating and closes somewhat in repeated pressurization cycles as
following pump shut-off. The determination the hydrofracture propagates away from the
of the shut-in pressure Ps is straightforward hole. As an illustrative example, Fig. 4.2Sa
when a sharp break is observed in the pres- shows the interpretation of a pressure decay
sure-time curve after the initial fast pressure versus time record (for the third pressuriza-
decline following pump shut-off. However, in tion cycle) from borehole KAS03 at the Aspo
many situations the pressure decay is gradual Hard Rock Laboratory for nuclear waste
with no obvious breaks or kinks and the shut- disposal in southeast Sweden. It can be seen
in pressure cannot be readily defined. In the that the tangent intersection method gives the
early days of hydraulic fracturing stress lowest shut-in pressure of the three methods
measurements, pressure versus time was re- applied.
corded by analog instruments, and the record- The shut-in pressure can also be determined
ing instruments provided a graph. Today the from semi-log and log-log plots of pressure
recording of pressure versus time is computer- versus time such as those shown in Figs
ized, which allows for more elaborate data 4.2Sb, c for the Aspo project. The semi-
interpretation and statistical analysis. logarithmic representation was first suggested
Over the years, a number of methods by Doe et al. (1983). The rationale for using
(mostly graphical) have been proposed for such a representation is based on the analogy
164 Hydraulic methods
between the post-breakdown pressure decay tive method is to use the inflection point after
and the response of a pulse permeability test shut-in to determine Ps , as suggested by
on a single fracture where the permeability Klasson (1989). The use of the log-log repre-
decreases when the pressure in the fracture sentation to determine the shut-in pressure
falls below the minimum in situ stress. The was first suggested by Zoback and Haimson
logarithmic curves typically have a break-in (1982).
slope which is used to define Ps • An altema- Figures 4.25a-c indicate that, for the Aspo
Hard Rock Laboratory data, the shut-in pres-
sure determined with the tangent intersection
method increases in magnitude when going
from the linear to semi-log and log-log repre-
sentations. If the inflection method is used
instead, one notices the opposite trend.
Another method of interpretation of the
shut-in pressure, called the exponential pres-
sure decay method or Muskat method,
assumes that the pressure decay after frac-
ture closure approaches an asymptotic value
in an exponential fashion (Aamodt and
Kuriyagawa, 1983). The shut-in pressure is
determined by plotting In(P - P",) versus time
Time where p", is the asymptotic pressure (presum-
ably the rock formation pore pressure). The
pressure decay data are fitted by a straight
(a) line. The intercept of that line at time t = 0
(time of pump shut-off) is taken as an estimate
of Ps for a given value of the asymptotic pres-
sure P",. Figure 4.26a shows an example of
application of the Muskat method for the
Aspo Hard Rock Laboratory data. The value of
In(P - Poo) at t = 0 is equal to In(Ps - Poo) = 0.95,
which gives a shut-in pressure of 5.1 MPa for
p", = 2.5 MPa.
McLennan and Roegiers (1983) suggested
another graphical method to determine the
shut-in pressure. The method consists of plot-
ting, using a semi-log representation, the pres-
sure as a function of (t + At)j At, where t is the
time of pressurization and At is the time since
Pressure in test zone shut-in. The inflection point of the plot gives
the shut-in pressure. This is shown in Fig.
4.26b for the Aspo Hard Rock Laboratory
(b) data.
Fig. 4.24 Determination of shut-in pressure from As remarked by Tunbridge (1989), the shut-
hydrofracturing pressure versus time records. (a) in pressure decay curve can also be expressed
Tangent intersection method, (b) bilinear pressure as a flow rate out of the borehole since the
decay rate method. drop in pressure following shut-in must be
Hydraulic fracturing 165
5
cu
11.
Ps= 4.6 MPa (maximum curvature)
~
~
::>
Ul 4
Ul
~
11.
(a)
7
10 100 1000
Time (seconds)
(b)
Fig. 4.25 Determination of shut-in pressure Ps from pressure decay records in borehole KAS03, depth
132.5 m at Aspo Hard Rock Laboratory, Sweden. (a) Linear pressure versus time; (b) pressure versus
log(time); and (c) log(pressure) versus log(time). (After Klasson, 1989.)
166 Hydraulic methods
10
10 100 1000
Time (seconds)
(c)
related to the quantity of fluid flowing out of Tunbridge (1989) has now become the most
the system into the hydrofracture, and to the reliable and therefore the most popular
quantity of fluid from other sources of leakage. method for the determination of the shut-in
Tunbridge (1989) observed that the relation- pressure among the various groups conduct-
ship between pressure in the borehole and rate ing hydrofracturing stress measurements. In
of flow into the hydrofracture appears to be order to single out the shut-in pressure more
bilinear. He suggested a similar bilinear rigorously, Lee and Haimson (1989) deter-
relationship between the rate of pressure mined the best-fitting bilinear curve by apply-
decay and pressure in the shut-in phase of a ing a nonlinear regression analysis to the set of
hydrofracturing test (Fig. 4.24b). Assuming dP / dt versus P data. The same approach was
that following pump shut-off the pressure also used by Lee and Haimson (1989) for the
decay is composed of two exponential curves, analysis of data with the exponential pressure
Tunbridge (1989) showed mathematically that decay method.
the plot of rate of pressure decay versus pres- The values of the shut-in pressure at
sure should consist of two linear segments. different depths determined by the various
The intersection of those segments gives an graphical methods for the Aspo Hard Rock
estimate of the shut-in pressure Ps • Thus by Laboratory data (third pressurization cycle)
plotting the tangent dP / dt to the pressure are summarized in Table 4.3. Analysis of that
decay curve versus the pressure P, the shut-in table reveals that the inflection method in the
pressure can be determined. Figure 4.26c pressure versus time and pressure versus
shows an example of application of that log (time) plots gives the highest values of the
method for the Aspo Hard Rock Laboratory shut-in pressure. The exponential pressure
data where the two segments were deter- decay method yields the next largest. On the
mined by linear regression analysis. other hand, the intersection method gives the
The bilinear pressure decay rate method of smallest values of the shut-in pressure.
Hydraulic fracturing 167
~g
0.5
II;
a. 0
E
-0.5
-1
-1.5
-2
(a)
7
5 P =5.0 MPa
"iii s
a.
~
I!!
:::l
4
'"
'"
I!!
a.
10 100 1000
(t+~t)1t
(b)
Fig. 4.26 Determination of shut-in pressure Ps from pressure decay records in borehole KAS03, depth
132.5m at Aspo Hard Rock Laboratory, Sweden. (a) Exponential pressure decay method, (b) method of
McLennan and Roegiers, (c) bilinear pressure decay rate method. (After Klasson, 1989.)
168 Hydraulic methods
-0.4
-0.35
... .
_ -0.3
~ P :4.9 MPa
6 -0.25 5
:>,
co
<.l
CD
1:l -0.2
~
:::l
'"~'" -0.15
C-
'0 -0.1
.. . . ..
*
a:
-0.05
-0
Pressure (MPa)
(c)
The variability of the shut-in pressure for Washington. These authors found that for a
the Aspo project is somewhat comparable to specific set of hydraulic fracturing data, and
that reported by Aggson and Kim (1987) at the depending on the method of analysis, the
Basalt Waste Isolation Project in Hanford, shut-in pressure (also equal to the minimum
Table 4.3 Values of the sh~~-in pressure at different depths in borehole KAS03 determined by various
graphical methods for the Asp6 Hard Rock Laboratory data (third pressurization cycle; after Klasson,
1989)
Ps Ps Ps Ps Ps Ps
Relationship Method (MPa) (MPa) (MPa) (MPa) (MPa) (MPa)
horizontal stress) could vary by as much as the pressure necessary to reopen the hydro-
4.9 MPa (14%). For the Aspo project, the varia- fracture is determined by conducting a second
tion is about 2.1 MPa (38%). or third pressurization cycle. That pressure is
defined as the reopening (or 'refrac') pressure
(c) Reopening pressure, Pr and tensile Pr (Figs 4.12 and 4.23). If the classical theory of
strength, T hydraulic fracturing is used, and assuming a
The hydraulic fracture tensile strength is non-penetrating fluid, the hydraulic fracture
critical in the analysis of hydrofracturing tests tensile strength T is obtained by calculating
as it enters into the relationship between the the difference between the breakdown pres-
breakdown pressure and the maximum and sure and the reopening pressure (Bredehoeft et
minimum in situ stresses. Several methods al., 1976), as described by equation (4.18).
have been suggested in the literature for deter- As remarked by Lee and Haimson (1989)
mining the hydraulic fracture tensile strength. and Ratigan (1992), the method suggested by
According to Ratigan (1990), five approaches Bredehoeft et al. (1976) was developed under
are available: the assumptions that (1) the hydrofracture
closes completely between pressurization
1. perform fracture reopening in subsequent cycles, (2) the reopening pressure is the pres-
pressurization cycles following the first sure level at which the pre-existing hydro-
cycle (Bjarnason, Ljunggren and Stephans- fracture just begins to open, (3) the tensile
son, 1989; Bredehoeft et al., 1976; Hickman strength of the rock with the hydrofracture is
and Zoback, 1983); zero and (4) the stress state in the borehole
2. use the tensile strength obtained from lab- wall is the same with or without the hydro-
oratory hydraulic fracture tests (Bjarnason, fracture. The last assumption is very much
Ljunggren and Stephansson, 1989; Haim- open to question since the hoop stresses for the
son, 1978a, b); fractured and unfractured borehole walls
3. use a statistical fracture mechanics model cannot be the same. The importance of that
formulated from laboratory experiments to effect on the determination of the hydraulic
estimate the in situ hydraulic fracture fracture tensile strength and the in situ stresses
tensile strength (Doe et al., 1983; Ratigan, was investigated by Ratigan (1992) using an
1982); LEFM approach and for the case of hydraulic
4. incorporate a slotting of the packed-off sec- fracturing of an impermeable rock formation.
tion of the borehole to enable a determi- Ratigan (1992) derived an equation for the
nistic fracture mechanics interpretation of reopening pressure which, for the variables
the test (Abou-Sayed, Brechtel and Clifton, defined in Fig. 4.14, can be expressed as
1978); follows:
5. use an LEFM approach and estimate the
crack size from known rock grain size and Pr = SHF1(a,A) + ShF2(a,A) (4.77)
laboratory data of fracture toughness where Ais the ratio between the pressure in the
(Rummel, 1987). hydrofracture (assumed uniform) and that in
In general, these techniques yield different the borehole, a is the fracture length and F}
values of the rock tensile strength. Thus it and Fz are two complex functions. As
appears that the hydraulic fracture tensile remarked by Ratigan (1992), equation (4.77)
strength is not a unique material property of has a functional form similar to equation (4.43)
the rock. derived by Rummel (1987) without the first
The first two techniques are by far the most term associated with the fracture toughness.
common when determining the hydraulic Ratigan also concluded that the relationship of
fracture tensile strength. In the first technique Bredehoeft et al. (1976), which uses equation
170 Hydraulic methods
(4.77) with Fl = -1 and F2 = 3, is only appro- cycle (second or third cycle) where the slope of
priate for interpreting hydraulic fracture stress the ascending portion of the pressure-time
measurements for two specific cases: curve departs from that of the pressure-time
curve in the first fracture-inducing cycle. A
1. A. = 1 (slow pumping and low-viscosity
conventional way of determining Pr is to
fluid), the initial crack length is at least four
superimpose the first cycle fracture-inducing
to five times the borehole radius and the
curve onto the pressure-time curves for the
ratio SH / Sh "'" 2.
other pressurization cycles. However, as
2. A. = 0 (fast pumping and high-viscosity
remarked by Lee and Haimson (1989), this
fluid), the initial crack length is less than
graphical technique can be misleading. They
about one borehole radius.
proposed instead a more rigorous statistical
For other conditions, Ratigan (1992) con- technique of superimposing the pressure-time
cluded that the relationship of Bredehoeft et al. curves and selecting Pro
(1976) could not be used and that the hy- The method of Lee and Haimson (1989),
draulic fracturing tensile strength should be called the 'reference threshold' method and
estimated from laboratory tests. shown in Figs 4.27a, b for hydrofracturing
As for the shut-in pressure, the determina- data at the Waterloo site in Wisconsin, consists
tion of the fracture reopening pressure from of comparing the digitized pressure-time data
pressure-time records can be subjective. By for a segment of the ascending portion in the
definition the fracture reopening pressure is fracturing cycle with the data points in the
the pressure in a subsequent pressurization repressurization cycle over the same elapsed
:A,/:,
16
15 cycle1~ Cycle1~
14 4' 4'
13
Cycle 2 1 \ ' / \ Cycle 2
12
as 11
e Seg 1 :
0-
10 ,
I!! 9 p2= p'3= P :
:::l
In
8 1 : "f r r r \ :' .'!.
.. ,
In
I!! Pr~: .0'
0- 7 ~
f
6 : Seg2 --~JI
5 / Seg 3 ~'
4 $~ ",
3
2
......
.... .. -
J', .... ;I " " 00 •
- .;' "
.. ...... "
0
Fig. 4.27 Fracture reopening pressure determination using 'reference threshold' method. (a) Initial
segment 1 yields unsatisfactory matching, since P; is inside the segment; (b) segment 2 determines Pr and
reduced segment 3 confirms Pro Data from borehole WI in quartzite, depth 81.5 m at Waterloo, Wisconsin,
USA. (Source: Lee, M.Y. and Haimson, B.C. Copyright 1989, with kind permission from Elsevier Science
Ltd, The Boulevard, Langford Lane, Kidlington, UK.)
Hydraulic fracturing 171
time. The average pressure difference between fracture mechanics, and all three observations
the two pressure-time curves and its standard can be explained with statistical fracture
deviation are determined by statistical tech- mechanics using a method such as the weakest
niques. The reference threshold is defined as link theory proposed by Weibull in the late
the average pressure difference plus two 1930s.
standard deviations. The onset of deviation Laboratory hydraulic fracture tests used for
between the ascending portions of the the determination of the hydraulic fracture
pressure-time curves for the first and sub- tensile strength T are usually carried out on
sequent cycles is interpreted as the starting rock specimens obtained from nominal-size
point of continuous pressure difference larger cores taken from boreholes where field
than the reference threshold. If the onset of hydraulic fracture tests are conducted. The
deviation is inside the segment (Seg 1 in Fig. specimens contain an inner drillhole along
4.27a), the segment is reduced in size at the their axis in which two small-diameter pack-
high end and the procedure is repeated until ers are inserted (Fig. 4.28). If the rock is
the onset of deviation pressure is just on the porous, a membrane is placed around the test
upper edge of the segment (Seg 2 in Fig. samples. Axisymmetric and axial pressures
4.27b). The value of that pressure is then are then applied to simulate the virgin condi-
defined as the reopening pressure Pro tions. The small-diameter drillhole is pressur-
The second approach for determining the ized until rupture occurs at a pressure Pc. The
hydraulic fracture tensile strength is to con- procedure is repeated for different levels of
duct hydraulic fracture tests on core samples confining pressure P. An example of variation
in the laboratory. This approach raises another of fracturing pressure versus confinement is
concern, which is how to interpolate the ten- shown in Fig. 4.29 for tests conducted on
sile strength measured in the laboratory to that drillcore samples of granitic gneiss from
in the field. As discussed below, although Forsmark in central Sweden. The core samples
several recommendations have been proposed had an inner drillhole diameter of 10 mm and
on that subject, it is still open for discussion. an outer diameter of 65 mm. For those tests the
According to Ratigan (1982, 1990), three membrane was omitted and the confining oil
observations are invariably made when intact pressure was in direct contact with the low-
rock samples are taken into the laboratory and permeability rock. Using the least squares
tested to determine the tensile strength. First, method, the data points in Fig. 4.29 were fitted
the apparent tensile strength depends upon by a straight line with equation
the sample size, with larger specimens giving
Pc = kP + T (4.78)
smaller tensile strengths. This phenomenon is
referred to as 'size effect' in the rock mechanics with slope k = 1.2 and intercept, T = 17.4 MPa,
literature. Second, the apparent tensile taken as the tensile strength. It is interesting to
strength depends upon the type of test being note that coefficient k = 1.2 is quite different
performed. Finally, with any given test and from the value predicted with the theory of
specimen size, a scatter about the mean value linear elasticity. Indeed, for the geometry of
is often observed. Within the context of the core samples used in the tests, k should be
strength of (continuous) materials, none of equal to 1.95 and a coefficient of 0.95 (instead
these laboratory observations could be attri- of 1.0) should be applied to T. Test results
buted to the inherent behavior of the material. reported by various authors have shown the
Instead, they must be attributed to the testing same discrepancy (Ljunggren, 1984; Rummel,
methods and/or sample inhomogeneity. As 1987). For instance, in the laboratory hydraulic
shown by Ratigan (1982), the first two obser- fracture tests on drillcores of Falkenberg gran-
vations can be explained with deterministic ite reported by Rummel (1987), the coefficient
172 Hydraulic methods
k was found to be as small as 1.04. As dis- Indiana limestone under no confinement and
cussed in section 4.2.3, LEFM can predict, in containing a drillhole with a diameter ranging
part, such smaller values for k by using equa- between 3.4 and 50.8 mm. According to equa-
tions (4.43) and (4.48) with SH = Sh = P. The tion (4.78), the breakdown pressure was there-
viscosity of the penetrating fluid and the rate fore a direct measurement of the hydraulic
of penetration also seem to be important fac- fracture tensile strength. The tests were con-
tors in controlling the value of k. ducted under either controlled flow rate or
Another observation often reported in pressurization rate. The tests showed a neg-
laboratory hydraulic fracture tests is that the ative exponential decrease in tensile strength
measured hydraulic fracture tensile strength with an increase in borehole diameter up to
depends on the drillhole diameter. More 20 mm. Beyond that, the tensile strength was
specifically, the tensile strength decreases with essentially constant. The tests also revealed
an increase in the central drillhole diameter that the breakdown pressure, and therefore
(Cuisiat and Haimson, 1992; Enever, Walton the tensile strength, almost doubled as the
and Wold, 1990; Haimson, 1968, 1990; pressurization rate increased from 0.05 MPa/ s
Haimson and Zhao, 1991; Ljunggren, 1984). As to 10 MPa/s. Haimson and Zhao (1991)
an example, Haimson and Zhao (1991) con- concluded however that, for the borehole
ducted laboratory hydraulic fracture tests on diameters and pressurization rates used in the
core samples of Lac du Bonnet granite and field, the hydraulic fracture tensile strength
Axial load
Fracture pressure
I~!E==!~====== Membrane
Sealing
Fig. 4.28 Laboratory simulation of hydraulic fracturing for determination of the hydraulic tensile strength
of a rock sample.
Hydraulic fracturing 173
50
•
0.."
40
30
P =17.4 + 1.2P
c
20
o
o 10 20
Fig. 4.29 Variation of fracturing pressure with confinement for hydraulic fracture laboratory tests
conducted on 65 mm diameter core samples of granitic gneiss from Forsmark, central Sweden. The core
samples have a 10 mm diameter drillhole.
measured in the laboratory was directly observed in the laboratory by Haimson and
usable for the analysis of field data. Zhao (1991).
From an intuitive point of view, the observa- In the model of Abou-Sayed, Brechtel and
tion that the tensile strength decreases as the Clifton (1978), for zero confinement (P = 0) the
borehole diameter increases makes sense tensile strength (also equal to the breakdown
since, as the borehole diameter becomes larger pressure) is such that
(and therefore the borehole wall surface
increases), the probability of finding larger P = T= Krc (4.79)
potential critical microcracks also increases. C F(Lj r)(Ln)1/2
The models that have been proposed to
predict the effect of the hole diameter on the where Krc is the fracture toughness, L is the
tensile strength include the point stress initial fracture length and r is the drillhole
criterion of Whitney and Nuismer (1974), the radius. In equation (4.79) F(L/r) is a complex
poroelastic model of Detournay and Carvalho function whose values were determined by
(1989), and the LEFM models of Abou-Sayed, Paris and Sih (1965). Here again, the tensile
Brechtel and Clifton (1978) and Rummel strength should decrease as the borehole
(1987). We discuss below the fracture mechan- diameter increases.
ics models only. The model of Abou-Sayed, Brechtel and
As shown in section 4.2.3 (equation (4.46)), Clifton (1978) was used by Ljunggren (1984) as
the model of Rummel (1987) predicts that the a technique to predict the hydraulic fracture
hydraulic fracture tensile strength depends on tensile strength in the field from the results of
the inverse of the square root of the borehole laboratory hydraulic fracture tests. The ration-
radius. As reported by Cuisiat and Haimson ale used by Ljunggren was that, according to
(1992), this model has been found to repro- equation (4.79), the tensile strengths for two
duce well the variations of hydraulic fracture boreholes with radii r1 and r2 are related as
tensile strength with borehole diameter follows:
174 Hydraulic methods
T(rl) = F(Ljr2) mean tensile strength for the Stidsvig gneiss
(4.80) was 12.6 MPa. In general, these predicted
T(r2) F(Ljrl)
values were found not to correlate well with
Laboratory hydraulic fracturing tests were the mean values of tensile strength deter-
conducted on core samples of two Swedish mined from the difference between the first
rocks: Stidsvig gneiss (62 and 45 mm outer and second breakdown pressures in the field,
diameter) and Forsmark granitic gneiss e.g. T = 1.0 MPa for the Stidsvig gneiss (76 mm
(62 mm outer diameter). The core samples had borehole), T = 2.1 MPa for the Stidsvig gneiss
an inner drillhole with radius r = 5 mm. Using (56 mm borehole) and T = 5.4 MPa for the
equation (4.80), the hydraulic fracture tensile Forsmark granitic gneiss (76mm borehole).
strength was predicted for 56 and 76 mm No satisfactory explanation was proposed by
diameter boreholes, for initial fracture lengths Ljunggren (1984) to explain such a large dis-
L = 0.5 and 5 mm, and for the case of one or crepancy between predicted and measured
two fractures emanating from the borehole. field values.
The results are summarized in Table 4.4.
The results in Table 4.4 indicate that a longer
(d) Fracture delineation and orientation
initial fracture length reduces the tensile
strength for the same number of fractures The orientation of the hydrofractures that
initiated at the borehole wall. For a large frac- have formed on borehole walls is crucial when
ture length, the tensile strength is sensitive to defining the in situ stress field. Theoretically,
the number of fractures initiated at the bore- the fracture planes are oriented parallel to the
hole wall. For a 76 mm diameter borehole, the axis of the borehole.
predicted mean tensile strengths for the The images of induced vertical hydrofrac-
Stidsvig gneiss and Forsmark granitic gneiss tures obtained on impression packers or on
were 14.0 MPa and 13.5 MPa, respectively. For borehole televiewer pictures are rarely found
the 56 mm diameter borehole, the predicted in the form of two straight lines 1800 apart.
Table 4.4 Determination of tensile strength of Swedish granitic rocks from laboratory hydraulic fracturing
tests (after Ljunggren, 1984)
a Experimental data.
Hydraulic fracturing 175
More common are discontinuous traces that of the hydrofracture Eo, defined as the result-
are oriented off-center, en echelon and irregu- ant vector direction of n digitized trace data, is
lar. In order to remove subjectivity in the such that
determination of fracture orientation, Lee and
Eo = cos -\X/L) (4.81)
Haimson (1989) introduced circular statistics
to delineate coaxial hydrofractures more where
rigorously. 1.:7=1 cosE; 1.:7=1 sinE;
Figure 4.30a illustrates the main steps X=---- Y= (4.82)
needed to delineate a coaxial hydrofracture n n
from the image on an impression packer. First, The standard deviation (SD) of the mean
the fracture traces are defined in terms of the direction is obtained from the length of the
azimuth with respect to a reference direction, resultant vector L and is equal to
typically north. The angle E; (i = I, n) corre-
SD=0.5(-2lnL)-2 (4.83)
sponding to the center of each digitized trace
is represented by a unit vector on a circle. This An example of application of the above
results in two groups of vectors representing method for a typical en echelon hydrofracture
the two halves of the coaxial fracture. Follow- trace is shown in Fig. 4.31a. The mean fracture
ing the presentation by Lee and Haimson strike direction based on equation (4.82) was
(1989), since the strike of a fracture is such that determined as 48° ± 4.5°.
E; = E; + 180°, the range of possible strikes can If the hydrofracture is not coaxial and is
be reduced by rotating one of the groups by inclined with respect to the hole, a different
180°. If X and Yare the mean components of approach needs to be used. In general, an
the resultant vector along the 0° and 90° direc- inclined fracture intersecting a borehole
tions, the mean length of the resultant vector is appears as a sinusoidal curve on the unwrap-
L = (X 2 + y2)1/2. The mean orientation angle ped image of an impression packer or on a
E.
J
(b)
'"
(a)
Fig. 4.30 Fracture delineation from an impression packer. (a) Circular statistics applied to sets of vertical
fractures, (b) sinusoidal regression method applied to an inclined fracture. (After Lee and Haimson,
1989.)
176 Hydraulic methods
formation microscanner (FMS) and borehole hydrofracturing experiment are fitted to equa-
televiewer picture. The dip direction of the tion (4.84). The average dip direction and its
fracture can be determined by the azimuth of uncertainty are calculated from parameter e3
the lower hinge of the curve, and the dip angle and its standard deviation. The average dip
can be calculated from the arctangent of the angle and its uncertainty are calculated from
amplitude of the curve divided by the bore- parameters el and e2 and their standard
hole radius. As for coaxial fractures, it is some- deviations. An example of application of that
times difficult to delineate inclined fractures, method is shown in Fig. 4.31b.
in particular if their traces are partially visible. The general experience of most research and
In order to overcome this difficulty, Lee and engineering groups conducting hydrofractur-
Haimson (1989) introduced a sinusoidal ing is that most impression tests or FMS and
curve-fitting regression method shown in Fig. televiewer photographs yield less than ideal
4.30b. If D and E are the coordinates of the fracture traces. Therefore, the statistical tech-
fracture trace (in terms of depth and azimuthal niques described by Lee and Haimson (1989)
angle) along the axis of the borehole, the fol- and summarized in this section are highly
lowing relation represents the geometry of the recommended as they remove subjectivity and
trace: offer confidence and uniformity.
(4.84)
4.3 SLEEVE FRACTURING
where el, e2 and e3 are unknown parameters.
By using nonlinear regression analysis, the As discussed in the previous section, the
digitized data of the traces obtained in the build-up in pore pressure in the rock mass
1330 1900
211.5 . . . - - - - - - - - - - - - - - - , 227.4...--------------,
.s
to 212.0
Fitted
vertical 227.6 Fitted inclined
:,: ' / fracture ~ '} fracture
z ; .... :::.~..... .
(a) (b)
Fig. 4.31 Image of fractures from an unwrapped impression packer, (a) Mean direction of fracture
determined by circular statistics, (b) optimum dip and dip direction of inclined fracture plane obtained by
sinusoidal curve fitting. (After Lee and Haimson, 1989.)
Sleeve fracturing 177
adjacent to a borehole during conventional of the horizontal principal in situ stresses per-
hydraulic fracturing stress measurements has pendicular to the borehole axis is determined
an effect on the breakdown pressure and the from recorded pressure versus volume curves.
determination of in situ stresses. Sleeve frac- The direction of the maximum horizontal
turing is an alternative technique to hydro- principal stress is found from the orientation
fracturing whereby axial fractures are created of the axial fracture plane in the borehole. The
at the borehole wall by expansion of the mem- fracture orientation is determined from
brane of a high-capacity type of dilatometer. impression on black vinyl electrical tape
As in conventional hydraulic fracturing in wrapped around the surface of the sleeve.
vertical holes, a fracture is initiated at the Another sleeve fracturing system was pro-
borehole wall once the pressure exceeds the posed by Serata and Kikuchi (1986) and Serata
tensile strength of the rock and the fracture et al. (1992). In their method of in situ stress
propagates in the direction perpendicular to measurement, called the 'double fracture'
the minimum horizontal principal in situ method, the pressure of the sleeve is raised to
stress. However, unlike hydraulic fracturing, create a set of two mutually perpendicular
no fluid penetrates the rock mass during the fractures at the borehole wall. The magnitude
fracturing process. The maximum and mini- of the in situ principal stresses in the plane
mum principal stresses SH and Sh in the plane normal to the borehole axis is deduced from
perpendicular to the axis of the borehole are sleeve pressure versus borehole diametral
determined from the breakdown pressure and deformation recordings. The orientation of the
the pressure required to reopen the induced maximum and minimum in situ stresses is
fractures. determined from the diametral deformation of
the borehole measured by four deformation
sensors placed inside the sleeve. The double
4.3.1 HISTORY
fracture method has been tested in both
The sleeve fracturing method was first pro- laboratory and field.
posed by Stephansson (1983b, c). It was essen- The reader should be aware of the recent
tially based on the concept of pressuremeter development of a new dilatometer for rocks,
testing in soils and dilatometer testing in called the 'directional dilatometer'. That
rocks. The sleeve fracturing system of instrument was designed and built by
Stephansson was an extension of the so-called ROCTEST and was developed at the Uni-
Colorado School of Mines flexible dilatometer versity of Colorado at Boulder (Amadei et al.,
(also known as the CSM cell) developed by 1994). Unlike conventional dilatometers, the
Hustrulid and Hustrulid (1975). The method directional dilatometer is divided into four
was tested first in the laboratory in loaded and sectors, each containing an inflating mem-
unloaded blocks of mortar, Indiana limestone brane and a displacement transducer. Direc-
and Colorado sandstone. Additional labora- tional loading or uniform loading can be
tory tests in blocks of granite and diabase were applied on the borehole wall. In principle, the
later on reported by Ljunggren and directional dilatometer can be used for sleeve
Stephansson (1986) using a stiffer system. fracturing of borehole walls and the measure-
Field testing of the sleeve fracturing method ment of in situ stresses together with the meas-
was conducted at four sites and in four differ- urement of both the Young's modulus and
ent rock types related to the US program of Poisson's ratio of the rock. This equipment is
storage of radioactive waste in geological for- still under testing.
mations (Stephansson, 1983b, c). The main advantage of sleeve fracturing, in
In the sleeve fracturing method of general, is that it provides a method of induc-
Stephansson and co-workers, the magnitude ing axial fractures in boreholes and at any
178 Hydraulic methods
depth without introducing fluids into the rock an approach in order to obtain reliable stress
mass during the fracturing process. The sleeve determinations in weak rocks such as shale.
breakdown pressure should be more repre-
sentative of the in situ stress field than the
4.3.2 TECHNIQUES, EQUIPMENT AND
breakdown pressure obtained in hydraulic
PROCEDURES
fracturing since there is no fluid interacting
with microfissures, flaws and other rock dis- The sleeve fracturing stress measurement
continuities in the vicinity of the borehole. methods make use of modified high-capacity
However, compared with hydraulic fractur- flexible dilatometers. In principal, there are
ing, sleeve fracturing has a couple of draw- two types of dilatometer used in rock mechan-
backs. First, existing micro fractures and flaws ics. The first type measures borehole volume
in rocks often make it difficult to obtain sharp changes from which radial displacements can
and consistent elastic breakdown points in the be calculated. The second type measures
recorded pressure versus volume curves or radial displacements directly using displace-
pressure versus diametral deformation curves. ment transducers mounted in the dilatometer
Second, compared with hydraulic fracturing, itself. Both types are flexible in that they can
the induced fractures do not propagate far apply a uniform distributed pressure to the
from the borehole wall. Both of these limita- borehole wall throughout a flexible membrane
tions remain to be overcome. As a closing note, of neoprene or adiprene (hard rubber). The
attempts have been made to combine the sleeve fracturing system used by Stephansson
sleeve fracturing and hydraulic fracturing (1983b, c), which is a slight modification of the
techniques. For instance, Thiercelin and CSM cell developed by Hustrulid and
Desroches (1993) and Thiercelin, Desroches Hustrulid (1975), is shown in Fig. 4.32. The
and Kurkjian (1994) recommended using such system was further modified by Ljunggren
Fig. 4.32 Sleeve fracturing system of Stephansson (1983b, c) used to determine rock mass deformability
and in situ stresses. 1, High-Rressure generator with vernier indicator rated at a pressure capacity of 70 MPa
and a fluid capacity of 30 cm3; 2, high-pressure generator with vernier indicator rated at a pressure capacity
of 35 MPa and a fluid capacity of 60 cm3 ; 3, three-way high-pressure valve; 4, CSM borehole cell; 5, pressure
gage rated at 0-140 MPa; 6, high line differential pressure transducer of diaphragm type ranging from
35 kPa to 85 MPa and readout unit; 7, linear displacement transducer with a resolution of 0.05-0.08 mm; 8,
X-Y recorder.
Sleeve fracturing 179
and Stephansson (1986) by placing a pressure Stephansson offers the possibility of determin-
intensifier next to the CSM cell. This addition ing two parameters in situ in one and the same
was able to make the sleeve fracturing system test in a vertical borehole. The system is first
much stiffer than the CSM system. pressurized to a level where no fractures are
The main component of the sleeve fractur- initiated and the modulus of rigidity of the
ing system of Stephansson and co-workers is rock mass is determined. If the Poisson's ratio
the CSM borehole cell. The cell fits into EX v of the rock is known or can be estimated, its
(38 mm) boreholes and consists of three parts: Young's modulus E can also be found. By
(1) a membrane made of adiprene, (2) a central increasing the pressure further, a borehole
steel mandrel with an end cup and (3) a fracture is induced and a sleeve breakdown
removable steel end cup. The membrane has a pressure is recorded. If the fracture is vertical,
self-sealing construction so that when the its direction indicates the direction of the max-
pressurizing fluid enters the cavity between imum horizontal principal in situ stress. By
the mandrel and the inner membrane wall, the recording the pressure necessary for reopen-
pressure seals the flange of the membrane ing the fracture during a second pressuriza-
against the mandrel and the ends against the tion cycle, and knowing the tensile strength of
end cup. A minimum of tubing should be the rock, the magnitude of the horizontal
applied and water should be used as the pres- principal in situ stresses can be determined
surizing fluid in order to obtain a stiff system. from the classical equation for hydraulic
Figure 4.33 shows a laboratory set-up for fracturing. Fracture orientation in the borehole
sleeve fracturing testing used at is determined by impression on black vinyl
the Colorado School of Mines in Golden, electrical tape wrapped around the surface of
Colorado. the sleeve. The tape is somewhat sticky,
The sleeve fracturing method of causing the loose particles from the fracture
Fig. 4.33 Laboratory set-up for sleeve fracturing testing used at the Colorado School of Mines, Golden,
Colorado.
180 Hydraulic methods
to stick to the tape. At the same time, the tape determined from the diametral deformation
can deform plastically as the sleeve is inflated (strain ellipse) of the borehole wall. When
and it penetrates into the fracture opening applying the double fracture method, the
and gives a distinct print with the topography borehole is preloaded (or 'pretreated') with
of the fracture. By knowing the orientation of the sleeve. The increased loading pressure
the sleeve in the borehole and the fracture allows simultaneous consolidation of the rock
orientation, the direction of the maximum mass and creation of the double fractures
horizontal principal in situ stress is deter- around the borehole.
mined from the impression on the surface of Thiercelin and Desroches (1993) developed
the sleeve. a new and interesting downhole method for
Serata et al. (1992) developed a special hydraulic stress measurements. The method
instrument called the Stressmeter (S-200) as a combines the sleeve fracturing technique with
necessary tool to implement the double the conventional hydraulic fracturing tech-
fracture method of in situ stress measurement. nique. First a sleeve fracturing is carried out at
The sleeve of the Stressmeter probe consists the test location in the borehole and two frac-
of two compartments, pressure-loading and tures are formed with the fracture planes ori-
non-pressurized sections, within a single ented parallel with the axis of the borehole.
cylindrical housing. The plastic tube of the The fractures are generated by inflating one of
pressure-loading section is constructed of ure- the packers of the straddle packer equipment.
thane. The sleeve diameter is 100mm, its Mter generating the fractures, the straddle
length is 100 cm and it is pressurized using an packer is deflated and moved such that the
electrical power pump. Four diameter-sensing straddle packer interval is located at the depth
transducers, arranged at 45° angular and of the initiated fractures. Thereafter, the frac-
110 mm intervals inside the Stressmeter, meas- tures can be pressurized with any fluid and
ure changes in borehole diameter with a high allowed to propagate. This technique estab-
resolution in relation to the applied sleeve lishes the location of the fractures to be tested
pressure. Signal outputs from the electronic and significantly reduces the reopening pres-
compartments represent diametral deforma- sure for the hydraulic testing. The latest
tion and loading pressure, and are transferred version of the wireline tool for conducting
by an electronic cable to a laptop computer combined sleeve fracturing and hydraulic
and disk storage for later post-processing off- fracturing in deep boreholes is entirely soft-
site. ware controlled (Thiercelin, Desroches and
In the double fracture method, after a first Kurkjian, 1994). It consists of a downhole
cycle of loading, fracturing and unloading of pump to pressurize both the packers and the
the borehole wall, the sleeve pressure is fluid in the test interval, which reduces the
increased again to a level where a second wellbore storage and increases the overall
fracture is formed. stiffness of the system.
The initiation and reopening of the first and
second fractures are recorded by the four
4.3.3 THEORY OF SLEEVE FRACTURING
diametral transducers in relation to the
applied sleeve pressure. From the plots of
(a) Determination of rock modulus
applied pressure versus borehole diametral
deformation across each fracture plane, the The complete derivation of the equations
two reopening pressures can be extracted and required for the calculation of the rock elastic
the maximum and minimum horizontal prin- modulus from pressure versus volume curves
cipal in situ stresses can be calculated. Orienta- obtained with borehole dilatometers such as
tion of the principal in situ stresses is the CSM cell was presented by Hustrulid and
Sleeve fracturing 181
Hustrulid (1975). We present below a sum- For testing in a borehole in an infinite rock
mary of that derivation when applied to the mass, the rock modulus of rigidity GR is
analysis of sleeve fracturing tests. related to MR as follows:
Prior to conducting sleeve fracturing tests,
the stiffness of the entire system (i.e. pressure MRnLri2
GR = - - - (4.88)
generators, fluid, valves, membrane and Y
pressure gages), must be determined. This is where L is the length of the sleeve, ri is the
accomplished by inserting the cell in a metal radius of the borehole and y is the volume of
cylinder of known geometry and elastic prop- fluid injected per turn of the pressure pump. If
erties, and then pressurizing it. During pres- the Poisson's ratio of the rock mass VR is
surization a pressure versus volume curve is known, then the Young's modulus of the rock
recorded. The slope of that curve Mm com- ER can be calculated from
bines the stiffness of the system Ms and that of
the calibration cylinder, Me. The stiffness of (4.89)
the calibration cylinder alone can be calculated For deformability determination using a
using the following equation: flexible dilatometer with radial displacement
yG e measurements, the resulting hole expansion is
Me = --.,----'-------,- (4.85) measured directly by displacement trans-
2(1 + Pc - 2V ePe)
nLrie --'-----'-- ducers mounted in the sleeve. If for a given
1 - Pc change in applied pressure /).p, a change in
where y is the volume of fluid injected from diametral deformation /).U is measured in a
pressure ~enerator per turn of pressure pump borehole of initial radius ri, the modulus of
(0.361 cm /turn for CSM cell), L is the effective rigidity of the rock is equal to
length of the rubber sleeve (cm), ric is the /).p
radius of the hole in the calibration cylinder GR = ri /).U (4.90)
(cm), roc is the outside radius of the calibration
cylinder (cm), Pe = (ric / r oe)2, Ge is the modulus The Young's modulus of the rock is again
of rigidity of the calibration cylinder (MPa) determined using equation (4.89). An advan-
and Ve is the Poisson's ratio of the calibration tage in using measurements of diametral
cylinder. deformations instead of volume changes is
For the units selected here, Me is determined that rock anisotropy may be inferred from the
in MPa/turn. Once Me is known, the system variation in diametral deformation around the
stiffness Ms (in MPa/turn) can now be com- borehole wall.
puted as follows:
(b) Determination of in situ stresses
MeMm
Ms=---- (4.86) Consider again the same geometry used for
Me-Mm
the derivation of the hydraulic fracturing
After calibration, the cell can now be inserted equations, that is a circular vertical hole of
into a borehole in a rock with unknown elastic radius R subjected to an internal pressure P
properties. The slope MT of the linear portion and to far-field stresses SH and Sh. Again,
of the pressure versus volume curve is deter- using the Kirsch solution {Jaeger and Cook,
mined over the same pressure range as in the 1976), at the borehole wall and at an angle 8
calibration phase. The rock stiffness MR is then from SH, the radial stress (Jr is equal to P, the
determined from shear stress (Jre vanishes and the tangential
stress (J e is equal to
(4.87)
(Je = (SH + Sh) - 2(SH - Sh) cos 28 - P (4.91)
182 Hydraulic methods
As the sleeve pressure P increases, the tangen- ing to Serata et al. (1992), the second fracture
tial stress (10 decreases linearly until fracturing generally originates in a direction perpendicu-
of the borehole wall. The first fracture occurs lar to the first fracture, i.e. in the direction of
at () = 0 and 180°, i.e. in the direction of the the minimum horizontal in situ stress Sh.
maximum in situ principal stress SH, when (10 Serata et al. (1992) followed a different
is equal to the rock tensile strength T. The approach from Stephansson for the analysis of
sleeve pressure or breakdown pressure pf sleeve fracturing tests. They suggested that the
necessary to initiate the first fracture in a in situ stresses SH and Sh could be determined
direction parallel to the maximum principal by measuring the sleeve pressures at the
stress SH is equal to reopening of the first and second fractures.
These reopening pressures can best be deter-
pf = 3Sh - SH + T (4.92)
mined from the pressure versus deformation
The extension of the first fracture plane is diagrams that relate the borehole diametral
short due to the limited amount of force deformation across each fracture plane to the
generated by the sleeve. The extent of the sleeve pressure. At the time of reopening of
fracture is usually about the size of the bore- each fracture, the tangential stress at the bore-
hole diameter. This is different from conven- hole wall is assumed to vanish as in hydraulic
tional hydraulic fracturing where the fluid fracturing, e.g.
pressure in the fracture planes generates
enough loading to propagate the fractures (1(J(() = 0°) = 3Sh - SH - rl = 0
(4.93)
over long distances.
Equation (4.92) provides one equation for
(1(J(() = 90°) = 3SH - Sh - pf = 0
determining the two unknowns SH and Sh. where rl and ~ are the reopening pressures
When using the method of Stephansson, the for the first and second fractures, respectively.
second equation is obtained by repressurizing Solving equations (4.93) for SH and Sh gives
the fractured borehole wall. The minimum
horizontal stress Sh is then determined as the SH = (rl + 3~)/8
pressure when the first fracture reopens. (4.94)
It is noteworthy that the application of
equation (4.92) to sleeve fracturing is valid,
assuming that the breakdown pressure is Equations (4.93) and (4.94) imply that the rock
equal to the contact stress at the interface is linearly elastic up to the point of fracture.
between the borehole wall and the sleeve. This This also implies that the first fracture has no
is however not true since there is a reduction effect on the stress distribution around the
in contact stress caused by the membrane. borehole wall or on the initiation and propaga-
Stephansson (1983c) studied this problem and tion of the second fracture.
showed that the error in stress magnitude is
less than 1% for stresses in the order of tens of 4.3.4 RECORDINGS AND INTERPRETATION
megapascals. For sleeve pressures less than a
few megapascals, however, the reduction due Figure 4.34 shows a summary of the different
to contact stresses needs to be considered. The steps necessary to determine the rock modu-
equations necessary for calculating the lus and in situ stresses by sleeve fracturing in a
amount of stress reduction can be found in vertical hole using the method of Stephansson
Stephansson (1983c). (1983b, c). The pressure versus volume (P
After the first fracture has developed, fur- versus V) curve is recorded and a single verti-
ther increase of the borehole pressure directly cal fracture is assumed to be induced at the
increases tension at () = 90° and 270°. Accord- borehole wall. As before, the in situ stress field
Sleeve fracturing 183
in the horizontal plane is characterized by two fracturing the magnitude of the least principal
principal components, SH and Sh (Fig. 4.34a). stress Sh is determined from the shut-in pres-
The rock modulus is first determined from sure. In sleeve fracturing this method cannot
the slope MT of the linear portion of the pres- be used due to the absence of penetrating
sure versus volume recording obtained before fluid. Instead, Sh is determined as the fracture
fracturing of the borehole wall (Fig. 4.34b). reopening pressure pf corresponding to a
Equations (4.85)-(4.89) are used to analyze the break point on the pressure versus volume
recording taking into account the stiffness of curve (Fig. 4.34d). This is based on the
the system. As the sleeve pressure increases, a assumption that the rate of volume change for
fracture will form in the direction of the maxi- the pressurized sleeve is different before and
mum principal stress, SH. The initiation and after reopening of the fracture. Substituting
propagation of the fracture will cause a change Sh = pf into equation (4.92), the value of SH
in the stiffness of the rock mass. The sharp can be determined once the rock tensile
break in the pressure-volume curve defines strength T is known.
the breakdown pressure pf (Fig. 4.34c). Figures 4.35a, b show idealized pressure
As discussed in section 4.2, in hydraulic versus borehole diametral deformation re-
sponse curves obtained during cyclic loading
Sh with the double fracture method. Figure 4.35a
(a)
y corresponds to the first fracture and Fig. 4.35b
(~-\ corresponds to the second fracture. Upon
l;
SH ~ I I'" loading, the breakdown pressures pf and p~
~~ for the first and second fractures are defined as
• pres~ure
sharp breaks in the response curves of Figs
4.35a and 4.35b, respectively, following a
Sh
linear elastic response. After fracturing,
0
(b)
MT unloading of the borehole wall gives non-
recoverable deformation reflecting a perma-
- - - - Volume
V
nent diametral expansion caused by both
0I!)-'i: '~~ I
consolidation and fracture development.
Upon reloading, the rock first deforms elas-
(c) '/ tically until reaching the fracture reopening
~~J3 ~. ••• Pressure
lL___
-- - - ---
Volume
V
pressures pf and ~, at which there is a
marked change in the pressure versus bore-
p
hole diametral deformation curves. Substitut-
(d)
ing the values of pf and p~ into equation (4.94)
gives the values of SH and Sh.
Volume The pressure differences between the break-
V
down pressures pf and p~ on one hand and
Fig.4.34 Different steps when determining the rock the reopening pressures pf and p~ on the other
modulus and in situ stresses by sleeve fracturing in hand give estimates of the tensile strength T of
a vertical hole using the CSM cell. (a) Virgin state of the rock in the borehole wall. This method,
stress in the rock mass; (b) pressurization and deter- which is identical to that suggested by
mination of rock modulus from the slope MT of the Bredehoeft et aI. (1976) for hydraulic fractur-
linear portion of the pressure versus volume
recording; (c) determination of breakdown pressure
ing, should give reasonable estimates of the
pf; (d) repressurization and determination of frac- tensile strength in view of the recommenda-
ture reopening pressure pf. (After Stephansson, tions made by Ratigan (1992; section 4.2.4)
1983b.) since, in sleeve fracturing, there is no fluid
184 Hydraulic methods
penetrating into the rock and the induced the US program of storage of radioactive
fractures are small. waste in geological formations (Stephansson,
1983b, c). Tests were carried out in migmatitic
gneiss (CSM Experimental Mine, Idaho
4.3.5 DATA ANALYSIS AND PRESENTATION
Springs, Colorado), latitic lava (USGS Test
Field testing of the sleeve fracturing method Site, Golden, Colorado), granite (Nevada Test
with the CSM cell has been conducted at four Site, Nevada) and basalt (NSTF Test Site,
sites and in four different rock types related to Hanford, Washington). Some of the results of
Pressure
P
(a)
Diametral deformation, D
Pressure
P
(b) Fracture 2
T
Diametral deformation, D
Fig. 4.35 Idealized pressure versus borehole diametral deformation response curves obtained during
cyclic loading with the double fracture method. (aJ
Response curve for first fracture and determination of
breakdown pressure pf and reopening pressure Pl. (b) Response curve for second fracture and determina-
tion of breakdown pressure pf and reopening pressure pf. (Modified from Serata et al., 1992.)
Sleeve fracturing 185
the field tests conducted in three vertical bore- first and later pressurizations. The point
holes in the Pomona basalt at the NSTF where the curves diverged indicated a change
Hanford Test Site are presented below. Other in stiffness and hence reopening of the frac-
results can be found in Stephansson ture. For the response curves of Fig. 4.36, the
(1983b,c). rock was found to have a Young's modulus of
At the Hanford site, most of the test pro- 4.1 GPa, and the breakdown and reopening
cedure consisted of pressurizing the sleeve up pressures were found to be equal to 11.7 and
to the breakdown pressure where a fracture 5.2 MPa, respectively. The maximum and
first appeared. Following fracturing, a pres- minimum horizontal in situ stress components
sure drop was recorded. After unloading of were equal to SH = 21.2 MPa and Sh = 5.2 MPa,
the system, a second pressurization cycle was respectively, for a tensile strength of 17.4 MPa
imposed until a pressure drop was recorded (determined by a modified borehole jacking
for the second time. Repeated loading and method).
unloading indicated minor changes in rock Fracturing in basalt gave clear and distinct
mass stiffness as indicated in the pressure impressions that could be distinguished from
versus number of turns (volume) curves of existing rock joints. Most fractures recorded at
Fig. 4.36. Hanford were oriented 180° apart and were
Fracture initiation and propagation in the visible along the full length of the surface of
hard basalt was also recorded from clear and the sleeve. The direction of the maximum
in most cases loud sounds transmitted from horizontal principal in situ stress for the test
the fracture via the extension rod to the pres- results presented in Fig. 4.36 ranged between
sure equipment. The pressure for reopening N700W and S75°E. As discussed by
the fracture in subsequent pressurizations Stephansson (1983b), at the NSTF Hanford test
(also equal to the minimum horizontal princi- site the rock stress measurements by hydraulic
pal in situ stress) was determined by over- fracturing, overcoring and sleeve fracturing
lapping the pressure-volume curves from the were found to be in close agreement despite
Cycle@)
Sound from
fracturing
Sound from
fracturing
CycleG) c
Fracture. P1
Tums
Fig. 4.36 Determination of rock modulus and in situ stresses by sleeve fracturing in the Pomona basalt at
the NSTF Hanford Test Site in Washington. Pressure versus number of turns (volume) curves for four
cycles of pressurization. (After Stephansson, 1983b.)
186 Hydraulic methods
the difficulties encountered in the test condi- According to Serata et al. (1992), those direc-
tions associated with the jointed basalt. tions of diametral measurements yielded the
Figure 4.37 shows two sleeve pressure highest resolution for the stresses. Substi-
versus diametral deformation response curves tuting pf = 5.0 MPa and 11 = 16.0 MPa into
obtained by Serata et al. (1992) using the equation (4.94) gave SH = 6.6MPa and
double fracture method in a tuff formation. Sh = 3.9 MPa.
The diametral deformations were measured
across the first and second fracture planes and 4.4 HTPF
in the directions of Sh and SH, respectively.
When a hydraulic pressure is applied in a
straddled borehole section and increased,
Deformation across either a new fracture is created or a pre-
60 first fracture plane existing fracture is reopened. Assuming the
(Sh direction deformation, 9 = 90· ) reopened fracture is long enough, hydraulic
50 pumping tests can be conducted to determine
40
the normal stress supported by the fracture
plane (Fig. 4.38). By using a low flow rate of
30 injected fluid, the pressure which balances
exactly the normal stress supported by the
20 fracture can be measured. If several fracture
10 HTPF Hydraulic fracturing
Deformation across
60 second fracture plane
(SH direction deformation, 9 = O' )
50 Test
section
40
30
20
10 (a) (b)
Fig. 4.38 Rock stress measurement with the
o 0.2 0.4 0.6 0.8 1.0 1.2 hydraulic tests on pre-existing fractures (HTPF)
Diametral deformation (mm) method in (a), compared with hydraulic fracturing
in (b). (Source: Int. J. Rock. Mech. Min. Sci. & Geom-
Fig. 4.37 Sleeve pressure versus borehole diametral echo Abstr., 24, Ljunggren C. and Raillard, G., Rock
deformation curves obtained with the double frac- stress measurements by means of hydraulic tests on
ture method in tuff. The diametral deformations pre-existing fractures at Gidea test site, Sweden, p.
were measured across the first and second fracture 340, Copyright 1987, with kind permission from
planes and in the directions of Sh and SH, respec- Elsevier Science Ltd, The Boulevard, Langford
tively. (Modified after Serata et al., 1992.) Lane, Kidlington, UK.)
HTPF 187
planes with known orientation in a borehole give an accurate determination of the pressure
are identified and pressurized, the regional required to ensure fracture opening.
stress field can be calculated. The main advan- By combining instantaneous shut-in pres-
tage of this method, called the HTPF method, sure measurements (section 4.2.4), and the
over the classical hydraulic fracturing method reopening tests based on the step by step
is the limited number of conditions constrain- procedure, Cornet and Valette (1984) presen-
ing its domain of validity (Cornet, 1986). Fur- ted a new stress determination method which
ther, it is the only stress determination method was based on normal stress measurements.
available at great depths when the borehole Later Cornet (1986) named that method the
does not need to be parallel to an in situ hydraulic tests on pre-existing fractures
principal stress direction. Another very attrac- (HTPF) method.
tive aspect of the HTPF method is that it does After completing a number of tests in a
not rely on strength determination and is borehole where the orientation of the hy-
independent of pore pressure effects (Cornet, draulically tested fractures and their normal
1993). stress have been recorded, the regional stress
field can be determined from a set of nonlinear
equations which may be solved by a method
4.4.1 HISTORY
of least squares. A method of solving the
Cornet (1983) was able to demonstrate that the inverse problem was suggested by Tarantola
reopening pressure of a fracture in rock is and Valette (1982) and applied to field results
strongly dependent on the flow rate because by Cornet and Valette (1984), Ljunggren and
the fracture permeability is usually much Raillard (1987), Cornet (1988, 1993) and Cornet
larger than that of the rock matrix. As a con- and Burlet (1992). Baumgartner and Rummel
sequence, some percolation may occur before (1989) used a Monte Carlo method for solving
the fracture opens. This percolation induces a the inverse problem.
change in the tangential stress magnitude at
the borehole wall. For this reason, Cornet
4.4.2 TECHNIQUES, EQUIPMENT AND
(1983) suggested that two different types of
PROCEDURES
reopening pressure tests should be considered
in hydraulic stress measurement methods, The equipment required for stress determina-
namely (1) tests at flow rates large enough tion with the HTPF method is essentially the
such that no percolation occurs before fracture same as that used in classical hydraulic frac-
opening, and (2) tests at slow flow rates so that turing tests (section 4.2.2). The main difference
percolation occurs before the fracture opens. between HTPF tests and the classical hy-
Thus for planar fractures and impervious draulic fracturing tests is that special attention
rocks, slow flow rate reopening tests may must be given to the size of that part of each
provide measurements of the normal stress fracture which is opened. The opened section
supported by the fracture. As a method to must be long enough such that the normal
determine this normal stress, Cornet (1983) stress which is acting across the fracture is not
suggested the 'constant pressure steps' test affected by the borehole stress concentration.
where the pressure is raised in a series of steps, At the same time, the fracture must be of a size
and the flow rate necessary to maintain con- such that the normal stress can be assumed to
stant the borehole pressure at each step is be uniform across its surface. Finally, the
measured. As soon as the fracture opens, the fracture geometry must remain planar.
flow rate necessary to maintain the borehole For the HTPF method performed with con-
pressure constant increases markedly. Plots of ventional hydraulic fracturing equipment, the
pressure level versus corresponding flow rate following test procedure was adopted by
188 Hydraulic methods
Ljunggren and Raillard (1987). After selection borehole (Fig. 4.39). An alternating electric
of pre-existing single fractures with different voltage is applied between a distant electrode
strike and dip in the core log or from the and a number of electrodes set in various
drillcore, the impression packer is lowered to azimuths on a ring placed at the center of the
the depth of each pre-existing fracture and tool. The electric current emitted or received
hydraulically pressurized for 25-30 min. Care- by each of the electrodes on the central ring is
ful examination of the packer will define the proportional to the conductance of the part of
impression of the joint or fracture. The orienta- the borehole wall facing the electrode. Planar
tion of the packer, found by magnetic compass fractures intersecting the borehole are easily
during the inflation period, enables the deter- detected by their characteristic elliptical
mination of the strike and dip angle of the joint shape. Since the tool orientation is known,
or fracture. A straddle packer is then lowered both the strike and dip of each fracture can be
to the fracture depth and hydraulically pres- determined.
surized to a predetermined value slightly The HTPF tool is used first as a standard
above the estimated reopening pressure. The logging tool in order to produce a complete
sealed-off interval between the packers is then image of the borehole. The tool imaging func-
pressurized by water at a low flow rate (con- tion is then used to position precisely the
stant pressure steps test) to avoid the initiation straddle packer over the selected interval for
of axial fracture. The fluid pressure acting on hydraulic testing. When the test is run, the
the borehole wall in the sealed-off section will fractures which are being opened by the pres-
ultimately reach the tensile strength of the surization are identified by the tool and a very
joint and open up the joint. A breakdown detailed interpretation of the pressure versus
pressure is then recorded and the flow is shut
off. The shut-in pressure is then recorded. This Cable
corresponds to a state of equilibrium between - - High-pressure pipe
--'--'I:::--- Connection head
the hydraulic pressure in the joint and the
stress acting across the fracture plane. The Water distributor
pressure in the test section is then released,
after which three or four additional cycles are Hydraulic sensors
conducted. Upper packer
The orientation (dip and azimuth) of the
hydraulically tested fractures can be deter-
mined with the impression packer technique
developed for hydraulic fracturing (section ,......,--- Measurement electrode
4.2.2). Other tools such as the Mosnier azi-
muthallaterolog (Mosnier and Cornet, 1989) Focusing electrode
and the Schlumberger FMS (section 8.3.3) can
be applied to orient the fractures. The use of Lower packer
borehole televiewers and borehole TV cam-
eras does not give enough resolution to detect
standard hydraulic fractures.
Electronic case
Mosnier and Cornet (1989) developed a
piece of equipment, called the HTPF tool,
which combines the possibility of running
hydraulic tests through a wireline-activated
straddle packer with that of obtaining elec- Fig. 4.39 Schematic diagram of the HTPF tool.
trical images of the fractures intersecting the (After Cornet, 1992.)
HTPF 189
time record is possible. After the packers have underground excavation, allowing measure-
been deflated, the tool is used again for ments to be made on planes located roughly in
logging the complete tested interval. This pro- the same rock volume, the stress can be
vides a better resolution of the fracture geo- assumed to be the same at all points so that
metry, and makes it possible to investigate and equation (4.95) provides a system of N linear
identify the packer zone for possible fractures equations with six unknowns. A more
outside the domain scanned during hydraulic common situation is when O"(Xi ) is not con-
testing (Cornet, 1992, 1993). stant and varies in the vertical and horizontal
directions. Assuming that O"(Xi ) varies linearly
in both directions, Cornet (1993) has shown
4.4.3 THEORY
that using the equations of equilibrium, 22
Both the instantaneous shut-in pressure and parameters are required to determine the in
the quasi-static reopening pressure recorded situ stress field and its variation. Thus a mini-
during an HTPF test are considered to be mum of 22 independent measurements would
measurements of the normal stress an exerted have to be conducted, which is impractical. As
on a fracture plane by the in situ stress field. discussed by Cornet (1993), that number can
Once the orientation of the fracture has been be reduced if some simplifying assumptions
determined by the impression packer or the are made.
HTPF tool, the problem is to determine the As simplifying assumptions, consider the
complete stress field at all points where a test case when the stress field O"(X) does not vary
has been conducted. A stress determination laterally, varies linearly with depth X3, is con-
method based only on the recorded normal tinuous up to the surface (assumed to be hori-
stresses and fracture orientations was devel- zontal), and its principal components are in
oped by Cornet and Valette (1984) and later the vertical direction X3 and the horizontal
refined by Cornet (1986, 1993). A condensed plane (X1,X2). The Xr and Xraxes are parallel
version of the theory based on these references to the north and east directions, respectively.
is presented below. For the aforementioned assumptions, the
Let N be the total number of fractures tested stress field can be expressed as follows:
with the HTPF method at a given site. Each
fracture i (i = l,N) is characterized by its (4.96)
normal ni whose orientation is defined by an
azimuth <Pi and an angle ()i with respect to the where S and a are two second-order sym-
vertical direction. The angle ()i is also the dip metrical Cartesian tensors. For the above
angle of the fracture. The problem here is to assumptions, Cornet (1993) showed that seven
determine the components of the stress tensor parameters are required to determine the
O"(X) acting in the volume of rock in which the stress field. Three of those parameters are
N normal stress measurements have been associated with S and include two eigenvalues
conducted. Mathematically, the normal stress 51 and 52, and the orientation A of the eigen-
measurement ani across the ith fracture plane vector with respect to north (positive in the
is related to the stress tensor as follows: east direction) associated with the eigenvalue
51 in the horizontal plane. Four parameters are
(4.95)
associated with a and include the eigenvectors
where O"(Xi ) is the local stress tensor which IX I, IX2, IX3 and the angle '1 between the direc-
exists at the center Xi on the ith fracture plane. tions of IX1 and 51 in the horizontal plane. Note
Note that equation (4.95) holds regardless of that the number of parameters can be reduced
the constitutive behavior of the rock mass. further from seven to six if IX3 is taken as the
When many boreholes are drilled from an unit weight of the overlying rock at depth X3.
190 Hydraulic methods
As shown by Comet (1993), combining and Valette (1982) requires an a priori guess of
equations (4.95) and (4.96) gives, for the ith each unknown and its variance in order to be
normal stress measurement on the ith fracture initiated. As discussed by Comet (1993), that
with orientation angles ()i and ¢Ji and at depth guess can be obtained from the results of
X3i, hydraulic fracturing tests conducted at the
same site. For instance, the a priori value for
the angle A could be taken as the mean orienta-
tion of the hydro fractures. An a priori variance
for that angle could be computed from the
X COS2(¢Ji - A - 'I)] = a (4.97)
scatter in hydrofracture orientation. Likewise,
In order to determine the seven unknown an a priori value for the angle 'I could be zero.
parameters (5 1 ,52 , A, /Xl, /X2, /X3, 'I), a minimum
of seven independent measurements of
4.4.4 RECORDINGS AND INTERPRETATION
normal stress are needed. However, because of
the uncertainty on the measurements, Comet Comet and Burlet (1992) presented the results
and co-workers recommend a minimum of of in situ stress measurements conducted by
nine or ten measurements. Using equation hydraulic tests at eight different sites in
(4.97) for each of the N measurements, a France. For seven of those sites, the stress field
system of N nonlinear equations and seven was determined using the HTPF inversion
unknowns can be constructed. Solution of that method. Results from Auriat, a site located
inverse problem can be obtained by the gener- east of Limoges in the northern Massif Central
alized least squares procedure for solving non- of France, are summarized below. For more
linear problems presented by Tarantola and details about that site and the other sites, the
Valette (1982). That method is based on a fixed reader is referred to the papers by Comet
point algorithm, and is iterative. After several (1986) and Comet and Burlet (1992).
iterations, the seven non-zero components of Two wells are available at Auriat. The first
tensors S and a are determined. Knowing the one is 1000 m deep and the second, located
depth of interest, the principal components 20 m away from the first, is 500 m deep. Both
(eigenvalues) of O"(X) and their orientation wells are vertical and have been drilled in
(eigenvectors) can also be determined. granite. Elevation of the well head is reported
The method of Tarantola and Valette (1982) to be 440 m above sea level in a landscape with
assumes that all measurements obey a minor topography. Twenty-one zones were
Gaussian law and can be described by their tested at depths ranging between 115 and
expected values, variances and covariances 972 m with a wireline straddle packer system
with other measurements. When applied to of the type presented in Fig. 4.4. Orientation of
the HTPF method, the least squares procedure the fractures was determined with an oriented
takes into account the uncertainties on the impression packer. Eighteen tests were repor-
depth, normal stress measurements and frac- ted to yield satisfactory shut-in and reopening
ture plane orientation. As an output, it yields pressures. However, only 14 tests with suc-
an a posteriori estimate of the unknowns as cessful impressions were chosen for the HTPF
well as their variance and covariance. It also stress determination. Shut-in pressure meas-
provides a posteriori values of the measure- urements were combined with the reopening
ments of normal stress and fracture plane data for the determination of the expected
orientation, which when compared with their value of the normal stress Un and its standard
a priori values gives a measure of quality of the deviation e(I (Table 4.5).
inversion process. Since the Auriat site is located in a fairly flat
Since it is iterative, the method of Tarantola landscape, it was assumed that, in the HTPF
HTPF 191
inversion method, the vertical stress was a principal in situ stresses O"H and O"h were
principal stress. The stress field was assumed computed for four different depths ranging
to be described by equation (4.96) with seven between 250 and 1000 m. The values and
parameters: 51, 52, A, (Xl, (X2, (X3 and 17· orientation of those stresses as well as their a
Furthermore, from density measurements of posteriori standard deviations are listed in
samples taken at various depths, (X3 was taken Table 4.6. This table indicates that the value of
equal to 0.0263 MPa/m. O"H is better constrained than that of O"h.
Using equation (4.97), inversion of the data Another inversion was run with 12 of the 14
for eight tests (for which only one fracture tests, where the two shallowest tests were
was observed) yielded the following results: omitted in order to reduce the effect of poss-
51 = - 4.0 MPa, 52 = 1.4 MPa, A = Nll °E, ible near-surface stress relaxation phenom-
(Xl = 0.0295 MPa/m, (X2 = 0.016 MPa/m, (X3 = ena. The analysis yielded the following re-
0.0265 MPa/m and 17 = -30°. Using equation sults: 51 = - 3.9 MPa, 52 = 1.2 MPa, A = N1°E,
(4.96), the maximum and minimum horizontal (Xl = 0.0319 MPa/m, (X2 = 0.0133 MPa/m, (X3 =
Table 4.5 Results of hydraulic tests at Auriat, France (after Cornet and Burlet, 1992)
an Ii" a nc
X3 (m) I/J li1> I/Jc f} lie f}c (MFa) (MFa) (MFa)
X3 is the depth of test; p is the strike, positive eastward, of the normal n to the fracture plane; B is
the angle of n with the vertical axis (also fracture dip angle); (In is the normal stress measurement
for the corresponding depth interval; Sf' So and SeT are the standard deviations associated with p,
Band (In, respectively. The standard deviation for X3 is equal to 0.5 m. When multiple fractures
were observed, the first one shown is that considered for the final solution. Pc, Bc and a nc are the
a posteriori values of p, Band (In which yield the best fit according to the least squares criterion.
192 Hydraulic methods
Table 4.6 Stress determination at Auriat, France (after Cornet and Burlet, 1992)
Only those depth intervals where one single fracture has been observed are considered in this
inversion. 8 aH , 8 ao and 8
WaH are the a posteriori standard deviations of O'H, O'h and WaH (the
orientation angle of O'H), respectively.
0.0264 MPa/m and 1J = - 26°. The a posteriori classical hydraulic fracturing method except,
values of the measured normal stress, defined perhaps, for the magnitude of the maximum
as (JnCl and fracture orientation angles, defined horizontal principal stress. This misfit in stress
as ¢Jc and OCI are listed in Table 4.5. It can be magnitude has been attributed to the effect of
seen that the a posteriori values are very close fluid percolation prior to the actual opening of
to the a priori values, thus giving confidence on
the quality of the inversion process used in the Orientation (deg.) Stress (MPa)
80 100 120 140 160 -2 4 10 16 22 28 34
stress analysis. 100 'T-rT r"T~··
Figure 4.40 shows the variation of the mag- 200
nitude and orientation of the maximum and 300
minimum horizontal principal in situ stresses,
400
(JH and (Jh, and the vertical stress (Jv with
500
depth. This figure shows a rotation of (JH with
increasing depth. Below 600 m the maximum 600
stress. 1100
the fractures (Cornet and Burlet, 1992). his paper, Cornet (1993) shows how the inte-
Examples of comparison between the results grated stress determination method is well
of hydraulic fracturing tests and those suited for combining HTPF data with data
obtained with the HTPF method can be found from hydraulic fracturing, borehole breakout
in section 9.4. orientations, microseismic focal mechanisms
and conventional overcoring.
Finally, it is obvious that the integrated
4.5 INTEGRATED STRESS DETERMINATION stress determination procedure should be-
METHOD come very helpful in future stress determina-
tion campaigns. It provides a method of
A program of stress determination often integration of all the data available from dif-
involves several types of hydraulic methods ferent measuring techniques for constraining
conducted in one or several boreholes at a the in situ stress field. Further, the generalized
given site. Hydraulic methods can also be least squares inversion procedure of the HTPF
complemented with other methods discussed method is certainly well adapted for apprais-
in this book. The data obtained with each ing the confidence level associated with the
method may be analyzed separately and final solution, provided the errors can be
checked to see if the simplifying assumptions represented by a normal law. Therefore the
associated with each method are met. The data procedure is well suited for taking into
from different methods may also be combined account the errors on pressure and strain
in order to impose more rigorous constraints readings, as well as those on the orientation
on the in situ stress field. The combination of measurements from different stress measure-
data is also vital when only a limited number ment techniques.
of tests from each method are available. The
use of hybrid methods to determine the in situ
stress field was recently demonstrated· by 4.6 TECHNICAL INFORMATION
Brudy et ai. (1995) regarding the KTB deep
borehole in Germany (section 12.4.7). They Additional information about the different
were able to integrate the results of hydraulic instrument devices presented in this chapter
fracturing, modified hydraulic fracturing, and any related equipment can be obtained
drilling-induced fractures and borehole break- directly from the following manufacturers:
outs in order to determine the state of stress
down to a depth of 9 km. 1. VATTENFALL Hydropower AB, PO Box
The approach of integrating the results of 50120, S-973 24 Lulea, Sweden: hydraulic
various methods in order to obtain a better fracturing stress measurements in slim
assessment of the in situ stress field has been holes to a depth of 1500 m and hydraulic
explored quite extensively by Cornet (1993). fracturing equipment;
The approach was named the 'integrated 2. MINDATA Pty. Ltd, Unit 2,10-12 Peninsula
stress determination' method. In that method Boulevard, Seaford, Victoria 3198, Aus-
the results of different stress measurement tralia: hydraulic fracturing in slim holes,
methods are integrated into the least squares Minifrac equipment and service;
inversion process associated with the HTPF 3. MeSy, Meesmannstrasse 49, G-4630
method, either in the form of equations that Bochum, Germany: hydraulic fracturing
are then combined with those associated with measurements and straddle packer
the HTPF method, or in the form of a priori technology;
guesses for the unknowns in the HTPF 4. TAM INTERNATIONAL, Inc., 4620
method and their variances (section 4.4.3). In Southerland, Houston, Texas 77092, USA:
194 Hydraulic methods
inflatable packers for hydraulic fracturing (1989) New developments in hydrofracturing
and hydrological applications. stress measurements at Lulea University of Tech-
nology. Int. J. Rock Mech. Min. Sci. & Geomech.
Abstr., 26, 579-86.
REFERENCES Bjarnason, B. et al. (1986) Four years of hydro-
fracturing rock stress measurements in Sweden,
Aamodt, L. and Kuriyagawa, M. (1983) Measure- in Proc. Int. Symp. on Rock Stress and Rock Stress
ment of instantaneous shut-in pressure in Measurements, Stockholm, Centek Publ., Lulea,
crystalline rock, in Proc. Hydraulic Fracturing pp.421-7.
Stress Measurements, Monterey, USA, National Bredehoeft, J.D. et al. (1976) Hydraulic fracturing to
Academy Press, Washington, DC, pp. 139-42. determine the regional in-situ stress, Piceance
Abou-Sayed, A.S., Brechtel, C.E. and Clifton, RJ. Basin, Colorado. Geol. Soc. Am. Bull., 87, 250-58.
(1978) In situ stress determination by hydro-
Brudy, M. et al. (1995) Application of the integrated
fracturing: a fracture mechanics approach. J.
stress measurement strategy to 9 km depth in the
Geophys. Res., 83, 2851-62. KTB boreholes, in Proc. Workshop on Rock Stresses
Aggson, J.R and Kim, K. (1987) Analysis of hy-
in the North Sea, Trondheim, Norway, NTH and
draulic fracturing pressure history: a comparison
SINTEF Publ., Trondheim, pp. 154-64.
of five methods used to identify shut-in pressure.
Bruno, M.S. and Nakagawa, EM. (1991) Pore pres-
Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 24,
sure influence on tensile fracture propagation in
75-80.
sedimentary rock. Int. J. Rock Mech. Min. Sci. &
Amadei, B., et al. (1994) A new dilatometer to
Geomech. Abstr., 28, 261-73.
determine rock mass deformability, in Proc.
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RELIEF METHODS 5
Table 5.1 Types of relief methods Fig. 5.1 Relieved section of rock and instrumented
points used by Lieurance. Dimensions are in feet (')
Surface • Isolate a block of rock from and inches ("). (After Merrill, 1964.)
relief surrounding rock mass and monitor
methods its surface strain or deformation recommended using his measuring technique
response: to monitor stress changes in the rock founda-
• Monitor hole deformation due to
drilling of parallel hole tion during construction of the dam and reser-
• Center hole drilling or undercoring voir filling. Talobre (1964) made reference to a
method similar to that of Lieurance used by
Borehole • Overcoring of prestressed cells Oberti in Europe in the late 1930s.
relief • Overcoring of deformation-type In 1949 Olsen studied the need for reinforce-
methods gages such as the USBM gage ment in the concrete lining in the Prospect
• Overcoring of a gage attached to the Mountain tunnel in Colorado. In order to
flat end of a borehole: Doorstopper
and photoelastic disks determine the load-carrying capacity of the
• Overcoring of CSIR-type triaxial rock, Olsen (1949) improved Lieurance's
strain cells method by overdrilling, with a 6 inch
• Overcoring of triaxial strain cells (152 mm) diameter core bit, several areas
attached to the end of a borehole on the surface of the tunnel wall on which
(spherical and conical cells) electric resistance strain gages had first been
• Overcoring of stiff, solid or hollow mounted in four directions 45° apart. A 5 inch
inclusion-type gages
• Borehole jack fracturing, or slotting,
(127 mm) depth of cut was found to be the
or deepening minimum necessary to produce complete
• Holographic methods strain relief. Again, the method allowed deter-
• Undercoring of borehole wall mination of the principal stresses in the plane
• Borehole tapercoring parallel to the tunnel walls. The method was
validated in the laboratory by overcoring
Rock mass • Bored raise method blocks under uniaxial compression (Olsen,
relief • Back-analysis
methods • Under-excavation technique 1957). A technique similar to that of Olsen was
also used by Sipprelle and Teichman (1950) in
History 203
an underground oil shale mine near Rifle, components. These limitations have led to the
Colorado. development of the overcoring method where
Other surface (or near-surface) relief stresses are measured in boreholes away from
methods were proposed by Talobre in France any excavation surfaces. Complete destressing
as early as 1950 (Talobre, 1967), and by Habib, (total stress relief) of the rock is accomplished
Phong and Pakdaman (1971), Shemyakin, by drilling (overcoring) a large hole concentric
Kurlenya and Popov (1983) and Duvall (1974) with an existing borehole (also called a pilot
in the USA. The method of Talobre consists of hole). In the earlier papers the overcoring
placing three 200 mm long extensometers in a method was sometimes referred to as the
triangular pattern defining a central region in trepanning method. Borehole relief methods
which a 56 mm hole is drilled. Upon drilling, can be divided into several groups as indi-
deformations are measured with the three cated in Table 5.1.
extensometers and the stresses in the plane of
measurement are determined. In the methods
(a) Overcoring of prestressed cells
of Habib, Phong and Pakdaman (1971) and
Shemyakin, Kurlenya and Popov (1983), holes Hast (1958) seems to have been the first to
are drilled in the vicinity of an existing hole have proposed overcoring an instrument
whose deformation is monitored at a short placed in a 26 mm diameter borehole at points
distance into the rock mass. located away (10-20 m) from rock faces in
The method of Duvall (1974) is called 'stress drifts. The instrument, whose development
relief by center hole' and can be seen as an started in the early 1940s (Hast, 1943), consists
undercoring method. It consists of drilling on of a magnetostrictive nickel cell that measures
a rock surface, a 6 inch (152 mm) diameter hole stress directly by measuring changes in the
at the center of a circle 10 inches (254 mm) in magnetic permeability of the nickel alloy
diameter along which six pins have been when subjected to loads. The cell is pre-
installed 60° apart. Comparison between the stressed in a borehole to a desired value. Upon
three diameters formed by the six pins before overcoring, the load in the cell is measured
and after drilling allows determination of the and the absolute stress in the direction of
state of stress in the plane of measurement. A measurement determined. By placing the cell
slightly different methodology was proposed in three directions and at three different loca-
by Ivanov, Parashkevov and Popov (1983) tions (at least 100 mm apart) in a borehole, the
where 12 instead of six pins were used. The state of stress in a plane normal to the borehole
stresses were determined from ten diametral axis can be determined. By repeating the
and diagonal displacement measurements. process in two other perpendicular holes, the
complete state of stress can be calculated. The
magnetostrictive cell of Hast was used exten-
5.2.2 BOREHOLE RELIEF METHODS
sively in the 1950s and early 1960s for stress
Surface relief methods suffer from many limi- measurements in mines in Sweden, Norway
tations. First, the gages or pins are subject to and Finland. More recently, a modified version
aggressive conditions such as humidity and of Hast's cell has been proposed by Wang et al.
dust. Second, the strains or displacements are (1986).
measured on a rock that may have been
disturbed and damaged by weathering and
(b) Overcoring of deformation-type
the excavation process itself. Third, stress
gages
concentration factors have to be assumed in
order to relate the stresses measured in the Several authors have proposed deformation-
walls of the excavation to the far-field stress type rock stress measuring instruments that
204 Relief methods
could be installed in boreholes and later over- (1963) proposed another gage consisting of
cored. These instruments measure one or sev- three small beryllium-copper transducer rings
eral changes in borehole diameter during the placed next to each other over a distance of
process of overcoring. Talobre (1967) refers to 0.75 inches (19 mm) along the borehole axis.
an early method proposed by Berthier in 1950 Contact between the rin~s and the rock was
in France to determine the state of stress by achieved using pairs of 8 inch (3.2 mm) steel
measuring three changes in the diameter of a balls. This instrument is interesting in that it is
borehole using an optical system. Another smaller than any of the other deformation
method was developed at the US Bureau of gages as it was designed to fit into ~ inch
Mines (USBM) which led to the first version of (15.9 mm) pilot holes and can be overcored
the well-known USBM gage (Obert, Merrill with a 2.25 inch (57.2 mm) hole.
and Morgan, 1962). This gage could only Royea (1969) developed a six-component
measure one change in diameter of an EX borehole deformation-type gage that fits into
(38 mm) borehole during overcoring. Hence 1.16 inch (29.5 mm) holes. The diametral
several diameter measurements had to be con- measurements are not contained in one
ducted at different depths in a borehole in plane but are distributed over a 2.25 inch
order to determine the state of stress in a plane (57.2 mm) length of borehole. Crouch and
perpendicular to the hole. This shortcoming Fairhurst (1967) proposed a four-component
required interpolation between measurements deformation-type gage that fits into 2.25 inch
and could be a source of error, in particular (57.2 mm) pilot holes. Crouch and Fairhurst
when high stress gradients were present. tested their instrument in a quarry in central
Subsequently, a three-component deformation Minnesota at depths less than 1 m. Their gage
gage was developed (Merrill, 1967) that could was somewhat similar to that of Merrill (1967)
monitor hole diameter changes along three but the pistons were pushed against the rock
diameters 60° apart located in a single plane using air pressure. Furthermore, four instead
normal to the hole axis. By using the gage in of three diametral measurements could be car-
two or three boreholes, the complete state of ried out, thus allowing for some redundancy
stress can be determined. in the measurements. Crouch and Fairhurst
Having gone through several phases of (1967) also suggested that their gage could be
improvement (Bickel, 1978; Hooker, Aggson modified to measure longitudinal displace-
and Bickel, 1974; Hooker and Bickel, 1974), the ments along with the diameter changes, thus
USBM gage is still extensively used today. It is allowing determination of the complete state
still regarded as one of the most reliable and of stress in a single borehole. This idea was
accurate instruments for determining in situ later followed by Bonnechere (1971) and Bon-
stresses in rock by overcoring. A more recent nechere and Cornet (1977) who developed a
modified version of the gage called the deep cell called the 'University of Liege' cell capable
borehole deformation gage (DBDG) was pro- of measuring the complete state of stress from
posed by Thompson (1990) from the Atomic four diametral and three longitudinal dis-
Energy of Canada Limited. The DBDG gage is placement measurements in 76 mm diameter
one of only a few overcoring techniques capa- pilot holes.
ble of measuring stresses at great depths. It has Other deformation-type gages have been
been designed to operate at depths to 1000 m proposed in the literature. For instance, in
in water-filled boreholes. Japan Kanagawa et al. (1986) have worked
At the same time as Merrill introduced the (since the early 1970s) on the development of a
USBM gage, Suzuki (1966, 1971) developed gage that allows four diametral and one longi-
another borehole deformation-type gage with tudinal deformation measurements in 56 mm
three diametral measurements. Griswold diameter pilot holes. Three non-parallel
History 205
boreholes are necessary to obtain the complete flat end of a borehole. Similar methods had
state of stress. The gage of Kanagawa et al. been previously proposed by Mohr (1956) in
(1986) has been extensively used in Japan for Germany and Slobodov (1958) in Russia. The
the past 20 years but is not popular elsewhere strains were read at the end of the overcoring
in the world. In a recent paper, Sugawara and process. However, this technique was quickly
Obara (1993) referred to another borehole abandoned due to the sensitivity of the gages
deformation-type gage, again developed by to water. Subsequently, Leeman (1964a) devel-
Kanagawa and co-workers in the 1980s, con- oped a cell that could be cemented on the
sisting of four diametral and four diagonal bottom of BX (60 mm) boreholes and over-
measurements in 48 mm diameter pilot holes, cored. This cell consists of a silicone rubber
which can be used to determine the complete plug at the bottom of which a strain rosette
state of stress in a single borehole. Again, this consisting of three (or more recently four)
cell is not well known outside Japan. strain gages is attached. The cell is often
In Switzerland Kovari, Amstad and Grob referred to as the CSIR (Council for Scientific
(1972) proposed a gage (called the L6 gage) and Industrial Research) Ooorstopper
that measures changes in diameter in six direc- (Leeman, 1971b). The strains measured with
tions in 56 mm diameter holes. Another gage the cell are related to some of the in situ stress
(called the 03 gage) that measures three longi- components.
tudinal deformations in a pilot hole of the Although the Ooorstopper was initially
same diameter was also constructed. Both developed to determine the principal stresses
gages can be used in series. In Germany Pahl in a plane perpendicular to a borehole orien-
(1977) developed a gage, called the BRG gage, ted parallel to an already known principal
that can measure four changes in diameter in stress direction (Leeman, 1971b), it has also
46 mm diameter pilot holes. More recent infor- been used to determine the complete state of
mation about this gage can be found in Pahl stress. In that case, three (or two) non-parallel
and Heusermann (1993). Finally, in France, the holes are required. The Ooorstopper is useful
CERCHAR developed a 500 mm long cell that when measuring stresses in weak and soft
fits into 97 mm pilot holes and measures three rocks or in hard but jointed and foliated rocks
diametral deformations (Helal and for which it is difficult to obtain long over-
Schwartzmann, 1983). The cell can be seen as a cores. The Ooorstopper method has also been
combination of dilatometer and USBM gages. used successfully in highly stressed ground.
A total of six induction displacement trans- Improvements to the original Ooorstopper
ducers allow the measurement of three diam- have been reported by Gregory et al. (1983),
eter changes in three planes 40 mm apart. The and more recently by Gill et al. (1987),
head of each transducer is attached to the Corthesy, Gill and Nguyen (1990) and
inflatable membrane of the apparatus. A con- Myrvang and Hansen (1990), thus making the
stant pressure of 0.2 MPa is applied in order to Ooorstopper a valuable instrument for
keep the transducers in contact with the rock measuring in situ stresses at small or large
during overcoring. The CERCHAR cell can depths.
also be used to determine the rock modulus of A technique similar to that of Leeman
rigidity prior to overcoring. (1964a, b) was proposed by Hawkes and
Moxon (1965). Instead of using electric strain
gages, a 'biaxial gage' consisting of an annular
(c) Overcoring of gages attached to the flat
disk of photoelastic material is bonded onto
end of a borehole
the end of a borehole 3 in (76 mm) in diameter
In South Africa Leeman (1964a, b) experimen- and overcored. Upon overcoring, isochromatic
ted with cementing strain gages directly on the fringe patterns in the gage are viewed by
206 Relief methods
polarized light. The pattern is then interpreted posed a cell which was tested in various
directly in terms of the strains and stresses in projects in the Alps. A modified version of the
the plane normal to the borehole (Hawkes, CSIR triaxial strain cell initially reported by
1968, 1971). The method is inexpensive, fairly Myrvang (1976) has been used extensively
reliable and requires short overcore samples throughout Scandinavia. INTERFELS, in
(Roberts, 1971). Its main disadvantages are (1) Germany, developed a CSIR-type triaxial
cementing problems can arise in wet con- strain cell for boreholes with a depth up to
ditions, (2) three holes are necessary, (3) no 200 m. The cell can be seen as a combination of
continuous monitoring is available, (4) analy- the conventional cell of Leeman and the
sis of the field tests requires knowledge of CSIRO HI cell discussed below, as the strain
stress concentrations at the end of the borehole rosettes are located just inside an epoxy strain
and (5) stress measurements can only be made gage body. The INTERFELS cell has been
not too far from existing free surfaces. The use mostly used in central Europe.
of different photoelastic devices to measure Another version of the CSIR triaxial strain
stresses by overcoring was very popular in the cell which can be used for measuring stresses
1960s and was later abandoned. The reader in deep boreholes was developed by the
interested in such devices will find a good Swedish State Power Board (Hiltscher, Martna
review in Leeman (1971a), Hawkes (1971) and and Strindell, 1979). The cell (called the SSPB
Voight (1967). cell) was initially tested in vertical water-filled
boreholes down to a depth of 500 m and has
been more recently tested in a 45 0 inclined
(d) Overcoring of CSIR-type triaxial strain
borehole 90 m in length (Hallbjorn, 1986).
cells
Another version of the probe has been used in
In 1966 Leeman and Hayes proposed a new horizontal and upward-inclined boreholes up
cell called the South African CSIR triaxial to 45 m in length. The SSPB cell is one of only
strain cell to measure the complete state of a few overcoring instruments capable of
stress in a single EX (38 mm) size borehole. measuring stresses at great depths now
The cell allows the direct measurement of reaching 1000 m (Ljunggren, personal com-
strains on the wall of a borehole by gluing munication, 1995). Modified versions of the
three triple-strain gage rosettes at known CSIR cell have also been proposed by
orientations and positions (Leeman, 1971b). Thompson, Lang and Snider (1986) (AECL-
Strains are measured before and after over- modified CSIR cell) and Gill et al. (1987) which
coring. Improvements of the CSIR triaxial allow continuous strain measurement during
strain cell were proposed by Van Heerden overcoring.
(1976). He found that the cell was capable of Leijon (1986) and Leijon and Stillborg (1986)
determining stresses with reasonable accuracy proposed another CSIR-type triaxial strain cell
if the magnitude of the stresses was above called the Lulea University of Technology
5 MPa. The layout of the original cell of (LuH or LuT) gage. This cell has been under
Leeman was changed, e.g. the strain rosettes development since 1979 and is mostly used for
were located at different positions and each water-free holes in mining environments. It
strain rosette had four instead of three strain contains three four-component strain rosettes
gages. (120 0 apart) with 5 mm long strain gages that
Various devices that operate on the same are glued onto the wall of the hole and
principle as the original CSIR triaxial strain oriented in ten different directions. Unlike the
cell have been proposed in the literature. In current CSIR cell, the body of the LuH gage is
Switzerland, Kovari, Amstad and Grob (1972) recoverable, and is reusable after recon-
and Grob, Kovari and Amstad (1975) pro- ditioning. The strain gages embedded into
History 207
small epoxy resin pieces are lost. Also, a joint spacing less than 40 mm. Several
improvements were made in the hole cleaning examples of stress measurements with that
technique, the installation tool and the readout cell have been reported by Obara et al. (1991)
equipment. and Sugawara and Obara (1993). The cell is
In New Zealand, Mills and Pender (1986) mostly popular in Japan. It is noteworthy that
proposed another cell (called the ANZSI cell) the concept of overcoring of strain gages
which is more flexible than the CSIR triaxial mounted on the end of hemispherically ended
strain cell. The instrument fits into 38 mm pilot boreholes is not new as it was initially sug-
holes and has an inflatable rubber membrane gested by Berents and Alexander (1965) and
on which nine 5 mm long strain gages are Hoskins (1968) 30 years ago.
mounted. The membrane, which is cast on a A modification of the hemispherically-
cylindrical aluminum body, is inflated and ended borehole technique was proposed by
glued to the wall of a borehole and overcored. Kobayashi et al. (1991) and consists of gluing
Prior to overcoring, the rubber membrane is strain gages at the end of a conical borehole. A
inflated and works essentially as a low- conical strain gage plug (or conical strain cell)
pressure dilatometer (up to 1 MPa). It can be having 12 strain components is cemented onto
used to determine the modulus of the rock in the end of a borehole. The complete in situ
situ and to check the functioning of the strain state of stress can be determined by strain
gages. This instrument has been found to per- measurements in a single hole. The stress
form well in weak rocks, such as coal, for concentration factors required for the strain
which it is very difficult to obtain intact analysis have been computed using the three-
overcores. dimensional boundary element method.
Finally, the most recent CSIR-type triaxial Recent measurements with the conical bore-
strain cell is that proposed by Cai (1990). It hole technique can be found in Tarnai, Kaneda
consists of a 36.5 mm thin-walled hollow tube, and Mimaki (1994). The latest version of the
200 mm in length, consisting of a 0.05 mm conical strain cell, equipped with 16 strain
thick stainless shim steel plate cemented onto components, has been successfully tested by
two Araldite or aluminum cylindrical heads. A Obara et al. (1995), Sugawara and Obara (1995)
total of 12 strain gages are glued on the inner and Matsuki and Sukaguchi (1995). The
surface of the tube with the same orientation conical borehole technique (also known as the
as the CSIR cell. To the authors' knowledge, 'conical-ended borehole' method) has been
this cell has only been tested in the laboratory. found to be a viable method for measuring in
situ stresses in a single borehole and in various
rock types.
(e) Overcoring of triaxial strain cells
attached to the end of a borehole
(f) Overcoring of inclusion-type gages
Sugawara et al. (1986) proposed a new strain
cell that can be glued at the end of a 75 mm Rock stresses can also be measured by placing
diameter hemispherically-ended borehole and inclusion-type measuring instruments in bore-
overcored. The cell consists of a plug of hemi- holes that are then overcored. A first group of
spherical shape made from epoxy resin with such inclusions called stiff (or rigid) inclusions
16 spherical strain gages mounted on its outer was proposed in the 1950s and 1960s. One
surface. The strain gages are in direct contact example is the photoelastic glass inclusion
with the rock and the complete state of stress stressmeter (Chapter 10) of Roberts et al. (1964)
can be determined from the overcoring data which had a limited amount of success for
obtained in one borehole. The cell has been measuring absolute in situ stresses. Separation
found to work well in rock formations with problems due to tensile stresses upon stress
208 Relief methods
relief were often encountered. Hawkes (1971) abandoned due to frequent debonding
reported that the rock-stressmeter interface problems (Rocha et al., 1974). The inclusion of
could only take tensile stresses as large as Blackwood, also known as the University of
450 psi (3.1 MPa). New South Wales (UNSW) SI cell, whose
Another stiff inclusion proposed to deter- development started in the early 1970s, con-
mine in situ stresses during overcoring is that sists of an epoxy resin cylinder in which ten
of Nichols, Abel and Lee (1968). The inclusion electrical strain gages have been embedded. It
consists of a 1 inch (25.4 mm) diameter steel is similar to the cell of Rocha and Silverio
(or aluminum or brass) ball upon which three (1969) except that the modulus of the inclusion
45° strain rosettes are bonded in orthogonal has been reduced, which makes it more appli-
directions. Rock strains occurring during over- cable for measurements in coal and soft rocks
coring are transferred to the ball through a (Blackwood, 1982a, b).
waterproof epoxy infilling that bonds the ball Another type of solid inclusion was pro-
to the borehole wall. The complete state of posed by Riley, Goodman and Nolting (1977).
stress can then be determined from the strains An inclusion is created by first pouring a
measured in a single borehole. Thermal gages liquid epoxy resin into a pilot hole. After
are also bonded on the steel ball to monitor hardening of the epoxy resin, the hole is over-
changes in temperature during overcoring. cored and the overcored section cut into slices.
More recent developments on this probe can Finally, the stress-relieved epoxy inclusion is
be found in Lee, Abel and Nichols (1976) and analyzed for the stresses perpendicular to the
Nichols (1983). As for the photoelastic stress- hole using the theory for biaxial photoelastic
meter, this inclusion has had a limited amount strain gages (Hawkes, 1968; Hawkes and
of success for measuring absolute stresses due Fellers, 1969). Another approach is to drill a
to possible debonding between the rock and small hole in the center of a three-component
the epoxy. On the other hand, it has worked strain gage rosette initially glued on the inclu-
quite successfully for the monitoring of stress sion (Nolting, 1980). The method of Nolting is
changes (Chapter 10). analogous to the undercoring or stress relief
Another, more recent, technology consists of by the center hole method of Duvall (1974)
directly embedding strain gages into solid or discussed earlier in this chapter and the cen-
hollow inclusions that are glued either to the tral hole technique used to measure residual
wall or the bottom of a borehole. The differ- stresses in metal (Beaney and Procter, 1974).
ence between those inclusions compared with One advantage of this methodology is that it is
the aforementioned stiff inclusions is that they simple and no cable or electrical devices are
are much more compliant and deform with the necessary. Another advantage is that the
rock. This methodology prevents the strain method works well in weak rocks (since the
gages from being affected by water and dust. epoxy serves as a reinforcing agent). The
By having enough independent strain disadvantages include the following: (1) no
measurements (at least six) in the inclusion, continuous monitoring during overcoring, (2)
the complete state of stress can be determined creep, moisture and temperature problems,
in a single borehole. Solid inclusions have and (3) the method is two-dimensional.
been proposed by Rocha and Silverio (1969) In general, the major problem with solid
and Blackwood (1977). inclusions is that they tend to offer resistance
The solid inclusion of Rocha and Silverio to the borehole wall deformation during over-
(1969) is 440 mm long and 35 mm in diameter. coring. Tensile stresses are created along the
It contains ten 20 mm long strain gages rock-inclusion interface during overcoring
embedded in nine different directions along because of the difference in modulus between
the middle of the probe. The cell was the rock and the inclusion material. According
History 209
to the theory of elasticity, these residual stres- (g) Other borehole relief methods
ses can be large enough to break the bond
between the rock and the inclusion. Hence An innovative but different borehole relief
according to Rocha et al. (1974) and Duncan- method called 'borehole jack fracturing' was
Fama (1979), solid inclusions should behave proposed by De la Cruz (1977). It is based on
poorly especially in soft rocks. This theoretical using the modified borehole (Goodman) jack
prediction has more recently been questioned proposed by the same author (De la Cruz,
by Blackwood, Sandstrom and Leijon (1986) 1978). The method consists of applying fric-
who emphasized that field and laboratory tion strain gages on two opposite quadrants of
experience with solid inclusions have shown a borehole and applying a uniaxial load in the
otherwise, even in weak rocks. The overall other two quadrants using two steel platens.
controversy about the bond between solid Fracturing of the rock releases the borehole
inclusions and rock has led to the de- wall tangential strains which are then
velopment of thin-walled hollow inclusions measured with the friction gages. The process
gages such as the Portuguese LNEC is repeated in three different sections at differ-
(Labatorio Nacional de Engenharia Civil, ent depths. This is a partial stress relief
Lisbon) gage of Rocha et al. (1974) and the method that does not require any overcoring.
Australian CSIRO (Commonwealth Scientific According to the literature, the borehole jack
and Industrial Research Organization) hollow fracturing method has not been much used
inclusion (HI) cell of Worotnicki and Walton despite very good initial field performance
(1976). reported by De la Cruz (1977).
The LNEC gage is a 2 mm thick hollow Another innovative method, which is some-
inclusion with an inner diameter of 31 mm and what based on the same idea as the borehole
an outer diameter of 35 mm. The inclusion has jack fracturing method, is called 'borehole
three triple-strain gage rosettes embedded in slotting' and was proposed by Bock and
the middle of the inclusion. It has not been Foruria (1983) and Bock (1986). It consists of
used very much except in Portugal in the cutting three longitudinal slots, 120° apart,
1970s. On the other hand, the CSIRO HI cell is into the wall of a borehole. Tangential strains
a more widely known instrument that has induced by release of tangential stresses are
been used in a wide variety of rock conditions measured on the borehole surface in the near
throughout the world for the past 20 years. vicinity of each slot. This is also a local and
The cell has an inner diameter of 32 mm and partial relief method which does not require
an outer diameter of 36 mm. The CSIRO HI any overcoring. The method is fast, and the
cell is usually not reusable after overcoring. instrument is reusable and is self-contained in
However, more recently Cai and Blackwood both its stress release operations and strain
(1991) presented a method to recover that gage measuring capabilities (Bock, 1993). However,
after overcoring. The CSIRO HI cell does not the method is two-dimensional. An attempt
perform well in very weak rocks due to tensile was made in the late 1980s to determine the
stresses developing along the gage-rock complete state of stress in a single hole using
interface. For instance, Mills and Pender the so-called 3D borehole slotter (Yeun and
(1986) reported separation problems along the Bock, 1988). The idea is to overdrill three strain
interface between the CSIRO HI cell and coal rosettes initially glued on a borehole wall. The
with tensile stresses of the order of 800 kPa method is, in principle, similar to some of the
along that interface. This problem can be surface methods described in section 5.2.I.
avoided by using a thin-walled version of the Other partial relief methods that have been
gage proposed by Walton and Worotnicki proposed in the literature, which should be
(1986). mentioned here for completeness, include the
210 Relief methods
'borehole deepening' method of De la Cruz in the bored raise. At each station, four rosettes
and Goodman (1971), the undercoring of fric- were installed and five strain measurements
tion bonded strain gages on the bottom or were obtained per rosette. The strain data
sidewall of a borehole (Hoskins and Oshier, were analyzed to determine the state of stress
1973), and more recently the use of holo- at each station and the average stress in the
graphic techniques by Bass, Schmitt and volume of rock encompassing the 14 stations.
Ahrens (1986), Smither, Schmitt and Ahrens The overall volume of rock involved in the test
(1988) and Smither and Ahrens (1991). Despite was estimated to be 100 m 3 • Another bored
being innovative, these techniques have not raise overcoring test similar to that of Brady
(yet) received much attention in practice. and co-workers was conducted at the AECL
Finally, the reader should be aware of a new Underground Research Laboratory (URL) in
borehole relief method called the 'tapercoring' Canada. The results of that test were reported
method which was recently proposed by De la by Chandler (1993; Figs 3.1a and 9.6a).
Cruz (1995). It differs from the conventional The state of stress in large rock volumes can
overcoring method in that overcoring is also be calculated, by back-analysis, using the
entirely replaced by cutting an inclined, out- displacements measured during excavation of
wardly tapering circular slot around a bore- an underground opening as the excavation
hole. Therefore no pilot hole is necessary. The proceeds. This approach was proposed simul-
borehole can be of any size with larger bore- taneously by Zajic and Bohac (1986) and
holes being preferable. Any larger diameter Sakurai and Shimizu (1986). The displace-
versions of the classical instrumented devices ments are measured in one or several cross-
used in conventional overcoring methods can sections and are related to the in situ stress
be used with the tapercoring method. Analysis field using analytical methods (finite element
of the field tests is the same as with over- or boundary element method). This approach
coring. This partial relief method seems to be requires that simplifying assumptions be
promising and hopefully will be used in the made with regard to the rock mass material
near future. properties and their variations with depth.
More recently, Sakurai and Akutagawa (1994)
extended the methodology to account for non-
5.2.3 ROCK MASS RELIEF METHODS
elastic rock behavior.
The surface and borehole methods discussed Another back-analysis approach, called the
above can be used to determine the state of under-excavation technique, was initially pro-
stress only in small volumes of rock. Over- posed by Zou and Kaiser (1990) for two-
coring of surface strain rosettes as a method dimensional problems and later extended to
for measuring stresses in large rock volumes three-dimensional problems by Wiles and
has been reported by Brady, Friday and Kaiser (1994a). In this approach (Figs 3.1b and
Alexander (1976) and Brady, Lemos and 9.6b), the three-dimensional in situ stress field
Cundall (1986). The technique consisted of is determined by back-analysis of the rock
overcoring a large number of strain rosettes mass response resulting from an advancing
glued on the wall of a 1.81 m bored raise at the excavation. Measurements with several types
Mount Isa mine in Australia. Each rosette con- of instrumentation can be used simul-
sisted of ten measuring pins arranged in five taneously, such as strains from CSIR or CSIRO
diametric pairs on the circumference of a 250 HI cells, and displacements measured with
rom diameter circle. The rosettes were over- convergence gages, extensometers, closure
cored using a 360 mm diameter thin-walled meters, tiltmeters or inclinometers. The in situ
diamond bit. A total of 14 measurement sta- stress field is determined (using the three-
tions were established at different elevations dimensional boundary element method) as
Techniques, equipment and procedures 211
the stress field that gives the 'best fit' to the LARGE-DIAMETER HOLE
-::l
measured displacements and strain changes
associated with the advancing excavation. (a)
This can be done for each step in the excava-
tion process. Thus this technique can provide
as many predictions of the in situ stress field as
there are of excavation steps over a large rock INSTRUMENTED
volume (several hundred or thousand cubic DEVICE
14(®f~.
meters of rock). The applicability of the UET (b)
~
method was demonstrated for stress measure-
ments at two locations in the URL in Canada
(Kaiser, Zou and Lang, 1990; Wiles and Kaiser,
1994b). At both locations, the in situ state of
(l/IiiiJt:rJf'
PILOT HOLE
stress was inferred from measurements of
stress changes carried out with a minimum of
(c)
eight CSIRO HI cells placed ahead of the
advancing excavations.
LONGITUDINAL SECTION
CD Gage body with tapered mounts o
® Tapered·mounted transducer SCALE, inch
® Locking nut
o Safety plug
Fig. 5.3 (a) Drawing of principal parts of the three-component USBM gage. (After Merrill, 1967.)
(b) Three-component gage with tapered mounted transducers. (After Hooker, Aggson and Bickel, 1974.)
developed by Hooker, Aggson and Bickel obtain long overcores. It also helps in reducing
(1974) where stabilizing springs are placed in vibration effects of overcoring in highly frac-
front of the measuring pistons and an exten- tured rocks. A detailed description of the
ded placement end is placed at the back of the drilling equipment, accessories and testing
gage. This reverse version is particularly use- procedures for the USBM gage can be found
ful in fractured rocks for which it is difficult to in Hooker and Bickel (1974). Standards for
214 Relief methods
Fig. 5.4 Photograph of the assembled USBM gage, cable and readout unit. (Courtesy of ROCTEST.)
determining in situ stresses with the USBM plot illustrating the variation of the three dia-
gage have been proposed by the American metral measurements with depth of overcor-
Society for Testing of Materials (ASTM D ing is shown in Fig. 5.5 for tests conducted by
4623-86) and the International Society for Rock Walton and Worotnicki (1978) at the CSA mine
Mechanics (Kim and Franklin, 1987). Adapta- in Australia. Note that after 400 mm of over-
tions of those standards to heterogeneous and coring, the diametral measurements do not
fractured rock masses have been suggested change much with further drilling.
more recently by Odum, Lee and Stone The advantages of the USBM gage are mul-
(1992). tiple: (1) the gage is recoverable and reusable,
Overcoring with the USBM is generally (2) no cementing or gluing is required, (3) the
performed at depths within 30 m of working gage has been used over a long period of time,
faces, although measurements have been has a proven record and has had a high suc-
made to depths of 70 m in vertical boreholes. cess rate in the field, (4) the gage is designed to
Overcoring should proceed until the over- be monitored continuously during overcoring,
coring bit has passed the measuring pistons (5) the gage has essentially no effect on the
for a distance of at least 150 mm (equivalent to stress in the rock, (6) the installation process is
about one overcoring hole diameter). Thus the straightforward, (7) a relatively large number
overcore must be at least 300 mm long. How- of measurements can be carried out in a single
ever, the method is difficult in rocks with joint day, (8) the gage is more or less unaffected by
spacings less than 130 mm. In fractured rock, temperature changes in the rock or the drilling
the reverse version of the gage can be used and water since the gage is a full-bridge instru-
the minimum overcore length is reduced to ment, and (9) the gage can be regularly
150 mm. The method does not require a dry calibrated to ensure accuracy.
drillhole and can be used in holes filled with When using the deep borehole deformation
groundwater or water from drilling. A typical gage (DBDG) developed by Thompson (1990),
Techniques, equipment and procedures 215
c::
0
'iii
Ul
~ 50
a.
E
::l 0 0
1i5 ()
~ 50
'2
::J U90
0 c::
100
10
0
0
'iii UOO~U'" U150
300
0 100 200 300 400 500
Overcoring distance (mm)
Fig. 5.5 Typical response curves for a USBM gage. (After Walton and Worotnicki, 1978.)
another advantage is that the gage can be gage pistons, (5) the gage needs to be cali-
tested in deep water-filled boreholes. Accord- brated before and after installation, and (6) the
ing to Thompson (1990), the DBDG gage is gage relies on point contact with the borehole
designed to operate at depths up to 1000 m. wall and is more liable to be affected by dis-
Furthermore, by using wireline overcoring continuity, inhomogeneities and grain size of
instead of conventional overcoring, the time the rock (Cai, 1990).
required to conduct one overcore test can be The Young's modulus of the rock can be
greatly reduced, in particular for deep holes determined by biaxial testing of the recovered
(from 12 to 8 h for tests conducted by overcore in the laboratory or in the field.
Thompson at the URL site in Canada). Figure 5.6 shows the biaxial test apparatus set-
The success ratio of relief tests with the up with the USBM gage in place recommen-
USBM gage has been 80% for good rocks and ded by the ASTM.
5% in highly stressed rocks (Cai, 1990).
Laboratory work by Cai (1990) has revealed
5.3.3 CELLS OF BONNECHERE AND
that the USBM gage works well in isotropic,
KANAGAWA
homogeneous and continuous media. Its per-
formance has been found to be not as good in The cell of Bonnechere (1971) was designed to
heterogeneous media. Also, problems may measure, in a continuous manner, both dia-
arise in longitudinally bedded overcores metral and longitudinal displacements during
where the measuring pins can be in contact overcoring. The cell fits into 76 mm diameter
with softer beds or cracks. Under ideal condi- pilot holes. Although the cell has been used in
tions, a total of two or three stress measure- only very few cases (Buyle Bodin in Bertrand
ments can be made per day (Choquet, 1994). and Durand, 1983) and is not much used
The major disadvantages of the USBM gage today, it has potential for determining the
are (1) it requires an unbroken core of at least complete state of stress in a single borehole by
300 mm in length, (2) the gage can be damaged measuring deformations only. It has also the
if the core breaks, (3) three non-parallel holes advantage of being fully recoverable. Figure
are necessary to calculate the in situ stress 5.7a shows a cross-section of the cell. Four
field, (4) the response of the gage depends diametral displacements are measured using
largely on the minerals in contact with the eight cantilever beams with strain gages
216 Relief methods
BLEEDER VALVE PRESSURE GAGE
STEEL CHAMBER
ROCK CORE
'EX-HOLE"
HYDRAULIC FLUID
POWER SOURCE
STAINLESS STEEL
3-VISHAY P350A PIPING OR TUBING
STRAIN INDICATORS HYDRAULIC PUMP
Fig. 5.6 Schematic of the biaxial test apparatus with USBM gage. (After ASTM D 4623-86, 1994. Copyright
ASTM. Reprinted with permission.)
mounted on both sides. The free end of each the diametral and diagonal measurements
cantilever is held against the rock using nitro- into stresses. Finally, they emphasized that the
gen pressure. The three longitudinal displace- cell has worked well in rock masses with joint
ments are measured by means of six DCDTs spacing larger than 400 mm.
(direct current differential transformers). Each
of these OCDTs is fixed at one end onto the
5.3.4 CSIR OOORSTOPPER
core of the cell while the other end is attached
to a small flexible plate that is free to move Figures 5.8 and 5.9 show a schematic cross-
longitudinally. At the middle of each plate, a section and a photograph of the Doorstopper,
hardened steel cone is pressed against the respectively. The gage is 35 mm in diameter
borehole walls using nitrogen pressure. and works in BW holes (60 mm in diameter) or
The cell of Kanagawa and co-workers NW holes (76 mm in diameter). At the base of
(Sugawara and Obara, 1993) is shown in Fig. the instrument, a 45° strain rosette consisting
5.7b and fits into 48 mm diameter pilot holes. of three (or four) strain gages is cemented
The complete state of stress can be determined upon a circular piece of shim. The leads from
in a single borehole using measurements the strain gages are connected to four (or five)
obtained with four diagonal gages and four pins in an insulated connector plug. The shim
diametral gages. The overcore diameter varies and the connector are molded into a rubber
between 180 and 218 mm. Little information is plug which acts as a protection against water
available about that cell outside Japan. In a and dust. The connector can be plugged into
recent paper, Sugawara and Obara (1995) an installing tool which in tum can be con-
briefly mentioned the cell of Kanagawa in nected by lead wires to a strain indicating
their review of overcoring techniques used in instrument. The cell is pushed by compressed
Japan. They mentioned that the strain gages of air and cemented on a smooth surface at the
the cell are attached to the wall of the pilot base of a drillhole. Before and following over-
hole using a cement milk, and that special coring, strains are recorded in the three (or
laboratory calibrations are required to convert four) strain gages. By knowing the elastic
Techniques, equipment and procedures 217
E
E
t!
-e-
6
--------------------v~----------------~"~----~v~----~
Longitudinal deformation measuring device Radial deformation
measuring device
6 5
~
(") E
- -e-E
__
t
Rubber moulding
250mm
Fig. 5.7 (a) Cross-section of the cell of Bonnechere. (After Bonnechere and Cornet, 1977.) (b) Cross-section
of the cell of Kanagawa. (Source: Sugawara, K. and Obara, Y. Copyright 1993, with kind permission from
Elsevier Science Ltd, The Boulevard, Langford Lane, Kidlington, UK.)
properties of the rock, the stresses at the end of (Leeman, 1971a). The sensitivity of the Door-
the hole can be determined and are then stopper strain gages is 5-10 X 10 - 6 inches /
related to the in situ stress field. The Door- inch (Herget, 1993).
stopper was given its name because of its Figure 5.10 shows the different steps when
resemblance with red rubber cylindrical measuring stresses with the Doorstopper.
blocks used as doorstops in the home More detailed description of the Doorstopper
Connectors pins
Rubber casting _
Fig. 5.8 Schematic cross-section and bottom view of the Doorstopper. (From ROCTEST documentation.)
218 Relief methods
Waste Isolation Project in Hanford,
Washington. Additional modifications to the
Doorstopper for that project include selection
of an adhesive to attach the Doorstopper in hot
and humid environments and a new installa-
tion tool (Stickney, Senseny and Gregory,
1984). The Doorstopper was also modified for
continuous monitoring by White, Hoskins and
Nilssen (1978) and Jenkins and McKibbin
(1986). More recent modifications to the Door-
stopper have been carried out by Gill et aI.
(1987) and Corthesy, Gill and Nguyen (1990).
Fig. 5.9 Photograph of the Doorstopper. (Courtesy
of ROCTEST.) Their modified Doorstopper cell provides con-
tinuous monitoring, can be attached to the
rock in water-filled boreholes and monitors
equipment and field testing procedure can be the temperature at the rock-cell interface.
found in Leeman (1971b). The method The main advantage of the CSIR Door-
requires that the end of the borehole be stopper is that it only requires short overcore
ground smooth, extremely flat and preferably lengths. Another advantage is that it can be
dry. Water repellant can also be used to glue placed in smaller diameter boreholes. Under
the Doorstopper (Leeman, 1971a). The over- ideal conditions, a total of two or three stress
core length does not have to be long as for measurements can be made per day (Choquet,
the other overcoring methods. A length of core 1994). The elastic properties of the rock can be
as little as 50 rnrn is required for successful determined by testing the overcore on which
overcoring (Leeman, 1971b). An extreme value the Doorstopper is glued in a biaxial chamber
for the core length of 5 rnrn has also been and subsequently by applying a diametral
reported (Choquet, 1994). Thus the Doorstop- load perpendicular to the direction of maxi-
per is very useful when measuring stresses in mum strain measured during biaxial loading
weak and fractured rock masses or in rock (Corthesy et aI., 1994a, b).
masses with high stresses for which long over- The main disadvantages of the Doorstopper
cores are not always available. Also, tempera- are (1) the end of the large-diameter hole must
ture compensation is accounted for by placing be smooth and flat, (2) cementing problems
another Doorstopper glued to a 12 mm length may arise if the hole is wet, although new
of BX core in the installing tool. Overcoring glues are now available that reduce that dis-
with the Doorstopper is usually carried out at advantage, (3) three boreholes are required to
distances not exceeding 50 to 60 m from free determine the complete state of stress, (4)
surfaces. curing of the glue can vary between 1 and 20 h
The standard Doorstopper measuring pro- depending on the glue used and the borehole
cedure does not allow continuous monitoring conditions, and (5) for the standard CSIR cell,
of the three (or four) strain gages during over- no continuous monitoring of strains is
coring since the strains are measured at the possible during overcoring.
start and at the end of overcoring. Gregory et
aI. (1983) modified the Doorstopper set-up to
5.3.5 CSIR TRIAXIAL STRAIN CELL
allow continuous monitoring. Figure 5.11
shows typical overcoring response curves Since it was first proposed in 1966 by Leeman
obtained with the modified Doorstopper by and Hayes, the CSIR triaxial strain cell has
Gregory et aI. (1983) on basalt at the Basalt undergone several modifications, in particular
Techniques, equipment and procedures 219
t:==:::& bb
PREPARATION OF BOREHOLE FOR INSERTION OF DOORSTOPPER
~I~ I~::&
DETERMINATION OF STRESSES FROM STRAIN READINGS
Fig. 5.10 Steps involved in installing the Doorstopper. (From INTERFELS documentation.)
with regard to the number and position of the used for temperature compensation is located
strain gages. Figure 5.12a shows a photograph at the front of the cell. The cell fits into EX size
and Fig. 5.12b an exploded view of the cell (38 mm) holes. Overcoring is usually carried
after modifications made by Van Heerden out with a 90mm (or larger) diameter bit
(1976), following recommendations by Gray (NXCU holes).
and Toews (1974). The new cell consists of Figure 5.14 shows the different steps when
a nylon body which contains three four- measuring stresses with the CSIR cell. After
component strain rosettes 120° apart. The bonding a 6 mm thick disk of EX core on the
location and configuration of the rosettes are dummy gage, the cell is plugged into an instal-
shown in Figs 5.13a and 5.13b, respectively. ling tool. A 1 mm thick layer of glue is applied
Each strain gage is 10 mm long. In addition to at the surface of the gages. After pushing the
the measuring gages, a dummy strain gage assembly into the pilot hole and keeping track
220 Relief methods
of its orientation, compressed air is used to strain cell is then overcored, the core is broken
push the strain rosettes against the walls of the off the end of the borehole and is removed
EX hole. When the glue has set, initial strain from the borehole. The plug is then removed
readings are taken, the installing tool is and the installing tool plugged again into the
removed and the pilot hole is plugged. The triaxial cell. The final strain readings are taken.
The strain relief, which resulted during over-
coring, is the difference between the final and
Sensor depth initial strain readings. Following overcoring,
=
5.82 m
t
,/\ \
Back end
cover unit
Rock disk
(glued to dummy gage
when in use)
>r~
" ~~~\
/ r)-J I
Temperature compensating
dummy gage unit
plugged into body unit
(b)
MEASUREMENTS MADE TO
\ - _ DATE. IN DRILLHOLE UP TO _ _
20 m LONG. BUT THIS IS
NOT LIMITED
(b)
INSTALLING
~RODS
(c)
Fig. 5.14 Different steps when measuring stresses with the CSIR triaxial strain cell. (Source: Kim, K. and
Franklin, J.A. Copyright 1987, with kind permission from Elsevier Science Ltd, The Boulevard, Langford
Lane, Kidlington, UK.)
Techniques, equipment and procedures 223
G11
Z
1000
._------G12
« ,-------------G7
II:
I-
rJ) 500
_------G6
~ ~~:§~~~~~~G10
0 Ga G3 &2
II:
G4
U G1 & 5
::;; 1------IIIIII!!!!~'5lI G9
0
Fig. 5.15 Response curves obtained with the AECL-modified CSIR triaxial cell. (After Martin and
Christiansson, 1991.)
is similar to that shown in Fig. 5.6. Both elastic respectively. The cell is glued to the wall of the
properties can also be determined by axial pilot hole using a 1 rom thick layer of epoxy
loading of the overcore (Herget, 1993) or by cement. More recently, a thin-walled version
uniaxial loading of EX core samples. of the CSIRO HI cell (one-third the thickness of
The main disadvantages of the CSIR triaxial the regular cell) has been developed by Walton
strain cell are that (1) the cell requires cleaning and Worotnicki (1986) for stress measurements
of the pilot hole walls, (2) in the standard CSIR in weak rocks.
cell no monitoring of the strain gages during The cell contains three triple-strain gage
overcoring is possible, (3) the cell is not recov- rosettes 120° apart. All strain gages are 10 rom
erable unless one uses the recovery method of in length and are located 0.5 rom below the cell
Cai and Blackwood (1991), (4) it is a quarter- outer surface. Figure 5.17 shows the orienta-
bridge instrument, (5) the time required for tion of the nine strain gages in the epoxy pipe.
curing of the glue can vary from 1 to 10 or even Two strain gages are parallel to the axis of the
20 h depending on the hole conditions and the cell, three gages measure tangential strains
type of glue being used, and (6) long overcores and four gages measure strains at ± 45°.
are necessary, which may be difficult in weak Because the strain gages are fully encapsu-
or bedded rocks and rocks under high lated in the epoxy, the performance of the cell
stresses. is not affected by moisture and dust. Note that
a three four-component strain rosette version
of the HI cell containing 12 strain gages
5.3.6 CSIRO HI CELL
instead of nine is also available. The three
The CSIRO HI cell was developed in the early additional strain gages (two circumferential
1970s and was first reported by Worotnicki and one at 45°) provide additional strain
and Walton (1976). Since that time, the cell has measurement redundancy.
undergone several modifications but its basic One of the major differences between the
design has remained essentially the same. CSIRO HI cell and the CSIR triaxial strain cell
Detailed characteristics of the CSIRO HI cell is that (like the USBM gage) the CSIRO cell is
and its performance over the past 20 years can permanently attached to the readout cable.
be found in Worotnicki (1993). Figure 5.16 Thus stress relief data are obtained and can be
shows a photograph of the cell and the asso- monitored during overcoring using a multiple
ciated installation equipment. The cell fits into channel strain indicator. Grouting of the cell in
an EX 38 rom diameter hole. It is an epoxy the EX hole is achieved by filling the epoxy
(Araldite) thin-walled pipe with outer and tube shown in Fig. 5.16 with epoxy cement.
inner diameters equal to 36 and 32 rom, Then the cement is extruded by displacement
224 Relief methods
PiUon rod
Rf'Jd-ou, ub~
St.a. 10 confinf' Irvut
flow. <Ou nd tho ... 11
\
\ Piston to f'xtNdr
Innn
rowt.l!t.t:~~~:re
th .... s,u&fl
with a piston. Piston activation is done either 4 MPa is assumed for field conditions with the
by forcing a protruding rod (Fig. 5.16) against regular HI cell and about 8 MPa for the thin-
the end of the borehole or by manually pulling walled version of the cell (Worotnicki, 1993).
the piston into the epoxy shell. Seals are used Overcoring of the CSIRO HI cell is usually
to confine the grout around the cell. Three done with a 150 mm diameter bit. A 100 mm
types of epoxy cement are now available bit is also satisfactory in good coring condi-
depending on the ambient rock temperature tions. Satisfactory results are usually obtained
(Worotnicki, 1993). A bond strength of about with 200 to 400 mm long overcores. Changes
A B c
30° 270° 150°
0°90°45° 45°90°135° 0° 90° 45°
Fig. 5.17 Orientation of strain gages in the CSIRO HI cell. (After Worotnicki and Walton, 1976.)
Techniques, equipment and procedures 225
in temperature during overcoring can be was also found that, like the CSIR triaxial
measured using an additional thermistor strain cell, the CSIRO HI cell is more suitable
installed in the HI cell. Overcoring with the when used in longitudinally bedded rocks.
CSIRO HI cell is generally performed at However, unlike the CSIR cell, the CSIRO HI
depths within 30 m of working faces. Under cell is little influenced by rock inhomo-
ideal conditions, one or two stress measure- geneities and grain size.
ments can be made per day (Choquet, 1994). The main advantage of the CSIRO HI cell is
Standards for determining in situ stresses that it can be used to determine the complete
with the CSIRO HI cell have been proposed by stress field in one borehole only. Since nine (or
the International Society for Rock Mechanics 12) measurements are made and there are six
(Kim and Franklin, 1987). The procedures for unknowns, redundant measurements are avail-
drilling, installation and measurement are able and a least squares estimate of the in situ
essentially the same as for the USBM gage and stress field components can be carried out.
can be found in the ISRM standards. Figure Further, the cell provides continuous monitor-
5.18 shows a typical set of response curves ing during overcoring and the bond stresses are
obtained by Worotnicki and Walton (1976). low. The CSIRO HI cell has shown a high
Laboratory tests of the CSIRO HI cell under success rate in the field, in particular in isotropic
uniaxial and biaxial loading conditions and in rocks and at rock temperatures in the range
ideal materials have given stress estimates 15--40°C, but only a limited success rate at low
within 4-5% of their correct magnitudes and ( < lO°C) and high ( > 40°C) temperatures. Con-
within a few degrees of the directions of sistent results have been obtained in rocks with
applied loads (Cai, 1990; Walton and grain size up to 4-5 rom (Worotnicki, 1993).
Worotnicki, 1986). The tests of Cai (1990) have Finally, bonding of the cell to the rock tends to
shown that, like the CSIR cell, the performance keep the overcore sample intact, particularly in
of the CSIRO HI cell is very satisfactory bedded and layered rocks, which is not the case
and reliable in isotropic and homogeneous with the USBM gage.
materials and acceptable in moderately non- The main disadvantages of the CSIRO HI
homogeneous and medium-grained rock. It cell are (1) the cost of the cell is about twice
c 250r---.----r---.----r---.----r--~----~--~~
o
"iii
III
~ O~---"""iiii!!!~
E
o
Z u 250
«
a:
~
C/) c 500
o o
a: 'iii
c
() CD
I- 750
~
1000
1250L---~---L--~----~--~---L-~----~--~~
o 50 100 150 200 250 300 350 400 450
OVERCORING DISTANCE (mm)
Fig. 5.18 Response curves obtained with the CSIRO HI cell. (After Worotnicki and Walton, 1976.)
226 Relief methods
that of the CSIR triaxial strain cell, (2) it For the CSIR and CSIRO HI cells, the over-
requires long unbroken overcores, which may core can be sawn across the cells in order to
be difficult in weak or bedded rocks and rocks check the quality of the bond between the cells
under high stresses, (3) it is a quarter-bridge and the rock. This can help (1) to identify
instrument, (4) until recently, the cell has not defective strain gages and the presence of air
been recoverable (Cai, 1990; Cai and bubbles in the cement at the location of the
Blackwood, 1991), (5) long periods of up to strain gages, (2) to check the hardness of the
10-20 h are required for the epoxy based adhe- bond and its thickness around the circum-
sive to cure, the curing being quite difficult in ference of the cell, (3) to check the actual strain
wet and cool environments, and (6) in low- gage orientation and (4) to check the size of the
temperature environments (less than 10°C), pilot hole, which may become oversized in
softening of the epoxy adhesive at the cell- softer rocks. The quality of the bond between
rock interface due to a slight increase in tem- the rock and the CSIRO HI cell can also be
perature may create yielding along the assessed if the cell is recovered with the tech-
interface, which has been shown to result in nique proposed by Cai (1990).
high principal stresses parallel to the hole axis A schematic of the biaxial cell is shown in
after analysis (Garritty, Irvin and Farmer, 1985; Fig. 5.6. A photograph of the apparatus with
Irvin, Garritty and Farmer, 1987). This latter pump and readout unit is shown in Fig. 5.19.
problem has been remedied in part The test shown in the photograph was con-
(Worotnicki, 1993). ducted on an overcore sample containing a
Upon overcoring, both the Young's mod- CSIRO HI cell. The biaxial cell essentially con-
ulus and Poisson's ratio of the rock are deter- sists of a cylindrical steel jacket, a rubber
mined by biaxial testing of the recovered membrane and seals. The rock overcore is
overcore containing the CSIRO HI cell. The placed in the biaxial cell. Oil is pumped into
biaxial test apparatus set-up is similar to that the space between the jacket and the rock. This
shown in Fig. 5.6. applies a uniformly distributed biaxial pres-
sure on the outer surface of the overcore
sample while the strains or displacements in
5.3.7 BIAXIAL TESTING
the USBM gage, CSIR triaxial strain cell or
As mentioned previously, the overcore CSIRO HI cell are monitored. A rubber mem-
samples containing the USBM gage, the CSIR brane is used to protect the rock from any
triaxial strain cell or the CSIRO HI cell are ingress of oil into the pores or cracks that may
tested in a biaxial chamber. The main objective be present in the rock. Biaxial cells can usually
of biaxial testing is to determine the deform- apply pressures up to 30-40 MPa. Some of the
ability properties of the rock, in particular most recent cells have a multicore diameter
during unloading. The method was first sug- capability and can be used to test core samples
gested by Fitzpatrick (1962). Biaxial testing can ranging between 40 and 150 mm in diameter.
also be used to assess rock grain size, aniso- The overcore sample is subjected to several
tropy or heterogeneity, and borehole eccen- loading/unloading cycles.
tricity. The biaxial cell can be used to check the The strains or displacements measured
response of the rock to cycles of loading and during biaxial tests are interpreted in terms of
unloading and to determine whether or not elastic properties of the rock comprising the
the rock can be treated as linearly elastic overcore by using elastic solutions for the
within the stress range expected in situ. Mon- strains and displacements at the inner surface
itoring the strains or displacements on the of a hollow cylinder under external axisym-
overcore can also help to identify the amount metric pressure. An example of response
and rate of rock creep. curves for the CSIRO HI cell is shown in Fig.
Techniques, equipment and procedures 227
Fig. 5.19 Photograph of the biaxial test chamber with pump and readout unit. The test was done on an
overcore instrumented with the CSIRO HI cell. (Courtesy of MINDATA.)
5.20 for tests conducted by Gale (1983) in the slot using a contact strain sensor, which is
Australia. These curves clearly show that the part of the slotter. The strains are converted
rock is linearly elastic over a 0-20 MPa pres- into stresses using the theory of linear
sure range. In order to obtain good results, the elasticity and using the Kirsch solution for the
USBM gage, the CSIR triaxial strain cell or the stresses and strains around a circular opening.
CSIRO HI cell must be located close to the A minimum of three longitudinal cuts (usually
middle of the biaxial cell loading area (Wor- 120° apart) in three different directions is nec-
otnicki, 1993; Worotnicki and Walton, 1979). essary to determine the stresses in the plane
perpendicular to the hole. Figure 5.22 shows
typical tangential strain response curves for
5.3.8 BOREHOLE SLOTTING
eight slots cut 45° apart in a single borehole.
The borehole slotter (available through Detailed description of the borehole slotter can
INTERFELS) has been designed to work in be found in Bock (1993).
boreholes with diameters ranging between 95 The borehole slotter has several advantages.
and 103 mm. Figures 5.21a and 5.21b show a The method provides quick measurements of
picture and a schematic cross-section of the stresses. For instance, the time span of a single
instrument, respectively. The stresses are slotting test is only 5 min. A total of 10-15
relieved locally by cutting half-moon shaped measurements can be carried out in a single
radial slots into the borehole wall using a 8 h shift. The instrument is fully recoverable,
small, pneumatically driven saw. Each slot is self-sufficient and provides continuous moni-
usually 1.0 mm wide and up to 25 mm deep. toring of strain during slot cutting. No bore-
Before, during and after cutting the slot, the hole preparation is necessary. Also, cutting of
tangential strain is measured at the borehole additional slots besides the three basic ones
wall in the near vicinity (within a 15° arc) of can provide redundancy. Comparison of the
-500
+1000 -
Fig. 5.20 Biaxial test response curves obtained with CSIRO HI cell. A, B and C correspond to the cell strain rosettes shown in Fig. 5.17. (After
Gale, 1983.)
Techniques, equipment and procedures 229
response curves of two slots 1800 apart can less than 30 m, (2) the borehole must be dry
give an appreciation of the degree of rock and (3) the stress parallel to the borehole axis
homogeneity. must be assumed since the tangential strain
The borehole slotter has several limitations: along the borehole wall depends on four stress
(1) it has only been tested at shallow depths components (for isotropic rock): three in the
(a)
o 20 40
(b) ,
mm
, I
I
(!)
I
-~
/
Diamond
blade
strain sensor
Fig. 5.21 The borehole slotter. (a) Photograph. (Courtesy of INTERFELS.) (b) Cross-section. (Source:
Bock, H . Copyright 1993, with kind permission from Elsevier Science Ltd, The Boulevard, Langford Lane,
Kidlington, UK.)
230 Relief methods
plane normal to the borehole axis and one 5.4.1 ASSUMPTIONS IN THE ANALYSIS OF
parallel to the borehole axis. OVERCORING TESTS
In general, very good agreement has been
found between stress measurements with the Several assumptions are made when analyzing
the results of overcoring tests in boreholes.
borehole slotter and measurements with other
(1) The stresses that are relieved during
techniques. This seems to show that the bore-
overcoring are equal to the stresses when the
hole slotter is a very promising device for
rock was in its precoring environment.
measuring stresses in rock.
Recalling the general procedure described
in Fig. 5.2, the process of overcoring can be
5.3.9 STRESS RELIEF BY CENTER HOLE
seen as canceling the components of initial
The stress relief by center hole method (or stress acting across a cylindrical surface in the
undercoring method) was first proposed by
Duvall (1974) to measure the state of stress on
exposed rock surfaces. The idea behind the
method is to monitor the radial displacements
of points located around a center hole as the
hole is being drilled. The geometry of the test
is shown in Fig. 5.23. The procedure consists of
two steps. First, six measuring pins ~ inch
(9.5 mm) in diameter, ~ inch (6.3 mm) long and
60° apart are cemented (using a quick-setting
epoxy) on a rock surface along a circle
10 inches (254 mm) in diameter with a metal ~ 1]
~0.5
, start p1fslotting
,~ nd,
·
O·
,
platen. The distance across diametrically
e
opposed pins is measured. The second step
~
,
consists of drilling a 6inch (152mm) diameter 00 0 180·
hole in the center of the pins with a thin-
walled masonry bit. The distance across dia-
metrically opposed pins is again measured. , -- ~
, 225
45·
, ,
From the three measured diametral measure-
ments, the secondary principal stresses and
their orientation in the rock surface are deter-
mined. The displacements are usually meas- , - 90·
, r
ured using a micrometer with an accuracy of
0.001mm. 270
5.4 THEORY , ,
This section presents the theory to analyze the
results obtained with the following stress
, 135·
315
relief methods: (1) overcoring with the USBM
gage, Doorstopper, CSIR and CSIR-type tri- o 2 3 4 5 6
axial strain cells, and the CSIRO HI cell, (2)
surface relief by undercoring and (3) borehole Elapsed time per slotting test (min)
slotting. The theory for the analysis of biaxial Fig. 5.22 Typical tangential strain response curves
tests to determine rock elastic properties is for eight slots cut 45° apart in a single borehole
also presented. using the borehole slotter. (After Bock, 1986.)
Theory 231
ASSUMING ELASTIC
SHORT-TERM BEHAVIOR
STRAIN RELIEF INTERPRETED IN 1ERMS
OF STRESS MAGNmJDES
STRAIN
RELIEF
TIME-DEPENDENT
RELIEF OF
GRAVITATIONAL
AND TECTONIC
STRESSES
TIME-DEPENDENT
RELIEF OF
RESIDUAL
STRESSES
Fig. 5.24 Strain relief components defined by Bielenstein and Barron (1971).
Plane stress is used only for the analysis of the with respect to the local x, y, z coordinate
CSIR Doorstopper. system (Fig. S.2Sa), the in situ stress field has
(7) The in situ stress field is three- components (Jxo, (JYM (Jzo, Tyzo, Txzo and TXyo,
dimensional. and the stress matrix [(J o]XYZ is related to [(J 0] as
The rock is assumed to be subjected to a follows:
three-dimensional stress field with compo- (S.2)
nents (Jxo, (Jyo, (Jzo, Tyzo, Txzo and Txyo acting at
infinity and defined in an x, y, z coordinate where [To] is a (6 X 6) stress transformation
system attached to the pilot hole. Let [(Jo] be matrix defined in equation (A.13) in Appendix
the stress matrix such that A. The components of this matrix depend on
the direction cosines of the X-, y- and z-axes
[(Ji = [(Jxo (Jyo (Jzo T yzo T xzo Txyo] (S.l) with respect to the global X, Y, Z coordinate
In a global X, Y, Z coordinate system inclined system. As an example, for a pilot hole with
234 Relief methods
Y(Up)
X(North)
Z(East)
(a)
APPARENT s(2) Y
PLANE OF ~
z
Y(Up) ANISOTROPY
x
X
X(North)
t(3) .k ~
Z(East)
(b) (c)
Fig. 5.25 (a) Problem geometry, (b) orientation of pilot hole, (c) orientation of the anisotropy.
the geometry of Fig. 5.25b whose orientation is derived between the diametral measurements
defined by two angles fJh and 6h, the direction recorded during overcoring and the compo-
cosines of the X-, y- and z-axes are equal to nents of the in situ stress field [0"0]' This can be
Ix =SinfJh mx =0 nx =- COSfJh
done using the theory of elasticity for isotropic
or anisotropic media. Isotropic solutions for
ly =- sin6h COSfJh my =COS6h ny =- sin6h sinfJh the analysis of USBM gage measurement have
lz =COS6h COSfJh mz =sin6h nz =COS6h SinfJh been proposed by Leeman (1967) and
(5.3) Hiramatsu and Oka (1968). Anisotropic solu-
tions have been proposed by Berry and Fair-
hurst (1966), Berry (1968), Becker and Hooker
5.4.2 ANALYSIS OF USBM GAGE (1967), Becker (1968), Hooker and Johnson
MEASUREMENTS (1969) and Hirashima and Koga (1977). Most
Analysis of USBM gage diametral measure- of these anisotropic solutions make some
ments requires that a relationship should be assumptions about the type of rock anisotropy
Theory 235
and the orientation of the pilot holes with respectively equal to
respect to the planes of rock anisotropy and 11 = COSPa sinljla ml = COSljla nl = sinPa sinljla
symmetry. The solution presented below is
general and can be used for the analysis of 12 = - COspa cosljI a m2 = sinljla n2 = -sinpa COSljla
USBM gage measurements in orthotropic, 13 = -sinpa m3= 0 n3 = COSPa
transversely isotropic or isotropic rock masses. (5.4)
Furthermore, the pilot holes can be inclined
with respect to the planes of rock anisotropy. The constitutive equation of the medium in
the n,s,t coordinate system is given by
(Lekhnitskii,1977)
(a) Diametral deformation of a hole in a
1 Vsn Vtn
three-dimensional stress field 0 0 0
En Es Et
Consider the equilibrium of a rock mass
modeled as infinite, linearly elastic, aniso- Vns 1 Vts
0 0 0
tropic, continuous and homogeneous. Let en En Es Et
X, Y,Z be a global coordinate system such that es Vnt Vst 1
the X- and Z-axes are pointing in the north and 0 0 0
et En Es Et
east directions, respectively. The Y-axis is pos-
itive upward. The rock is bounded internally Yst 1
0 0 0 0 0
by a cylindrical surface of circular cross- Ynt Gst
section and radius a that represents a borehole 1
Yns
(pilot hole). Consider the geometry of Fig. 0 0 0 0 0
5.25a and let x,y,z be a coordinate system Gnt
attached to the hole with the z-axis defining 1
0 0 0 0 0
the longitudinal axis of the hole. The orienta- Gns
tion of the borehole and that of the X-, y- and
z-axes are defined with respect to the X, Y,Z
coordinate system by two angles Ph (borehole
azimuth) and Jh (borehole rise) such that the
x-axis lies in the X, Z plane (Fig. 5.25b). The x (5.5)
direction cosines 1, m and n of the unit vectors
in the x, y and z directions are defined in
equation (5.3).
The rock mass is assumed to be orthotropic
in an n,s,t coordinate system attached to a or in a more compact matrix form
clearly defined plane of rock anisotropy (Fig.
[e ]nst = [HH 0" ]nst (5.6)
5.25a). For rocks, this plane may be an
apparent direction of rock symmetry such as Nine independent elastic constants are needed
foliation, schistosity or bedding planes. In any to describe the deformability of the rock in the
case, the n-axis is taken normal to the plane, n,s,t coordinate system. The quantities En, Es
the t-axis is horizontal and the s- and t-axes are and Et are the Young's moduli in the n, sand t
contained within the plane. The orientation of directions, respectively. The moduli Gns , Gnt
the n, s, t coordinate system with respect to the and Gst are the shear moduli in planes parallel
X-, Y- and Z-axes, is defined by a dip direction to the n,s, n,t and s,t planes, respectively.
angle Pa and a dip angle 'fIa (Fig. 5.25c). The Finally, Vij (i,j = n,s,t) are the Poisson's ratios
direction cosines 1, m and n of the unit vectors that characterize the normal strains in the
in the n, sand t (1, 2 and 3) directions are symmetry directions j when a stress is applied
236 Relief methods
in the symmetry directions i. Because of sym- If/a defined in Figs S.2Sb, c. Matrix [A] can be
metry of the compliance matrix [H], Poisson's expressed as follows:
ratios Vij and Vji are such that Vij/Ei = vj;/E j .
Equations (5.5) and (5.6) still apply if the
[A] = [Te][T~]t[H][T~][Tef (5.9)
rock mass is transversely isotropic in one of where [Te] and its transpose [Tef are (6 X 6)
the three n,s, n, tor s, t planes. In that case, only matrices with components that depend only
five independent elastic constants are needed on the direction cosines of the unit vectors
to describe the deformability of the rock in the parallel to the X-, y- and z-axes attached to the
n,s,t coordinate system. In this book (see also borehole. Also, [T~] and its transpose [T~]t are
section 2.5), these constants are called E, E', v, (6 X 6) matrices with components that depend
v' and G' with the following definitions: (1) E on the direction cosines of the unit vectors
and E' are Young's moduli in the plane of parallel to the n-, s- and t-axes attached to the
transverse isotropy and in the direction plane of anisotropy.
normal to it, respectively, (2) v and v' are The existence of any planes of symmetry in
Poisson's ratios characterizing the lateral the x,y,z coordinate system depends on the
strain response in the plane of transverse iso- values of the four orientation angles Ph, c5h, Pa
tropy to a stress acting parallel or normal to it, and If/ a and the transversely isotropic or ortho-
respectively, and (3) G' is the shear modulus in tropic nature of the rock in the n, s, t coordinate
planes normal to the plane of transverse system. In particular, the borehole is perpen-
isotropy. Relationships exist between E, E', v, dicular to a plane of elastic symmetry (1) when
v', G and G' and the coefficients of matrix [H] the rock mass is orthotropic in the x,y,z coor-
in equation (5.6). For instance, for transverse dinate system (Fig. S.26a) or has one of its
isotropy in the s, t plane three planes of symmetry normal to the z-axis
(Fig. S.26b), (2) when the rock mass is trans-
1 1 1 1 1 1 1 1
versely isotropic and the hole axis is either
G ns G nt G'
parallel (Fig. 5.26c) or perpendicular (Fig. at right angles to a plane of elastic symmetry
5.26d) to the plane of transverse isotropy or (3) in the rock, are summarized in Appendix B.
when the rock mass is isotropic. For all cases shown in Fig. 5.26, the hole
As shown in Fig. 5.25a, the borehole is deforms in plane strain in the x, y plane
loaded along its contour by surface tractions. instead of generalized plane strain and the
Let Xn, Ynand Zn be the components in the x, y longitudinal deformation always vanishes.
and z directions of the surface stress vector Drilling a circular hole in an already
acting along the contour of the hole. Since we stressed medium is equivalent to applying at
are using the geomechanics sign convention an angle e along the contour of the hole a
for stress, strain and displacement in this stress vector with components Xn, Yn and Zn
book, the positive directions of the stress such that (Amadei, 1983a)
vector components are in the negative x, y and
Xn = (Jxo cose + Txyo sine
z directions, respectively. In addition Xn, Yn
and Zn are assumed not to vary along the Yn = Txyo cose + (Jyo sine (5.11)
z-axis, to be periodic functions with period 2n, Zn = T xzo cose + T yzo sine
and to be expressed as Fourier series in cos e
and sine as follows: As shown in Appendix B (equation (B.13)), the
change in hole diameter U dh = 2U r h at an angle
Xn = al x cose + b1x sine e from the x-axis induced by the stress vector
Yn= al y cose + b1y sine (5.10) components defined in equation (5.11) is equal
to
Zn = al z cose + brz sine
Udh
The angle e assumes all values from 0 to 2n for - = /Ih(Jxo + /zh(Jyo + hh(Jzo
2a
a complete circuit along the contour of the
borehole. In writing equation (5.10), it is +!4hTyzo +!ShTxzo + !6hTxyo (5.12)
assumed that the resultants of Xn, Yn and Zn where /Ih· . f6h depend on the elastic properties
along the contour of the hole vanish. This of the anisotropic rock mass in the n,s,t co-
assumption leads to an absence of constant ordinate system and the orientation of its
terms. In this analysis it is also assumed that, planes of anisotropy with respect to the hole.
under the influence of the stress vectors with Note that hh always vanishes. General expres-
components given by equation (5.10), the rock
sions for /Ih·· /6h are given in Appendix B
deforms under a condition of generalized (equation (B.14)).
plane strain in the x,y plane (Amadei, 1983a; As shown in Appendix B (equation (B.19)),
Lekhnitskii, 1977). In other words, all planes the change in distance Udo = 2uro between two
parallel to the x, y plane are assumed to warp points (originally a distance 2a apart and
in the same way and the longitudinal defor- located at an angle e from the x-axis) induced
mation induced by Xn, Yn and Zn does not by applying the in situ stress field on the
vanish and depends only on the x and y anisotropic medium without a borehole can be
coordinates. Finally, body forces are neglected expressed as follows:
in the present analysis.
General expressions for the components of Udo
stress, strain and displacement at any point in
- = !lo(Jxo + !zo(Jyo + !30(Jzo
2a
the medium induced by Xn, Yn and Zn with
the general form of equation (5.10) can be + ho Tyzo + Iso Txzo +!60 Txyo (5.13)
found in Lekhnitskii (1977) and Amadei where /Io .. "/60 depend on the elastic proper-
(1983a). Closed-form solutions for the dis- ties of the anisotropic rock in the n,s,t coor-
placements, when the hole is either inclined or dinate system and the orientation of its planes
238 Reliej methods
of anisotropy with respect to the hole. General f 2 -- cos2()(fJ 12 + (fJ 11 fJ 22 )1/2) -
. 2()(fJ11fJ22) 112
sm
expressions for /10 .. "!60 are given in equation
(B.20). Adding equations (5.12) and (5.13), the X i
(2fJ12 + fJ66 + fJ22)1/2)1/2
total borehole diametral deformation at an fJ11 \P11
angle () from the x-axis is such that
- a12 cos2() - a22 sIn
. 2()
(5.18)
Ud
2a = /1uxo + /zuyo + huzo h= - a13 cos2() - a23 sin2() (5.19)
j6 = - sin2()(fJ12 + (fJ11fJ22)1/ 2)
+ j4Tyzo + jsTxzo + j6Txyo (5.14)
sin2() 1/2
with /1 = /1h + /10 ... j6 = j6h + j60. Equation - -2- (fJ11 + (fJ11fJ22) )
(5.14) can also be written as follows
Ud
- = Ml + M2 cos2() + M3 sin2() (5.15)
X i
(2fJ12 + fJ66 + fJ22)1/2)1/2
2a fJ11 \P11
where M 1 , M2 and M3 depend on the six stress sin2()
components, the elastic properties of the ---a66 (5.20)
2
anisotropic rock mass in the n,s,t coordinate
system, and the orientation of its planes of For this special case, M 1 , M2 and M3 are given
anisotropy with respect to the hole. Equation in equation (B.26) in Appendix B. In equations
(5.14) shows that for a general anisotropic rock (5.17)-(5.20) fJij = aij - ai3aj3/ a33 (i,j = 1-6) and
mass, the borehole diametral deformation aij are the coefficients of matrix [A] in
depends on all six in situ stress components. equation (5.8). Finally, if the medium is iso-
When there is a plane of elastic symmetry tropic with Young's modulus E and Poisson's
normal to the hole axis z, such as in Figs ratio v, substituting fJl1 = fJ22 = (1 -l)/E,
5.26a-d, j4h = jSh = j40 = jso = 0 and therefore j4 fJ12 = -v(l + v)/E and fJ66 = a66 = 2(1 + v)/E
andjs vanish. Then equation (5.14) becomes into equations (5.17)-(5.20),/1,j2,h andj6 are
now equal to
Ud
2a = /1uxo + fzuyo + huzo + j6 Txyo (5.16) 1
/1 = E 2
(2 cos2()(v - 1) - 1);
and M 1 , M2 and M3 in equation (5.15) depend
only on U xo , u yo , U zo and Txyo and are independ- 1
ent of Txzo and Tyzo . The expressions for jlh, /zh fz = -
2
(2 cos 2()(1 - v ) - 1) (5.21)
E
and j6h and /10' /zo, ho and j60 are given in
equations (B.15) and (B.21) in Appendix B, v 4.
respectively. If, in addition, the x, y- and z-axes h = E; j6 = Esm2()(v - 1)
2
(Jzo = - -
a33
1
(a31(Jxo + a32(Jyo X (2/112 + /366 + i /122)112)1/2
/111 \]Jll
+ a34 Tyzo + a35 Txzo + a36 Txyo) (5.22)
Substituting equation (5.22) into equation
(5.14) or (5.16) and into the expressions of M 1 ,
M2 and M 3 , the diametral deformation now and
depends only on five in situ stress components (5.25)
for the general case of anisotropy. When there
is a plane of elastic symmetry normal to the with
borehole axis, the diametral deformation
depends on only three stress components, e.g. A3 = - [/112 + {Pll/122)1/2 + O.5{Pll + (Pll/122)1/2)
(Jxo, (Jyo and Txyo. In particular, when the bore-
hole axes are at right angles to planes of elastic
symmetry, M 1 , M2 and M3 in equation (5.15)
X e/31~: /166 + 2~::r/2r/2 + 0.5a66 ]
take the form
For the isotropic case, equations (5.23) to (5.25)
(5.23) become
with 1
Ml = - E (1 -
2
v )«(Jxo + (Jyo);
Al = 0.5[/112 + {Pll/122)1/2
2
1/2)1/2 M2 = - E (1 -
2
v )«(Jxo - (Jyo); (5.26)
_ /111 ( 2/112 + /166 + 2( /122 )
/111 /111 4 2
M3 = - -E (1 - v )T xyo
't xyo
Fig. 5.27 Measurements U1 , U 2 and U3 across diameters 1, 2 and 3 at 0°, 60° and 120° from the x-axis,
respectively. The major and minor principal in situ stresses defined as P and Q are inclined at an angle <fI
from the x-axis.
If the medium is isotropic, substituting into and the orientation angle <I> between the major
equation (5.29) the expressions of M 1 , M2 and principal stress P and the x-axis is such that
M3 defined in equation (5.26), the three stress
components are now equal to _ O.5(axo - a yo )
E
cos 2<1> - ( a xo
_)2
a yo 2
)1/2
a xo = 2 [U1 + U2 + U3 + 0.5 4 + Txyo
6(v -1)
(5.33)
2 )1/2
. _ Txyo
x (2U1 - U2 - U3 )] sm2<1> - ( (a xo - a yo ) 2
E 4 + Txyo
a yo = 2 [U1 + U2 + U3 - 0.5 (5.31)
6(v -1)
x (2U1 - U2 - U3 )] As a numerical example, consider a trans-
versely isotropic rock mass with a plane of
E transverse isotropy parallel to the s,t plane of
Txyo = 4(3)1/2(l- 1) [U2 - U3 ]
Fig. 5.25a. Tables 5.2 and 5.3 give the expres-
The magnitude of the major and minor princi- sions of the coefficients aij and fiij appearing in
pal stresses P and Q in the x, y plane (Fig. 5.27) equations (5.23)-(5.25) when the plane of
can be determined as follows: transverse isotropy is also parallel to the y,z
plane (Fig. 5.26c with If/ = 900 ), the x,z plane
P =
(a xo + a yo) (a xo - a yo/
2 + 4
2 )1/2
+ Txyo (Fig. 5.26c with If/ = 0°) or the x, y plane (Fig.
5.26d). These coefficients are expressed in
(5.32)
Q = (a xo + a yo) _ ( a xo - a yo) 2+ )1/2
T2
terms of the five elastic rock properties E, E', v,
v' and G' defined earlier in this chapter.
2 4 xyo The modulus of elasticity E and Poisson's
Theory 243
Table 5.2 Expressions of coefficients aij for three isotropic solution (represented by point I in
orientations of the plane of transverse isotropy those figures), P and Q decrease and <l> in-
creases as E/E' increases when the plane of
Transverse isotropy parallel to
transverse isotropy is parallel to the y, z plane.
aij y,z plane X,z plane x, y plane When the plane of transverse isotropy is paral-
lel to the x,Z plane, P increases only slightly
all liE' liE l/E with E/E' whereas Q and <l> decrease. For a
al3 -v'IE' -viE -v'IE' fixed value of E/E', P, Q and <l> always
a33 liE l/E liE' decrease as G/G' increases when the plane of
aZZ liE liE' liE transverse isotropy is parallel to either the y,z
aZ3 -viE -v'IE' -v'IE'
al2 -v'IE' -v'IE' -viE plane or the x,Z plane. On the other hand,
a66 l/C' 1/C' 1/C when the plane of transverse isotropy is
parallel to the x, y plane, P and Q are inde-
pendent of G/G' and increase with E/E'. For
that orientation, it can be shown that the angle
ratio v in the plane of transverse isotropy are <l> is independent of the degree of rock
taken equal to 20.0 GPa and 0.25, respectively. anisotropy.
The ratios E/E' and G/G' are assumed to vary Table 5.4 gives the values of P, Q and <l> for
respectively between 1 and 4 and 1 and 3, and v' = 0.15, 0.25 and 0.35, E/E' = 3, G/G' = 1
v' is assumed to vary between 0.15 and 0.35. and when the plane of transverse isotropy is
Let U1 = - 2.343750 X 10 -4, U2 = -1.749399 X parallel to the y,z, x,z or x,y planes. P and Q
10- 4 and U3 = -0.125601 X 10- 4 be the values are found to increase with v'. The orientation
of U d /2a at e = 0°, 60° and 120° measured angle <l> decreases as v' increases when the
during overcoring (negative values indicate plane of transverse isotropy is parallel to the
outward radial borehole displacements). The y,z plane but increases with v' when the plane
isotropic solution for the in situ stress field of transverse isotropy is parallel to the x,z
gives P = 2.21 MPa, Q = 0.79 MPa and plane. It is independent of v' when the plane of
<l> = 22S. Figures 5.28a, 5.28b and 5.28c show, transverse isotropy is parallel to the x, y plane.
respectively, the variations of the principal This example shows that neglecting rock
stress components P and Q and the orientation anisotropy when analyzing USBM gage
angle <l> with E/E' for different values of G/G' measurements may result in substantial errors
when v = v' = 0.25. in the magnitude and orientation of the calcu-
Figures 5.28a-c indicate that for a fixed lated in situ stresses. Similar conclusions were
value of the ratio G/G', and compared to the reached by Amadei (1983a) for the analysis of
~::~:
as
a. 1.5
~
5.4.3 ANALYSIS OF CSIR DOORSTOPPER
a. MEASUREMENTS
1.0
GlG'=3
The analysis of Doorstopper measurements
0.5 requires the strains measured with the three or
four strain gages mounted on the bottom sur-
0 face of the Doorstopper to be related to the
0 1.0 2.0 3.0 4.0 5.0 components of the in situ stress field. The
ElE'
strains are first related to the stresses at the
(b) 1.0 xy bottom of the hole. Then those stresses are
themselves related to the in situ stress field
0.8 I~--- components using stress concentration factors
derived using photoelastic methods or three-
'i. 0.6
~~G/G'=l dimensional numerical models. Both isotropic
~Gffi'.2
and anisotropic solutions exist for the analysis
~
0 of Doorstopper measurements.
0.4 ..•..........• GIG' =3
"'.,
30.0
!!! If the rock is isotropic with Young's modulus E
'"
~ and Poisson's ratio v, the stresses a~, a~ and.~
eo 20.0 at the end of the borehole are equal to
v' = 0.15 1.25 0.51 40.1 1.98 0.53 15.0 2.22 0.79 22.5
v' = 0.25 1.49 0.59 39.2 2.22 0.62 16.7 2.55 0.91 22.5
v' = 0.35 1.99 0.75 37.2 2.67 0.81 20.1 3.27 1.17 22.5
strains in the 00 , 45 0 , 90 0 and 1350 directions, from the center of the hole. Hocking (1976)
then equation (5.35) is replaced by found that these coefficients are approxi-
mately constant over a concentric circular
O"~ = ~ [eA+ ee + eA - ee]; region on the flat end of a borehole whose
2 I-v l+v radius is half that of the hole. Leeman (1971a)
~ [eA+ ee _eA - ee];
recommended that all strain measurements
0"' =
(5.36) must be made in the middle third of the end of
y 2 I-v l+v
the borehole.
E (eB - eD) Combining equations (5.35), (5.37) and (5.2)
2 l+v and knowing the orientation of the borehole
with respect to a global coordinate system, the
The stresses O"~, O"~ and '~y are related to the in three (or four) Doorstopper strain measure-
situ stress components O"xo, O"yo, O"zo and 'xyo as ments can be linearly related to the six compo-
follows (Leeman, 1971a) nents of the in situ stress field. Since there are
at most three independent strain measure-
O"~ = aO"xo + bO"yo + CO"zo
ments per borehole, a second borehole non-
O"~ = aO"yo + bO"xo + CO"zo (5.37) parallel to the first one is necessary to
determine the in situ stress field. A system of
'~y = d,xyo
six equations, similar in form to equation
and are independent of the shear stresses 'xzo (5.27), can be constructed where matrix [UD] is
and 'yzo. Values for the coefficients a, band c now replaced by a matrix of strain measure-
have been proposed by Galle and Wilhiot ments. However, it can be shown that, for
(1962), Leeman (1964c), Hoskins (1967), isotropic media, matrix [T] is again singular
Bonnechere and Fairhurst (1968), Van Heerden and that a third borehole is necessary to deter-
(1969), Hiramatsu and Oka (1968), Hiltscher mine the in situ stress field as for the USBM
(1971), Coates and Yu (1970), Bonnechere gage (Gray and Toews, 1968).
(1972), Hocking (1976) and Rahn (1984), and As for the USBM gage, if one of the four
are summarized in Table 5.5. A value of 1.25 stress components O"xo, O"yo, O"zo and 'xyo is
for coefficient d was proposed by Van Heerden known, the other three components can be
(1969) and Bonnechere (1967). Coefficients a, b, determined from overcoring the Doorstopper
c and d have been determined by photo- in a single borehole. Determination of these
elasticity, experimentally or through finite or four components in one hole can also be ach-
boundary element models. Those coefficients ieved by following a new methodology, called
seem to depend slightly on the elastic con- the 'recovered to peak ratio' (RPR) method,
stants of the rock, at least in a region not too far proposed recently by Corthesy et al. (1994a, b).
246 Relief methods
A fourth independent equation was derived used to determine the complete in situ stress
relating the mean recovered and peak strain field.
invariants measured with the recovery curves
and the normal stresses axe- a yo and a zo . It can (b) Anisotropic solution
be shown that when using the RPR method-
For anisotropic rock masses, equation (5.34)
ology, two instead of three boreholes can be
still holds but equations (5.35) and (5.36) must
be replaced by equations that depend on the
symmetry of the rock mass and the orientation
of its planes of anisotropy with respect to the
end of the hole. For anisotropic rock masses,
the stress concentration factors are more com-
plex and depend on the elastic constants of the
rock as well as on the orientation of its aniso-
tropy planes. They cannot be determined once
and for all but can be determined for each case
using three-dimensional numerical models.
Rahn (1984) proposed stress concentration fac-
tors for boreholes in transversely isotropic
ground when the boreholes are either parallel
or normal to the plane of transverse isotropy.
The stress concentration factors were obtained
using three-dimensional finite element analy-
sis. Borsetto, Martinetti and Ribacchi (1984)
showed that in the general case of anisotropy,
ten stress concentration factors, instead of four
for the isotropic solution, need to be deter-
mined using numerical methods. They also
showed that, like the USBM gage, two bore-
holes instead of three can sometimes be used
to determine the in situ stress field with the
Doorstopper in anisotropic ground if the bore-
holes are properly oriented with respect to the
rock anisotropy. A recent breakthrough in the
analysis of Doorstopper measurements was
made by Corthesy and Gill (1990) and
Corthesy, Gill and Leite (1993). These authors
developed a mathematical model to account
for both nonlinearity and transverse isotropy
in the analysis of overcoring measurements
with the CSIR Doorstopper.
References Methods v a b c
gage of Leijon (1986), the SSPB cell of isotropic and anisotropic solutions have been
Hiltscher, Martna and Strindell (1979), the proposed in the literature. The isotropic
ANZSI cell of Mills and Pender (1986) and solution can be found in Leeman and Hayes
the AECL-modified CSIR cell of Thompson, (1966) and Hiramatsu and Oka (1968). Aniso-
Lang and Snider (1986) requires that the tropic solutions can be found in Berry (1968),
strains measured with the instrument on the Hirashima and Koga (1977), Van Heerden
pilot hole wall must be related to the six (1983) and Amadei (1983a). A general solution
components of the in situ stress field. Both is presented below that can be used for the
248 Relief methods
analysis of CSIR-type triaxial strain cell \ABLE
measurements in orthotropic, transversely iso- (a)
tropic or isotropic rock masses. Furthermore,
the boreholes can be inclined with respect to
the planes of rock anisotropy.
The geometry of the problem being ana-
lyzed here is the same as that used for the
USBM gage (Figs 5.25a-c). The rock's con-
stitutive model is defined by equation (5.5).
The in situ state of stress is defined by matrix
[aD] in the x,y,z coordinate system attached to
the pilot hole and matrix [ao]XYz in the global
X, Y,Z coordinate system.
Let r,(),z be a cylindrical coordinate system
attached to the pilot hole. The strain compo-
nents in that system are related to those in the
'~I',
'~
x, y,z coordinate system as follows:
[e]rez = [Troz][e]xyz (5.38)
'(b)
where [e]~z = [ex, ey, ez, YYZl YXZl Yxy], [e]~z =
[er, eo, ez, YOz, Ym YrO] and [Trez] is a (6 X 6) co-
ordinate transformation matrix for strains Fig. 5.30 (a) Geometry of a CSIR-type triaxial strain
(equation (B.53) in Appendix B). Consider a cell, (b) orientation of strain gages.
CSIR-type triaxial strain cell as shown in Fig.
5.30a. For each strain gage i (i = 1,N) whose
Combining equations (5.38), (5.39), (5.40),
center is located at an angle ()i from the x-axis
(5.8) and (5.2), the longitudinal strain eli in
(or (Xi from the y-axis) and whose longitudinal
strain gage i is linearly related to the in situ
axis is inclined at an angle If/i with respect to
stress field components in the X, Y, Z coor-
the z-axis (Fig. 5.30b), the longitudinal strain eli
dinate system as
is related to the local strain components eo, ez
and YOz as eli = [0 Sin2 lf/i COS2 lf/i COSlf/i Sinlf/i 0 0]
eli = [0 sin2 lf/i COS2 lf/i COSlf/i Sinlf/i 0 O][e]roz (5.39)
X [Trez][A][F][T,,][ao]xyZ (5.41)
As shown in equation (B.36), the stress field at
each point P(a, () along the contour of the The strains recorded with the CSIR-type cell
borehole is related to the in situ stress field as during overcoring are assumed to be equal in
follows: magnitude but opposite in sign to those that
would be developed if the pre-existing in situ
(5.40)
stresses were applied at a large distance from a
where [F] is a (6 X 6) matrix whose compo- central hole already drilled and instrumented
nents depend on the elastic properties of the in the rock mass. Thus equation (5.41) can be
medium in the n,s,t coordinate system, the used to relate the measured strains to the
four orientation angles Ph, i5h , Pa and If/a components of the in situ stress field with eli
defined in Figs 5.25b and 5.25c, and the angle replaced by - eli.
(). Expressions for the coefficients of matrix [F] Equation (5.41) represents the basic equa-
can be found in Appendix B for both aniso- tion for the analysis of overcoring measure-
tropic and isotropic rocks. ments with CSIR-type triaxial strain cells in
Theory 249
anisotropic or isotropic rocks. It also implies planes of rock anisotropy in that coordinate
that the length of strain gage is neglected in system are defined in Figs 5.25b and 5.25c,
the analysis. Equation (5.41) shows that, in respectively. The program also calculates the
general, each strain is a linear function of all domain of variation of each of the in situ stress
six components of the in situ stress field. components for different confidence limits
Therefore determination of those components using the statistical analysis summarized in
requires that we set up a system of six in- section 5.5. Program eSIRA.FOR is available
dependent equations from the results of six (for a fee) by directly contacting B. Amadei.
independent strain measurements. However, Examples of application of the program can be
any additional measurements can be used to found in section 5.7.
obtain a least squares estimate of the stress
components. This can be done by multilinear
5.4.5 ANALYSIS OF MEASUREMENTS WITH
regression analysis (Draper and Smith, 1966).
THE CSIRO HI CELL
Let N (N 2: 6) be the number of strain gages in
the cell. Equation (5.41) can be written for each The analysis of measurements obtained with
of the N strain gages. This leads to the follow- the eSIRO HI cell is somewhat similar to that
ing system of N equations and six unknowns: for the eSIR triaxial strain cell. The main
difference is that the strains are no longer on
(5.42) the borehole surface but are embedded into
the hollow epoxy. This makes the analysis
where [E] and [Te] are (N X 1) and (N X 6)
more complicated. When analyzing strain
matrices, respectively. As shown in Draper
measurements with the eSIRO HI cell, the
and Smith (1966) and as summarized in sec-
geometry of Fig. 5.31 is used. The cell is
tion 5.5, the least squares solution of equation
assumed to have an inner diameter of 32 mm
(5.42) is the solution of the following system of
and an outer diameter of 38 mm (36 mm plus
six equations and six unknowns:
2 mm of glue assumed to have the same elastic
(5.43) properties as the cell material). The strain
gages are located 1.5 mm away from the bore-
The analysis presented above was im- hole wall. Referring to Figs 5.17 and 5.31, the
plemented in a Fortran program called three strain rosettes A, Band e are spaced 120°
eSIRA.FOR. The program runs on pes and along the circumference of the cell.
can be used to determine in situ stresses in As for the eSIR triaxial strain cell, the posi-
isotropic, transversely isotropic or orthotropic tion of each strain gage i (i = 1,9) in the eSIRO
rocks by overcoring a eSIR-type triaxial strain HI cell is defined by two angles defined in Fig.
cell in a single borehole. The borehole can be 5.31c: an angle ()i between the x-axis and the
inclined with respect to the planes of rock center of the gage, and an angle If/i between the
anisotropy. The program has been written for z-axis and the longitudinal axis of the gage.
eSIR-type triaxial strain cells with a maximum For the conventional eSIRO HI cell, the
of four strain rosettes and up to four strain arrangement of strain gages gives three cir-
gages per rosette (N ~ 16 in equations (5.42) cumferential strain measurements (If/i = 90°),
and (5.43». The program calculates the least two axial strain measurements (If/i = 0°) and
squares estimates of the principal components four additional strain measurements, three
of the three-dimensional in situ stress field and with If/i = 45° and one with If/i = 135°.
their orientation with respect to a fixed X, Y, Z Duncan-Fama and Pender (1980) proposed
coordinate system such that the X- and Z-axes an isotropic analytical solution to relate Ge, Gz
point in the north and east directions, respec- and Yez at any point (p, () in the cell to the six
tively. The orientation of the borehole and the components of the in situ stress field [a 0] as
250 Relief methods
Strain
gage
of the epoxy VI (= 0.4), the inner radius of the
cell RI (= 16mm), the Poisson's ratio of the
rock V2, the ratio between the inner and outer
radii of the cell, Rd R2 (= 0.842), and the ratio
between the shear modulus of the epoxy GI
(8) ( = 1.25 GPa) and the shear modulus of the
rock G2. Note that approximate values of Ki(P)
were proposed by Worotnicki and Walton
(1976) several years before the analytical solu-
tion of Duncan-Fama and Pender (1980) was
available. Comparing equation (5.44) for the
CSIRO HI cell with equation (B.54) for the
x
CSIR cell, it can be seen that the CSIRO solu-
tion converges to the CSIR solution by simply
taking Kj(P) = 1 for i = 1,4.
Combining equation (5.44), (5.39) and (5.2),
z each strain measurement in the CSIRO HI cell
can then be linearly related to the six compo-
nents of the in situ stress field in the global
X, Y,Z coordinate system. Combining the
results of all nine strain gages, a system of nine
'~.
equations and six unknowns can be written
similar to equation (5.42) where [El is now a
(9 X 1) column matrix containing the nine
strain measurements eli (i = 1,9) and [Te] is
(c) now a (9 X 6) matrix. The system of nine equa-
Fig. 5.31 Geometry of the CSIRO HI cell. (a) Cross- tions and six unknowns can be solved for the
section, (b) orientation of the nine strain gages, (c) components of matrix [l1ohaz by multilinear
orientation angles for each strain gage. regression analysis (equation (5.43) and sec-
tion 5.5). Note that if the four strain rosette
follows: version of the CSIRO HI cell is used instead,
[E] and [Tel are now (12 X 1) and (12 X 6)
E2eo = (l1xo + l1yo)KI(P) matrices, respectively.
- V2I1zo~(P) - 2(1 - v~) An analytical solution for the analysis of
strain measurements with the CSIRO HI cell in
X [(l1xo - l1yo) cos 20
anisotropic rocks was proposed by Amadei
+ 2rxyo sin20]K2(P) (5.44) (1983a). The solution was implemented into a
mainframe computer program called
E2ez = I1zo - V2(l1 xo + l1yo)
ANISS.FOR developed at the CSIRO in Aus-
E2 yoz = 4(1 + v2)[ryzo cosO tralia. A user's manual of the program can be
found in a report by Amadei (1986).
- r xzo sinO]K3 (P)
where p is equal to 17.5mm and E2 and V2 are
5.4.6 MEASUREMENT OF ELASTIC
the Young's modulus and Poisson's ratio of
PROPERTIES ON OVERCORE SAMPLES
the rock, respectively. Coefficients Kj(P)
(i = 1,4) have complex analytical expressions. If the rock behaves in a linearly elastic manner
In general, they depend on the Poisson's ratio during biaxial tests on overcore samples (i.e.
Theory 251
the response curves are linear), the elastic is likely to be higher than the true value. A
properties of the rock can be determined using correction factor of 12% instead of 20-25% was
elastic solutions for the strains and displace- initially proposed by Walton and Worotnicki
ments at the inner surface of a hollow cylinder (1978). A numerical study published more
under external axisymmetric pressure. Most of recently by Worotnicki (1993) has revealed that
the solutions have been derived for isotropic the correction factors can be quite complex
media. and that the two-dimensional loading
When using the USBM gage, the Young's assumption inherent in the derivation of equa-
modulus of the rock can be determined by tion (5.46) may not be necessarily correct. The
biaxial (radial) loading of the overcore interaction between the CSIRO HI cell, the
samples. Let d and 0 be the inner and outer rock overcore and the finite loading area of the
diameters of an overcore. For each diametral biaxial cell has been found to be quite
measurement Ui (i = 1,3) made with the complex.
USBM gage, the modulus is determined as Equations (5.45) and (5.46) were derived
follows: assuming that the rock is isotropic and linearly
d 02 elastic. It is common practice to determine the
E=2p·-· 2 2 (5.45) elastic properties for each diametral measure-
U i 0 -d
ment or strain rosette and average the three
where p is the pressure applied on the outer sets of results to obtain average values for the
boundary of the overcore. In equation (5.45) Ui rock's Young's modulus and Poisson's ratio.
is positive for a decrease in pilot hole diameter. For instance, analysis of the biaxial response
Equation (5.45) was derived for a hollow cylin- curves of Fig. 5.20 (assuming the CSIRO strain
der subject to outside axisymmetric loading in rosettes are in direct contact with the rock and
plane stress condition (e.g. Obert and Duvall, there are no correction factors) gives, at an
1967). applied pressure of 5 MPa, values of the
If the CSIR triaxial strain cell or a CSIR-type Poisson's ratio of 0.25, 0.28 and 0.24 for strain
cell is used instead, both the Young's modulus rosettes A, B and C, respectively, and an aver-
E and Poisson's ratio v can be determined for age Poisson's ratio of 0.26. The corresponding
each strain rosette in the cell. Let em and ezi be Young's moduli are 20.0, 19.6 and 19.2GPa
the tangential and longitudinal strains meas- with an average value of 19.6 GPa.
ured in rosette i (i = 1,2,3) when the pressure Variations in the three values of the Young's
applied on the outer boundary of the overcore modulus and Poisson's ratio measured during
is equal to p. For that rosette, E and v are such biaxial testing can serve as a qualitative indica-
that tor of rock anisotropy. Rock anisotropy can
also be assessed qualitatively in two other
ezi
v= - - (5.46) ways.
em (1) For the USBM gage, variations in pilot
For the CSIRO HI cell, equation (5.46) is also hole diameters can be used as an indicator of
used to obtain an estimate of the Young's rock anisotropy. The gage can be rotated in
modulus and Poisson's ratio. However, since the pilot hole and tested under different cycles
the strain gages are not directly in contact with of biaxial loading and unloading. The
the wall of the pilot hole, correction factors for variation of diametral measurements along
both the Young's modulus and Poisson's ratio the circumference of the pilot hole can be
must be introduced. Worotnicki and Walton compared with any fabric orientation on the
(1979) suggested that the modulus calculated overcore sample. Aggson (1977) recom-
using equation (5.46) is 20-25% lower than the mended using 15° rotation increments and
true rock modulus and that the Poisson's ratio plotting the inverse of the square root of the
252 Relief methods
diametral deformations. If the plot is close to cells, the response curves must be grouped for
an ellipse, the major and minor axes of the strain gages of similar orientation. Further, if
ellipse may indicate the direction and degree equation (5.47) is satisfied, the response curves
of rock anisotropy. for the ± 45° inclined strain gages must bisect
(2) For the CSIR and CSIRO HI cells, an those in the axial and circumferential direc-
indicator of rock anisotropy is given by com- tions. In practice, however, these rules are
paring the strains measured with strain gages never strictly satisfied (even if the rock is
of same orientation and by comparing the isotropic) due to other phenomena such as
strains measured at 45° to the core axis with gage debonding and gage orientation which
the values of the circumferential and axial may create deviation. As pointed out by
strains (Worotnicki and Walton, 1979). If the Worotnicki (1993), deviations up to ± 20%
rock is isotropic, the circumferential strains "cir should be expected before inferring rock ani-
must be equal and the longitudinal strain sotropy. As an illustrative example, the dis-
gages must show equal strain "ax. Further, the tribution of the response curves in Fig. 5.20
following relationship must hold: shows that the rock under consideration can
be treated for all practical purposes as iso-
(5.47) tropic. On the other hand, Fig. 5.32b shows a
set of biaxial response curves obtained by Cai elasticity, stress concentrations in anisotropic
(1990) in the laboratory using the CSIRO HI media also depend on the elastic properties.
cell in a sandstone overcore. In this figure, the Furthermore, the system is constrained since
three tangential strains A90, B90 and C90 the elastic properties of anisotropic media can
differ greatly, thus indicating a potential for only vary over certain intervals (e.g. equations
anisotropy. (2.13)-(2.15) for transversely isotropic media).
Several attempts have been described in the This approach is still under investigation by
literature to determine quantitatively the Amadei and co-workers using the generalized
elastic properties of anisotropic rocks during reduced gradient method, which is essentially
biaxial tests. The problem is complicated since a constrained optimization technique
the number of elastic properties is now five (Amadei, 1996).
(transverse isotropy) or nine (orthotropy), The determination of elastic properties by
instead of two for the isotropic case. Becker biaxial testing can be complemented by bore-
and Hooker (1967) and Becker (1968) pro- hole expansion tests (dilatometer and bore-
posed a methodology whereby the overcore hole jack) and conventional tests on core
sample is tested under a combination of axi- samples. The rule is to obtain core samples as
symmetric loading (with internal and outer close as possible to the area where the stress
pressures) and axial loading. The overcore measurements are carried out. The core
sample axis must be parallel and perpendicu- sample obtained by drilling the pilot hole can
lar to planes of elastic symmetry in the rock. In be used for that purpose. A review of different
addition to this limitation, several approxima- laboratory tests for the determination of elastic
tions and simplifications were made on the properties of anisotropic rocks can be found in
elastic constants in order to reduce the number a recent paper by Amadei (1996).
of unknowns. Recent examples of application
of this methodology can be found in Cai (1990)
and Worotnicki (1993).
To date, no analytical solution has been 5.4.7 ANALYSIS OF SURFACE RELIEF BY
proposed for a complete determination of the UNDERCORING MEASUREMENTS
elastic properties of anisotropic rocks by bi-
axial testing. An attempt was proposed by Analysis of displacement measurements
Amadei (1986). The idea is to use cells such as obtained with the undercoring method (or
the CSIRO HI cell or the CSIR triaxial strain stress relief by center hole method) requires
cell or CSIR-type triaxial strain cells with the that the displacements must be related to the
number of independent strain measurements three components of the in situ stress field
at least equal to the number of unknown acting parallel to the surface on which the test
elastic constants, i.e. five if the rock can be is conducted. Let (lxo, (lyo and Txyo be these
treated as transversely isotropic or nine if the stress components in an x, y coordinate system
rock can be treated as orthotropic. If the ori- attached to the rock surface (Fig. 5.33). The
entation of the anisotropy also needs to be rock is also assumed to be isotropic and
inferred, additional strain measurements are linearly elastic with Young's modulus E and
required. It is noteworthy that this remark has Poisson's ratio v. Assuming plane stress condi-
led to the manufacture of a version of the tion, it can be shown that the radial displace-
CSIRO HI cell with 12 strain gages. A system ment Urh at point (r,O) induced by drilling a
of equations is then formed to relate the strain hole of radius a is equal to
measurements to the five or nine elastic con-
stants. It can be shown that the system is (5.48)
highly nonlinear since, unlike in isotropic
254 Relief methods
I
"T
(VO <ryo
II
the borehole slotter requires each tangential
U1 strain measured with the instrument on the
- borehole wall to be related to the six compo-
of the hole where a strain measurement i is rocks or anisotropic rocks with the borehole
made with the borehole slotter, the measured orientation of Figs 5.26a-d, determination of
tangential strain BO; is linearly related to the six the stress components in the x, y plane normal
components of the in situ stress field in the to the hole axis using the strains resulting from
x,Y,z coordinate system through an equation three cuts with the borehole slotter requires
obtained by combining equations (5.38)-(5.40) that an assumption must be made about the
and (5.8) with Iff; = 90°. This equation can be fourth stress component (J zo' For instance, if
rewritten as follows: the hole is vertical, (Jzo can be related to the
weight of the overlying rock at the depth of
measurement.
Equation (5.52) indicates that there are at
or most three independent strain measurements
BO; = M lo + M 20 cos28 + M30 sin28 (5.52) per borehole. Therefore, it would seem poss-
ible to use two non-parallel boreholes to deter-
It is noteworthy that equations (5.51) and mine the six components of the in situ stress
(5.52) are similar in form to equations (5.14) field. Let BOI, B02 and B03 be three strain meas-
and (5.15) for the USBM gage, respectively. urements obtained by slotting in borehole no.
They indicate that, for a general anisotropic 1 and B04, BOS and B06 be three other strain
rock, each tangential strain measurement with measurements obtained by slotting in bore-
the borehole slotter depends on all six compo- hole no. 2. For each of the six strain measure-
nents of the in situ stress field and that there ments, BO; (i = 1,6), an equation similar to
are at most three independent strain measure- equation (5.51) can be written. Since the two
ments per borehole. Equations (5.51) and boreholes are not parallel, the local X-, y- and
(5.52) can be used to relate each measured z-axes attached to borehole no. 1 differ from
tangential strain during slotting to the six those attached to borehole no. 2. Therefore, the
components of the in situ stress field by simply six components of the in situ stress field in the
substituting - Bo; for BO;. global X, Y, Z coordinate system need to be
When there is a plane of elastic symmetry related to the six strain measurements. This
normal to the hole axis z, such as in Figs can be done by combining equation (5.51) with
5.26a-d, it can be shown that ho and jso in equation (5.2) for each borehole. After re-
equation (5.51) vanish. Thus equation (5.51) arrangement, this yields a system of six equa-
reduces to tions and six unknowns similar in form to
equation (5.42). It can be shown that if the rock
BO; = !to(Jxo +ho(Jyo +ho(Jzo + j60Txyo (5.53)
is isotropic, that system cannot be solved. A
If, in addition, the rock is isotropic with third non-parallel hole is then necessary with
Young's modulus E and Poisson's ratio v, !to, at least one more slotting cut. The in situ stress
ho, ho and j60 are equal to field is then determined by multilinear regres-
sion analysis of a system of N equations
1
jlO = E [1 -
2
2(1 - v ) cos 28] (N) 6) and six unknowns.
Due to the similarities between the analysis
of borehole slotting test results and those with
1 2
ho = - [1 + 2(1 - v ) cos 28] (5.54) the USBM gage, it would seem possible to
E determine the complete in situ stress field with
v 4 2 two boreholes when the rock is anisotropic
ho = - - i j68 = - - (1 - v ) sin28 and the boreholes are inclined with respect to
E E
the planes of rock anisotropy (Amadei,
Equation (5.53) indicates that for isotropic 1983a, b).
256 Relief methods
5.5 STATISTICAL ANALYSIS OF quantity Q = [e]t[e] and is the solution of the
OVERCORING MEASUREMENTS following system of six equations and six
unknowns:
5.5.1 LEASTSQUARESANALYSIS
(5.56)
The statistical analysis of overcoring measure-
ments is usually treated as a problem of multi-
Solution of equation (5.56) gives the most
linear regression analysis since we often have
probable values of the normal and shear stres-
more measurements (in one or several bore-
ses in the test area which best fit the observed
holes) than the six in situ stress unknowns. The
displacement or strain data at the test site.
use of least squares methods for multilinear
From these six components, the most probable
regression analysis is well documented in the
principal stresses and their orientation can be
mathematical statistics literature (e.g. Draper
determined in the global coordinate system.
and Smith, 1966). Its application to stress
Knowing the most probable stress com-
measurements has been explored by Panek
ponents, the expected values of the strains or
(1966), Gray and Toews (1968, 1975), Gray and
displacements defined by matrix [Y'] can be
Barron (1971) and Duvall and Aggson (1980).
calculated as follows:
The highlights of the method are summarized
below for the analysis of overcoring measure- [Y'] = [X][b] (5.57)
ments. Note that the same mathematics also
applies to the analysis of borehole slotting The components of [Y'] are defined as Y[
measurements. (i = 1,N). The matrix of residuals [e] is
Consider a total of N strains or displace- obtained as the difference between [Y] and
ments measured during overcoring. Using the [Y']. A measure of how good the linear regres-
theory of linear elasticity, these N observations sion analysis is can be obtained by calculating
are linearly related to the six in situ stress the coefficient of multiple correlation R. The
components (in an arbitrary global coordinate square of this quantity is called the coefficient
system) through the following equation: of multiple determination and is equal to
[Y] = [XHb] + [e] (5.55)
•
measurements, such as the USBM gage, the south
CSIR triaxial strain cell and other CSIR-type
triaxial strain cells where the sensing elements (b)
are in direct contact with the rock. Finally, as N
discussed in section 5.6, anisotropic rocks tend 180
to show nonlinear behavior under stress. Thus
the combination of anisotropy, heterogeneity
and nonlinearity may add to the inaccuracy of
stress measurements and contribute to the
scatter in in situ stress data.
An excellent experimental study of over-
270
coring in isotropic and anisotropic (natural
dip
and synthetic) rocks under applied biaxial
loads was recently conducted by Cai (1990).
The latter tested in the laboratory various
rocks such as coal, sandstone and marble, and
rock-like materials such as cement mortar and
cement concrete. Some of the synthetic over-
cores had artificially created longitudinal and Dip direction
360 (azimuth)
transverse bedding planes of various thick- south
nesses ranging between 20 and 120 mm. The Legend Equal area projection
stresses were calculated using the solution of Dip measured positive down
Becker and Hooker (1967) and Becker (1968). 0"10"20"31
The elastic properties of the different materials
were determined by a combination of biaxial
••
o
• I Mean principal stress
0 I Principal stresses for each test
t:,.
testing of the overcores and uniaxial testing of Fig. 5.34 Principal stress directions assuming iso-
core samples. The tests showed that aniso- tropy in (a) and transverse isotropy in (b). Equal
tropy can have a strong effect on the response area lower hemisphere projection. (After Gonano
of the rock to overcoring. For instance, the and Sharp, 1983.)
264 Relief methods
relief curves in anisotropic rocks are not as (transversely isotropic) and nonlinearly elas-
predictable as for isotropic rocks with undu- tic. A special effort was placed in reducing
lating shapes. The test results also showed that uncertainties in the stress determination by
inclusion of rock anisotropy in the determina- careful examination of the input data and
tion of the in situ stresses always resulted in monitoring of in situ conditions (temperature,
stresses much closer to the applied stresses moisture, etc.). Figures 5.34a and 5.34b show
than with the isotropic solution. the principal stress directions determined
Gonano and Sharp (1983) conducted a series assuming isotropy and anisotropy, respect-
of overcoring tests in weak and bedded sedi- ively. The average stresses are also shown for
mentary formations in South Africa. The in comparison. It can be seen that inclusion of
situ stress results were integrated into the anisotropy changes the direction of the aver-
design of a pumped storage scheme. The stres- age stresses and reduces the dispersion in the
ses were determined using the CSIR triaxial data. In the anisotropic solution the average
strain cell assuming the rock to be anisotropic principal stresses are essentially subhorizontal
N N
(a) (b)
BOREHOLE
• PH3
o OC2
180° 180°
ISOTROPIC ANISOTROPIC
(c)
40 • ISOTROPIC (fJ
o ANISOTROPIC
(fJ
w
a:
f-
(il 30 (fJ
a.. 0
w i=
o
:2: f-
~ <{
~
en 20
.J
0 o
(fJ
en
~
.J I
III <{ f-
a: 0 ::::i
I-
en
10
l l I
0 I I
PH3 OC2
Fig. 5.35 Comparison of principal stresses obtained from overcore tests in boreholes PH3 and OC2 at the
240 level of the URL site. (a) Stress orientation assuming isotropic rock properties, (b) stress orientation
assuming anisotropic rock properties, (c) comparison between stress magnitudes obtained with isotropic
and anisotropic analyses. (After Martin and Simmons, 1993.)
Effect of anisotropy on overeoring results 265
and vertical. Gonano and Sharp (1983) also At the 240 Level of the URL site, the granite
found the magnitudes to be different, with was found to be anisotropic due to pervasive
the mean principal stresses equal to 12.5, 10.6 (stress relief-induced) microcracks which were
and 8.3 MPa for the isotropic solution versus found to be aligned with a major joint set. The
8.7, 7.5 and 5.9 MPa for the anisotropic rock was modeled as transversely isotropic
solution. with the plane of transverse isotropy parallel
Another illustrative example showing the to the plane of the microcracks. The rock's
importance of anisotropy in the analysis of secant Young's modulus in the direction per-
overcoring tests is associated with the URL pendicular to the plane of rock anisotropy was
site located 100 km northeast of Winnipeg, 30 GPa, which was about 50% of that in the
Manitoba (Canada), in the Lac du Bonnet direction parallel to the plane. The Poisson's
granite batholith. An overview of the geo- ratios parallel and perpendicular to the plane
mechanics aspects of the URL site can be of rock anisotropy were equal to 0.25 and 0.15,
found in section 9.1. A more comprehensive respectively. Overcoring results obtained in
up-to-date review of this project can be found two boreholes OC2 and PH3, 20 m apart, were
in Martin and Simmons (1993). analyzed assuming isotropic and anisotropic
conditions. The isotropic and anisotropic
analyses are shown in Figs 5.35a and 5.35b,
Table 5.6 Orientation of strain gages and measured
respectively. These two figures indicate that
strains during overcoring using a CSIR-type triaxial
strain cell. The orientation angles (Xi and If/i are inclusion of anisotropy creates a 45° rotation of
defined in Fig. 5.30b the stress field and yields consistent results in
both boreholes. Inclusion of anisotropy also
Rosette Strain (Xi (deg) If/i (deg) results in less scatter, which is consistent with
that reported by Gonano and Sharp (1983).
1 -0.4565 X 10- 4 300 0 Further, as discussed by Martin and Simmons
0.6149 X 10- 4 300 90
0.7654 10- 4
(1993) and as shown in Fig. 5.35c, the magni-
X 300 45
-0.6070 X 10- 4 300 135 tude of each principal stress was found to be
reduced if the anisotropy was taken into
2 -0.1661 X 10- 3 180 45 account.
-0.9939 X 10- 4 180 135
-0.2198 X 10- 3 180 90
-0.4569 10- 4 5.7.3 NUMERICAL EXAMPLES
X 180 0
Numerical examples are presented below to
3 -0.4565 X 10- 4 60 0 illustrate further the role of anisotropy in the
-0.1637 X 10- 3 60 90 analysis of overcoring measurements. The
-0.1400 X 10- 3 60 45
-0.6935 X 10- 4 60 135 examples were run using program
CSIRA.FOR mentioned earlier. The geometry
Table 5.7 Magnitude of the three in situ principal stresses (in MPa) for different values of EIE' and GIG';
first numerical example; the case EIE' = GIG' = 1 corresponds to isotropy
GIG' = 1 GIG' =2
E/E' = 1 E/E' = 1.5 E/E' =2 E/E' = 3 E/E' = 1 E/E' = 1.5 E/E' =2 E/E' = 3
Figure 5.36a shows that when G/G' = 1, the three principal stresses for different values
neglecting rock anisotropy by assuming iso- of Pa. The isotropic case is also shown for
tropy results in a maximum error of 15° for the comparison.
bearing of 0"], 18° for 0"2 and 3° for 0"3. Table 5.8 indicates that the magnitude of 0"11
In the second numerical example, the rock is 0"2 and 0"3 depends greatly on the orientation of
transversely isotropic with E = 35 GPa, E' = the plane of rock anisotropy with respect to
17.5 GPa, v = 0.25, v' = 0.27, G = 14 GPa and the borehole. Neglecting rock anisotropy by
G' = 7 GPa. Thus both E/E' and G/G' are assuming isotropy results in a maximum error
equal to 2. The plane of rock anisotropy of 19% for 0"1 (when Pa = 0°),22% for 0"2 (when
(plane of transverse isotropy) dips at an Pa = 0°) and 104% for 0"3 (when Pa = 90°).
angle /If a= 30° and its dip direction angle Pa Figure 5.37 indicates that both 0"1 and 0"2 rotate
varies between 0° (anisotropy parallel to the with the plane of rock anisotropy. The rotation
borehole) and 90° (anisotropy perpendicular takes place essentially in a plane perpendicu-
to the borehole). Table 5.8 and Fig. 5.37 give lar to 0"3, which is represented by a great circle
respectively the magnitude and orientation of in Fig. 5.37. Note that the orientation of 0"3 is
essentially unaffected by the value of Pa.
Neglecting rock anisotropy by assuming
N isotropy results in a maximum error of 120° for
the bearing of 0"1 (when Pa = 0°), 125° for 0"2
(when Pa = 60°) and 12° for 0"3 (when
Pa = 90°).
5.8 TECHNICAL INFORMATION
0~ Additional information about the different
\31 + E instrument devices presented in this chapter
and any related equipment can be obtained
by contacting directly the following
manufacturers:
1. INTERFELS GMbH, DeilmanstraBe 5,
0:°3 D-48455 Bad Bentheim, Germany: borehole
..... : ISOTROPIC slotter, CSIR-type triaxial cell, Doorstopper,
dilatometers;
Fig. 5.37 Orientation of principal stresses 0"1, 0"2 and 2. VATTENFALL, Hydropower AB, PO Box
0"3when the plane of rock anisotropy dips at an
angle IfI a = 30° and its dip direction angle Pa varies 800, S-771 28 Ludvika, Sweden: modified
between 0 and 90°. The isotropic solution is also CSIR triaxial strain cell for large depths;
shown for comparison. Lower hemisphere stereo- 3. MINDATA Pty. Ltd., 115 Seaford Road,
graphic projection, second numerical example. Seaford 3198, Victoria, Australia: CSIRO HI
268 Relief methods
cells, biaxial chamber, ANZSI cell (also overcoring method - USBM borehole deforma-
available in the USA through Reliable Geo tion gage. 1994 Annual Book of ASTM Standards,
L.L.c., 241 Lynch Road, Yakima, Washing- Vol. 04-08, pp. 746-58.
Barla, G. and Wane, M.T. (1968) Analysis of the
ton 98908-9512); borehole stress-relief method in rocks with
4. Rogers Arms & Machine Co., Inc., 1246 Ute rheological properties. Int. J. Rock Mech. Min. Sci.,
Avenue, Grand Junction CO 81501, USA: 5,187-93.
USBMgage; Barla, G. and Wane, M.T. (1970) Stress relief method
5. ROCTEST, 665 Pine Street, St Lambert, in anisotropic rocks by means of gauges applied
Quebec, Canada J4P 2P4, Canada: CSIR to the end of a borehole. Int. J. Rock Mech, Min.
triaxial strain cell, AECL-modified CSIR Sci., 7, 171-82.
Bass, J., Schmitt, D.R and Ahrens, T.J. (1986) Holo-
strain cell, Doorstopper, USBM gage, dilat- graphic in situ stress measurements. Geophys. J.
ometers, biaxial chamber; Roy. Astron. Soc., 85, 13-14.
6. GEOKON, Inc., 48 Spencer St, Lebanon, Beaney, E.M. and Procter, E. (1974) A critical
NH 03766, USA: USBM gage. evaluation of the center hole technique for the
measurement of residual stresses. Strain, 10,
7-14.
Becker, RM. (1968) An anisotropic elastic solution
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JACKING METHODS 6
3/4"
T r
a
SECTION PLAN
Fig. 6.1 Flat jack set-up used by Merrill and co-workers (1964).
an estimate of the tangential stress normal to jack up to the cancellation pressure pc brings
the jack also called 'skin stress'. Figure 6.1 the pins to their original position. Figure 6.3
shows an example of the flat jack set-up used shows an illustrative example of stress
by Merrill and co-workers (1964) in the early measurement reported by Bertrand (1994)
1960s. showing three sets of unloading-reloading
From a mechanical point of view, the path response curves similar to the theoretical
followed by the rock during a flat jack test can curve shown in Fig. 6.2. In this example the
be represented as shown in Fig. 6.2. Here it is rock shows a very good linear elastic behavior.
assumed that the rock is elastic (linear or The measurements were made with three sets
nonlinear) and is under compression in a of reference pins placed across one slot
direction perpendicular to the jack surface. 590 mm long, 190 mm deep and 5 mm thick.
The initial distance between two reference The three cancellation pressures give an aver-
pins is taken as do and the unknown normal age normal stress equal to 1.66 MPa.
stress is defined as (J (point A). As a result of Bowling (1976) proposed using a cylindrical
cutting the slot, the normal stress across the rather than a flat jack to determine the stresses
slot is reduced from (J to zero (free surface) and parallel to a rock surface. The jack consists of a
the distance between the pins is reduced by an solid steel core onto which fits a rubber sleeve.
amount 2""d (point B). Pressurization of the Eight reference pins are first grouted around
Techniques, equipment and procedures 279
perpendicular to the boreholes. A method sim-
ilar to that of Jaeger and Cook (1964) has also
been suggested by Helal (1982).
1.6 1.6
til til
Q. Q. 'i
e e e
1.2 ~ 1.2 ~
U) U) 1.21
U) U)
~ ~
Q. Q. Q.
0.8 0.8 0.8
Fig. 6.3 Example of field measurements with a flat jack. Three response curves are shown here corresponding to three sets of reference pins 1,
2 and 3 placed next to each other. (a) Base pins no. 1, pc = 1.70 MPa, (b) base pins no. 2, pc = 1.70 MPa, (c) base pins no. 3, pc = 1.58 MPa. (After
Bertrand, 1994.)
Techniques, equipment and procedures 281
cancellation pressure (Goodman, 1989). For
Edge of prepared II' - ,,,' ~ ~[- - - ' ...... " , comparison, Fig. 6.5b shows a typical record
surface ~/I I~ A '\ reported by Hoskins (1966) for a flat jack
I , test carried out in a 19 X 24 X 30 inch
I ,
I
I \
,
(0.5 X 0.6 X 0.76 m) block of Wombeyan
I
I
L .-e B Flat jack
,
"
marble with do = 6 inch (152 mm). In this
I
I
U2
r
Grout
I
I
figure, it can be seen that some creep took
I .-eC I
place over a period of 6 days in between slot
I. U4 I
I 1 It min
I
I
I
cutting and slot jacking.
I,\ 1.;0--1 ~ I
" A system of three flat jacks at 45° from each
other in a given plane normal to the axis of an
, E I
, eEl
, M I underground opening can be used to deter-
\ I
mine the three components of the in situ stress
Measurement points (Typ.) "
field acting in that plane. If the complete three-
\
,, ~eF /
//
dimensional state of stress needs to be deter-
/
, I
mined with flat jacks alone, a minimum of six
" , /
jack tests need to be conducted in six different
' ..... _------
directions and at different locations around
Cancellation measurements the periphery of the opening. Any additional
measurements can serve as a measure of
Points S.C} .
O.E Fixed transducer redundancy. As an example, Fig. 6.6a shows
Point C·O Whittemore
the orientation of 16 flat jack tests conducted in
strain gage coal by Tinchon (1986). Figure 6.6b shows
Modulus measurements
another set-up recommended by Pinto and
Cunha (1986) where a total of 12 slots are cut
Points C.O
A'S] O·raI gage along the wall of an underground opening.
E.F extensometer
In general, the flat jack method has several
disadvantages that may limit its range of
Fig. 6.4 Flat jack set-up and surface measurements. applications.
(After ASTM D 4729-87, 1993. Copyright ASTM. (1) The flat jack method is limited to stress
Reprinted with permission.)
measurements near the surface of an opening
and therefore may be influenced by the dis-
suggested a distance of less than 300 mm. turbance associated with the process of exca-
According to ASTM D 4729-87, the measure- vation of the opening. This disturbance could
ment points should be installed within a dis- invalidate the stress measurements altogether.
tance, L/2 of the flat jack slot, where L is the The disturbance can however be reduced by
flat jack width. Deformation transducers must using tunnel boring machines or smooth
be located on the centerline normal to the flat blasting excavation techniques rather than
jacks and include dial gages, Whittemore-type the conventional drill and blast method. Also,
strain gages and electronic transducers such as flat jack tests should not be conducted near
LVDTs or linear potentiometers. The displace- open natural fractures and major rock
ments are usually measured with an accuracy heterogeneities.
ofO.OOlmm. (2) When using flat jacks to determine the
Figure 6.5a shows an ideal and generic vari- in-situ stresses around an underground gal-
ation of pin separation measured across a slot lery, knowledge of the stress concentrations
during a jack test, where do is the initial dis- along the wall of the opening is required in
tance between two reference pins and pc is the order to relate the measured cancellation
282 Jacking methods
Slotting
0
'2
=c::
0
:;
E 0.002
~
0
0.004
(b)
Fig. 6.5 (a) Theoretical variation of pin separation during a flat jack test. (After Goodman, 1989.) (b) Record
of a test conducted in a block of Wombeyan marble. (Source: Hoskins, E.R. Copyright 1966, with kind
permission from Elsevier Science Ltd, The Boulevard, Langford Lane, Kidlington, UK.)
pressure to the virgin stresses at infinity. In measurements in six different directions are
general, the stress concentration factors required to determine the complete stress
depend on the shape of the opening as well as tensor. The rock mass must have similar
the rock's constitutive behavior. mechanical characteristics in the volume
(3) The results of flat jack tests may be encompassing those measurements.
disturbed by atmospheric conditions (humid- (5) The pressure may not be entirely trans-
ity and temperature) and dust (Fidler, 1964). mitted over the whole surface of the jack, in
(4) Many jack tests are necessary to deter- particular in the vicinity of the jack welded
mine the complete in situ state of stress acting edges. The contact area may change during
at infinity. Theoretically, a minimum of six loading. Differences between applied pressure
Techniques, equipment and procedures 283
and actual overall pressure acting against the not be uniform, as is often assumed. This is
rock surfaces as large as 18% were reported by particularly problematic when using large flat
Rocha, Lopes and Silva (1966). Jaeger and jacks (Grossman and Camara, 1986). Indeed,
Cook (1976) suggested that a region of the using flat jacks (in particular large flat jacks)
order of 0.25 inches (6.3 mm) wide is inoper- in areas of high stress gradients or in
ative around the periphery of a jack due to the sections of underground openings that have
welding joint. Another problem with flat been disturbed may yield erroneous stress
jacks is that the stresses across the jacks may measurements.
(a)
V'
V .)03 ~/
78) ~~~
~ l5<: 196--f~
(220) ./
./
(b)
Fig. 6.6 (a) Orientation of 16 flat jack tests in coal. (After Tinchon, 1986.) (b) Orientation of flat jack tests
recommended by Pinto and Cunha (1986). In both cases, the three-dimensional stress field can be
determined from the test results.
284 Jacking methods
(6) When conducting flat jack tests in soft al., 1989). The relative displacement of the two
rocks, or in swelling or flaking media, the slot surfaces is measured using deformation
water used for the mortar or plaster to grout sensors or transducers embedded in the jacks
the jacks in place may soften the rock and give or in direct contact with the slot surfaces.
incoherent stress results. Mayer and Bernede Equations for the determination of the rock's
(1966) identified that problem in chalk and modulus of deformation can be found in
clay shales and suggested using special pre- Rocha and Da Silva (1970) and Loureiro-Pinto
cautions (such as plastic bags in the slot) in (1986).
order to avoid the problem.
(7) Some creep may take place following
6.4 THEORY
cutting of the slot (Heusermann and PaW,
1983; Hoskins, 1966; Panek and Stock, 1964). The analysis of flat jack tests is based on
This phenomenon may occur in soft and weak several major assumptions.
rocks as well as in evaporitic rocks such as (1) The pressure in the jack at cancellation is
rock salt and potash. If creep is allowed to equal to the tangential stress in the rock
occur over a long period of time, the cancella- (before the slot was cut) normal to the plane of
tion pressure will give an overestimate of the the jack. This assumes that the stress before the
tangential stress. slot was cut was uniform. The effect of stress
On the other hand, the flat jack method has gradients across the jack surface is therefore
several advantages. The first and foremost neglected.
advantage is that the elastic constants of the (2) The rock is elastic (linear or nonlinear)
rock do not have to be known in order to and therefore the stress relief process is
determine the tangential stress at points in the assumed to be completely reversible. No creep
walls of an excavation. Second, the stresses are is assumed to occur. This may be of limited
measured directly. Third, the equipment used value in weak and soft rocks, and in rocks
in flat jack tests is rugged and stable. Fourth, that show plastic and/or time-dependent
the measured stress is an average over an deformation.
area (Panek, 1961). Fifth, relatively large rock (3) The rock is isotropic. No anisotropic
volumes can be tested (0.5-2 m 3 ), especially solution has been derived for the analysis of
when one or several coplanar large flat jacks flat jack tests. Anisotropy should have some
are used. Finally, as pointed out by Rocha, effect on the displacement or strain measure-
Lopes and Silva (1971), the flat jack method ments if the planes of rock anisotropy are
creates only a partial relief of the rock mass, neither parallel to the rock surface nor strike
thus less disturbance to the mechanical parallel or perpendicular to the jack surface.
properties of the rock is induced compared Shear stresses could be generated in the rock
with other methods. This aspect is particularly near the slot if the anisotropy strikes at an
important when dealing with weak rock angle to the jack surface.
masses. (4) Flat jacks are assumed to be aligned with
In addition to measuring in situ stresses, flat the principal stresses on the surface of the
jacks can also be used to determine the opening. Shear stresses cannot be measured
modulus of deformation of the rock by with flat jacks. The presence of shear stresses
measuring displacements which occur when can however be detected by measuring varia-
the slot is cut or by relating the applied pres- tion in diagonal lengths between different sets
sure to displacements during the pressurizing of surface pins. The effect of the rock stress
phase (e.g. Hoskins, 1966; Jaeger and Cook, parallel to the slot is usually assumed to be
1976; Rocha, Lopes and Silva, 1966; Vogler, negligible. Bonvallet and Dejean (1977) con-
Deffur and Bieniawski, 1976; Zimmerman et cluded that the effect of that stress component
Theory 285
could be disregarded for magnitudes up to
5 MPa and that neglecting the effect of the
shear stresses could cause an error of 9%.
Alexander (1960) presented a more complex
theory which relates the cancellation pressure
to the rock stresses normal and parallel to the
jack. The stress parallel to the jack was found
to have a negligible effect.
(5) Flat jacks are assumed to be 100%
efficient over their surfaces.
(6) Flat jacks are mostly used to measure
compressive stresses. However, the method
could also be used to measure tensile stresses
(Bernede, 1974; R.E. Goodman, personal com- Distance between pins, d
munication, 1982). If the rock is under a tensile
stress, a, before cutting the slot (point A), the
response shown in Fig. 6.2 is replaced by that
shown in Fig. 6.7. Instead of getting closer, the (J
-
(JOlll1 - COS2{)1 1 + COS2{)1 -4Sin2{)ll factors associated with the shape of the exca-
vation. The in situ stress components are then
l (J02 = 1 - COS2{)2 1 + COS2{)2 -4sin2{)2
l:::-
determined by solving a system of six equa-
(J03 1 - COS2{)3 1 + COS2{)3 -4sin2{)3 _ tions and six unknowns based on six measure-
ments. If more measurements are available, a
multilinear regression analysis or optimiza-
. (6.3) tion approach can be carried out on the
<xyo measurements (e.g. Pinto and Cunha, 1986).
Since the stress concentrations are themselves
where {)i (i = 1,2,3) is the angle defining the functions of the in situ stresses and can have
location of the ith flat jack test from the x-axis complex expressions (in particular for open-
of Fig. 6.8. ings with complex geometries), determination
In the more general case when the slots are of the three-dimensional in situ stress field can
cut at an angle to the axes of the underground be carried out in an iterative manner by coup-
excavation of interest, each cancellation pres- ling a numerical model for stress determina-
sure can be related to the six components of tion and an optimization model (Piguet, 1994;
the in situ stress field by knowing the orienta- Tinchon, 1986). In doing so, any rock con-
tion of each slot and the stress concentration stitutive behavior can be introduced.
txyo
- - - t - - -.... t xyo
Fig. 6.8 Circular opening in which flat jack test i (i = 1,2,3) is conducted.
References 287
6.5 TECHNICAL INFORMATION Duvall, W.I. (1974) Stress relief by center hole.
Appendix in US Bureau of Mines Report of Inves-
Additional information about flat jacks, large tigation RI 7894.
flat jacks and associated equipment can be Faiella, D., Manfredini, G. and Rossi, P.P. (1983) In
obtained by contacting directly the following situ flat jack test: analysis of results and critical
groups: assessment, in Froc. Int. Symp. on Soil and Rock
Investigations by In-Situ Testing, Paris, Vol. 2, pp.
1. INTERFELS GMbH, DeilmanstrafSe 5, 507-12.
D-48455 Bad Bentheim, Germany. Fidler, I. (1964) Discussion of the paper by Merrill,
2. Laboratorio Nacional de Engenharia Civil in Froc. Int. Conf. on State of Stress in the Earth's
(LNEC), 101 Avenida do Brasil, P-1799 Crust, Santa Monica, Elsevier, New York, pp.
375-6.
Lisboa (Lisbon) Codex, Portugal. Froidevaux, C, Paquin, C and Souriau, M. (1980)
3. ROCTEST, 665 Pine Street, St Lambert, Tectonic stresses in France: in-situ measurements
Quebec, Canada J4P 2P4. with a flatjack. J. Geophys. Res., 85, 6342-6.
Goodman, RE. (1989) Introduction to Rock
Mechanics, 2nd edn, Wiley.
REFERENCES Grossman, N.F. and Camara, RJ.C (1986) About the
Alexander, L.G. (1960) Field and laboratory tests rock stress measurement using the LFJ (large flat
in rock mechanics, in Froc. 3rd Australia-New jack) technique, in Froc. Int. Symp. on Rock Stress
Zealand Conf. on Soil Mechanics, pp. 161-8. and Rock Stress Measurements, Stockholm, Centek
ASTM D 4729-87 (1993) Standard test method for Publ., Lulea, pp. 375-83.
in-situ stress and modulus of deformation using Helal, H.M. (1982) Etude et developpement d'une
the flatjack method, in 1993 Annual Book of ASTM methode de mesure des contraintes par surcar-
Standards, Vol. 04-08. ottage, unpublished PhD Thesis, Ecole des
Bernede, I. (1974) New developments in the flat jack Mines, Nancy (France).
test, in Froc. 3rd Congo Int. Soc. Rock Mech. (ISRM), Heusermann, S. and Pahl, A. (1983) Stress measure-
Denver, National Academy of Sciences, Wash- ments in underground openings by the over-
ington, DC, Vol. 2A, pp. 433-8. coring method and by the flatjack method with
Bertrand, L. (1994) Mesure des contraintes in-situ compensation, in Froc. Int. Symp. on Field
par la methode du verin plat, in Froc. Seminaire Measurements in Geomechanics, Zurich, Balkema,
Formation: Mesure des sollicitations et des contraintes Rotterdam, pp. 1033-45.
dans les ouvrages et dans les terrains, Ecole des Hoskins, E.R (1966) An investigation of the flatjack
Mines, Nancy, Sept. 12-16. method of measuring rock stress. Int. J. Rock
Bertrand, L. and Durand, E. (1983) In situ stress Mech. Min. Sci., 3, 249--64.
measurements: comparison of different methods, Jaeger, I.C and Cook, N.G.W. (1964) Theory and
in Froc. Int. Symp. on Soil and Rock Investigations by application of curved jacks for measurement of
In-Situ Testing, Paris, Vol. 2, pp. 449-70. stresses, in Froc. Int. Conf. on State of Stress in the
Bonvallet, J. and Dejean, M. (1977) Flat jack test and Earth's Crust, Santa Monica, Elsevier, New York,
determination of mechanical characteristics, in pp.381-95.
Froc. Int. Symp. on Field Measurements in Rock Jaeger, J.C and Cook, N.G.W. (1976) Fundamentals of
Mechanics, Zurich, Balkema, Rotterdam, Vol. 1, Rock Mechanics, 2nd edn, Chapman & Hall,
pp.361-74. London.
Borsetto, M., Guiseppetti, G. and Mandfredini, G. Judd, W. (1964) Rock stress, rock mechanics and
(1983) Recent advances in the interpretation of research, in Froc. Int. Conf. on State of Stress in the
the flat jack test, in Froc. 5th Congo Int. Soc. Rock Earth's Crust, Santa Monica, Elsevier, New York,
Mech. (ISRM), Melbourne, Balkema, Rotterdam, pp.5-53.
pp. AI43-50. Kim, K. and Franklin, K.A. (coordinators) (1987)
Bowling, A.J. (1976) Surface rock stress measure- Suggested methods for rock stress determination.
ment with a new cylindrical jack, in Froc. ISRM Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 24,
Symposium on Investigation of Stress in Rock, 53-73.
Advances in Stress Measurement, Sydney, The Insti- Loureiro-Pinto, J. (1986) Suggested method for
tution of Engineers, Australia, pp. 7-11. deformability determination using a large
288 Jacking methods
flatjack technique. Int. J. Rock Mech. Min. Sci. & (ISRM), Belgrade, Jaroslav Cemi Inst., Belgrade,
Geomech. Abstr., 23,131-40. Vol. 1, pp. 423-37.
Mayer, A and Bemede, J. (1966) Mesures des con- Rocha, M., Lopes, J.J.B. and Silva, J.N. (1966) A new
traintes dans Ie terrain en place en roches tendres technique for applying the method of the flat jack
ou sensibles a l'humidite, in Proc. 1st Congo Int. in the determination of stresses inside rock
Soc. Rock Mech. (ISRM), Lisbon, Lab. Nac. de Eng. masses, in Proc. 1st Congo Int. Soc. Rock Mech.
Civil, Lisbon, Vol. 2, pp. 41-4. (ISRM), Lisbon, Lab. Nac. de Eng. Civil, Lisbon,
Mayer, A, Habib, P. and Marchand, R (1951) Vol. 2, pp. 57-65.
Underground rock pressure testing, in Proc. Int. Rocha, M., Lopes, J.J.B. and Silva, J.N. (1971) A new
Con! Rock Pressure and Support in the Workings, technique for applying the method of the flatjack
Liege, pp. 217-21. in the determination of stresses inside rock
Merrill, RH. (1964) In-situ determination of stress masses, in Proc. Int. Symp. on the Determination of
by relief techniques, in Proc. Int. Con! on State of Stresses in Rock Masses, Lab. Nac. de Eng. Civil,
Stress in the Earth's Crust, Santa Monica, Elsevier, Lisbon, pp. 431-50.
New York, pp. 343-69. Tmcelin, E. (1951) Research on rock pressure in the
Merrill, RH. et al. (1964) Stress determination by Iron Mines of Lorraine, in Proc. Int. Con! Rock
flatjack and borehole deformation methods. US Pressure and Support in the Workings, Liege, pp.
Bureau of Mines Report of Investigation RI 6400. 158-75.
Panek, L.A (1961) Measurement of rock pressure Tinchon, L. (1986) Evolution des contraintes
with a hydraulic cell. Trans. Am. Inst. Mining Eng., naturelles en fonction de la profondeur et de la
220,287-90. tectonique aux Houilleres du Bassin de Lorraine,
Panek, L.A and Stock, J.A (1964) Development of a in Proc. Int. Symp. on Rock Stress and Rock Stress
rock stress monitoring station based on the flat Measurements, Stockholm, Centek Publ., Lulea,
slot method of measurement. US Bureau of Mines pp.111-20.
Report of Investigation RI 6537. Vogler, V.w., Deffur, RD. and Bieniawski, Z.T.
Piguet, J.P. (1994) Mesure des contraintes par la (1976) CSIR large flat jack equipment for deter-
methode du verin plat, in Proc. Seminaire Forma- mining rock mass deformability, in Proc. Symp. on
tion: Mesure des sollicitations et des contraintes dans Exploration for Rock Engineering, Johannesburg,
les ouvrages et dans les terrains, Ecole des Mines, pp.105-11.
Nancy, Sept. 12-16. Wareham, B.E and Skipp, B.D. (1974) The use of the
Pinto, J.L. and Cunha, AP. (1986) Rock stress deter- flatjack installed in a sawcut slot in the measure-
minations with the SIT and SFJ techniques, in ment of in situ stress, in Proc. 3rd Congo Int. Soc.
Proc. Int. Symp. on Rock Stress and Rock Stress Rock Mech. (ISRM), Denver, National Academy of
Measurements, Stockholm, Centek Publ., Lulea, Sciences, Washington, DC, pp. 481-7.
pp.253-60. Zimmerman, R et al. (1989) Results of pressurized-
Rocha, M. and Da Silva, J.N. (1970) A new method slot measurements in the G-tunnel underground
for the determination of the deformability of rock facility, in Proc. 30th US Symp. Rock Mech.,
masses, in Proc. 2nd Congo Int. Soc. Rock Mech. Morgantown, Balkema, Rotterdam, pp. 697-704.
STRAIN RECOVERY METHODS 7
(a)
tmin
p (b)
tmin
p
~ /
~ ~ ~ ~O ~ ~ t '" t I
,ttd,t
~O ~ ~~ ~ ~
v
tmin
p/ I"
tmin
'p
ASR DSCA
Fig. 7.1 Principle behind (a) the anelastic strain recovery (ASR) method and (b) the DSCA method.
290 Strain recovery methods
determined by subtracting the average intact ratios of in situ stresses was reported by Teufel
rock strains from the measured total strains. In (1982). Prior to that time, ASR measurements
the analysis of DSCA data it is assumed had been carried out but the results had been
(among other things) that the principal direc- found inconsistent due to the measuring tech-
tions of the current in situ stress field coincide nique used where conventional strain gages
with the principal directions of the strains due had been attached onto the surfaces of
to microcrack closure. Further, the ratios unsealed core samples (e.g. Enever and
between the three principal in situ stresses are McKay, 1976). Teufel (1982) used clip-on disk
assumed to be related to the ratios between the gages placed on sealed cores to measure dis-
three principal strains due to crack closure. placements across their entire diameter. Three
Specific stress values can be assigned by using, disk gages mounted at 45° to each other were
for instance, the hydrofracturing shut-in pres- able to record core deformation with a sensi-
sure as a measure of the minimum stress. tivity of 2 to 8 microstrains over a period of
Another assumption is to take the vertical about 40 h and at a fixed time interval of 1 h.
stress as a principal stress due to the weight of Good agreement was obtained between the
the overlying rock. Once one principal stress is principal stress directions inferred from ASR
known, the other two principal stresses can be measurements and the azimuth of hydraulic
determined. fractures measured as part of a mineback
operation in volcanic tuff at the Nevada Test
Site in the USA. Later, Smith et aI. (1986), Lacy
7.2 HISTORY
(1987), Warpinski and Teufel (1989a), Perreau,
Heugas and Santarelli (1989) and Teufel and
7.2.1 ASR METHOD
Farrell (1990) applied the same technique to
Voight (1968) suggested that if it can be other geological formations and found good
assumed that partial recoverable strains are agreement between horizontal principal stress
proportional to total recoverable strains, an directions determined from ASR and other
estimate of the virgin state of stress at depth methods such as hydraulic fracturing, bore-
can be obtained by instrumenting an oriented hole breakouts, core disking and DSCA.
drill core immediately following its removal The determination of stress magnitudes
from a borehole. Voight (1968) noted that there using the ASR method is more difficult and
is a need for an empirical justification when requires a constitutive viscoelastic model for
considering that the recovered anelastic strain relaxation. Blanton (1983) derived equa-
strains are proportional to the total recover- tions to solve the problem for isotropic and
able strains and that the strains are related to transversely isotropic rocks. Later, Blanton
the virgin stress state. If the rock is assumed to and Teufel (1983) included the effect of pore
be isotropic and homogeneous and the relaxa- pressure in the viscoelastic recovery model
tion is linearly viscoelastic, then the strain and applied the model to stress measurements
relief along the principal strain directions will in Devonian shales. To date, the most exten-
be uniform with time, and the directions of sive published ASR data set comes from the
principal strain relief will correspond to the Multiwell Experiment site in the Piceance
initial in situ strain conditions. Thus the princi- Basin near Rifle, Colorado (Warpinski and
pal strain directions determined with ASR Teufel, 1989a). The horizontal principal stress
measurements will coincide with the principal magnitudes and directions determined from
in situ stress directions. open-hole hydraulic fracturing experiments
The first successful use of ASR measure- and ASR measurements in the Rollins Sand-
ments on oriented cores from deep wells as a stone Formation were found to be in relatively
method of determining the directions and good agreement (Teufel and Warpinski, 1984).
History 291
Strain recovery methods are well suited for tic modulus and permeability. Genesis of
stress measurements in deep wells. The time- microcracks during ASR has been supported,
dependent strain recovery was investigated indirectly, by laboratory studies which have
on drill cores of two rock types from the shown that, in totally relaxed sandstone cores,
German Continental Deep Drilling Project compressional wave velocities and elastic
(KTB) by Wolter and Berckhemer (1989). The modulus are lowest in the direction of max-
strains were measured with inductive dis- imum strain recovery and stress relief (Lacy,
placement transducers along the core axis and 1987; Teufel, 1982).
in three different radial directions under con- Teufel (1993) also analyzed the various
stant conditions of temperature and moisture parameters that could affect ASR measure-
(Fig. 7.2). Time-dependent strain recovery was ments and the analysis of ASR data. He con-
recorded for several days and distinct differ- cluded that nine parameters could
ences in magnitude and duration of anelastic significantly limit the application of the ASR
recovery processes were observed for litho- method for determining in situ stresses: (1)
logically different samples. temperature variations yielding thermal
Several studies have been conducted by strains, (2) dehydration of core samples, (3)
Teufel and co-workers in order to understand pore fluid pressure diffusion, (4) non-
the mechanism involved in the ASR process homogeneous recovery deformation, (5) rock
(Lacy, 1987; Teufel, 1982, 1993). In general, it anisotropy, (6) drilling mud-rock interaction,
has been found that upon coring and sub- (7) residual strains, (8) core recovery time and
sequent stress relief, core samples acquire a (9) accuracy of core orientation.
new microfabric due to the opening and prop- Recently, Matsuki (1991) and Matsuki
agation of microcracks that are aligned in the and Takeuchi (1993) developed a three-
directions of the principal stresses. As summa- dimensional theory that can be used to
rized by Teufel (1993), the new fabric can be determine both the magnitude and orientation
confirmed by acoustic emission and aniso- of in situ stresses from measurements of ane-
tropy of various petrophysical properties of lastic normal strain recovery on oriented core
the rock, such as compressional velocity, elas- samples. The rock is assumed to be isotropic
and viscoelastic. Normal strains are measured
Drill core,
using strain rosettes glued on the faces of
cubical specimens cut from the core samples.
\
The theory was applied successfully to field
measurements carried out at the Yunomori
geothermal field in Japan. The same technique
Inductive was also applied by Matsuki and Sakaguchi
/ displacement (1995) on core samples of a hard limestone at
transducer
."IiF=-~
the Kamaishi mine in Japan. The results of the
differential strain analysis method were com-
pared with those obtained with the conical-
ended borehole overcoring method (section
5.2.2). The stress orientations obtained with
the ASR method did not coincide well with
those determined by overcoring. The differ-
Fig. 7.2 Instrument for ASR measurements of a
drill core. Three pairs of radial inductive displace- ence was attributed to difficulties in measur-
ment transducers and one axial transducer are used ing small strains, thus indicating a need for
to measure the anelastic response of a core sample. more accurate measuring systems when using
(After Wolter and Berckhemer, 1989.) the ASR method on hard rocks.
292 Strain recovery methods
7.2.2 DSCA METHOD the rock expands by relief from the in situ
stress field, (2) the microcracks are aligned in
Core specimens recovered from deep bore- the direction of the original stresses, (3) the
holes typically exhibit a large, reversible non- cracks are proportional volumetrically to the
linear behavior when subjected to hydrostatic in situ stress magnitude in any direction and
loading in the laboratory. At sufficiently high (4) under hydrostatic loading, contraction of
stress levels, however, the nonlinear deforma- the rock in any specific direction is analogous
tion is replaced by a linear response. The to the original strain in that direction. By
nonlinear part of the response is commonly measuring the response to hydrostatic loading
attributed to the closure of microcracks in the of a cubical rock sample on which a minimum
rock, the linear portion being observed once of six strain gages are glued, the three princi-
the microcracks are completely closed (Walsh, pal strains due to crack closure can be deter-
1965). mined. These strains are then related to the in
In the 1970s, Simmons, Siegfried and Feves situ stresses. Strickland and Ren (1980) repor-
(1974) and Siegfried and Simmons (1978) ted several examples of stress measurements
developed an experimental laboratory with the DSCA method on oriented and non-
method to characterize microcrack porosity in oriented core samples of sandstone and shale
a rock sample for various closing pressures. from Texas, Louisiana and Pennsylvania.
The method, called differential strain analysis, Extensive laboratory and field investiga-
consisted of applying hydrostatic pressure to a tions led Ren and Roegiers (1983) to validate
rectangular prism of rock which had previ- further the DSCA method for determining the
ously been jacketed and instrumented with in situ stress field from measurements per-
strain gages. A fused silica sample was pre- formed on oriented rock cores. The DSCA
pared similarly to the rock sample and was method was applied to three different rocks
subjected to the same pressure as the rock (fine-grained sandstone, medium-grained
sample. Differential strains (rock strains minus sandstone and fine-grained granite). Good
the fused silica strains) were measured. By agreement was found between the stresses
measuring the longitudinal strain in six direc- predicted with the DSCA method and other
tions on the rock prism at different pressures, direct and indirect methods of stress measure-
the six components of a crack strain tensor ment for the two sandstones. The stresses
could be determined. It was also shown that determined with the DSCA method on granite
the principal values and axes of that tensor did not agree well with the stresses deter-
could provide information regarding crack mined with other methods. Ren and Roegiers
orientation in the rock sample and its variation (1983) concluded that the quality and reliabil-
with confining pressure. ity of DSCA data depend strongly on experi-
Experimental studies reported by Simmons ence, and that the DSCA method is a
and Richter (1974), Simmons, Siegfried and cost-effective measurement technique which
Feves (1974) and Strickland, Feves and Sorrells does not require any assumption regarding
(1979) all seemed to confirm that microcracks the orientation of the in situ stress field with
in core samples are the result of core relaxation respect to the borehole.
during the drilling process. Based on that Thiercelin et al. (1986) improved the DSCA
observation, Strickland and Ren (1980) modi- technique and applied it to core samples from
fied the differential strain analysis method in the Multiwell Experiment site in the Piceance
order to be able to predict in situ stresses. Their Basin of Colorado. They presented two poss-
method, called the differential strain curve ible approaches to derive information on the in
analysis method, was based on four critical situ stress tensor. One approach consists of
assumptions: (1) microcracks are induced as computing the crack density in the core
Techniques, equipment and procedures 293
sample as a function of spatial direction. pIes of a hard limestone at the Kamaishi mine
Assuming that one preferential microcrack in Japan. The results of the DSCA method
orientation exists, knowledge of the principal were compared with those obtained with the
directions of the compressibility tensor at a conical-ended borehole overcoring method
given pressure should indicate the crack (section 5.2.2). In general, it was found that the
distribution as a function of orientation. The in situ stress orientations determined with the
maximum principal direction will show the DSCA method correlated poorly with those
direction of the largest crack density, and determined by overcoring. However, the
therefore should correspond to the direction of stress magnitudes correlated better if the verti-
the maximum principal in situ stress. A better cal stress determined by overcoring was used
approach to understanding the crack pattern as an input into the DSCA analysis in order to
can be obtained, however, by determining the determine the other principal stress
variation of the total strain tensor of the components.
cracked rock as a function of hydrostatic pres-
sure. Mathematically, this approach is similar 7.3 TECHNIQUES, EQUIPMENT AND
to that proposed by Strickland and Ren (1980). PROCEDURES
Thiercelin et al. (1986) reported that the two
7.3.1 ASR
approaches mentioned above to predict stress
direction from microcracks induced by core ASR measurements are, in general, conducted
relaxation yield good orientation predictions. on oriented drill cores from deep wells. Imme-
Stresses determined with the DSCA method diately upon retrieval from the core barrel, the
were also found to be in good agreement with oriented core is carefully examined to select
measured values from hydraulic fracturing samples without inhomogeneities and natural
and borehole seismic tests. fractures. Cored samples are cut and sealed in
Dey and Brown (1986) employed the DSCA order to prevent moisture changes. The dis-
method for deep stress measurements (down placements associated with ASR can be meas-
to a depth of 4 km) at the Fenton Hill Hot Dry ured using various techniques such as
Rock site in New Mexico, along with hydro- spring-loaded clip-on gages, displacement
fracturing tests. The DSCA performed on transducers or strain rosettes.
cubical samples 3 cm in size cut from oriented If the core comes from a vertical borehole
cores gave reasonable magnitudes and direc- where the vertical stress is known to be one of
tions of principal stresses (Fig. 3.8). Determi- the principal stresses, only three independent
nation of the stress field from laboratory displacement measurements are required to
measurements on oriented core samples was determine the direction and magnitude of the
also investigated by Perreau, Heugas and two horizontal principal strains (Fig 7.2).
Santarelli (1989). They presented results from Teufel (1993) suggested that, in that case, the
ASR, DSCA and core disking analysis carried best procedure is to use four clip-on gages or
out on three cores retrieved at depths ranging transducers mounted at 45° to each other in
between 1285 m and 4550 m in two wells. A the horizontal plane of each core and to use the
comparison was made with data available combination of any three gages to calculate the
from hydraulic fracturing, geophysical logs horizontal principal strains. The vertical strain
and regional tectonics. Their main conclusion is determined by mounting a gage or trans-
was that the different methods gave a good ducer parallel to the axis of the core. Displace-
idea of the horizontal principal stresses at the ment data for each gage, ambient temperature
wellbore site. and temperature of the core are recorded.
More recently, Matsuki and Sakaguchi Teufel (1993) reported strain measurements
(1995) applied the DSCA method to core sam- with a resolution of 1 microstrain. During
294 Strain recovery methods
testing, the temperature of the core must be is applied at a constant high rate to avoid
kept constant, otherwise thermal corrections rock creep and temperature changes during
must be made. compression. To avoid experimental errors
If cores are obtained from deviated holes or due to secondary effects from pressure and
the stress state is known to be inclined with temperature on the instrumentation used, a
respect to the borehole axis, the method small sample of fused silica (prepared sim-
requires at least six gages. Then it becomes ilarly to the rock sample) is put in the vessel
more difficult to apply the method of clip-on as a reference following the differential
gages as the number of gages increases. strain analysis procedure of Simmons, Sieg-
Instead, the core can be cut with a diamond fried and Feves (1974) and Siegfried and
saw to produce three perpendicular flat sur- Simmons (1978).
faces where a strain rosette with thermocouple
is glued on each surface (Matsuki and y
Takeuchi, 1993). The specimen is then sealed
to prevent changes in water content. The
sealed sample is then set in a water bath with (a)
constant temperature and the anelastic normal
x
strains in six independent directions are
measured at constant time interval until the
relaxation ceases (Matsuki and Takeuchi,
1993).
7.3.2 DSCA
FLUVIAL SANDSTONE
5781 It (1762.0 m)
200
COASTAL SANDSTONE
6473 It (1973.0 m)
200
~
Z
~ 0
....
en
-200 .........--,---.,.---,---,~-r--r--r---r---r--.---r---t
+ VERTICAL
D 0'
045'
690'
-400 -+---.----.---r--r---r----r--.....-~====;=====;====:!,-~
o 8 16 24 32 40 48
TIME (h)
Fig. 7.5 ASR data and strain history fits for three types of Mesaverde sandstone of the Piceance Basin of
Colorado. Strain recovery versus time is presented for three pairs of horizontal displacement gages and
one vertical gage. (After Warpinski and Teufel, 1989a.)
300 Strain recovery methods
Table 7.1 Maximum horizontal stress direction model for the rock material. According to
determined with four methods at the Multiwell Warpinski and Teufel (1989a), the state of
Experiment site in the Piceance Basin of Colorado
(after Teufel, 1993)
stress can be calculated if the creep compliance
It in equations (7.9) and (7.10) is known or the
Maximum horizontal minimum horizontal principal stress Sh can be
Method stress orientation determined separately (from the shut-in pres-
Hydraulic fracturing sure of hydraulic fracturing tests). Using the
- impression packer direct model defined by equations (7.7) and
Hydraulic fracturing (7.8) and the strain history model defined by
- borehole seismic N68°W±8° equations (7.9) and (7.10) together with hydro-
Borehole breakouts N74°W ± 11° fracturing data for the least horizontal princi-
ASR measurements N75°W ± 15° pal stress, the maximum horizontal stresses
were calculated for the fluvial, coastal and
paludal examples presented in Fig. 7.5. The
is the overburden stress. Further, the total
results are reported in Table 7.2. It can be seen
anelastic strain experienced by the rock in any
that there is a relatively good agreement
gage direction increases with increasing
between the two ASR methods and between
depth. The calculated principal strain data and
hydrofracturing and strain recovery.
corresponding strain orientations were found
to vary with the lithology but the largest
source of error was estimated to be related to 7.5.2 DSCA
the core heterogeneities and orientation The results of DSCA of one typical sample
survey during core recovery, which at best was from the Multiwell Experimental site in the
accurate to within 5-10°. Piceance Basin of Colorado tested by
Teufel (1993) presented a summary of differ- Thiercelin et al. (1986) are presented below as
ent methods used to determine the maximum an illustrative example. The sample (a cube
horizontal stress direction at the Multiwell 3 cm in size) was cut from an oriented core of a
Experiment site in Colorado. The methods and massive sandstone originating from a depth of
recorded directions of SH are listed in Table about 1980 m. The sample was instrumented
7.1. All of the measurements are in good with nine strain gages as shown in Fig. 7.3a.
agreement and suggest that ASR can be a Typical principal strain versus hydrostatic
useful method for estimating the directions of pressure curves are shown in Fig. 7.6. The
horizontal principal in situ stresses. curves exhibit a somewhat linear behavior for
The determination of horizontal principal pressures larger than about 50 MPa.
stress magnitudes from ASR measurements Following the DSCA analysis summarized
requires implementation of a viscoelastic above, the principal in situ stress directions
Table 7.2 Stress data from hydraulic fracturing and ASR in Mesaverde sandstones, Colorado (after
Warpinski and Teufel, 1989a)
Hydraulic fracturing ASR, direct modeza ASR, strain history modelb
Typeo!
sandstone Depth (m) Sv (MPa) Sh (MPa) SH (MPa) ~(MPa) SH(MPa)
Fluvial 1762 41.9 30.6 37.4 32.8 36.5
Coastal 1973 46.9 39.1 44.3 39.7 43.6
Paludal 2178 51.8 40.3 49.9 44.2 48.9
a See equations (7.7) and (7.8).
b See equations (7.9) and (7.10).
References 301
--r----------------,
.10'
4.0
can be seen that the in situ stresses predicted
............
by the DSCA method are essentially hori-
3.6
3.0 .... .... zontal and vertical. Thiercelin et ai. (1986) also
noted that the orientation of the major hori-
2.6 ,/,...... zontal principal stress a2 in Fig. 7.7 was essen-
,, tially parallel to the azimuth of hydrofractures
,,
2.0
induced by hydraulic fracturing in the same
1.6 ,, rock formation. For the sample considered
.'
I •
I •
here, the principal in situ stress ratios were
,,
1.0 I •
8.1 INTRODUCTION
Spalling of the walls of boreholes or well-
bores due to stress concentration produces
elongated intervals with non-circular cross-
sections whose long axes share common aver-
age direction. Such intervals are defined as
breakouts or breakout zones when the shorter
diameter of the borehole corresponds to, or is
close to, the diameter of the drillbit. The ori-
entation of the major and minor horizontal in
situ stresses around a vertical borehole can be
inferred from the orientation of breakouts as it
is usually assumed that breakouts occur in
two diametrically opposed zones along the A
(Kutter, 1991). Furthermore, recent field tests azimuth was shown to require unequal
by Martin, Martino and Dzik (1994) have horizontal principal stresses, and appreciable
revealed that breakout geometry is affected by initial shear strength (cohesion) in the rock
the hole diameter, with an increase in breakout mass. Gough and Bell (1982) applied the
length and depth with increasing hole diam- Mohr-Coulomb brittle fracture theory to
eter. Also, when analyzing breakouts for stress determine the state of stress in a borehole wall,
analysis, breakouts must be clearly and found that shear fracturing could initially
differentiated from other forms of borehole extend the hole by 8-10% of its original
enlargements resembling breakouts (Dart and diameter.
Zoback, 1987; Plumb and Hickman, 1985). The drilling of the Auburn geothermal well
Whether the width and depth of breakouts are in the state of New York in the USA provided
clear indications of stress magnitudes is still the first opportunity to study dipmeter, tele-
an open question today. viewer and stress orientation data collected
from the same well. The data allowed Plumb
and Hickman (1985) to test whether the break-
8.2 HISTORY out mechanism or the fracture intersection
8.2.1 OBSERVATIONS
mechanism best explained the borehole
elongation logged with the dipmeter, and to
Breakouts for stress determination were first improve the ability to distinguish between
reported by Leeman (1964), who stated that breakouts and non-stress-related elongations.
borehole spalling is the result of excessive The well was logged twice with a four-arm
compressive stress and that the degree of frac- dipmeter. Also, hydrofracturing stress
turing in the sidewall of a borehole gives measurements and televiewer loggings were
quantitative information about the variation performed by the US Geological Survey and
in rock stress along the length of the borehole. the results were presented by Hickman, Healy
Further, Leeman (1964) suggested that the and Zoback (1985) and Zoback et al. (1985),
broken-out segments are perpendicular to the respectively. Comparison of the borehole
maximum principal stress in the plane per- geometry determined using the televiewer
pendicular to the borehole axis. and the dipmeter showed that both tools gave
The relationship between borehole elonga- the same orientation of borehole elongation,
tion and fractures mapped on outcrops was provided that the zone of elongation was
first discussed by Babcock (1978) following longer than 30 cm, a restriction that was gov-
some observations in deep boreholes with erned by the geometry of the dipmeter tool. As
high-resolution dipmeter loggings by Cox a result of the logging, Plumb and Hickman
(1970). Both Babcock and Cox observed that, (1985) established criteria that had to be met
in boreholes, zones with elongated cross- when determining breakout zones from dip-
sections (over a large interval of borehole meter caliper logs. Comparison of dipmeter
depth) show a constant preferential elongation caliper data with orientation of in situ stress
direction which is independent of the stratig- and natural fractures (obtained from hydro-
raphy. While Babcock (1978) interpreted this fracturing tests and televiewer data) demon-
as a result of the interaction between the drill- strated that borehole elongations were
bit and pre-existing joints (fracture inter- symmetrical and aligned with the minimum
section mechanism), Bell and Gough (1979) horizontal stress, and were not associated with
concluded that borehole elongations could be natural fractures intersecting the well (Plumb
explained through shear fracturing in zones of and Hickman, 1985). The results from logging
amplified stress difference in the borehole and testing in the Auburn geothermal well
wall. Concentration of breakouts in a given were important as they demonstrated that
History 305
borehole elongations derived from dipmeters criterion with cohesion and angle of internal
could be used to infer the directions of the friction. This approach will be discussed in
least principal stress perpendicular to the more detail in section 8.4. The role played by
borehole axis, and that these directions were rock anisotropy on the formation of breakouts
comparable to those determined independ- was addressed by Vernik and Zoback (1992)
ently with the borehole televiewer. regarding breakouts at the Cajon Pass bore-
The reliability of using breakouts as indica- hole near the San Andreas fault in California.
tors of the direction of the major and minor They concluded that rock anisotropy at that
horizontal in situ stresses was demonstrated site had only a minor effect on the breakouts.
further by Dart and Zoback (1987). Theyana- This assumption cannot, however, be gener-
lyzed wellbore breakouts from four-arm dip- alized to other rocks or other tectonic settings.
meter logs obtained from more than 200 Contrary to the model presented by Zoback
petroleum exploration wells in 15 structurally et al. (1985) which predicts that excessive com-
diverse areas within the continental United pressive stresses near the borehole wall may
States. Dart and Zoback (1987) concluded that cause shear failure, Freudenthal (1977) sug-
(1) breakouts are elliptical in cross-section gested that extension or tensile fracturing may
with their long axis parallel to the least hor- actually occur at the borehole wall. Extension
izontal in situ stress, (2) breakouts are found in modes of failure and spalling have also been
all rock types and tectonic environments, (3) suggested by Mastin (1984), Guenot (1989),
breakouts in wells within a given structural Zheng, Kemeny and Cook (1989), Ewy and
region have essentially the same azimuth, and Cook (1990), Lee and Haimson (1993) and
(4) stress orientation inferred by breakouts is Haimson and Lee (1995).
consistent with that determined with other The growth of borehole breakouts and the
methods such as earthquake focal mech- associated progressive failure process have
anisms and hydraulic fracturing. Dart and been simulated by Zheng, Kemeny and Cook
Zoback (1987) also emphasized the need to (1989) using the boundary element method
differentiate between actual breakouts and combined with the rock tensile and compres-
other forms of wellbore enlargements and sive strengths. The boundary of the borehole is
elongations not directly or indirectly related to updated by removing failed segments around
stresses, such as washouts, enlargement in soft the borehole wall. Zheng, Kemeny and Cook
or poorly consolidated rocks, borehole (1989) predicted that breakouts deepen but
deviation-induced elongations, drilling- do not widen as they grow and that they
induced (hydraulic) fracturing of the wellbore eventually reach a stabilized pointed V-shape.
and opening of pre-existing vertical fractures. Progressive failure can also be predicted
The differentiation can sometimes be done by using damage models (Onaisi, Sarda and Bou-
examination of the dipmeter logs. teca, 1990; Rutqvist et al., 1990). In the con-
tinuum damage model used by Rutqvist et al.
(1990), borehole breakouts are simulated by
8.2.2 THEORIES OF BREAKOUT FORMATION
the propagation of active damage planes and/
The analytical method commonly used for or planar localization bands. It is then found
predicting the location and extent of borehole that the propagation of these planes follows
breakouts is that proposed by Zoback et al. that of the fracture planes commonly asso-
(1985). It uses the Kirsch solution to calculate ciated with borehole breakouts. The contin-
the stresses around a circular hole in a linearly uum damage model predicts that borehole
elastic and isotropic continuum subjected to a breakouts initiate at the borehole wall and
three-dimensional stress field. The stresses are propagate into the rock mass in a direction
then included in a Mohr-Coulomb failure parallel to the minimum compressive stress.
306 Borehole breakout method
8.2.3 LABORATORY STUDIES cylindrical openings in clastic rocks by Santar-
elli and Brown (1989) and Ewy and Cook
Laboratory investigations of borehole break- (1990). These hollow cylinder experiments
outs are numerous. Haimson and Edl (1972) revealed that the elastic behavior of the rock
tested hollow cylindrical specimens of dry around cylindrical openings is of importance
Berea sandstone under axisymmetric horizon- for fracture and failure development and in
tal loading and an independent vertical stress particular the increase in stiffness away from
in a triaxial vessel. The observed breakouts the borehole wall (Santarelli and Brown, 1989;
extended throughout the circumference of the Santarelli, Brown and Maury, 1986). For most
borehole and their depth showed a clear clastic rock types, the deformation process
increase with an increase in confining pres- starts with a process of plastic pore and crack
sure. Mastin (1984) subjected the same rock closure followed by a phase of elastic defor-
type to uniaxial loading and found spalling mation, and then a phase of microcrack devel-
(extension cracking) to be an important mech- opment. The macroscopic failure is produced
anism in the development of borehole break- by the prdliferation of microcracks and by
outs. An important observation was that the their extension, clustering and bridging.
width of the breakouts remained basically Around unsupported holes, these cracks form
unchanged regardless of the final depth of macroscopic splitting fractures subparallel to
spalling. the hole wall, and also form en echelon pat-
Haimson and Herrick (1985, 1986) com- terns that meet the wall. Slabs of fairly uni-
pleted an experimental program studying the form thickness progressively detach from the
relationship between borehole breakout for- surrounding rock, resulting in a triangular
mation in cubical blocks of Indiana limestone failure zone with a pointed tip. Initiation,
and the in situ state of stress. Analysis of thin growth and interaction of fractures have been
sections following failure suggested that the well defined in the experiments by Ewy and
major breakout mechanism is tensile rupture Cook (1990).
along surfaces parallel to the borehole wall, Breakouts in Lac du Bonnet granite from the
aided by shear failure in the radial direction. Underground Research Laboratory (URL) site
Breakout depth and width were found to be in Canada were simulated in the laboratory by
directly proportional to the magnitude of the Lee and Haimson (1993) and Haimson and Lee
least applied principal stress. A series of (1995). In both cases, cubical specimens of
physical simulations of borehole breakouts granite were subjected to a three-dimensional
was conducted on large cubical specimens of stress field. In the experiments of Lee and
model material simulating the behavior of Haimson (1993) the stresses were applied on
weak sedimentary rocks (Maloney and Kaiser, predrilled specimens, whereas in the experi-
1989). Under most conditions, failure of the ments of Haimson and Lee (1995) drilling was
borehole wall was found to occur ultimately done under stress, thus simulating a loading
due to shearing concentrated in narrow bands path closer to actual field conditions. The
parallel to the intermediate principal stress. extent and geometry (depth and width) of the
Maloney and Kaiser (1989) suggested that this breakouts were analyzed using thin sections.
process initially causes apparent spalling due The experimental study of Lee and
to the intersection of shallow shear surfaces Haimson (1993) revealed some important
with some extension zones. trends. First, it confirmed that in crystalline
A set of thick-walled hollow cylinder rock, breakouts are aligned in the direction
experiments was designed for careful meas- of the minimum horizontal stress. Second,
urement and observation of elastic and inelas- extensile cracking was found to be the basic
tic deformation, fracture and failure around mechanism of breakout initiation, followed by
History 307
progressive detachment of rock flakes boun- in situ stresses, since they both depend on the
ded by the cracks, leading to V-shaped cross- applied stress level. However, extrapolation
sections. Third, the value of the maximum from laboratory conditions to field conditions
horizontal stress at which breakouts initiate is difficult due to an apparent increase in rock
was found to increase linearly with the mag- strength around smaller diameter boreholes in
nitude of the minimum horizontal stress. the laboratory. The results of the experiments
Finally, breakout depth and angular width of Haimson and Lee (1995) also revealed that
were found to increase linearly with the value core disking develops at stress levels con-
of the maximum horizontal stress for fixed siderably smaller than those required for
values of the vertical and minimum horizontal borehole breakouts, and that the relative
stresses. As remarked by Lee and Haimson occurrence of core disking and borehole break-
(1993), this last conclusion would suggest that outs in a borehole could be used to set limits
the geometry of borehole breakouts could be on the level of in situ stress.
used to estimate the magnitude of in situ
stresses.
8.2.4 RECENT DEVELOPMENTS
In the more recent experimental study of
Haimson and Lee (1995), acoustic emission Over the last decade, the analysis of borehole
was monitored for a period up to 1 h following wall breakouts has become a promising tech-
borehole breakout in order to gain a better nique for estimating in situ stress orientation at
understanding of progressive rock failure. all depths and in all geological conditions, and
Thin sections were made at various cross- particularly at great depths where direct in situ
sections along the drill holes. In addition, stress measurements are difficult. Analysis of
vertical cross-sections of the core stems still borehole breakouts has become routine work
attached to the drillcores were made in direc- in deep continental drilling programs such as
tions parallel to the maximum and minimum (1) the Cajon Pass drill hole located close to the
applied horizontal stresses. San Andreas fault in southern California
The test results of Haimson and Lee (1995) (Shamir and Zoback, 1992; Vernik and Zoback,
confirmed many of the trends reported in the 1992), (2) the German continental deep drilling
previous study, and provided additional infor- project (KTB) in northeast Bavaria, Germany
mation regarding the phenomenon of core (Baumgartner et al., 1993; Te Kamp, Rummel
disking (see discussion in section 2.11) and its and Zoback, 1995) and (3) the borehole for
relation to borehole wall failure. More specifi- deep-Earth gas in the Precambrian rocks of
cally, it was found that V-shaped breakouts Sweden (Stephansson, Savilahti and
that develop in granite are smaller than those Bjarnason, 1989). Breakouts were also used as
in sedimentary rocks. No substantial effect of stress orientation indicators in boreholes
the load path on borehole breakouts was intersecting deeply buried basalt flows at
observed. The test results provided a better the Hanford site in Washington in the USA
description of the process of borehole wall (paillet and Kim, 1987). In many of these
failure with the development of small flakes in projects, breakout analysis was carried out in
extension subparallel to the maximum hor- parallel with other stress measurement
izontal stress followed by buckling of the methods such as hydraulic fracturing. The use
flakes, and a decrease in the span of the of borehole breakouts to constrain the orienta-
V-shaped sections due to the cantilever effect tion and magnitude of oceanic crustal stresses
of rock flake remnants. It was also found that in the deep sea drilling projects like the Ocean
the depth and angular width of breakouts Drilling Program has been reported by
could be used as constraining factors when Moos and Zoback (1990) and Kramer et al.
determining the orientation and magnitude of (1994).
308 Borehole breakout method
In most studies of borehole breakouts, their Dzik (1994) reported that breakouts, if present,
origin and orientation are ascribed solely to formed immediately during drilling of the
large-scale tectonics and stress fields. The boreholes and excavation of the test tunnel.
possible influence of local geological structures Microseismic events were recorded during
on the orientation and magnitude of borehole the mine-by test and were found to concen-
breakouts has been discussed by several trate near the face of the tunnel and in areas
authors (Aleksandrowski, Inderhaug and where the breakouts were formed. A modest
Knapstad, 1992; Brereton and Milller, 1991; strength-scale dependence was observed for
Cowgill et al., 1993; Zoback et al., 1989). The the field data compared with the laboratory
observed low stresses and minor breakouts of data. This difference led Martin, Martino and
crystalline rock masses at depth have been Dzik (1994) to conclude that there is no unique
found to be located and confined to zones of strength-scaling law for laboratory and in situ
faulting and dense fracturing (Koslovsky, 1987; failure, not even for a sparsely fractured
Stephansson, Savilahti and Bjarnason, 1989; granite such as the Lac du Bonnet granite. In
Vernik and Zoback, 1992). a recent paper, Martin (1995) attributed the
The construction and research activities at difference to the different load paths used in
the URL in Canada have provided a unique the laboratory and in situ.
opportunity to study borehole breakouts, both
in the laboratory and in situ. Martin, Martino
8.3 TECHNIQUES, EQUIPMENT AND
and Dzik (1994) conducted a series of uniaxial
PROCEDURES
load tests on blocks of sparsely fractured Lac
du Bonnet granite containing boreholes with The orientation of borehole elongations can be
diameters ranging between 5 and 103 mm. For measured using optical (borehole camera),
small-diameter boreholes, less than 20 mm, it mechanical (three- and four-arm dipmeters),
was found that the tangential stress at the wall acoustic (televiewer) or electrical resistivity
of the hole required to cause failure and break- (formation microscanner or FMS) methods.
outs was about 1.5 to 2.5 times the unconfined Borehole cameras and three-arm dipmeter
compressive strength determined in standard caliper logs are known to provide the least
uniaxial compression tests. It was also found reliable data for breakout analysis, as there is
that the strength-scale dependence disap- always a problem to center the borehole
peared for boreholes with diameters larger camera and to measure the depth of spalling at
than 75 mm. It is interesting to note that the the borehole wall. The three-arm caliper
apparent increase in rock compressive measurements can provide reliable data if the
strength in the wall of small-diameter bore- borehole shape is not too irregular but poor
holes observed in the experiments of Martin, pad contacts may occur in non-cylindrical
Martino and Dzik (1994) has also been repor- holes (Cox, 1970). Four-arm dipmeters meas-
ted by various authors for different rock con- ure the borehole diameter in two orthogonal
ditions (see discussion in section 11.2.3). directions between two sets of opposing arms.
In order to investigate further the strength- The technique is robust, can be used at great
scale dependence, Martin, Martino and Dzik depths, and the evaluation procedure is well
(1994) analyzed breakout phenomena in the established. Caliper logs were originally
walls of a series of vertical boreholes with developed as tools for estimating cement
diameters of 75, ISO, 300, 600 and 1250 mm grouting and casing in the petroleum industry.
drilled in the floor of one of the test rooms at Therefore, a large amount of caliper data exists
the URL site, and in the roof and floor of a from oil and gas fields. The main drawback of
3500 mm diameter mine-by test tunnel exca- caliper logs is that they do not provide infor-
vated at the same site. Martin, Martino and mation on the detailed shape of the breakouts.
Techniques, equipment and procedures 309
On the other hand, existing acoustic and high- borehole diameter between pads 1 and 3 and
resolution microresistivity methods, and in between pads 2 and 4. Deviations of the bore-
particular modern FMSs, provide excellent hole from the vertical and the strike of the
data for breakout analysis. The basic princi- projection of the drilling at the surface are
ples and characteristics of four-arm dipmeter determined for every depth in the logging
tools, televiewers and FMSs are reviewed campaign.
below. Four-arm dipmeter measurements are
carried out by winching the tool up the bore-
hole. As the tool is winched up the hole, it
8.3.1 DIPMETER
rotates due to the twisting and tensioning of
The dipmeter is a logging tool initially the cable. The borehole shape is recorded over
designed to measure the orientation of bed- the depth interval for which the tool rotates
dings intersecting a borehole by continuous 90°. Close to the surface, the cable torque
monitoring of the rock resistivity on four or diminishes and slows the rotation, increasing
more coplanar electrode pads pressed against the depth interval for the 90° rotation. This can
the wall of a borehole. An example of a dip- result in poor accuracy in the determination of
meter with four arms and pads is shown in the breakout orientation.
Fig. 8.2. The pads are pressed against the
borehole wall by a controllable force and make
8.3.2 TELEVIEWER
measurements that depend upon the electrical
conductivity of the rock. The reference pad The borehole televiewer is a wireline logging
(referred to as pad 1) is magnetically oriented tool that provides a continuous, oriented,
and two independent calipers measure the ultrasonic image of a borehole wall (Zemanek
et al., 1970). The borehole televiewer consists
of a transducer that is mounted on a motor-
driven shaft and aimed at the borehole wall.
The transducer rotates about three times
per second and generates an ultrasonic
(= 1.2 MHz) acoustic pulse 1800 times per
second. The tool is winched up the hole at a
speed of 15m/min on a standard wireline
logging cable. The reflected energy that
returns to the transducer modulates the inten-
sity of a trace on a cathode ray tube at the
surface. Both travel time and amplitude of the
sonic pulse are measured. A bright trace corre-
sponds to a good reflection and a dark trace
indicates a scattered or absorbed signal.
Successive traces appear on the ray tube as the
tool is pulled up the hole. This display is
photographed, and the unprocessed sonic
signals from the tool together with the flux-
gate magnetometer recordings are stored on
videotape for later processing.
Characteristic patterns on the borehole tele-
Fig. 8.2 Four-arm dipmeter for analysis of borehole viewer log are produced by fractures, voids,
breakouts. washouts and other borehole features. Planar
310 Borehole breakout method
features such as natural fractures and joints can be used for detailed sedimentological or
produce a sinusoidal signature on the bore- structural interpretations and for determining
hole televiewer log from which their strike fracture and breakout orientations. The tool
and dip may be determined (Barton et al., consists of 16 electrode 'buttons' on each of
1991). Zones of low reflectance (dark bands) four orthogonal pads that are pressed against
on the televiewer log correspond to zones of the borehole wall. The focused current that
borehole elongation or breakout as shown in flows from the buttons is recorded as a series
Fig. 8.3. of curves that reflect the microresistivity varia-
tions of the formation. Analog or digital pro-
cessing converts the current intensity
8.3.3 FMS
measurements into complete, spatially orien-
The FMS (developed by Schlumberger) pro- ted images where black represents the most
duces high-resolution microresistivity images conductive areas of the borehole wall and
or structural maps of the borehole wall that white corresponds to the most resistive areas.
t
1472
g
.r; 1474
i
0
~ SH
1476 +-
1478 t
N E S W N
Azimuth
(a) (b)
Fig. 8.3 (a) Section of borehole televiewer log from the Auburn well showing zones of borehole elongation
or breakouts (dark patches), and (b) horizontal cross-section of breakout at a depth of 1475.8 m (arrow in
Fig. 8.3a) obtained using a travel time modification to the basic televiewer tool. Also shown is the
orientation of the horizontal principal stresses relative to the breakouts as determined from the hydraulic
fracturing tests in the same well. (After Hickman, Healy and Zoback, 1985.)
Theory 311
Applications of FMS images include detailed SH acting at infinity. According to the Kirsch
correlation of coring and logging depths, ori- solution Gaeger and Cook, 1976), the stress
entation of cores and mapping of fractures, components at any point (r, e) in the horizontal
foliations, faults and formation structures as plane around the hole can be expressed as
well as determining strikes and dips of bed-
ding planes. The high-resolution images from
ar = (1 -
R2) (SH 2+ Sh) + ( 1 + 3 R4r
7 4 - 47
R2)
FMS logging open up new approaches for log
interpretation and allow quantitative data
(SH - Sh) R2
interpretation of borehole breakouts. X cos2e + AP"2 (8.1)
2 r
8.4 THEORY
where
a = [(1 + f-l2)1/2 - f-lUl - 2 COS2()b]
t t b = [(1 + /)1/2 - f-lUl + 2 COS2()b]
(a) (b) 2
Fig. 8.4 (a) Orientation of potential shear failure C =- f-l + (1 + f-l 2)1/2 - R
~ [(1 + f-l 2)1/2 +.Jl
2]
surfaces adjacent to a wellbore for SH = 45 MPa,
Sh = 30 MPa, MJ = 0 and f.l = 1.0. (b) Area in which R4
failure is expected for C = 12.5 MPa. (}b, I/Jb and rb + 3 - (1 + /)112 (8.7)
are defined in the text. (After Zoback et al., 1985.) rt,
Theory 313
Fig. 8.5 Variation of the in situ stress ratio SHISh with rb/R for different values of the breakout half-width
angle th ranging between 5 and 50° when f1 = 0.6 and I1P = O. (Adapted from Zoback et al., 1985.)
314 Borehole breakout method
that as the breakouts deepen, they do not quantify the process of progressive failure by
become wider. However, the theory does not introducing a continuous field variable called
consider the inelastic deformation occurring 'damage', which may be regarded as a con-
as the rock around the borehole fails and the tinuous measure of the state of internal degra-
corresponding stress redistribution. Addi- dation of the rock. This approach was
tional considerations are the possibility of followed by Rutqvist et al. (1990) who pre-
time-dependent effects related to subcritical sented a breakout prediction model where
crack growth and the possibility that the cir- breakouts were simulated by the propagation
culation of mud with a temperature different of active damage planes andlor planar local-
from the formation may promote breakouts. ization bands. This model is based on the
Some of these issues and a general solution to continuum damage model of Singh and Digby
the theory presented above for stress ratios (1989a, b). The continuum damage model sim-
SHISh larger than 3 (and (JfI < (Jr) and non-zero ulates the progressive failure and accumulated
values of I1P can be found in Zoback et al. damage (due to the growth of cracks), and the
(1985). formation of localization bands in brittle rocks
Experimental studies of borehole breakouts under both compressive and tensile loading
by Ewy and Cook (1990) and others have and under plane strain condition.
demonstrated that the failure process can be The continuum damage model involves the
described in an average sense by a degrada- definition of damage vectors that vary in a
tion in the elastic stiffness of the rock. The space populated with penny-shaped micro-
progressive development of failure is illus- cracks. The damage vectors are internal vari-
trated in Fig. 8.6. Let us assume that the bore- ables describing the state of the material
hole breakout is due to the progressive growth considered. The magnitude of each vector in
and coalescence of microcracks. We can then any direction depends on the number of
t
Sh
t
Sh
t
Sh
t
Sh
Lx
(a) H
G
Scale
I--t
2.0 x 10-4
Lx
(b)
Fig. 8.7 Simulation of borehole breakouts with a damage model. Borehole response at the eighth load
increment when SH = 72MPa and Sh = 48 MPa. (a) Isostress contours in Pascals (compressive stresses are
negative), (b) damage planes in two elements. (After Rutqvist et al., 1990.)
exceeded a certain predefined value. The The models described in this section can
simulation was stopped after 16 load incre- only be used to determine the orientation and
ments when the damaged regions of the bore- geometry of breakouts and therefore the
hole showed the characteristic breakout orientation of the maximum and minimum
pattern with detachment (completely failed stresses. If the geometry of breakouts was
elements) surrounded by elements of localized controlled by stresses only, measurement of
damage. their width and depth could be used for calcu-
In general, the model of Rutqvist et al. (1990) lating the magnitude of the stresses, as some
represents a substitute for the simple model of authors have suggested. For instance, if rb and
Zoback et al. (1985). It predicts that breakouts f/Jb in Fig. 8Ab could be measured exactly, and
initiate at borehole walls and propagate in a knowing the value of the rock's friction angle,
direction parallel to the minimum in situ com- the ratio SH/ Sh could be determined using
pressive stress. The model is also able to equation (8.8). Knowing, for instance, Sh from
explain the deep borehole breakouts with the hydraulic fracturing, SH could then be calcu-
typical 'dog ear' shape. lated. Such an approach has been suggested
Data analysis and interpretation 317
(Pa)
A.. -2.0 x 108
B= -1.8 x 108
C= -1.6 x 108
D= -1.4 x 108
E= -1.2 x 108
F= -1.0 x 108
G.. -6.0 x 107
H= -5.0 x 107
1= -4.0 x 107
J= -2.0 x 107
(b)
Fig. 8.8 Simulation of borehole breakouts with a damage model. Borehole response at the 13th load
increment when SH = 114 MPa and Sh = 75 MPa. Damage has exceeded a certain predefined value and
caused failure at the wall of the borehole (black); localized damage (shaded) surrounds the failure zone. (a)
Isostress contours in Pascals (compressive stresses are negative), (b) strain softening in six elements and
damage in two elements. (After Rutqvist et al., 1990.)
by Zoback et al. (1985). In a more recent paper, pre-existing fractures, formation consolida-
Vernik and Zoback (1992) proposed a theory tion, pore pressure and drilling (Dart and
where the magnitude of SH was determined by Zoback, 1987). Therefore relying on breakout
using breakout widths, the strength of core geometry (wholly or partly) to predict the
samples, the strain energy criterion of Wiebols magnitude of stresses may be of limited value
and Cook (1968), and an estimate (by hy- and misleading.
draulic fracturing) of Sh. The method of Vernik
and Zoback (1992) has been applied to deter-
8.5 DATA ANALYSIS AND INTERPRETATION
mine stress magnitudes at the Cajon Pass drill
site in California and at the KTB borehole in Most boreholes drilled for hydrocarbon
southern Germany (Zoback et al., 1993). As exploration purposes are logged using dip-
mentioned at the beginning of this chapter, meters. Thus the number of boreholes avail-
breakout geometry is controlled not only by able for the analysis of breakouts in various
stresses, but also by factors such as lithology, lithologic environments is potentially large for
318 Borehole breakout method
most parts of the world. In practice, the the calipers could only record borehole break-
tendency is now to use televiewer instruments outs with a length greater than 30 cm and a
and FMSS more frequently, because they width greater than 6 cm. A minimum differ-
provide more detailed information about ence in caliper readings of 0.6 cm (for a well
magnitude and orientation of borehole diameter of about 220 mm) was found to be
breakouts. necessary to prevent the tool rotating as it was
Breakout data are especially important for winched up the borehole. At Auburn, break-
the evaluation of stress patterns in the upper outs were selected from dipmeter caliper logs
part of the Earth's crust because they generally based on the following criteria:
sample a depth interval intermediate between
1. the dipmeter tool comes to rest in the zone
earthquake focal mechanisms and in situ stress
of elongation and the azimuth of pad 1
measurements from overcoring, and other
remains constant over the length of the
methods. They also provide multiple observa-
breakout;
tions of stress orientation over considerable
2. the caliper difference (difference in caliper
depth ranges. The large number of observa-
readings) is greater than 0.6 cm;
tions allows statistical determinations of stress
3. the smallest of the two caliper readings is
orientation (mean orientation, angular or
close to the size of the drillbit, or if the
standard deviation) as demonstrated in the
smaller caliper reading is greater than the
World Stress Map Project (Zoback et al., 1989;
bit size, it should exhibit less variation than
Zoback, 1992). As discussed further in section
the larger caliper;
ILl, five qualities denoted A-E are used in
4. the length of the breakout is greater than
ranking data in the World Stress Map Project.
30cm;
For breakouts, the ranking depends largely on
5. the direction of elongation should not con-
the number and combined length of breakouts
sistently coincide with the azimuth of the
observed in a single well (or in wells in close
high side of the borehole when the hole
proximity), and on the average and standard
deviates from vertical.
deviation of the breakout orientation (Table
11.1). These conditions are essentially fulfilled in
Fig. 8.9b. Other types of borehole geometries
identified by Plumb and Hickman (1985) at
8.5.1 ANALYSIS OF FOUR-ARM DIPMETER
Auburn, and shown in Figs 8.9a, c, d, include
LOGS
(1) in gage hole (both caliper readings are
Borehole breakouts can be identified from identical), (2) washout (both caliper readings
four-arm caliper records collected routinely are larger than the bit size with one dominant)
with conventional geophysical logs. The and (3) key seat (one caliper reading is larger
orientation of borehole breakouts recorded by than the bit size). For each borehole geometry,
the dipmeter in vertical boreholes is inter- Fig. 8.9 shows the configuration of the bore-
preted as the orientation of the minimum hor- hole with the location of the dipmeter arms,
izontal principal stress. Breakouts are the caliper readings (where Cal 1-3 and Cal
characterized by their length, azimuth and 2-4 indicate borehole diameters measured
depth. between pads 1 and 3 and pads 2 and 4,
The smallest breakout detectable by a respectively), and the azimuth of pad 1 of the
dipmeter is determined by the electrode pad dipmeter.
dimensions and borehole diameter. For Plumb and Hickman (1985) emphasized the
instance, the dipmeter used by Plumb and need to separate borehole breakouts from
Hickman (1985) at the Auburn well had a pad asymmetric elongations. This can be done
length of 30 cm and a pad width of 6 cm. Thus by using electrical conductivity anomalies
Data analysis and interpretation 319
Caliper difference in dipmeter readings and the defini-
.-.increase Azimuth of pad 1 tion in the televiewer reflectance logs, with
Bit size NESWN
[ZJ
large caliper differences (larger than 1 cm)
(a) ~ In gage
WhOle
[]~ J , T
being associated with clear definitions.
Breakout analysis of a borehole begins by
inspection of the logs, with special notice of
[J
the recorded tool rotation and caliper differ-
~) *B~i]J
ence. The most promising and interesting sec-
tion of the borehole is selected for further
analysis based on the readability of the logs,
the competency of the rock at the borehole
[]
wall and the criteria for definition of breakouts
(e.g. the five criteria suggested by Plumb and
Washout Hickman (1985) mentioned above). The cal-
(c)
iper readings, the azimuth of pad 1 and the
hole deviation are digitized. Typical breakout
[J
results are presented in Fig. 8.10 for borehole
Pernille-llocated in Denmark, which is one of
(d) Ci5!)Key ..., 20 boreholes selected for a study of the state of
stress at the margin of the Baltic Shield (Ask,
Muller and Stephansson, 1996). The data were
IcaI1-a-1
+-r-r-+-'
NESWN analyzed using a program called Caliper 1.0
(B. Muller, personal communication) as briefly
Cal 2-4 ------ described below.
Caliper data for each set of dipmeter arms
Fig. 8.9 Examples of four-arm dipmeter caliper are loaded into the Caliper 1.0 program. First,
logs and interpretation of borehole geometry. Cal the program converts the raw data and shows
1-3 and Cal 2-4 indicate borehole diameter plots of caliper readings, pad 1 azimuth, the
measured between opposite dipmeter arms. Tool
rotation stops in the zone of borehole elongation
relative bearing of the instrument and bore-
resulting in constant azimuth of pad 1 of the dip- hole deviation. Borehole breakout candidates
meter. The shaded regions in the direction of elon- are selected by the cursor and a plotting
gation in (b) and (c) represent zones of slightly routine produces a so-called contour differ-
higher electrical conductivity when compared to ential plot. This plot comprises the azimuth of
orthogonal directions. (Adapted from Plumb and pad 1, the borehole deviation and the caliper
Hickman, 1985.) readings Cal 1-3 and Cal 2-4. An example of
such a plot is shown in Fig. 8.10a for the
measured with the dipmeter pads in the direc- 1549-1599 m depth interval in borehole
tion of elongation. The anomalies are symmet- Pernille-1. Furthermore, the program displays
ric for breakouts and non-symmetric for a contour plot (Fig. 8.10b) and a difference plot
asymmetric elongations. (Fig.8.10c).
At Auburn the zones of breakout deter- The contour plot shows the borehole section
mined with the four-arm dipmeter were con- as seen from above the selected interval. In
firmed with the borehole televiewer as long as this representation, the true drillbit size is
the zones of elongation were at least 30 cm in represented as a circle, and the orientation and
length (Hickman, Healy and Zoback, 1985; size of the caliper readings are shown by
Plumb and Hickman, 1985). In particular, a markers surrounding the borehole. The differ-
good correlation was observed between the ence plot, introduced by Bliimling (1986), is
320 Borehole breakout method
~ r·
(a)
T
c:---;- - - - -: - --- ~- - - --; --~. ~
Depth (m)
~
= . '!f1'1' 15;'
li!'
90.0 - - I
~ ~ 1.0 li!'
2.0 ~
g
! =.
180.0 1- - - - - - - _1- - - - - - - _I - - - - - - - _I - - - - - - - .1 - - - - - - - 30
24~"",I I I I I
I I I
16~
I
______
I
I
~~~~==-===~~~
I
I
______
I
~~
I
______ ~
Deviation
Pad 1 azimuth
- - - Cal 1-3
- Cal 2-4
---CD------ -----(l)----
Fig. 8.10 Processing of dipmeter data for breakout analysis of borehole Pernille-llocated in Denmark. (a)
Plots of azimuth of pad 1, caliper readings Cal 1-3 and Cal 2-4, and borehole deviation versus borehole
depth; (b) contour plot; (c) difference plot. (After Ask, 1996.)
used to eliminate the influence of washouts in The variation of borehole breakouts and
the representation of breakouts. Here, the dif- borehole elongations (corresponding to minor
ference between the minimum caliper reading washouts) for different lithologies along the
and the bit size is subtracted from both caliper wall of borehole Pernille-1 is shown in Fig.
readings (Cal 1-3 and Cal 2-4), and the result- 8.11. In order to compute the mean stress
ing values are plotted in the diagram. The orientation for the complete borehole, the
orientation of the minimum horizontal stress circular statistics of Mardia (1972) are used.
is determined from the orientation of the bore- In this procedure, each individual breakout
hole breakouts for the selected interval. is weighted by its length to enhance the
Data analysis and interpretation 321
500 rTTTT'T"TT'1rTT'rrTTT'TT1
I I
Cretaceous I
I
I
I
I I
I I I I I I
I I I I I I I I I I
1000 - T - , - -1- - r - -r - -T - , - -1- - r - -r-
I I I I I I I I I I
Jurassic I I I I I I I I I I
I I I I I I I I I I
I I I I I
I I I I I
I I I I I I I I I I
,
1500 - T - -:I - -1- - r - -r - - T - , - -1- - r - -r -
11-' I I I I I
I I I I
I I I I I I I I I I
: .~ :
I I I I I I I I I I
Legend
§: : I II
I I
I
I
L
~
I
I
%2000
I I I I It I I I I It
Triassic
1_.
-+-.,--I--t---+
I I I 10
-+ - - t - -1- - t- --+ ~ Limestone
I. I I I ..
~ ~ I '- I I
~
II : I :. I I
I I I I Marl
I I I I
2500
I I I I I
-l--4--1--t---+"
I I I I I
- l- - -t - -1- - l- - -+ - ~ Clay
,I
J
I I I I I I I I I
I I I I I I I I I I
• I \ I I I I I I I I I • Silt
- rn
I I I I I- I I I I
Permian I I I I I I I I I I
Carboniferous? 3000
_ I J __ :__ L_L I
_.J,. _
I I
-J __ 1__
I
~
I
_ ..J _ Sand
or Permian r
: .: :I: :.
I I I I I I I I I I
I I I I I
I I I I I. • Coal
:.: : : D
I I I I I I I I I
Silurian
: I': :: : Unknown
3500 L...L..I...J...L..L.l..I..J..L.L.Ju..L.J...L..L.L-J
Fig. 8.11 Variation of borehole breakout zones and borehole elongation zones (corresponding to minor
washouts) with depth for borehole Pernille-1 in Denmark. (After Ask, 1996.)
dominant breakout orientation and the mean During rotation of the beam, pulses of acoustic
horizontal stress azimuth. The quality of the energy are sent toward the borehole wall. The
breakout data was assessed according to the acoustic energy is reflected from the borehole
World Stress Map quality ranking system wall and the amplitude and the travel times of
(Zoback, 1992), which considers the number of the reflected signal are measured with the
observations, the consistency of the results same transducer that generates the acoustic
and the reliability of the data as a tectonic beam. The most recent focused acoustic
indicator. system, called FACSIMILE, measures up to
512 amplitude and travel time values per
revolution and up to 12 revolutions per second
8.5.2 ANALYSIS OF BOREHOLE TELEVIEWER
can be realized. This instrument has been
ANDFMSLOGS
developed as a part of the KTB drilling project
The principle of the modern borehole tele- in Germany.
viewer is that a narrow pulsed acoustic beam In the KTB drilling project, a pilot hole was
scans the borehole wall in a tight helix as the drilled to a depth of 4 km for the purpose of
tool moves up the borehole. To scan the bore- obtaining continuous core and conducting
hole wall for breakouts, the acoustic beam extensive geophysical logs. As a part of the
generator is rotated by an electrical motor. logging program, continuous FMS data were
...
322 Borehole breakout method
,, , , ,.
3000-4---r--'---~-'--~~~--.--'r--+--~~.-~r
, , , ' , , , ,
, I,
--~---~---~---:,~--,~---~---~--~--~~--~
, , , , ' ' , , , , '
, , , ,.
...
, I
--~--+---l_---:--._fi •..t---.---:----:---+-... ~~
--~---~---~--_i~-~~---~---~--~---~~~-
: : : :•• .it.. : : : : :. • i
3200 - - ~- - - ~ - -- ~ - - -~ , •.-,:~ i -- - ~ -- -~ - - ~- -- ~ -f~
~;~-, +---~
,
-- -
,
, "
"
--:--~+.~.ci~~-l---
··lIt""
-:- -- -:---+-~:rAr~.
++" - , - - - r - - -r--.-
0 - - - i-i+-+- -r- - -r- -"
- . . l " -.,- - - 0 -. - - ..
++ ~ : : : ~. !f.+ + t : : : ~. t
~-r-+---~---~--~~~~~~--~--~---+---~~
, , , ... "'' '#1:#' , , , •.l..
I I I I 1' .... I I I I I ,"".
,
3400 .....9 .. -.. . +---f----'-~-~-"'~T'- ... -:----:---r-!-~--
- ' , r, ---,-~ , ...~ + - ' , , , ... ++++
-'~..,,* .... r..---'- --.,- - - or -~i'<
++ I I I ~++ 1 ++ I I I I ...
...-.;;,.,-.- - 0 - - -
E ++, , , , ~_-I+lI++' , , , ,_
s:: ## +*+ , , , to. ++:r## +*+ , , , to. ++
is.. --~---+---~---~--~---+---~---~--~---+---~---
Gl ..+f", ,, ,, .', ,+
t+++"'~'+t , , .', ,+ 1*+,..
- -f- -- -:- -- + --+- --~".
0
-- ~- --+--- f- -- -:- - - ~.f...
3600
:-i---f---f---~-~:-f---~--i---i--~}
'
:
, "
-,---+---~-.-~-
: : : .:
~.""
:. : : : : .:
.--~---~--~-~+~-
'It
.
--:---t---:-~-t1r1:i·l---:---:--:-::~C1J;'--
--~- -- +--- ~ ---:-- ~---+ ---~-- -:- - -~-- -i--+·r--
.' .''....
, , , ,+~~ i'+" , , , ,+~,~
3800
, ,, ___ ,L __ ' .
__ ,___ , ___ L ., ., ..
--~---~---~---~~~---~---~---~--~---~-~~---
__'' ___ L,, ___ ,L __ ,___ ,___ C __ _
..
~ ~ ~! ~ ~ ~
• , , , ,•• , "-I.', ,, ,, ,, •• ,, •
, , , , , • ..1
Fig. 8.12 Comparison of direction of the maximum horizontal stress inferred from drilling-induced tensile
fractures (dots) and from breakouts (crosses) in the KTB pilot hole at depths ranging between 3000 and
4000m. (After Apel, Zoback and Fuchs, 1993; reproduced by permission of K. Fuchs.)
obtained for the purpose of revealing numer- Karlsruhe and based on an interactive bore-
ous drilling-induced subvertical tensile frac- hole televiewer processing system developed
tures (Apel, Zoback and Fuchs, 1993; Zoback et at Stanford University by Barton et al. (1991).
al., 1993). A detailed analysis of these data was Analysis of the FMS data from the pilot hole
conducted using an interactive image process- revealed 200 drilling-induced near-vertical
ing system developed at the University of fractures at depths ranging between 3000 and
References 323
4000 m. Comparison of the direction of the Bell, J.S. and Gough, D.I. (1979) Northeast-
maximum horizontal stress inferred from southwest compressive stress in Alberta:
drilling-induced tensile fractures recorded by evidence from oil wells. Earth Planet. Sci. Lett., 45,
475-82.
FMSs and from breakouts is shown in Fig.
Bliimling, P. (1986) In-situ Spannungsmessung in
8.12. This figure indicates a NNW direction of Tiefborungen mit Hilfe von Bohrlochrandaus-
the maximum horizontal stress which is con- brochen und die Spannungsverteilung in der
sistent with the general stress orientation in Kruste Mitteleuropas und Australiens, unpub-
central Europe presented by Muller et aI. lished Dissertation, University of Karlsruhe,
(1992). The occurrence of the drilling-induced Karlsruhe.
subvertical fractures was explained in terms of Brereton, R. and Milller, B. (1991) European stress:
the combined effects of stress concentration contributions from borehole breakouts. Phil.
Trans. Roy. Soc. London, 337, 165-79.
(tension) around the borehole, the borehole
Brody, M. et al. (1995) Application of the integrated
fluid pressure during drilling, and thermally stress measurement strategy to the 9 km depth in
induced tensional stresses around the well- the KTB boreholes, in Proc. Workshop on Rock
bore resulting from circulation of relatively Stresses in the North Sea, Trondheim, Norway,
cold mud into the hole during drilling (Apel, NTH and SINTEF Publ., Trondheim, pp. 154--64.
Zoback and Fuchs, 1993; Brudy et aI., 1995). Cowgill, S.M. et al. (1993) Crustal stresses in the
North Sea from breakouts and other borehole
data, in Proc. 34th US Symp. Rock Mech., Madison,
REFERENCES Int. J. Rock Mech. Min. Sci. & Geomech Abstr., 30,
113-16.
Alexandrowski, P., Inderhaug, O.H. and Knapstad, Cox, J.w. (1970) The high resolution dipmeter
B. (1992) Tectonic structures and wellbore break- reveals dip-related borehole and formation
out orientation, in Proc. 33rd US Symp. Rock Mech., characteristics, in Proc. 11th Annual Logging
Santa Fe, Balkema, Rotterdam, pp. 29-37. Symp., Society of Professional Well Log Analysis,
Apel, R., Zoback, M.D. and Fuchs, K. (1993) 25pp.
Drilling-induced tensile fractures in the KTB pilot Dart, R.L. and Zoback, M.L. (1987) Well-bore
hole: supplementary information in Zoback et al. breakout-stress analysis within the continental
(1993). Unpublished paper. United States, in Proc. 2nd Int. Symp. on Borehole
Ask, M.y'S. (1996) In-situ stress determination from Geophysics for Minerals, Geotechnical, and Ground-
borehole breakouts in Denmark, unpublished water Applications, Golden, Soc. of Prof. Well Log
Licentiate Thesis, Royal Institute of Technology, Analysts Publ., pp. 1-11.
Division of Engineering Geology, Dept. of Civil Ewy, R.T. and Cook, N.G.W. (1990) Deformation
and Environmental Eng., Stockholm, Sweden. and fracture around cylindrical openings in rock
Ask, M.Y.S., Milller, B. and Stephansson, O. (1996) - 1. Observations and analysis of deformation, ll.
In situ stress determination from breakout Initiation, growth and interaction of fractures.
analysis in the Tornquist Fan, Denmark. Terra Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 27, I.
Nova (in press). 387-407, ll. 409-27.
Babcock, E.A. (1978) Measurement of subsurface Freudenthal, A.M. (1977) Stresses around spherical
fractures from dipmeter logs. Am. Assoc. Petrol. and cylindrical cavities in shear dilatant elastic
Geol. Bull., 62, 1111-26. media, in Proc. 18th US Symp. Rock Mech.,
Barton, c.B. et al. (1991) Interactive image analysis Keystone, Johnson Publishing Co., 4BI-I-4BI-6.
of borehole televiewer data, in Automated Pattern Gough, D.I. and Bell, J.S. (1982) Stress orientation
Recognition in Exploration Geophysics, Springer- from borehole wall fractures with examples from
Verlag, New York, pp. 217-42. Colorado, East Texas, and northern Canada. Can.
Baumgartner, J. et al. (1993) Analysis of deep J. Earth Sci., 19,1358-70.
hydraulic fracturing stress measurements in the Guenot, A. (1989) Borehole breakouts and stress
KTB (FRG) and Cajon Pass (USA) scientific fields. Int. J. Rock Mech. Min. Sci. & Geomech.
drilling projects - a summary, in Proc. 7th Congo Abstr., 26, 185-95.
Int. Soc. Rock Mech. (ISRM), Aachen, Balkema, Haimson, B.c. and Edl, J.N. (1972) Hydraulic frac-
Rotterdam, Vol. 3, pp. 1685-90. turing of deep wells. SPE Paper No. SPE 4061.
324 Borehole breakout method
Haimson, B.C and Herrick, CG. (1985) In-situ Symp. on Rock Mech. in Petrol. Eng., Delft,
stress evaluation from borehole breakouts: exper- Balkema, Rotterdam, 183-90.
imental studies, in Proc. 26th US Symp. Rock Mastin, L.G. (1984) Development of borehole break-
Mech., Rapid City, Balkema, Rotterdam, 1207-18. outs in sandstone, unpublished MSc Thesis,
Haimson, B.C and Herrick, CG. (1986) Borehole Stanford University, Palo Alto.
breakouts - a new tool for estimating in situ Moos, D. and Zoback, M.D. (1990) Utilization of
stress?, in Proc. Int. Symp. on Rock Stress and Rock observations of wellbore failure to constrain the
Stress Measurements, Stockholm, Centek Publ., orientation and magnitude of crustal stresses:
Lulea, pp. 271-80. application to continental, Deep Sea Drilling
Haimson, B.C and Lee, M.Y. (1995) Estimating in Project and Ocean Drilling Program boreholes. J.
situ stress conditions from borehole breakouts Geophys. Res., 95, 9305-25.
and core disking - experimental results in gran- Miiller, B. et al. (1992) Regional patterns of tectonic
ite, in Proc. Int. Workshop on Rock Stress Measure- stress in Europe. J. Geophys. Res., 97, 11783-803.
ment at Great Depth, Tokyo, Japan, 8th ISRM Onaisi, A., Sarda, J.P. and Bouteca, M. (1990)
Congress, pp. 19-24. Experimental and theoretical investigation of
Hickman, S.H., Healy, J.H. and Zoback, M.D. (1985) borehole breakouts, in Proc. 31st US Symp. Rock
In-situ stress, natural fracture distribution, and Mech., Golden, Balkema, Rotterdam, pp. 703-10.
borehole elongation in the Auburn geothermal Paillet, F.L. and Kim, K. (1987) Character and dis-
well. J. Geophys. Res., 90, 5497-512. tribution of borehole breakouts and their rela-
Jaeger, J.C and Cook, N.G.W. (1976) Fundamentals of tionship to in situ stresses in deep Columbia river
Rock Mechanics, 2nd edn, Chapman & Hall, basalts. J. Geophys. Res., 92, 6223-34.
London. Plumb, RA. and Hickman, S.H. (1985) Stress-
Koslovsky, Y.A. (ed.) (1987) The Super Deep Well of induced borehole elongation: a comparison
the Kola Peninsula, Springer-Verlag, New York. between the four-arm dipmeter and the borehole
Kramer, A. et al. (1994) Borehole televiewer data televiewer in the Auburn geothermal well. J.
analysis from the New Hebrides Island Arc: the Geophys. Res., 90, 5513-2l.
state of stress at Holes 829A and 831B, in Proc. Rutqvist, J. et al. (1990) Simulation of borehole
Ocean Drill. Proj., Science Results, Ocean Drilling breakouts with a damage material model, in Proc.
Program, College Station, Texas. Int. Symp. Rock at Great Depth, Pau, Balkema,
Kutter, H.K. (1991) Influence of drilling method on Rotterdam, Vol. 3, pp. 1439-45.
borehole breakouts and core disking, in Proc. 7th Santarelli, F.J. and Brown, E.T. (1989) Failure of
Congo Int. Soc. Rock Mech. (ISRM), Aachen, three sedimentary rocks in triaxial and hollow
Balkema, Rotterdam, Vol. 3, pp. 1659-64. cylinder compression tests. Int. J. Rock Mech. Min.
Lee, M.Y. and Haimson, B.C (1993) Borehole break- Sci. & Geomech. Abstr., 26, 401-13.
outs in Lac du Bonnet granite: a case of extensile Santarelli, F.J., Brown, E.T. and Maury, V. (1986)
failure mechanism. Int. J. Rock Mech. Min. Sci. & Analysis of borehole stresses using pressure
Geomech. Abstr., 30, 1039-45. dependent, linear elasticity. Int. J. Rock Mech. Min.
Leeman, E.R (1964) The measurement of stress in Sci. & Geomech. Abstr., 23, 445-9.
rock - Part 1. J. S. Afr. Inst. Min. Metall., 65, Shamir, G. and Zoback, M.D. (1992) Stress orienta-
45-114. tion profile to 3.5 km depth near the San Andreas
Maloney, S. and Kaiser, P.K. (1989) Results of bore- fault at Cajon Pass, California. J. Geophys. Res., 97,
hole breakout simulation tests, in Proc. Int. Symp. 5059-80.
on Rock at Great Depth, Pau, Balkema, Rotterdam, Singh, u.K. and Digby, P.J. (1989a) A continuum
pp.745-5l. damage model for simulation of the progressive
Mardia, K.V. (1972) Statistics of Directional Data, failure of brittle rocks. Int. J. Solids Structures, 25,
Academic Press, London. 647-63.
Martin, CD. (1995) Brittle rock strength and failure: Singh, U.K. and Digby, P.J. (1989b) The application
laboratory and in situ, in Proc. 8th. Congo Int. Soc. of a continuum damage model in the finite ele-
Rock Mech. (ISRM), Tokyo, Balkema, Rotterdam, ment simulation of the progressive failure and
Vol. 3 (in press). localization of deformation in brittle rock struc-
Martin, C.D., Martino, J.B. and Dzik, E.J. (1994) tures. Int. J. Solids Structures, 25, 1023-38.
Comparison of borehole breakouts from Stephansson, 0., Savilahti, T. and Bjarnason, B.
laboratory and field tests, in Proc. Eurock '94: Int. (1989) Rock mechanics of the deep borehole at
References 325
Gravberg, Sweden, in Proc. Int. Symp. Rock at Zemanek, J. et al. (1970) Formation evaluation by
Great Depth, Pau, Balkema, Rotterdam, Vol. 2, pp. inspection with the borehole televiewer. Geo-
863-70. physics, 35, 254--69.
Te Kamp, L., Rummel, F. and Zoback, M.D. (1995) Zheng, Z., Kemeny, J. and Cook, N.G.W. (1989)
Hydrofrac stress profile to 9 km at the German Analysis of borehole breakouts. J. Geophys. Res.,
KTB site, in Proc. Workshop on Rock Stresses in the 94, 7171-82.
North Sea, Trondheim, Norway, NTH and SINTEF Zoback, M.D. et al. (1985) Well bore breakouts and
Publ., Trondheim, pp.147-53. in-situ stress. J. Geophys. Res., 90, 5523-30.
Vernik, L. and Zoback, M.D. (1992) Estimation of Zoback, M.D. et al. (1993) Upper-crustal strength
maximum horizontal principal stress magnitude inferred from stress measurements to 6 km depth
from stress-induced well bore breakouts in the in the KTB borehole. Nature, 365, 633-5.
Cajon Pass scientific research borehole. J. Geophys. Zoback, M.L. (1992) First- and second-order
Res., 97, 5109-19. patterns of stress in the lithosphere: The World
Wiebols, G.A. and Cook, N.G.W. (1968) An energy Stress Map Project. J. Geophys. Res., 97,11703-28.
criterion for the strength of rock in polyaxial Zoback, M.L. et al. (1989) Global pattern of tectonic
compression. Int. J. Rock Mech. Min. Sci., 5, stress. Nature, 341, 291-8.
529-49.
CASE STUDIES AND COMPARISON 9
BETWEEN DIFFERENT METHODS
Ventilation
raise
130 station
(a)
'iii 75
a..
~
0 70
:::l
:;
"E
0 65
.0
Cl
s::: 60
:::l
~ 2 Gray granite
Legend 1: 55 ! Pink granite
•
CD
r.:::'l Pink granite ~ Thrust fault Cl
I;;:.J s:::
Gray granite • Existing excavation ~ 50
r;.'I FZ Fracture zone
0 10 20 30 40 50
Il!.I Xenolithic zone
Confining pressure (MPa)
(b)
Fig. 9.3 Variation of tangent Young's moduli at 50%
Fig. 9.1 (a) Map of the URL site, (b) generalized peak strength measured in triaxial compression on
NW-SE cross-section of the URL geology. (After 45 mm diameter samples of Lac du Bonnet granite.
Martin, Read and Lang, 1990.) (After Martin and Christiansson, 1991.)
Stress measurements at the URL project 329
Table 9.1 Summary of laboratory geotechnical properties of Lac du
Bonnet granite at the URL (Source: Martin, C.D. and Simmons, G.R.
Copyright 1993, with kind permission from Elsevier Science Ltd, The
Boulevard, Langford Lane, Kidlington, UK.)
Porosity (%)
Range 0.16-0.28 0.32-0.67
Mean 0.24 0.50
Density (kg/m3)
Mean 2640 2630
Uniaxial compression strength (MPa)
Range 134-248 147-198
Mean 200 167
Brazilian tensile strength (MPa)
Range 6.17-12.07 6.22-11.52
Mean 9.32 8.72
Tangent Young's modulus (CPa)
Range 53-86 46-64
Mean 69 55
Poisson's ratio
Range 0.18-0.44 0.13-0.43
Mean 0.26 0.30
Hoek and Brown failure parameters
m 31.17 30.54
s 1 1
observed on intact specimens ranging in size carried out from the 240 and 420 m levels and
between 54 and 300 mm in diameter with a at various locations along the shaft.
decrease in uniaxial compressive strength and
tangent modulus of elasticity with increasing
9.1.2 STRESS MEASUREMENTS
test sample diameter (Martin, Martino and
Dzik, 1994). It is noteworthy that the micro- Stress measurements at the URL have been
cracks have been observed in the laboratory conducted since 1982. Since then, an extensive
and are believed to be induced by stress relief research program has been carried out to
due to sampling. It is not clear if those same address several fundamental questions deal-
microcracks and the associated nonlinear and ing with in situ stresses in rock (Martin, Read
anisotropic behavior are prevalent in situ and Lang, 1990): (1) are in situ stresses depend-
(Martin, 1989; Martin and Simmons, 1993). ent on the scale of the method used, (2) what is
A vertical shaft was constructed in two the effect of geological structures on in situ
stages. The upper shaft was constructed to a stresses, (3) what is the importance of residual
depth of 255 m and is rectangular with a stresses, and (4) do different methods yield
2.8 X 4.9 m cross-section. The lower shaft is comparable in situ stress fields? These four
circular with a 4.6 m diameter cross-section questions were addressed by using several
and was excavated to a depth of 443 m. Shaft methods such as overcoring, hydraulic
stations were excavated at the 130, 240, 300 fracturing, borehole slotting, rock mass relief
and 420 m levels. Stress measurements were methods (under-excavation and bored
330 Case studies and comparison between different methods
raise), borehole and shaft breakouts, micro- tinuous monitoring of strains (Thompson,
seismic measurements and other indirect Lang and Snider, 1986). The new cell, called
measurements. the AECL-modified CSIR cell, has been used
extensively for measuring in situ stresses and
has become the standard method of overcore
(a) Overeoring measurements
testing at the URL. It was found to be less
Overcoring measurements have been made costly than other methods, could be overcored
with a variety of techniques such as the USBM, 1 h after installment, did not have the debond-
CSIR, CSIRO HI and SSPB gages. A total of ing problem of the CSIRO HI cell (due to low
about 1000 overcore measurements have been temperatures) and showed less scatter than
made, out of which 350 have been far-field with the SSPB gage (Martin, Read and Lang,
triaxial measurements covering a volume of 1990). Figure 9.4 shows the results of five
rock about 100 X 100 X 500 m in size (Martin consecutive overcoring tests carried out with
and Chandler, 1993). Most of the overcoring the AECL-modified CSIR cell in one borehole
measurements were carried out above Frac- on the 240 level at the URL. It can be seen that
ture Zone 2. Below that fracture zone, core the cell gives similar and consistent results
disking and microcracking were found to be (within the expected range of accuracy).
limiting factors. Biaxial tests on overcore samples of the URL
The USBM gage was modified by Thompson gray granite at the 240 m level have revealed
(1990). The new gage, called the deep borehole that, due to the microcracks, the rock is elastic
deformation gage (DBDG), was designed to but nonlinear with an increasing Young's
operate at depths to 1000 m in water-filled modulus with confining stress. For the stresses
boreholes. Tests could only be done to depths around the URL excavations, the Young's
of 280 m below surface because of core disking modulus is expected to vary from 55 to 70 GPa
(Martin, Read and Lang, 1990). in situ (Martin, Read and Lang, 1990). The
The CSIR gage was also modified for con- same microcracks have been found to create
N
(a) (b)
30
ai' 25
a..
~ 20
'-'
(j) 15
(j)
UJ 10
II:
t; 5
O~--~----~----~----~--~
12.0 12.5 13.0 13.5 14.0 14.5
DEPTH (m)
Fig. 9.4 Results of five consecutive overcoring tests conducted in borehole OC1 on the 240 level at the URL
using an AECL-modified CSIR triaxial strain cell. (a) Principal stress magnitudes, (b) principal stress
orientations. (After Martin and Simmons, 1993.)
Stress measurements at the URL project 331
planar anisotropy as well. The anisotropy was modified CSIR cell, the stress results from
modeled as transverse isotropy with the plane overcoring with a 96 mm diameter bit were not
of transverse isotropy parallel to the average significantly different from those with 150 and
plane of microcracking. The rock's secant 200 mm diameter bits. Furthermore, overcor-
Young's modulus in the direction perpendicu- ing of overcores was also carried out to deter-
lar to the plane of rock anisotropy is 30 GPa, mine the existence of residual stresses in the
which is about 50% of that in the direction granite and their relative proportion compared
parallel to the plane. The Poisson's ratios par- with the in situ stresses. The measured residual
allel and perpendicular to the plane of aniso- stresses were found to be less than 1.0 MPa and
tropy are equal to 0.25 and 0.15, respectively to range between 1.5 and 3.5% of the total
(Martin and Simmons, 1993). stresses, thus making residual stresses negli-
It is interesting to note that, in this case gible. This conclusion was confirmed with
study, the microcrack-induced anisotropy was other measurements carried out by Read
quantified through both biaxial tests on over- (Martin and Simmons, 1993) using concentric
cores and uniaxial tests on core samples cut measurements for diameters of up to 600 mm.
in different directions (Martin, 1989). For
example, Fig. 9.5 shows the results of biaxial
(b) Rock mass relief methods
tests conducted on the gray granite. The rock's
secant Young's modulus was determined by The rock mass relief methods used at the URL
rotating the USBM gage in 15° increments and included the bored raise method and the
by repeating the biaxial test for each gage under-excavation technique. Both methods
orientation. A good agreement was found involve the largest volume of rocks tested for
between the directions of the maximum and in situ stress at the URL, with estimated values
minimum secant Young's moduli determined of the order of 1Q3_1Q4 m 3 (Martin, Read and
on the same rock by biaxial and uniaxial test- Chandler, 1990). The results of those tests have
ing (Martin, 1989). been found particularly important in assessing
Lang, Thompson and Ng (1986) conducted the effect of scale on in situ stress.
an extensive field study on the effect of over- The bored raise tests were reported by
core diameter on the magnitude and orienta- Chandler (1993). The in situ stresses were
tion of in situ stresses at the URL. They found determined by overcoring strain rosettes
that for the USBM gage and the AECL- located on the surface of the 1.8 m diameter
ventilation raise of Fig. 9.2 in between Fracture
60r-'--r-.--r-'--r-.--r-'--r-.~ Zones 2 and 2.5 and at an elevation of about
55 ""'--'LJ'Ooo....,-., 220 m. The test configuration is shown in Fig.
9.6a. Four strain rosettes consisting of 120 mm
~ 50 long strain gages were recessed 10-20 mm into
<tI
•
200 mm diameter flattened surface 240 m level (Kaiser, Zou and Lang, 1990; Zou
0 mm diameterovercore and Kaiser, 1990) and the ventilation shaft by
....... :.: . :"':';:-.,,::::> Strain gage rosette
;;{{ "::.\ 0 100 mm
raise boring from the 420 m to the 240 m level
:;::;: :::.;:;: L..J (Wiles and Kaiser, 1994a, b). Figure 9.6b shows
;;:':\" . /'''::;;; Seele
:::::<::::(::::' ~
the geometry of the test at the 240 m level. In
this test, eight CSIRO HI cells (two in the roof,
Rosette gages
two in the floor, and two near each springline)
j/~,
were placed in a plane ahead of the advancing
drift (3.9 m X 3.6 m finished) by drilling holes
angled slightly outward. The distance from
2 each cell to the wall of the opening varied
between 0.85 and 2.28 m. The strains in the
cells were monitored until the excavation had
stress determination
o 0.5 m passed the instrument locations by about
!l L-J
Scale 25 m. The in situ stresses were determined
Ventilation raise cross-section using a two-dimensional analysis by Kaiser,
Zou and Lang (1990) and a three-dimensional
(a)
analysis by Wiles and Kaiser (1994a).
During excavation of the ventilation shaft,
the in situ stresses were again determined
using eight CSIRO HI cells placed ahead of
the upward-advancing 1.8 m bored raise.
Three-dimensional back-analysis of the in situ
stresses was done on 1 m intervals as the raise
borer passed within 10 m on either side of the
instrument array (Wiles and Kaiser, 1994b).
Fl
The test results for the bored raise tests, the
Section
, , , F2
I
nearby AECL-modified CSIR overcoring tests
lB.2 20 25 30 and the two-dimensional under-excavation
Chainage (m) analysis for room 209 are summarized in Fig.
.-1 N2
9.7. Except for the bored raise method, the
orientations of the principal stresses are quite
consistent. Also, the stresses determined with
the bored raise method tend to be higher than
those determined with the AECL-modified
CSIR cells (except for the three orthogonal
holes where they are similar). The magnitudes
-----------I+---------~·ISl
---:Fr=a=ctu~~~~~·L---------~~ 52
of the stresses determined with the two-
Plan
L Triaxial strain
cel! location
dimensional underexcavation technique are in
good agreement with those determined with
(b) the bored raise method and those determined
with the CSIR cells in the three orthogonal
Fig. 9.6 Rock mass relief tests at the URL. (a) Plan holes.
view of bored raise test configuration. (After
Chandler, 1993.) (b) Longitudinal and plan view of (c) Borehole slotters
the under-excavation technique used in the excava-
tion of the 209 experimental drift at the 240 m level. Borehole slotter tests at the URL were reported
(After Kaiser, Zou and Lang, 1990.) by Martin, Read and Lang (1990). It was
Stress measurements at the URL project 333
FRACTURE
ZONE 1.9
~AE/MS
BOREHOLES
,, ,, " cr hMax
,, ,,
,,
,,, ,,,
,, ,,
~ ..!
300 STATION
SECTION PLAN
(a) (b)
Fig.9.S (a) Layout of acoustic emission (AE) and microseismic (MS) monitoring system; (b) results from
the monitoring of microseismic events for a shaft depth of 348.4 m. (After Talebi and Young, 1989.)
hand, below Fracture Zone 2, the V-shaped situ state of stress and the interpretation of the
notches were found in the NE-SW direction, stress measurements at the URL site (Martin
thus indicating a 90° rotation with the maxi- and Chandler, 1993).
mum horizontal stress now oriented in the Inclusion of microcrack-induced anisotropy
NW-SE direction. in the analysis of stress measurements in the
The convergence measurements were taken gray granite at the 240 level has been found to
at 10 m intervals during excavation of the create less dispersion in the in situ stress
circular shaft from the 225 m to the 443 m results. Also, inclusion of anisotropy creates
depth. Back-analysis of the shaft convergence rotation of the in situ stress field compared
measurements using the Kirsch solution for with isotropy. Both trends have already been
the displacements around a circular opening discussed in section 5.7.2. However, as men-
were used to determine the orientation and tioned earlier, it is not clear if the anisotropy
magnitudes of the horizontal stresses below observed in the laboratory is also present in
Fracture Zone 2 where hydraulic fracturing situ under the stress field. Nonetheless, it is
and overcoring tests had been found unsuc- clear that if anisotropy is not accounted for in
cessful. The convergence measurements indi- the analysis of overcoring tests, large errors
cated a NW-SE direction for the maximum would result.
horizontal stress. Figure 9.9a, b shows the orientation of prin-
cipal stresses measured by overcoring in the
vicinity of a steeply dipping single discrete
9.1.3 OBSERVATIONS
fracture intersecting room 209 at the 240 level.
Near the fracture (Fig. 9.9a), the minimum
(a) Influence of geological structures
principal stress is essentially subhorizontal
Geological structures at different scales, such and perpendicular to the fracture surface. On
as microcracks in the granite, single discrete the other hand, 30 m away from the fracture
fractures and the thrust faults of Fig. 9.1b, have (Fig. 9.9b), the same stress has rotated and is
been found to have a major impact on the in now vertical.
Stress measurements at the URL project 335
N N
Room
209 fractu re
Fig. 9.9 Orientation of principal stresses measured by overcoring in the vicinity of a single discrete fracture
intersecting room 209 at the 240 level at the URL site. (a) Stress orientation near the fracture, (b) stress
orientation 30 m away from the fracture. (After Martin and Chandler, 1993.)
Well-defined domain boundaries have been allows for slip along Fracture Zones 2, 2.5 and
found between the major thrust faults. In each 3 (Chandler and Martin, 1994).
domain the stress field is essentially continu- Figure 9.11 shows the effect of Fracture
ous. In particular, above Fracture Zone 2 Zone 2 On the variation with depth of the
(which intersects the URL shaft at about minimum in situ stress component (J3 (com-
280 m) the major principal stress is horizontal monly equivalent to the vertical stress) nor-
with an azimuth of 040° and is parallel to the malized by the overburden stress yz (with
major joint set in the pink granite and the y = 0.026 MPa/m). Around Fracture Zone 2,
strike of Fracture Zone 2. Starting below Frac- the ratio (J3/YZ is about equal to 2 and
ture Zone 2.5, and in particular after crossing approaches a value of 1 above and below that
Fracture Zone 2 and down to a depth of 429 m, fracture zone. It has been suggested that this
the maximum horizontal stress increases and increase in vertical stress could be associated
experiences a 90° turn with an azimuth of 130° with a thinning and stiffening of Fracture
to become parallel to the dip direction of Frac- Zone 2 near the URL shaft (Martin and Chan-
ture Zone 2 (Fig. 9.10a, b). As remarked by dler, 1993).
Martin and Chandler (1993), the 130° orienta-
tion coincides with the overall orientation of
(b) Consistency in stress measurements
the stresses in the western part of the
with different methods
Canadian Shield. Below Fracture Zone 2, the
maximum horizontal stress is fairly constant In general, consistency was found between the
with a value of about 55 MPa. The rotation of stress measurements carried out with different
the maximum horizontal stress and the con- direct and indirect methods at the URL site.
stant value below Fracture Zone 2 were pre- Above Fracture Zone 2, a good agreement
dicted using a discrete element plane strain was found between the magnitudes of the
model of the rock mass at the URL which maximum and minimum horizontal stresses
336 Case studies and comparison between different methods
determined by hydraulic fracturing and of the maximum horizontal stress determined
overcoring (Fig. 9.12a). However, the stress with the convergence method, the micro-
orientations determined by the two methods seismic method and the shaft failure. All these
did not agree (Fig. 9.12b). Below Fracture Zone methods indicate a rotation of the maximum
2, and because of many instances of horizontal horizontal stress of about 90°.
hydraulic fractures, the agreement between There is also consistency between the results
overcoring and hydraulic fracturing was of the rock mass relief methods and the bore-
found to be not as good, in particular for hole relief methods. This is shown in Fig. 9.10
the maximum horizontal stress. The 040 0 where the results of the three-dimensional
orientation of the maximum horizontal stress analysis conducted by Wiles and Kaiser
is consistent with the orientation of the shaft (1994b) for room 209 and the ventilation shaft
wall failure observed immediately above Frac- have been added to the other stress measure-
ture Zone 2 and continuing until Fracture ments. The consistency between the results of
Zone 1.9. the bored raise tests and those of the borehole
Below Fracture Zones 2 and 1.9, a very good tests has already been discussed in relation to
agreement was found between the orientation Fig. 9.7.
r ,."'"
F.Zs 2 and 1.9 ~~~ F.Zs 2 and 1.9 :2.
300 300 0
Legend ~g) 00 O~ Subhorizontal .s
o Overcoring cJ;<x»<
• 0
• • • fractures+-" '_ ~.
350 • ConvergenceO
+ Hydraulic x X~ >C
350
~.. possi,,"e
III:
a:
:..:
fracturing XX ' X P....... ....
III.
+. •
400 400 error, typo -t-t---"t"-
X Microseismic • <!l :
+OUET e+ --+ .......
.......'.~"
450 450
(a) (b)
Fig. 9.10 Summary of maximum horizontal stress orientation in (a) and magnitude in (b) for different
stress measuring techniques. (After Martin, Read and Lang, 1990.) The results of the under-excavation
technique (UET) have been added (see Wiles and Kaiser, 1994b).
Stress measurements at the URL project 337
(c) Scale effects
0'3
All the stress measurements at the URL
Ratio = ----::-=_:----::::---.-- involve volumes ranging over several orders
0.026 MPa/m • Depth
of magnitude from 0.1 m 3 to 105 m 3 . The
o 1 234 5 volume of rock involved in each test was
calculated assuming that a hole of diameter 0
50 affects a cylinder of rock 60 in length and 30
in radius. Figure 9.13 shows the variation of
100 the first stress invariant (sum of the principal
stresses) versus rock volume for the different
150 stress measurements carried out at the URL.
This figure indicates that, on average, the
g 200~_~~~~~~~ magnitude of the stress field is not much
affected by the rock volume, with more scat-
~
~ 250 ter for smaller volumes and less scatter for
I-"o._~-.=....:r:;;-....:::~;,~-,
larger volumes (Martin, Read and Chandler,
300 1990).
Apart from the fact that there are fewer tests
350 involving large rock volumes, the larger scat-
ter for the smaller rock volumes can be attrib-
400 uted to variability in the material properties at
the local scale. As remarked by Chandler
(1993), the overcoring tests with the CSIR cells
Fig. 9.11 Variation of Ci3/YZ with depth at the URL involved strain measurements over a length of
site. (After Martin and Chandler, 1993.) 10 mm whereas the bored raise measurements
(a) (b)
Fig. 9.12 Comparison between maximum and mlllimum horizontal stress magnitudes in (a) and
orientation of maximum horizontal stress in (b) determined by hydraulic fracturing and overcoring above
Fracture Zone 2 where the hydraulic fractures were coaxial with the borehole. (After Martin and Simmons,
1993.)
338 Case studies and comparison between different methods
80
1- 96 mm overcore LEGEND (d) Stresses at the URL versus stresses in
.----
Mean
CJ)as • 150 mm overcore
-- Best Fit
the Canadian Shield
CJ)D.. 70
W::i:
CC- • • 600 mm overcore Figure 9.14 shows the distribution of the maxi-
~~
CJ)Z
~~
60 • I --_ ....: ,
Vent raise
mum horizontal stress with depth measured at
,
CJ)CC , the URL compared with other stress measure-
CC<
->
u..z 50 / • ments reported for the Canadian Shield. This
Underexcavation
• figure clearly shows much higher stresses at
40 • shallow depths at the URL compared with the
10.3 10.2 10.1 10 0 101 10 2 10 3 10 4 10 5
rest of the Canadian Shield. It also shows that
VOLUME (m 3)
below Fracture Zone 2 the maximum hori-
Fig. 9.13 Summary of effect of scale on first stress zontal stress is essentially constant and
invariant. (After Martin, Read and Chandler, 1990.) approaches with depth the shield trend line.
Martin and Chandler (1993) attributed the
much higher horizontal stresses at the URL to
involved 120 mm strain gages. The longer the the presence of Fracture Zone 2 and the
strain gages, the smaller the effect that can be contrast in rock mass deformation moduli
expected from the 2-5 mm grain size of the between the softer jointed pink granite and the
granite. underlying stiffer gray granite.
200 • Underexcavation
0 URL overcoring
I
FZ2
,, Hydraulic fracturing
,
-
400
E
* H
~
+ Range
+ Canadian Shield
"*" '+
J: + "*I-+.f:\+ + Ed = URL deformation
I- 600 + \+ trend line modulus
a.. + \+-N-+ ~
c:
W
Q
*\
+\ + ....
<IS
Cl
800 -H+\
\
60 Q)
Shield + \ + + .2:
./'''\ VI
VI
trend line +;J + <IS
\ :::
1000 + ++1-t+- +++
+ ~ + +
,
1200
Fig. 9.14 Comparison of the maximum horizontal stress 0"1 measured in the Canadian Shield with the
values determined at the URL. (After Martin and Chandler, 1993.)
Comparison between different overcoring techniques 339
An early example of comparison between induced by the excavation of the drift from the
two different overcoring techniques was pre- total rock deformation.
sented by Van Heerden and Grant (1967). This Several examples of comparison of over-
case study is interesting as it represents one of coring stress measurements have also been
the first records and experience with both the reported as part of block tests associated with
USBM gage and the CSIR Doorstopper. Both potential nuclear waste repositories. The main
instruments were used to determine stresses in idea behind block tests is to apply known
a Canadian uranium mine. Three horizontal loads on the side of a large block of rock and
and parallel holes, two with a length of 30 ft measure the stresses at different points inside
(9 m) and one with a length of 19 ft (6 m), were the block. The measured stresses are then
drilled in the sidewall of a drift located at a compared with the applied stresses.
depth of 1400 ft (427 m) in the mine. Overcoring At the Near-Surface Test Facility of the
was carried out in two holes instrumented with Basalt Waste Isolation Project (BWIP) near
the CSIR Doorstopper and one hole instru- Hanford, Washington, Gregory et aI. (1983a, b)
mented with the USBM gage. The distance tested five different overcoring techniques
between two consecutive measurements in each (USBM gage, CSIRO HI cell, LuH gage, the
hole varied between 2 and 5 ft (0.6 and 1.5 m). CSIR cell and the photoelastic hollow inclu-
Figures 9.16a and 9.16b show respectively the sion gage) in a cubical block of fractured basalt
variation with distance of the major and minor 2.0 m in size cut in a vertical wall and loaded
principal stresses in the plane perpendicular to by flat jacks (Black and Cramer, 1983). The
the holes, and Fig. 9.16c shows the variation results of 42 overcoring tests showed that all
with distance of the orientation of the major five overcoring techniques were unsuitable for
principal stress from the vertical. In general, the closely jointed Goint spacing between 0.1
Figs 9.16a-c indicate a relatively good agree- and 0.2 m) nature of the rock found at the site.
ment between the two stress measuring meth- Another program of block test stress
ods with greater scatter deeper within the rock measurements was reported by Brown, Leijon
mass. It should be noted that the measured and Hustrulid (1986) regarding an 8 m 3 block
stresses in this case study are not necessarily the of jointed gneiss at the Colorado School of
in situ stresses since it does not seem that the Mines Experimental Mine in Idaho Springs,
authors separated the rock deformation Colorado. The block was in the floor of the
Comparison between hydraulic fracturing and overcoring techniques 341
Scale Legend
o 10 20 m CSIRO gage LuH gage
•
~
01 0
02 0
•
03 6
"
() Mean value of 01
Fig. 9.15 Comparative study between CSIRO HI and LuH triaxial overcoring stress measurement
techniques in the Luossavaara mine, northern Sweden. Measured principal stress directions are presented
in lower hemisphere, equal area projections. (After Leijon and Stillborg, 1986.)
mine and was intersected by three major and under uniaxial loading, the USBM gage
fractures. Stresses were measured in EX and stress results were at least 20% higher than
NX boreholes using the USBM gage and the those obtained with the LuH gage. Finally,
LuH triaxial strain gage under uniaxial side three-dimensional analysis of the LuH gage
loading (in the E-W and N-S directions) and measurements revealed that the tested block
biaxial loading. Figures 9.17a and 9.17b give was indeed under a uniaxial or biaxial stress
two examples of measured stresses with the field and that the local principal stresses at the
USBM gage and LuH gage, respectively. Both measurement points in the block were close to
figures show similarities in stress distribution the vertical and horizontal directions.
(except for two circled points in Fig. 9.17b) and
consistency between the direction of applied 9.3 COMPARISON BETWEEN HYDRAULIC
stress and the stress directions in each part of FRACTURING AND OVERCORING
the block. Stress magnitudes were found to be TECHNIQUES
more variable due to existing fractures in the Haimson (1981) presented several case his-
block. It was also found that, on average tories in which the results of stress
342 Case studies and comparison between different methods
8000 (a)
...J
«o..:=:- - - 0- - CSIR STRAIN CELL
-rn 6000
Uo..
,,
z~ \
etcn 0...'0. ,,
o..cn 4000
[CW 'Q.'O-o_o-o- -0- --0'
o~ 2000
~cn
::!!
a North-South Loading North-South Loading
et~
o..w 4000
[C[C
01-
zcn
~ 2000
W - Ol 40
[C[Ca>
_0..-0
0 ~
o 10 20MPa o 10 20 MPa
Fig. 9.16 Variation of major principal stress in (a),
(a) (b)
minor principal stress in (b), and orientation of the
major principal stress from vertical in (c) with dis- Fig. 9.17 Principal stress directions measured with
tance, measured with the USBM gage and the CSIR the USBM gage in (a) and the LuH gage in (b), in a
Doorstopper. (After Van Heerden and Grant, 1967.) block at the Colorado School of Mines Experimental
Mine in Idaho Springs, Colorado. (After Brown,
Leijon and Hustrulid, 1986.)
measurements obtained by hydraulic fractur-
ing were compared with those obtained by
overcoring. The case studies discussed here well. Table 9.3 gives a summary of the hori-
include the Nevada Test Site, the Helms zontal stress comparisons. Based on this table,
pumped storage project in California, the Bad the following conclusions were reached by
Creek pumped storage project in South Car- Haimson (1981).
olina, the Near-Surface Test Facility of the
BWIP at Gable Mountain near Hanford, Wash- • The directions of the horizontal stresses
ington, and the Stripa project in Sweden. In determined by the two methods are within
general, stresses were measured at depths not :!: 10°.
exceeding 400 m. • The magnitudes of the minimum horizontal
For each site and at comparable depths, the stress are within :!:2 MPa, which is equiva-
orientation and magnitude of the in situ stres- lent to a discrepancy of up to 30% of the
ses determined by overcoring and hydraulic minimum horizontal stress determined by
fracturing were found to compare relatively hydraulic fracturing.
Comparison between hydraulic fracturing and overcoring techniques 343
Table 9.3 Comparison between overcoring and hydraulic fracturing measurements
of horizontal stresses at five different sites (after Haimson, 1981)
• The magnitudes of the maximum horizontal presented later by Haimson (1983). The latter
stress are within :±:5 MPa, which is equiva- used the results of three sets of hydraulic
lent to a discrepancy of up to 50% of the fracturing stress measurements and two sets
maximum horizontal stress determined by of overcoring stress measurements conducted
hydraulic fracturing. A high discrepancy by five different groups over a period of 10
was however observed in the stress years at different locations at the Nevada Test
measurements at Gable Mountain. Site including Yucca Mountain, Rainier Mesa
• The inclination of the overcoting principal and the Yucca flat. Also, additional in situ
stress axes is usually within 30° of the verti- stress-related information could be derived
cal and horizontal directions. from borehole wall spalling, oriented cores
and focal mechanisms. As a basis for compari-
A more detailed comparison of stress son, Table 9.4 gives the results of the different
measurements at the Nevada Test Site was stress measurements at the Nevada Test Site
Table 9.4 Comparison between all in situ stress measurements and indicators at the
Nevada Test Site (normalized for a depth of 400 m; after Haimson, 1983)
UHmax (Jhmin
HF, hydrofracturing; OC, overcoring; ORC, oriented core; HS, hole spalling; PMS, focal mechanism
solution; RM, Rainier Mesa; YM, Yucca Mountain; YP, Yucca flat; NTS, Nevada Test Site.
344 Case studies and comparison between different methods
normalized for a depth of 400 m and expressed Chopra (1986). Hydraulic fracturing tests were
in terms of maximum and minimum hori- carried out in granite at three sites in Australia
zontal stresses and vertical stress. and at depths not exceeding 170 m. The stress
Table 9.4 shows, first, good agreement measurements were compared with in-
between the different methods at a given site dependent overcoring measurements made at
such as Rainier Mesa. There the average shallower depths with the USBM gage and
maximum horizontal stress is 8.2S MPa CSIRO HI cell. At each site a good agreement
(:::I:0.6SMPa) at N3soE (:::1:10°). The minimum was found between the orientation of the
horizontal stress is equal to 2.9 MPa maximum horizontal principal stresses deter-
(:::I:O.4SMPa) at NSSoW (:::1:10°) and the vertical mined by overcoring and hydraulic fracturing.
stress is equal to 6.8MPa (:::I:O.SSMPa). The In a more recent paper, Enever, Walton and
overall stress regime varies from normal to Wold (1990) again found good agreement
strike-slip faulting. Table 9.4 also shows that between the overcoring and hydraulic fractur-
the stress measurements at Yucca Mountain ing test results for various low-permeability
are consistent with those of Rainier Mesa rocks, if the difference between the crack initi-
despite the SO km distance between the two ation and crack reopening pressures measured
sites. At Yucca Mountain the minimum hori- in the field (instead of small test holes in the
zontal stress is oriented at N600W (:::1:10°), laboratory) was used as a measure of tensile
which is only So from the direction at Rainier strength. Table 9.S gives a summary of the
Mesa. Finally, Table 9.4 indicates a good average minimum in situ stress magnitudes
agreement between the measured horizontal determined during side by side comparison of
stresses and those estimated from indirect overcoring and hydraulic fracturing test
methods such as the focal mechanism, ori- results.
ented core and hole spalling techniques. Hudson and Cooling (1988) and Cooling,
Another example of comparison of stress Hudson and Tunbridge (1988) reported an
measurements by hydraulic fracturing and extensive program of in situ stress measure-
overcoring was reported by Enever and ments by overcoring and hydraulic fracturing
in the Carnmenellis granite in the extreme urement conducted by Pine, Tunbridge and
southwestern part of Britain. The overcoring Kwakwa (1983a, b): overcoring tests with the
tests were carried out in a drift mine at CSIRO HI cell and the USBM gage in the South
Carwynnen and the hydraulic fracturing tests Crofty mine at a depth of 790 m and hydraulic
were conducted in two boreholes (A and B) fracturing tests at depths of 2000 m as part of a
100 m apart in an adjacent quarry. All tests geothermal project at the Rosemanowes
were essentially carried out in competent quarry.
granitic rock. The overcoring stress measure- Table 9.6 and Figs 9.18 and 9.19 indicate
ments were made with the CSIRO HI cell, the good agreement among the overcoring or
INTERFELS CSIR-type triaxial strain cell and hydraulic fracturing tests at the Carwynnen
the USBM gage at a depth of 34 m. The site, good agreement between the results of the
hydraulic fracturing tests were carried out at overcoring and hydraulic fracturing tests at
depths of 74, 122 and 642m. The test results that site, and good agreement with the stress
are summarized in Table 9.6 and are shown in measurements at the other two sites reported
Figs 9.18 and 9.19. In both figures, the by Pine, Tunbridge and Kwakwa (1983a, b). It
measured stresses are compared with the is noteworthy that all test results show that the
results of two other campaigns of stress meas- vertical and horizontal stresses are essentially
Table 9.6 Stress measurement results in the Carnmenellis granite (Source: Cooling, CM., Hudson, J.A. and
Tunbridge, L.W. Copyright 1988, with kind permission from Elsevier Science Ltd, The Boulevard, Langford
Lane, Kidlington, UK)
Tl
~2
3
·1 45°
2
~T3
·3
W E
Fig. 9.18 Orientation of principal stresses measured in the Carnmenellis granite. (Source: Cooling, CM.,
Hudson, J.A. and Tunbridge, L.w. Copyright 1988, with kind permission from Elsevier Science Ltd, The
Boulevard, Langford Lane, Kidlington, UK.)
principal stresses and very consistent results has been confirmed further by additional
are obtained for the horizontal principal stress measurements and analyses by Haimson et aI.
orientation with dominant NW-SE and (1989) and Pine, Jupe and Tunbridge (1990).
NE-SW directions. It is interesting to note also
that the hydraulic fracturing tests at the
9.4 COMPARISON BETWEEN HYDRAULIC
Carwynnen site indicate a change in stress
METHODS
regime with depth, with the minimum princi-
pal stress being vertical at depths of 74 m and
9.4.1 HYDRAULIC FRACTURING AND HTPF
122 m and becoming horizontal at 642 m.
METHODS
Table 9.6 and Figs 9.18 and 9.19 also show
that the consistency in stress magnitude is not As a validation of the hydraulic test on pre-
as good as for the stress orientation but is existing fractures (HTPF) method for stress
however very acceptable considering the determination, Cornet and Va1ette (1984) used
volume of rock involved. This consistency the results of hydraulic fracturing tests
between overcoring and hydraulic stress obtained by Haimson (1980) at the Waterloo
measurements in the Carnmenellis granite test site in Wisconsin. That site was selected
Comparison between hydraulic methods 347
,
~ of the maximum horizontal principal stress
100
°Ol } BOREHOLE A
obtained with the HTPF inversion method
\ \
200 \
\
were found to be large, thus making the stress
\ determination not well constrained.
\
\
\
300
\ \
\
Ljunggren and Raillard (1987) made a
\ detailed comparison between HTPF results
\
I
400 I
E
\
I
and those obtained by conventional hydraulic
I
I- 500
I
I
I
fracturing in a vertical borehole at Gidea about
Il.
W
I
I
480 km north of Stockholm, Sweden. Gidea is
0
one of the selected test sites for investigation
600
\ 10 ~o ° } of final disposal of Swedish high-level radio-
700 \ 0 0 BOREHOLE B active waste in crystalline rock. Conventional
hydraulic fracturing stress measurements
800 were conducted by Bjarnason and
H
" \ cr
I
Stephansson (1986). Later, Ljunggren and
900 I
I Raillard (1986) conducted HTPF rock stress
\
1000
I.
cr; = measured
measurements in the same borehole at depths
cr vt = calc. = yh
ranging between 90 and 270 m. The results of
the field tests are reported in Table 9.7.
== }~ ~~
•
} Results from tests at Carwynnen
and hydraulic fracturing were found to be stresses SH, Sh and Sv determined by hydraulic
almost identical. fracturing is shown in Fig. 9.20. This figure
A three-dimensional analysis was carried shows the following trends: (1) the stresses 0'1
out assuming now that tensors S and a in and SH are nearly equal in magnitude with a
equation (4.96) each had six unknown com- maximum difference of about only 0.5 MPa,
ponents. Thus a minimum of 12 tests were (2) the magnitudes of 0'2 and Sh are very close
required to reach a solution. In practice, a with a maximum difference of about 1.0 MPa,
minimum of 15 tests are needed for the com- and (3) the vertical stress Sv calculated from
plete determination of the three-dimensional the weight of the overburden does not agree
stress field. To fulfill this requirement, perfectly with 0'3. However, as shown in Fig.
Ljunggren and Raillard (1986, 1987) selected 9.20, in the interval where 0'3 is almost vertical
four conventional hydraulic fracturing test (Le. 150-250 m), a good agreement in magni-
data and included them in the HTPF analysis. tude is obtained.
From the results of the HTPF inversion pro- The variation with depth of the orientation
cess, the principal in situ stresses 0'1, 0'2 and 0'3 of 0'1 and SH from north for the Gidea borehole
and their orientation were determined for is presented in Fig. 9.21. For the three-
depths ranging between 93.3 and 267.9 m. dimensional HTPF model, the orientation of
Comparison of 0'1, 0'2 and 0'3 with the principal 0'1 is N600E at a depth of 90 m and rotates
Comparison between hydraulic methods 349
Table 9.8 Calculated in situ stress magnitude and the same orientation for the maximum princi-
orientation at borehole Gi-l, Gidea, Sweden. pal stress.
(Source: Ljunggren, C. and Raillard, G. Copyright The orientation of the principal stresses
1987, with kind permission from Elsevier Science
Ltd, The Boulevard, Langford Lane, Kidlington, from stress measurements in boreholes is
UK) usually presented using the stereographic pro-
jection where each individual stress vector is
Direction represented by a point on the stereonet. If the
Depth aH ah ofaH stress magnitude and orientation are to be
(m) (MPa) (MPa) (deg) presented together, the method used by
Ljunggren and Raillard (1986, 1987) for the
100 6.5 4.5 14
125 7.1 6.0 -9 results obtained at Gidea is recommended
150 8.4 6.9 -40 (Fig. 9.22). The state of stress at a point in space
175 10.1 7.3 -49 is viewed from above and each stress vector is
200 11.9 7.7 -53 projected onto the horizontal plane. The
225 13.6 8.1 -55 length of the vector is proportional to the
250 15.4 8.5 -56 magnitude of the individual stress vector. The
dip of the stress vector is governed by the fan-
shaped symbol at the tip of the stress vector.
clockwise to become N1200E at a depth of An open fan indicates a vertical dip of the
250 m. This agrees fairly well with the orienta- principal stress vector. A complete representa-
tion of the hydrofractures, particularly in tion of the state of stress versus depth in the
the upper part of the profile. At a depth of Gidea borehole is obtained by combining the
250 m, both the two-dimensional and three- information presented in Figs 9.20-9.22.
dimensional HTPF models were found to give
100 : 0 0 SH (HF)
100
0 • cr, (HTPF)
I..r::. 150 :
g
0
aQ) ~
II)
0
Cl 200 : 0 0
200
250 :
.-
0
300 . 300
A
100m
magnitude bearing dip
(MPa) (0) (0)
0, 6.8 242 15
°2 4.4 340 25
03 1.5 125 61
125m
magnitude bearing dip
(MPa) (0) (0)
0, 7.2 248 11
°2 5.5 341 18
03 2.6 125 70
~
150m
magnitude bearing dip
(MPa) (0) (0)
0, 7.7 259 7
°2 6.5 351 14
03 3.5 128 79
175m
magnitude bearing dip
(MPa) (0) (0)
0, 8.5 276 2
°2 7.5 7 9
°3 4.2 161 86
200m
magnitude bearing dip
(MPa) (0) (0)
0, 9.8 109 4
°2 8.1 198 2
03 4.8 240 84
225m
~~
magnitude bearing dip
(MPa) (0) (0)
0, 11.1 115 8
°2 8.7 24 6
03 5.3 253 80
250m
magnitude bearing dip
(MPa) (0) (e)
0, 12.6 118 11
°2 9.3 26 10
03 5.8 255 76
Fig. 9.22 Three-dimensional state of principal stress and orientations at borehole Gi-1, Gidea, Sweden.
(Source: Ljunggren, C. and Raillard, G. Copyright 1987, with kind permission from Elsevier Science Ltd,
The Boulevard, Langford Lane, Kidlington, UK.)
Comparison between hydraulic methods 351
Well pressure
Time
Fig. 9.23 Strip chart of well pressure and well flow versus time in a cyclic hydraulic jacking test for
determination of virgin stress normal to a fracture. (After Rutqvist and Stephansson, 1996.)
shut-in analysis, in particular when it is diffi- test and numerical modeling, the hydraulic
cult to determine the shut-in pressure. If the aperture of the fracture, the fracture normal
method is combined with a fast pressure pulse stiffness and the stress dependency of the
fracture transmissivity can be determined
14 more accurately (Rutqvist, 1995b).
13
9.5.3 CAJON PASS SCIENTIFIC DRILL SITE, maximum horizontal stress were derived from
CALIFORNIA the borehole breakouts.
The ultrasonic borehole televiewer was
Knowledge of in situ stresses is very important used to re-create precisely borehole shapes
when predicting shear stresses acting on major with a resolution of 1 cm vertically and 1 mm
crustal faults such as the San Andreas fault. radially, when the data quality was good. A
Zoback and Healy (1992) reported in situ stress special study of 32000 breakouts in the Cajon
measurements conducted in two holes at the Pass well by Shamir and Zoback (1992)
Cajon Pass drill site in southern California. yielded the minimum horizontal principal
The stress measurements were made down to stress orientation over a depth range of
a depth of 1.3 km in one hole and to a depth of 1.7-3.5 km. The average direction of maxi-
3.5 km in the deepest hole. One of the main mum horizontal stress SHmax determined from
objectives of that project was to understand the ubiquitous borehole breakouts in the
better how weak the San Andreas fault is in its lower half of the deepest borehole at the Cajon
southern part. Indeed, a large amount of data Pass site was found to be N57°E::!: 19° (Fig.
in central California had shown that the direc- 9.26). The breakouts were also found to be
tion of maximum horizontal compression was essentially orthogonal to the hydrofracs, thus
almost perpendicular to the strike of the San giving consistent orientation for the horizontal
Andreas fault, thus indicating that there is principal in situ stresses. It is noteworthy
extremely little shear stress on the fault. Before that the average direction of the San Andreas
the Cajon Pass project, no clear pattern of fault in the region of the Cajon Pass is N60°W.
fault-normal compression had been seen in According to Zoback and Healy (1992), these
southern California. The Cajon Pass project orientations indicate that the San Andreas
was also designed to address the so-called fault is quite weak with a complete absence of
'San Andreas stress/heat flow paradox', i.e. right-lateral shear stress resolved on planes
the discrepancy between the shear stresses parallel to the N600W-striking fault.
along the fault predicted by the Mohr- Figures 9.27a and 9.27b show respectively
Coulomb faulting theory with variations of the minimum and maximum
laboratory-determined coefficients of friction horizontal stresses with depth obtained with
of 0.6-1.0 and the shear stresses inferred from the different stress measurement methods at
various heat flow measurements along the the Cajon Pass drill site. In these figures (1)
fault (Zoback and Healy, 1992). SHmaxHF and ShminHF are the maximum and
Measurements of in situ stress magnitude minimum stresses determined with the open-
and orientation were conducted at the Cajon hole hydraulic fracturing tests, (2) ShminPE is
Pass drill site using hydraulic fracturing and the minimum stress determined from pressur-
detailed observations of borehole breakouts at ization tests on pre-existing fractures and (3)
depths ranging between 907 and 3486 m. The SHmaxBO is the maximum stress determined
hydrofrac tests consisted of open-hole hydrau- using the borehole breakout theory developed
lic fracturing tests and pressurization tests on by Vernik and Zoback (1992).
pre-existing fractures. Those tests provided 23 Figures 9.27a and 9.27b also show expected
measurements of the minimum horizontal values of the minimum stress Shmin and the
principal stress, six estimates of the maximum maximum stress SHmax for normal faulting and
horizontal stress as a function of depth, strike-slip faulting, respectively, on favorably
and four measurements of the direction of oriented fault planes assuming Mohr-
maximum horizontal compression in crystal- Coulomb faulting theory and Byerlee's law
line basement rocks (Table 1 in Zoback and with laboratory-derived coefficients of friction
Healy, 1992). In addition, 12 estimates of the between 0.6 and 1.0, and hydrostatic pore
Comparison between hydraulic fracturing and borehole breakout methods 357
II
ca~
fomia
Cajon
Pass
Fig. 9.26 Average direction and standard deviation of maximum horizontal principal stress in the Cajon
Pass scientific research borehole in California. Active faults in the vicinity of the drill site are shown. (After
Zoback and Healy, 1992.)
\\ o
•
SHmoxSO
e-- r- 500 ~ o
•
SHmaxBO
I
e-- r-
'l
500 SHmox HF
~\, ~
SHmaxHF
0 S hmin PE 0 S....nPE
~ I-- r-
1000 • ShmlnHF 1000 • ShminHF I-- r-
~ ~\
~~
1500
.... Expected value of
Shm;n for normal
1500
>-i ~
, ~
\" Expected value of
S Hma,x for strike-_
r-
..
r\Ulti~ , ~slip faul ing
:§:
a 2000 ~ :§:
:::; 2000
,0 ~"
0>
CI ~.
\
o
"-
0> e ·~I\
2500
\ D,C
2500
0, ~
'\.
~~
~ .~~
~
•, \ .\
\j
L,\:
1::\-
r
3000 3000
...-
, ~~ '\
\
Generaliz;;d II 1.0
,
~
3500 3500
Shmin
,
I
0\ \" - 0.6
II ~ l iD
\
1\
, !l~r\
r\Sv
~
4000 4000
I I I
Fig. 9.27 Stress versus depth at the Cajon Pass drill site. Stress data are from open-hole hydraulic
fracturing (SHmaxHF and ShminHF), pressurization tests on pre-existing fractures (ShminPE), and borehole
breakouts (SHmaxBO). The gray areas indicate theoretical magnitude based on coefficients of friction
between 0.6 and 1.0. (a) Expected values of Shmin for the case of normal faulting, (b) expected values of
SHmax for the case of strike-slip faulting. (After Zoback and Healy, 1992.)
358 Case studies and comparison between different methods
pressure. It can be seen that the expected stress Canadian shield, in Proc. 1st North Amer. Rock
values are in agreement with those measured, Mech. Symp., Austin, Balkema, Rotterdam, pp.
369-76.
except for anomalously high values of Shrnin at
Cooling, C.M., Hudson, J.A. and Tunbridge, L.w.
a depth of 2.1 km in Fig. 9.27a. Thus the differ- (1988) In-situ rock stresses and their measure-
epce between Sv and Shrnin in Fig. 9.27a is large ment in the UK - Part II. Site experiments and
enough to make favorably oriented normal stress field interpretation. Int. J. Rock Mech. Min.
faults move. Likewise, in Fig. 9.27b, the differ- Sci. & Geomech. Abstr., 25, 371-82.
ence between SHmax and Shrnin is large enough Cornet, EH. and Burlet, D. (1992) Stress field deter-
to make favorably oriented strike-slip faults minations in France by hydraulic tests in bore-
move. holes. J. Geophys. Res., 97, 11829-49.
Based on the stress measurements at the Cornet, EH. and Valette, B. (1984) In situ stress
determination from hydraulic injection test data.
Cajon Pass drill site and the results shown in J. Geophys. Res., 89, 11527-37.
Figs 9.27a, b, Zoback and Healy (1992) con- Enever, J.R and Chopra, P.N. (1986) Experience
cluded that the frictional strength of the crust with hydraulic fracture stress measurements in
adjacent to the San Andreas fault is high and granite, in Proc. Int. Symp. on Rock Stress and Rock
consistent with laboratory-derived friction Stress Measurements, Stockholm, Centek Publ.,
values, and that the level of shear stress in the Lulea, pp. 411-20.
crust adjacent to the fault is principally con- Enever, J.R, Walton, RJ. and Wold, M.B. (1990)
trolled by its frictional strength. The stress Scale effects influencing hydraulic fracture and
overcoring stress measurements, in Proc. Int.
measurements also indicate that in the Cajon Workshop on Scale Effects in Rock Masses, Loen,
Pass area, the San Andreas fault is weak with Norway, Balkema, Rotterdam, pp. 317-26.
respect to the surrounding crust. Gregory, E.C. et al. (1983a) Applicability of borehole
stress measurement instrumentation to closely
jointed rock, in Proc. 24th US Symp. Rock Mech.,
REFERENCES College Station, Association of Eng. Geologists
Bjarnason, B. and Stephansson, O. (1986) Hydraulic Publ., pp. 283--{;.
rock stress measurements in borehole Gi-l Gidea Gregory, E.C. et al. (1983b) In situ stress measure-
study site, Sweden. Swedish Nuclear Fuel and ment in a jointed basalt, in Proc. Rapid Excavation
Waste Management Company, Stockholm, SKB & Tunneling (RETC) Coni, Chicago, Vol. 1, SME/
Technical Report 86-11. AlME, pp. 42--{;1.
Black, M.T. and Cramer, M.L. (1983) The design and Haimson, B. (1980) Near surface and deep hydro-
construction of a block test in closely jointed rock. fracturing stress measurements in Waterloo
Rockwell International Report RHO-BW-SA-286 quartzite. Int. J. Rock Mech. Min. Sci. & Geomech.
P. Abstr., 17, 81-8.
Brown, S.M., Leijon, B.A. and Hustrulid, W.A. Haimson, B.c. (1981) Confirmation ofhydrofractur-
(1986) Stress distribution within an artificially ing results through comparisons with other stress
loaded, jointed block, in Proc. Int. Symp. on Rock measurements, in Proc. 22nd US Symp. Rock
Stress and Rock Stress Measurements, Stockholm, Mech., Cambridge, MIT Publ., pp. 409-15.
Centek Publ., Lulea, pp. 429-39. Haimson, B.c. (1983) The state of stress at the
Chandler, N.A. (1993) Bored raise overcoring for in Nevada Test Site: a demonstration of the reliabil-
situ stress determination at the Underground ity of hydrofracturing and overcoring techniques,
Research Laboratory. Int. J. Rock Mech. Min. Sci. & in Proc. Int. Symp. Field Measurements in Geomech-
Geomech. Abstr., 30, 989-92. anics, Zurich, Balkema, Rotterdam, pp. 115-26.
Chandler, N.A. and Martin, D. (1991) An examina- Haimson, B.c. et al. (1989) Measurement of rock
tion of the conditions causing subhorizontal stress using the hydraulic fracturing method in
hydraulic fractures in a highly stressed granite Cornwall, UK - Part II. Data reduction and stress
batholith, in Proc. 32nd US Symp. Rock Mech., calculation. Int. J. Rock Mech. Min. Sci. & Geomech.
Norman, Balkema, Rotterdam, pp. 251--{;0. Abstr., 26, 361-72.
Chandler, N.A. and Martin, D. (1994) The influence Hickman, S.H., Healy, J.H. and Zoback, M.D. (1985)
of near surface faults on in-situ stresses in the In situ stress, natural fracture distribution, and
References 359
borehole elongation in the Auburn Geothermal Martin, CD., Read, R.S. and Chandler, N.A. (1990)
Well, Auburn, New York. J. Geophys. Res., 90, Does scale influence in-situ stress measurements?
5497-512. - Some findings at the Underground Research
Hudson, J.A. and Cooling, CM. (1988) In situ rock Laboratory, in Proc. 1st Int. Workshop on Scale
stresses and their measurement in the UK - Part I. Effects in Rock Masses, Loen, Norway, Balkema,
The current state of knowledge. Int. J. Rock Mech. Rotterdam, pp. 307-16.
Min. Sci. & Geomech. Abstr., 25, 363-70. Martin, CD., Read, R.S. and Lang, P.A. (1990) Seven
Kaiser, P.K., Zou, D. and Lang, P.A. (1990) Stress years of in-situ stress measurements at the URL.
determination by back-analysis of excavation- An overview, in Proc. 31st US Symp. Rock Mech.,
induced stress changes - a case study. Rock Mech. Golden, Balkema, Rotterdam, pp. 15-26.
Rock Eng., 23, 185-200. Martin, CD., Martino, J.B. and Dzik, E.J. (1994)
Lang, P.A., Thompson, P.M. and Ng, L.K.w. (1986) Comparison of borehole breakouts from
The effect of residual stress and drill hole size on laboratory and field tests, in Proc. Eurock '94: Int.
the in situ stress determined by overcoring, in Symp. on Rock Mech. in Petrol. Eng., Delft,
Proc. Int. Symp. on Rock Stress and Rock Stress Balkema, Rotterdam, pp. 183-90.
Measurements, Stockholm, Centek Publ., Lulea, Paillet, F.L. and Kim, K. (1987) Character and
pp.687-94. distribution of borehole breakouts and their
Leijon, B.A. and Stillborg, B.L. (1986) A comparative relationship to in situ stresses in deep Columbia
study between two rock stress measurement river basalts. J. Geophys. Res., 92, 6223-34.
techniques at Luossavaara mine. Rock Mech. Rock Pine, R.J., Tunbridge, L.w. and Kwakwa, K. (1983a)
Eng., 19, 143-63. In-situ stress measurement in the Carnmenellis
Ljunggren, C (1990) Hydraulic fracturing and granite - I. Overcoring tests at South Crofty Mine
hydraulic tests on pre-existing fractures in a at a depth of 790 m. Int. J. Rock Mech. Min. Sci. &
foliated rock - a comparison of results and tech- Geomech. Abstr., 20, 51-62.
niques, in Proc. 31st US Symp. Rock Mech., Golden, Pine, R.J., Tunbridge, L.w. and Kwakwa, K. (1983b)
Balkema, Rotterdam, pp. 1027-34. In-situ stress measurement in the Carnmenellis
Ljunggren, C and Raillard, G. (1986) In situ stress granite - II. Hydrofracture tests at Rosemanowes
determination by hydraulic tests on pre-existing quarry to depths of 2000 m. Int. J. Rock Mech. Min.
fractures at Gidea test site, Sweden. Lulea Sci. & Geomech. Abstr., 20, 63-72.
University of Technology, Sweden, Research Pine, R.J., Jupe, A. and Tunbridge, L.w. (1990) An
Report TULEA 1986:22. evaluation of in-situ stress measurements affect-
Ljunggren, C and Raillard, G. (1987) Rock stress ing different volumes of rock in the Carnmenellis
measurements by means of hydraulic tests on granite, in Proc. 1st Int. Workshop on Scale Effects in
pre-existing fractures at Gidea test site, Sweden. Rock Masses, Loen, Norway, Balkema, Rotterdam,
Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 24, pp.269-77.
339-45. Plumb, R.A. and Hickman, S.H. (1985) Stress-
Martin, CD. (1989) Characterizing in-situ stress induced borehole elongation: a comparison
domains at AECL's underground research between the four-arm dipmeter and the borehole
laboratory, in Proc. 42nd Can. Geotech. Can!, televiewer in the Auburn Geothermal Well. J.
Winnipeg, pp. 1-14. Geophys. Res., 90, 5513-21.
Martin, CD. and Chandler, N.A. (1993) Stress Rutqvist, J. (1995a) Determination of hydraulic
heterogeneity and geological structures. Int. J. normal stiffness of fractures in hard rock from
Rock Mech. Min. Sci. & Geomech. Abstr., 30, 993-9. well testing. Int. J. Rock Mech. Min. Sci. & Geomech.
Martin, CD. and Christiansson, R. (1991) Over- Abstr., 32, 513-23.
coring in highly stressed granite: comparison Rutqvist, J. (1995b) A method to determine
between USBM and CSIR devices. Rock Mech. stress-transmissivity relationship of joints from
Rock Eng., 24, 207-35. hydraulic testing, in Proc. 8th Congo Int. Soc. Rock
Martin, CD. and Simmons, G.R. (1993) The Mech. (ISRM), Tokyo, Balkema, Rotterdam, Vol. 2,
Atomic Energy of Canada Limited Underground pp.755-8.
Research Laboratory: an overview of geo- Rutqvist, J. and Stephansson, O. (1996) A cyclic
mechanics characterization, in Comprehensive hydraulic jacking test to determine the in situ
Rock Engineering (ed. J.A. Hudson), Pergamon stress normal to a fracture. Int. J. Rock Mech. Min.
Press, Oxford, Chapter 38, Vol. 3, pp. 915-50. Sci. & Geomech. Abstr., 33, 695-711.
360 Case studies and comparison between different methods
Shamir, G. and Zoback, M.D. (1992) Stress orienta- parison of two methods for measuring stress in
tion profile to 3.5 km depth near the San Andreas rock. Int. J. Rock Mech. Min. Sci., 4, 367-82.
Fault at Cajon Pass, California. J. Geophys. Res., 97, Vernik, L. and Zoback, M.D. (1992) Estimation of
5059-80. maximum horizontal principal stress magnitude
Talebi, S. and Young, RP. (1989) Failure mechanism from stress-induced well bore breakouts in the
of crack propagation induced by shaft excavation Cajon Pass scientific research borehole. J. Geophys.
at the Underground Research Laboratory, in Proc. Res., 97, 5109-119.
Int. Symp. Rock Mech. and Rock Physics at Great Wiles, T.D. and Kaiser, P.K. (1994a) In-situ stress
Depth, Pau, Balkema, Rotterdam, Vol. 3, pp. determination using the under-excavation
1455-61. technique - I: theory. Int. J. Rock Mech. Min. Sci. &
Talebi, S. and Young, RP. (1992) Microseismic Geomech. Abstr., 31, 439-46.
monitoring in highly stressed granite: relation Wiles, T.D. and Kaiser, P.K. (1994b) In-situ stress
between shaft-wall cracking and in situ stress. determination using the under-excavation tech-
Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 29, nique - I: applications. Int. J. Rock Mech. Min. Sci.
25-34. & Geomech. Abstr., 31, 447-56.
Thompson, P.M. (1990) A borehole deformation Zoback, M.D. and Healy, J.H. (1992) In situ stress
gauge for stress determinations in deep bore- measurements to 3.5 km depth in the Cajon Pass
holes, in Proc. 31st US Symp. Rock Mech., Golden, scientific research borehole: implications for the
Balkema, Rotterdam, pp. 579-86. mechanics of crustal faulting. J. Geophys. Res., 97,
Thompson, P.M., Lang, P.A. and Snider, G.R (1986) 5039-57.
Recent improvements to in-situ stress measure- Zou, D. and Kaiser, P.K. (1990) In situ stress deter-
ments using the overcoring method, in Proc. 39th mination by stress change monitoring, in Proc.
Can. Geotech. Conj, Ottawa. 31st US Symp. Rock Mech., Golden, Balkema,
Van Heerden, W.L. and Grant, F. (1967) A com- Rotterdam, pp. 27-34.
MONITORING OF STRESS CHANGE 10
:I
PROBE 9 ~+-+......1I4't
50 40 30 20 10 0 FEET
1~TI0-0-+--9..L~ro+I---i-I""~0-0--t----J3:"'bo---iliTI-...----i~
150:L,.dl-l---I1f--I CM
7~ 6~ 5~ 4~ 3~ 2~ 1~
EXPLANATION
Trajectories of principal stress
- - - - Maximum
Intermediate
iii ~ Decompression vector
~ iii Compression vector
Fig. 10.1 Stress change trajectories determined based on stress change measurements in jointed and
foliated gneiss ahead of an advancing crosscut at the Colorado School of Mines Experimental Mine in
Idaho Springs, Colorado. (After Lee, Abel and Nichols, 1976.)
Yucca Mountain projects in tuff on the Nevada holes and the corresponding instrumentation
Test Site (Blejwas, 1987, 1989; Zimmerman, in the Stripa full-scale drift. It is most likely
1982); (5) various potential storage sites in that monitoring of stress change will play a
bedded and dome salt in the US and in Ger- crucial role in one or several of the following
many; and (6) the Underground Research Lab- phases of development of nuclear waste
oratory (URL) site in granite in Canada repositories: construction, waste emplacement
(Martin and Simmons, 1993; Read and Martin, and retrievable storage, decommissioning and
1992). As an example, Fig. 10.2a shows the post-decommissioning.
general layout of the Stripa project and Fig. Stress changes in rock involve both virgin
10.2b shows the location of the different bore- and induced stresses. Virgin stresses may vary,
Introduction 363
General plan of the test site Full-scale drift
M9 UIO U3
Ventilation drift DO
U,
us U9
0 0 DM6
Ul
U70 T13 ~/.T14
Time-scaled drift
-- -- U;,~~
+Cl
Computer room E11 x 115
............ -_ ...
HO-
T17 x °M7
6 no
f
MB EEl
E9 +""
010 0 07
Legend
U'
1)50 EO • Heaters (H) $ 406 mm
E • +
Heaters (H) 38 mm
x Thermocouples (T) $ 38 mm
'"'" U20
0 h. +
Extensometers (E) 76 mml116 mm
1
U19 E13
0 DM10 o USBM gages (U) $ 38 mm
017 U18 +04 + IRAD gages (C) $ 38 mm
h. 0 012
o Mon~oring (M) $ 56 mm
f?. ~6H18T202Hll
Access drift
20 40m
.-
'1
U17 H17. X
~T2~'0 n!;;-
X.---H12
T21
! +-
C5 T23X •
o H15
r.-
H14
T22
w ~
Fig. 10.2 General layout of the Stripa project in (a) and location of the different boreholes and the
corresponding instrumentation in the Strip a full-scale drift in (b). (After Hustrulid, 1983.)
for instance, in the near vicinity of a major First, monitoring of stress change involves
fault as the fault creeps and stress redistribu- time. Compared with absolute stress measure-
tion takes place. On the other hand, changes in ments which are relatively fast (1 to 2 h),
induced stresses may occur due to nearby measurements of stress changes may be con-
excavation, drilling, pumping, injection, ducted over longer periods of time of the order
energy extraction, applied loads, thermal of days, months or even years. In general, the
loading, underground storage, blasting, etc. duration of stress change monitoring depends
Monitoring stresses near an underground on the nature of the engineering activity
excavation may pick up the effect of the exca- responsible for the stress change and on the
vation itself (i.e. creation of a new free sur- time required for the rock mass to reach a new
face), thermal effects and any reaction of the state of equilibrium due to excavation and/ or
rock to atmospheric conditions such as drying, to volumetric phenomena (seepage, heating,
swelling or slaking. In addition, stress mon- cooling, consolidation, etc.). The longer the
itoring at shallow depth may also be affected period of stress monitoring, the more critical is
by such phenomena as diurnal and seasonal the stability of the measuring instruments.
variations in temperature, Moon pull and the Monitoring stress changes around an advan-
Coriolis force. cing tunnel may not place as many constraints
In principle, many of the techniques dis- on the instruments compared with monitoring
cussed in this book for measuring absolute the stability of a mine pillar or a waste
stresses should apply to the measurement of repository.
stress changes. However, compared with the Over long periods, measurements of stress
measurement of absolute stresses, stress changes are more prone to time-dependent
monitoring is subject to additional constraints. errors and failure. The instruments are likely
364 Monitoring of stress change
to be subject to adverse conditions of 10.2 TECHNIQUES AND APPLICATIONS
humidity, dust, temperature changes, pore
pressure, etc. Moisture infiltration and internal There are essentially two ways of monitoring
corrosion are quite common. Thus stress changes in rock (Obert and Duvall,
instruments used for stress monitoring must 1967). One technique, called the discrete
be sensitive to load changes and their approach, consists of measuring absolute
sensitivity should not change much with time. stresses at the same location and at two differ-
Their drift rates must be small. The ent times t and t + M. Thus some of the sur-
instruments must be stable when subject to face and borehole methods discussed in the
changes in moisture or temperature. Further, previous chapters can theoretically be used for
the instruments must be stable in areas sub- this approach. The difference between the
jected to vibration associated with blasting. components of the two stress tensors gives the
Finally, the instruments must be able to components of the tensor of stress change. The
monitor changes in tension as well as in major advantage of this procedure is that the
compression. measurements are not affected by drift, corro-
A second concern when monitoring stress sion or creep phenomena since the initial and
changes is that rock properties may change final stress measurements are of relatively
over the period of monitoring. This is of par- short duration. The major disadvantage of this
ticular concern with rocks that show nonlinear procedure is that the initial and final measure-
or time-dependent behavior. Finally, a third ments must be made at the same location,
concern for instruments that do not measure which is physically impossible. An error may
stress changes directly is that theoretical solu- result, particularly when using instruments
tions are needed to relate strains or displace- such as the USBM gage for which three holes
ments monitored with the instruments to the are required. For other overcoring techniques
components of the stress change occurring that only require one hole, the error may not
near the point of measurement. The solutions be as large.
must account, as closely as possible, for the Another approach consists of a continuous
rock mass conditions and the process or pro- monitoring of the stress field. The idea is to
cesses responsible for the stress changes. place strain rosettes or pins permanently on a
These solutions can become particularly com- rock surface, or a cell into a hole or a slot. This
plex if time, flow, creep, nonlinearities and/ or can be done mechanically or using resin,
temperature effects have to be taken into epoxy or cement. After an initial reading,
account, thus causing stress monitoring to lose changes in load, strain or displacement are
accuracy. recorded as a function of time at the same
The three previous considerations have location. Factors that may influence the
specifically been addressed in relation to the response of a borehole cell to load changes
storage of nuclear wastes in rock (Hustrulid, include (1) the ratio between the modulus of
1983; Hustrulid and McClain, 1984). They the cell and that of the rock (cells can be
also require that, before embarking on a divided into two groups: soft and rigid), (2)
program of stress change monitoring, labora- the ratio between the modulus of the encap-
tory tests under simulated field conditions or sulating material and that of the rock and (3)
in situ block tests must be conducted to the ratio between the diameter of the cell and
identify instrument performance with time that of the hole in which the cell is located
under adverse conditions (humidity, dust, (Bois, 1995). The major disadvantage of con-
heat, etc.), the instrument limitations and how tinuous monitoring of stress changes is
the rock of interest interacts with the related to time-dependent effects as men-
instruments. tioned in section 10.1. More demand is placed
Techniques and applications 365
on the instrumentation than in the discrete Table 10.1 Types of stress change monitoring
approach. techniques
Many of the surface devices and borehole
Deformation gages USBM gage
cells used for monitoring stress changes are CSIRO Yoke gage
similar to those discussed in Chapters 5 and 6.
Strain cells CSIR triaxial strain cell
As long as the rock behaves in a linearly elastic
ANZSI triaxial strain cell
manner, the equations derived for the inter- Doorstoppers
pretation of absolute stress measurements can
Stiff cylindrical Solid and hollow stressmeters
be rewritten in terms of increments of stress, inclusions Prestressed stressmeter
strain and displacement, and are directly Photoelastic stressmeter
applicable for the analysis of stress change Vibrating wire stressmeter
measurements. Stress changes due to thermal crus stressmeter
loading and/or creep or other volumetric Encapsulated spherical
phenomena would, of course, require new inclusion
solutions (Amadei, 1985). Solid and hollow CSIRO HI cell
Beside the devices described in Chapters 5 deformable Thin-walled CSIRO HI cell
and 6, other cells have been developed for the inclusions Solid inclusions
sole purpose of monitoring stress changes. It is Flat jacks and Flat jacks
interesting to note that many of those cells can hydraulic borehole Borehole pressure cell
only determine changes in the secondary pressure cells Borehole platened flatjack
Slender flat cell
(apparent) principal stresses perpendicular to
CALIPgage
the hole in which the cells are located. Only a Gloetzl (Glotzl) cells
limited number of cells are available to deter-
mine the complete tensor of stress change. It is
obvious that the latter are better suited since discussed in Chapter 5 and the Yoke gage
they can pick up not only changes in mag- developed by the CSIRO in Australia (Walton
nitude but also changes in the direction of and Worotnicki, 1986) have been used to deter-
principal stresses with time. The direction of mine stress changes. All these gages can be
the field stresses is likely to change with time seen for all practical purposes as very soft cells
(Pariseau, 1978). Table 10.1 gives a summary that do not affect the borehole wall displace-
of the various techniques available for ments. As for absolute stresses, determination
monitoring stress changes in rock. of the six components of the tensor of stress
change requires three holes.
The conventional USBM gage has been used
10.2.1 DEFORMATION GAGES
for the monitoring of stress changes at poten-
Monitoring changes in borehole diameter to tial nuclear waste disposal sites. The gage has
measure stress changes was first suggested by been modified to reduce its creep and tem-
Leeman (1959) who proposed a cell that would perature sensitivity and moisture infiltration,
fit into 1.5 inch (38 mm) diameter boreholes. and to improve its performance at elevated
The cell could measure diameter changes in temperatures (Gregory et al., 1983; Gregory
the vertical and horizontal directions using a and Kim, 1981; Hooker, Aggson and Bickel,
system of strain gages mounted onto a ring 1974; Schrauf et al., 1979). Lingle and Nelson
attached to a piston pushed against the rock. (1982) reported measurements of borehole
Another version of the same cell was proposed diameter changes due to thermal loads
by Leeman (1960) where borehole deforma- induced through in situ heater tests at Stripa,
tion was measured directly using an LVDT. Sweden, over a period of 18 months in tem-
More recently, the conventional USBM gage peratures ranging between 10 and 120°C by
366 Monitoring of stress change
using USBM gages modified to function in wet metalliferous mine. In this example the gage
and elevated temperature environments. The performed well over a period of 60 days.
USBM gage did not perform well, with 22 of Experiments conducted in the laboratory by
30 gages failing due to long-term malfunction- Walton and Worotnicki (1986) showed that the
ing with water entering the gage body. In the Yoke gage is capable of measuring stress
full-scale heater tests at the BWIP site in
Washington, Gregory and Kim (1981) reported
a 25% failure with the USBM gage after 9
months of test operation.
Despite the measures taken in the past to
make the USBM gage a more reliable instru-
ment for monitoring stress changes, its long-
term performance is still questionable. In
addition to the effect of water and dust, another
disadvantage is that the gage can move in a
borehole with time, in particular during blasting
events, thus making the gage inadequate for
monitoring dynamic stress changes.
The Yoke gage developed by the CSIRO was
designed specifically for the monitoring of
stress changes in rock (Walton and Worotnicki,
1986). It is shown in Fig. 10.3a. The gage is
somewhat similar to the conventional USBM
gage and consists of a hollow PVC core with
three cantilever transducers 60 0 apart and
(a)
shaped in the form of a 'C' or a 'yoke'. The tips
of the transducers protrude from the PVC
pipe. When installed into a borehole (56 mm or
60 mm in diameter), they are compressed to
match the diameter in the borehole. Once in
«z 500
wa::
-11-
place, an epoxy cement is then extruded into #3
iu~ a: a:
sensor accurate to within 0.1 dc. A major « I u:: u:::
advantage is that the gage can be used in areas Ci o 15 20 45 60
subjected to vibration associated with blast- TIME (days)
ing. Finally, no hole cleaning is required. (b)
The Yoke gage has been found to perform
Fig. 10.3 (a) Photograph of CSIRO Yoke borehole
well. Figure 10.3b shows an example of the deformation gage. (Courtesy of MINDATA.) (b)
gage response placed in a vertical hole used to Output from a Yoke gage installed in situ showing
determine stress changes in a horizontal plane response to stope firings; positive change is tensile.
adjacent to a developing open stope of a (After Walton and Worotnicki, 1986.)
Techniques and applications 367
changes of about ± 0.5 MPa (in a material 3000
_ Pass of the tunnel
............. 2
with a 70 GPa elastic modulus) over a period tr 9
of 250 days. In the field, a drift rate of about -
3
en 2000 8
1-2J.le/day was observed due to moisture ::!.
Hand
analyzer
«j - - + + - -+--- - - - :1"--j::3:~¢:i:;
Observer
Fig. 10.6 Field set-up of the photoelastic stressmeter. (After Hawkes, 1969.)
370 Monitoring oj stress change
photoelastic stressmeter in an already creep- devices. It has been found to depend on the
ing material could give a measurement of the type of contact with the rock, the deform-
absolute state of stress with time. ability of the rock and the amount of initial
preloading. Calibration and performance of
the vibrating wire stressmeter under various
(d) Vibrating wire stressmeter
loading and temperature conditions have been
One of the most commonly used devices to reported by several authors including Sellers
monitor stress changes in rock is the vibrating (1977), Fossum, Russell and Hansen (1977),
wire stressmeter (sometimes called the IRAD Lingle and Nelson (1982), Jaworski et al.
stressmeter). It was first proposed by Hawkes (1982), Lingle, Bakhtar and Barton (1983), Pat-
and Hooker (1974) as a low-cost tool to rick and Rector (1983) and more recently by
monitor long-term stress changes around Dutta (1985), Mao (1986), Dutta and Hatfield
underground excavations in rock. The stress-
meter was originally intended to monitor
stress changes in mine pillars subjected to
uniaxial stress changes. Since then it has been
used in various mining and civil engineering
projects, in particular for the characterization
and monitoring of rock mass response to exca-
vation and heating at potential nuclear waste
repositories in rock.
Figures 10.7a and 10.7b show respectively a
photograph and a cross-section of the vibrat-
ing wire stressmeter. It can be considered for
all practical purposes as a rigid (stiff) inclu-
sion. It is robust and consists essentially of a
thick-walled steel cylinder sealed at both ends
with a pretensioned vibrating piano wire (a)
strain gage transducer mounted across a
diameter at mid-length. The cylinder is 1.6 in
(40.6mm) long and fits into a 1.5in (38mm) BOREHOLE WEDGE BLOCK}WEDGE
hole. It is held in place by preloading using a UPPER PLATEN
GAGE BODY
BLOCK
ASSEMBL Y
T
sliding wedge and platen assembly. Changes
~~~
'r
in the wire frequency due to changes in hole
diameter are related to changes in stress in the
surrounding rock through a coefficient called
'stress sensitivity factor', which is determined
by laboratory calibration for the host material
of interest (Dutta, 1985). The vibrating stress-
meter measures stresses directly and is GAGE SHOE I
"'1. 27cm i
J VIBRATING WIRE
unidirectional. By placing three gages inclined [-+---2.858 em ~
with respect to each other in a single borehole,
changes in the state of stress in a plane normal (b)
to the borehole axis can be determined. Fig. 10.7 The vibrating wire stressmeter (IRAD
The performance of the vibrating wire stressmeter). (a) Photograph of the instrument,
stressmeter has been found to be quite good (b) cross-section of the instrument. (Courtesy of
compared with other stress monitoring ROC TEST.)
Techniques and applications 371
(1987), Tunbridge and Oien (1987) and Herget Another addition is the use of different seating
(1991). platens for different rocks. In softer rocks, the
One of the initial problems with the per- platens are usually wider in order to reduce
formance of the vibrating wire stressmeter in the contact stresses on the borehole wall.
situ has been corrosion, in particular in moist Overall, the vibrating wire stressmeter is still
and hot environments in relation to potential today a very attractive device for monitoring
nuclear waste repository sites. For instance, in stress changes due to its long-term stability
the field tests conducted by Lingle and Nelson and low cost.
(1982) at Stripa, out of 36 stressmeters in- A variant of the vibrating wire stressmeter
stalled, six failed. A lack of repeatability, found was proposed by Cook and Ames (1979) for
during calibration, was attributed to seating stress monitoring in salt. The cell, called the
effects, changes in temperature and variability strain gage stressmeter, differs from the vibrat-
in the rock elastic modulus. It was concluded ing wire stressmeter in that it is not as stiff and
that errors as large as ± 33% could be expec- the deformation of the instrument is moni-
ted. Similar problems of internal corrosion tored by a strain gage instead of the vibrating
were found at the Spent Fuel Test-Climax Site wire. Calibration of the stressmeter in a block
in Nevada (Mao, 1986) and in some block tests of salt is required. Numerical analysis of the
at the Near-Surface Test Facility of the BIWP in stressmeter conducted by Morgan (1984)
Hanford, Washington (Gregory and Kim, revealed that the stressmeter's performance in
1981). Improvements conducted by Gregory et salt can be strongly affected by creep, which
al. (1983) to prevent moisture infiltration resul- may be a source of error when determining
ted in considerable improvement of the relia- actual stress changes.
bility of the vibrating wire stressmeter. A recent development based on the vibrat-
Over the past 10 years, the design of the ing wire principle was proposed by Cox and
vibrating wire stressmeter has been improved, Johnson (1987). The instrument, shown in Fig.
in particular to prevent internal corrosion. 10.8, can be defined as a three-component
11.r---------------------20.32cm------------------~·~1
'~.-------------------17. 78 ------------------.....,
Magnet/coil assembly
Wires
Thermistor
3 wires
at 120 0
r
5.72
j
Fig. 10.8 Three-component vibrating wire biaxial stress sensor. (After Cox and Johnson, 1987.)
372 Monitoring of stress change
vibrating wire stressmeter which measures developed at CANMET in Canada (Herget,
radial deformation of a hollow steel tube along 1990). The system consists of a vibrating wire
three directions at 120° from each other using sensor and a readout unit. The sensor itself
three tensioned wires. The instrument was consists of a steel ring supporting a vibrating
tested in ice (a very nonlinearly elastic wire that can fit in boreholes with diameters
material with creep characteristics). The ranging between 76 and 153 mm. Deformation
instrument was found to have a low of the hole (as small as 0.0004mm) can be
temperature sensitivity (5 kPa;oC) and an determined by measuring changes in the
accuracy of better than 15% under a variety of resonant frequency of the wire. Changes in the
both uniaxial and biaxial loading conditions in maximum and mlrumum secondary
the laboratory. Also, principal stresses could (apparent) principal stresses normal to the
be determined to within 5°. The instrument hole are determined by measuring deforma-
can measure radial displacements as small as tions in at least three sensors. The system has
1O-6 mm. Figure 10.9 shows an example of been found to perform well for monitoring
stress determination and comparison with stress changes in hard rocks.
applied stresses for a block of ice under biaxial Finally, a new cell consisting of six non-
loading in the laboratory. This instrument is parallel vibrating wires has been proposed by
very promising, particularly for measuring Bois (1995). The cell, called the CIUS (cylindre
stress changes in materials that behave in a instrumente de l'Universite de Sherbrooke),
nonlinearly elastic manner. consists of a solid concrete inclusion 140 mm
The vibrating wire technology was recently in diameter in which six vibrating wires
incorporated into a strain monitoring system have been embedded. The cell is sealed in a
160
• • 120 C\J
c:
80 S
.0
'=-
co
40 b
160
•• • •••
120
C\J
c:
80 S
.0
«
40 b
0
o 2 3 4
TIME (hr)
Fig. 10.9 Measured versus applied stresses for three-component vibrating wire biaxial stress sensor in
saline ice under biaxial stresses a A and aB. (After Cox and Johnson, 1987.)
Techniques and applications 373
can be found in Lee, Abel and Nichols (1976).
INC LUSION DEVICE CABLE S In general, the probe has been found to work
well for stress change monitoring.
LINE
(b)
Fig. 10.11 US Geological Survey encapsulated spherical inclusion. (a) Relationship of spherical sensor to
cylindrical epoxy probe and host rock, (b) location of strain gage rosettes on spherical sensor. (After Lee,
Abel and Nichols, 1976.)
Techniques and applications 375
needs to be applied to the current analysis. He three-dimensional linear elastic finite element
also found that the creep problem was strongly program. It can be seen that good agreement
reduced with the thin-walled CSIRO HI cell. exists between measured and predicted
Laboratory and field tests conducted by stresses for each blast event and that the rock
Walton and Worotnicki (1986) revealed drift behaves for all practical purposes as linearly
rates of the order of 0.35.us / day for the con- elastic.
ventional CSIRO HI cell and 0.05.us/day for
the thin-walled version of the cell. Drift rates
10.2.5 FLAT JACKS AND HYDRAULIC BORE-
have been found to decrease with time and it
HOLE PRESSURE CELLS
has been suggested that HI cells should be
installed 1 to 3 months prior to expected In principle, the flat jacks discussed in Chapter
stress changes in situ. Accuracy of about 1 MPa 6 can also be used to monitor stress changes.
can be achieved with rocks with an elastic Once in place, changes in flat jack pressure
modulus of 1 GPa and over monitoring peri- with time can be measured directly. Many of
ods of 1-1.5 months. the problems discussed in Chapter 6 apply
Figure 10.12 shows an example of stress here as well. In particular, the problem of
change monitoring (magnitude and orienta- creep may make long-term stress measure-
tion) versus excavation sequence at the 240 ments with flat jacks meaningless. In general,
level of the URL site in Canada (Martin and despite their limitations, flat jacks have been
Simmons, 1993). Arrays of several CSIRO HI popular for monitoring changes in com-
cells were placed ahead of the advancing pressive stress in mine pillars or excavation
excavation. Also shown in Fig. 10.12 are the walls. However, one should not expect the
predicted stress changes determined using a measurements to be very accurate.
Blast step·3 Blast step-5 Blast step-7 Blast step-12 Blast step-IS
5.00 r--+--f--~-.--.-..L...--+--r-.----'
n;-
o.
~ 1.75
W
~ -1.50
«
::c
o -4.75
en
en Stresses Actual Theoretical
~ -8.00 0"1 ........ -0-
0"2 ... + ... --
I- --I!r-
en O"a ..........
3 5 7 9 11 13 15 17 19 21
BLAST STEP NUMBER
Fig. 10.12 Stress change monitoring at the 240 level at the URL site using CSIRO HI cells. Comparison of
measured and predicted (orientation and magnitude) principal components of stress change versus
excavation (blast step) from room 209 excavation response test. (After Martin and Simmons, 1993_)
376 Monitoring of stress change
Changes in normal stress can be measured and Babcock (1986). Devices similar to the BPC
directly using the change in hydraulic fluid have also been proposed by Gilley, Sporcic
pressure in flat and elongated cells left in place and Zona (1964), Jeger (1971) and Schaller,
in a borehole drilled in a rock mass. Such McKay and Hargraves (1976). Figure 10.14
instruments are known as hydraulic pressure shows an example of stress monitoring
cells and operate, for all practical purposes, obtained with the cell of Gilley, Sporcic and
very much like flat jacks. However, unlike the Zona (1964) in a room and pillar coal mine in
flat jacks, they are not limited to surface West Virginia. Several cells installed at depths
measurements and can be used to measure of 10, 15, 20 and 25 ft (3.0, 4.6, 6.1 and 7.6 m)
changes in stress well within a rock mass. into mine pillars were monitored during
After installing the cell in a borehole and extraction and several rockburst events.
following the application of an initial seating Instead of using grout, the hydraulic
pressure, changes in pressure are recorded pressure cells can also be encapsulated in solid
with time. The pressure changes are then platens (Babcock, 1986). The borehole
related to the rock stress changes through platened fla~ack (BPF) developed by Bauer,
calibration and/or mathematical or numerical Chekan and Hill (1985) is an example of such
models. The technique is simple, of low cost an instrument. It consists of a copper flat jack
and reliable over long periods of time, but is positioned between two aluminum platens. It
limited to measurements of uniaxial stress was designed for installation in 2 inch (5.1 cm)
changes in a direction perpendicular to the boreholes. Theory for the analysis of the BPF
cell. One major problem with hydraulic pres-
sure cells (beside their temperature sensitivity)
is that they do not perform well under tensile LlS
j j j
stresses where separation between the cells
and the rock is likely to occur. A standard for
stress monitoring using hydraulic cells has
been proposed by the International Society for
Rock Mechanics (Franklin, 1980).
Various flat borehole pressure cell systems FLAT
have been proposed in the literature, in par- HYDRAULIC
ticular for monitoring vertical stress changes CELL
in mine and mine pillars during extraction, the
main objective being a control of rockburst
phenomena. Some of the cells are placed
directly in a borehole, the gap between the
cells and the rock being grouted with epoxy or
mortar or other infilling material. The cells can
also be encapsulated in grout during construc-
tion, forming an inclusion (Fig. 10.13) which is
1 1 1
then installed into a borehole.
One of the first hydraulic cells was the
borehole pressure cell (BPC) developed at the
US Bureau of Mines (Panek and Stock, 1964). Fig. 10.13 Flat jack type of hydraulic cell grouted
into a borehole. The measured change in pressure
The cell was designed for 2.25 inch (57.1 mm) ~p in the cell is related to the actual change in stress
boreholes and had an active length of 7 inches ~S. (Adapted from: Sellers, J.B. Copyright 1970,
(178 mm). Theories for the analysis of BPC cell with kind permission from Elsevier Science Ltd,
measurements can be found in Sellers (1970) The Boulevard, Langford Lane, Kidlington, UK.)
Techniques and applications 377
14
Fig. 10.14 Example of stress monitoring obtained with borehole pressure cells in a room and pillar coal
mine in West Virginia. Several cells installed at depths of 10, 15, 20 and 25 ft (3.0, 4.6, 6.1 and 7.6 m) into
mine pillars were monitored during extraction and several rockburst events. (After Gilley, Sporcic and
Zona, 1964.)
cell can be found in Heasley (1989). Another monitor stress changes associated with Earth
borehole pressure cell consisting of a flat jack tides as small as 0.01 bar (1 kPa).
system sandwiched in between solid platens Another stress monitoring cell based on the
has been proposed by Ishijima et al. (1976). In flat jack principle is the CALIP (calibratible in
general, all those cells require calibrations place) gage proposed by Keller and Lowry
which can be done numerically or in the (1990). An exploded view of the cell is shown
laboratory. in Fig. 10.16. The cell consists of a ytterbium
An accurate flat pressure cell was proposed strain gage and a small flat jack sandwiched in
by Swolfs and Brechtel (1977) and further between two steel straps. After drilling of a
improved by Swolfs and Walsh (1990). The 4 in (10.2 cm) hole, the core is split in half and
authors used water-filled cells (rubber or one half is tapered to the host cell. The core is
welded steel sheets) placed in slender slots then reassembled and grouted in the hole. The
with an aspect ratio (thickness over length) of stress normal to the cell is measured by apply-
about 0.025. A sensitive pressure gage is used ing a pressure until the strain gage element
to measure changes in cell pressure. The gap responds. The pressure when the gage re-
between the cells and the rock is filled with sponds is taken as the normal stress acting
grout or sand (Fig. 10.15). The system also across the cell.
contains a compensator to counterbalance Another system of hydraulic pressure cells
temperature-induced stress changes in the was developed by the US Bureau of Mines to
cell. Stress monitoring in a quartz monzonite determine both absolute and changes in stress
rock by Swolfs and Brechtel (1977) using two associated with mining in viscoelastic ground
cells buried vertically at a depth of 1.5 m (Lu, 1981, 1984, 1986). Two types of borehole
indicated that the cells were able to measure cells were used: a cylindrical pressure cell
changes in pressure within 96% of the actual (CPC) which, for all practical purposes,
changes in horizontal stresses perpendicular operates like a cylindrical inflatable probe or
to the cells and over a period of 2 years. More dilatometer, and a flat pressure cell (BPC) as
recent tests carried out by Swolfs and Walsh mentioned above. By using a combination of
(1990) indicated that their system could one CPC and two BPC cells (one in the
378 Monitoring of stress change
horizontal plane and one in the vertical plane),
the vertical and horizontal stress components
and any changes of these components can be
determined. After applying an initial pressure
in the cells, ground equilibrium is reached
after a certain time. The cell pressures after
equilibrium are used to calculate the absolute
vertical and horizontal stresses. In doing so, it
is assumed that the vertical and horizontal
stresses are principal stresses and that the
borehole is parallel to a principal stress direc-
tion. Following determination of the absolute
stresses, any changes in the cell pressures asso-
ciated with mining are used for determining
variations in stress. Figure 10.17 shows an
example of stress monitoring in a coal pillar
conducted by Lu (1986). In this example, the
initial vertical and horizontal stresses are
equal to 5.8 and 5.6 MPa, respectively.
Hydraulic pressure cells are still used today
to measure stress changes in rocks and other
geomaterials. Various instrument makers
Fig. 10.15 Flat pressure cell stress monitoring carry such cells. Figure 10.18 shows a photo-
system of Swolfs and Walsh (1990). The ratio T / Lis graph of a circular pressure cell carried by
the aspect ratio of the slot. ROCTEST. One of the most popular cells used
Steel strap
Gage leads
Ytterbium ~FlatjaCk
stress gage pressurization
element tubes
I
Flat jack Steel strap
machined to
Fig. 10.16 Components of the CALIP gage of Keller and Lowry (1990).
Techniques and applications 379
20 KEY
'" VERTICAL PILLAR PRESSURE N V
• HORIZONTAL PILLAR PRESSURE N H
ttl
c...
:::;: 15
llJ
c::
:::)
Cf)
Cf)
llJ
g:W
c::
«--' N Vo = 5.8 MPa
--' / Pe .....,..
c::: 5 ,=========
4 N Ho =5.6 MPa
3
2
1
0
-544 -460 -390 -320 -250 -180 -140-100 -60 -40 -20 -10 0
TIME, days
I I I I I I I I I I
-444 -300 -200 -100-500100 200320 -450 -300 -150 -100 -50 -200
Fig. 10.17 Example of stress monitoring in a coal pillar using a combination of one CPC and two BPC cells.
(After Lu, 1986.)
Fig. 10.18 Hydraulic pressure cell. The pressure is measured using a transducer shown on the left of the
photograph. (Courtesy of ROCTEST.)
380 Monitoring of stress change
I
Filling and Diaphragm by-pass
repressurizing line valve
Pressure line
Return line
"""'"
Pressure in material Pneumatic system up to 50 kg/cm2 (750 psi)
Hydraulic system up to 300 kg/cm2 (4500 psi)
Fig. 10.19 Measurement of normal stress using the GlOtzl cell. (From ROCTEST documentation.)
in practice today is the Glatzl (or Gloetzl) cell in the wall of a large unlined hot-water cavern
(Fig. 10.19). The latter (like most modern (22 X 18 X 45 m) excavated in gneiss at the
hydraulic pressure cells) is equipped with a Avesta plant in Sweden. The cells were
hydraulic diaphragm transducer where the grouted in boreholes and were located at dis-
cell pressure is measured by balancing the tances of 1.3, 3.3 and 6.3 m from the top of the
fluid pressure in the cell by a pressure applied cavern. Stress change monitoring was carried
to the reverse side of the transducer dia- out over a period of 18 months during which
phragm. GlOtzl cells come in different con- the stored water underwent four cycles of
figurations with various sizes and applied heating and cooling. Figure 10.20 shows the
pressures (up to 30-40 MPa). The fluid used is variation of the stresses and water tempera-
either mercury or oil. The cells can be installed ture with time. It can be seen that the rock
in a borehole. After installation, the borehole is stress fluctuations coincide relatively well
backfilled with concrete or a material with a with the fluctuations of the temperature of the
deformability similar to that of the host rock. water in the cavern.
Single Glatzl cells have been used extensively
for measuring stresses in soils, concrete, con- 10.3 TECHNICAL INFORMATION
crete linings and rocks and at distances not
exceeding 50 m into rock masses. Additional information about some of the
Several hydraulic pressure cells can be instrument devices presented in this chapter
assembled to measure stresses in different and any related equipment can be obtained
directions in a given borehole. This set-up by contacting directly the following
provides a means of determining several com- manufacturers:
ponents of the change in stress tensor. Such a 1. ROCTEST, 665 Pine Street, St Lambert,
technique was followed, for instance, by Quebec, J4P 2P4, Canada: pressure cells,
Meister et al. (1991), who used a combination GlOtzl cell, vibrating wire stressmeter.
of four GlOtzl cells to measure stress changes 2. Glatzl, BaumeBtechnik, Gesellschaft fur
in rock salt associated with in situ heater BaumeBtechnik, 7512 Rheinstetten
experiments in Germany. Another example of 4-Fo./Karlsruhe, Germany: GlOtzl cells and
stress monitoring with multiple GlOtzl cells systems of several Glatzl cells.
was reported by Rehbinder (1984). Changes in 3. MINDATA Pty. Ltd., 115 Seaford Road,
tangential and axial stresses were monitored Seaford 3198, Victoria, Australia: CSIRO HI
References 381
The last 30 years have seen a major advance in compiled in a digital database. The data are
our knowledge of in situ stresses in rock. A available on floppy disk from: NOAA, World
large body of data on the state of stress in the Data Center A, 315 Marine Drive, Boulder, CO
near-surface part of the Earth's crust (upper 80220, USA. In this section we present an
4-5 km of the crust) is now available. Regional overview of the WSM database, and a sum-
stress data from various continents have been mary of the major stress patterns in the Earth's
collected in separate databases and later com- crust that have been proposed by Zoback et al.
piled into a worldwide database. The first part (1989), Zoback (1992) and others. More
of this chapter deals with the organization and detailed information about the WSM can be
database of the World Stress Map Project, and found in the papers by Zoback et al. (1989) and
the 'big picture' of the state of stress in the Zoback (1992).
Earth's crust. The second part of this chapter It should be clear to the reader that most of
deals with the effect of scale on in situ stresses the data in the WSM database have been col-
and in situ stress measurements, and the rela- lected in the continental part of the Earth's
tionship between local stress measurements crust. Data from the oceanic part of the Earth's
and the global stress field. crust are still sparse, except for the North Sea
as reported recently by Fejerskov et al. (1995),
where there exists a good data compilation.
11.1 THE WORLD STRESS MAP
The World Stress Map (WSM) Project is a 11.1.1 THE WSM DATABASE
'global cooperative effort to compile and in- The stress data in the WSM are compiled in a
terpret data on the orientation and relative digital database. All information regarding
magnitudes of the contemporary in situ tec- stress orientation (such as number of determi-
tonic stress field in the Earth's lithosphere' nations, mean, standard deviation and depth
(Zoback, 1992). The project was initiated in range) is complete. On the other hand,
1986 under the auspices of the International detailed stress magnitude information is not
Lithosphere Program and involves more than compiled. Stress values at maximum depth
30 scientists from about 20 different countries and/ or stress gradient with depth are some-
who have been responsible for a systematic times given. Clear changes in stress orien-
compilation of available stress data in their tation with depth are also recorded in the
respective geographical regions. The main database. It is noteworthy that the WSM data-
focus of the project has been the character- base complements several more complete
ization of the state of stress within lithospheric regional databases, a list of which can be
plates. In 1992, over 7300 data points had been found in Z(l~ack (1992).
135° 90° 45° 0° 45° 90° 135°
60° 60°
30° 30°
0° 0°
30° 30°
60° 60°
Fig. 11.1 World stress map: orientations of SHmax plotted on a base of average topography. Line length of data proportional to quality (A-C
data plotted, see Table 11.1). The scale at the bottom gives the average topography elevation (in meters relative to sea level). (After Zoback,
1992.)
The World Stress Map 389
Table 11.1 Quality ranking system for stress orientations (after Zoback, 1992)
A B C D E
A B C D E
E
~
.r:
a.
•
~
D
Focal mechanisms
Breakouts
HycJrofracs
Q)
Q
• Overcoring
m Fault slip
g]
is-;!- Volcanic alignments
Fig. 11.3 Depth distribution of reliable WSM data. (After Zoback, 1992.)
along a fault may differ from the orientation of (b) Fault-slip data
the p- and T-axes. This is the reason why no
single-event focal mechanism receives an A The inversion methods for fault-slip data are
quality ranking in the WSM database, regard- essentially the same as those used for focal
less of the magnitude of the event and whether plane mechanism data and, in both cases,
it is well constrained or not. yield principal stress orientations that are
As shown in Table 11.1, the A quality rank- generally well constrained. As discussed in
ing is reserved for stress directions determined section 2.14.1, by recording the orientation and
from mean P- or T-axis orientations or inver- direction of motion of slickenside lineations on
sions for best-fitting stress axes of groups of a given population of non-parallel fault
moderate-sized earthquakes (at least one planes, it is possible to determine the stress
event with magnitude larger than 4.5) occur- field responsible for those lineations. No
ring within close geographical proximity, and assumption is made concerning the orienta-
with a variety of focal mechanisms. Well- tion of the fault planes with respect to the
constrained mechanisms with B quality stress axes, so that reactivated faults are
ranking are generally available for large mag- accounted for along with newly created ones.
nitude earthquakes, and for those single A more complex method of analysis of hetero-
events with magnitudes larger than 4.5-5.0. geneous data sets, which allows one to dis-
Well-constrained focal mechanisms may be tinguish between successive faulting events is
available for smaller-magnitude earthquakes discussed by Angelier (1984).
in areas of a dense seismic network and For the fault-slip technique to work well, it
detailed crustal structure and velocity infor- is necessary to document slip directions of
mation. Single-event mechanisms constrained similar age on non-parallel fault surfaces of
by body waves from a sparse regional seismic varied orientation at a given location. The
network are given a C rating. Composite focal most significant limitation of this method is
mechanisms for local diffuse seismicity and/ the assumption that all the slickensides in the
or aftershocks, and single events of small mag- fault population are related to a given and
nitude less than 2.5 are given a D rating. uniform, but unknown, stress tensor. Further,
The World Stress Map 393
all fault motions are assumed to be independ- been dated as Quaternary in age either radio-
ent and there is no fault interaction. A final metrically or based on field relationships.
concern is that fault-slip observed at or near Table 11.1 indicates that five or more parallel
the ground surface may only represent the dikes or cinder cones are given an A quality
near-surface response to deeper slip events. ranking if the standard deviation of their ori-
As indicated in Table 11.1, the highest- entation is less than 12°. In the case of three or
quality ranking of fault-slip data in the WSM more, or less parallel features, a B quality
database is reserved for inversions of fault rating is given. The C quality rating is reserved
striations on fault planes with a variety of for single well-exposed dikes and single align-
attitudes. The slip vectors and mean attitudes ments with at least five vents. Finally, the D
of fault planes for historic or prehistoric events rating is given for volcanic alignments
are treated as paleofocal mechanisms and are inferred from less than five vents.
given a B quality. In cases where several tec-
tonic events are recorded at a given outcrop or
(d) Overcoring stress measurements
region, only the youngest event is inserted into
the database. The B quality data imply using As discussed in Chapter 5, overcoring is a
multiple observations of slip vectors within a well-established technique for determining
major fault zone to define a mean fault atti- the state of stress in the Earth's crust. Accord-
tude and fault vector. The C quality data ing to Zoback et al. (1989), there are two
provide a less accurate estimate of stress ori- primary drawbacks with this technique which
entation, using only the strike of young faults restrict its usefulness as a tectonic stress indi-
and the primary sense of offset (but not the cator. First, many measurements have been
actual slip vector) on an active fault plane. made near a free surface or close to the ground
Data that fall into the D category include offset surface where local topography, rock aniso-
boreholes along road cuts and surficial post- tropy and natural weathering and fracturing
glacial pop-ups, and offsets of faults in quar- might have influenced the recordings. Second,
ries. Stress directions inferred from the trends many of these measurements have been made
of joints and joint sets are not considered in the specifically for engineering applications (e.g.
WSM database. tunneling, dam construction and mining)
where nearby excavations and related fractur-
ing could perturb the regional stress field.
(c) Volcanic vent alignments
For all the above reasons, a conservative
As discussed in section 2.14.1, volcanic feeder quality ranking is used when using overcoring
vents such as dikes and cinder cones tend to data in the WSM database. The D quality
propagate perpendicular to the minimum ranking is given to all near-surface ( < 5-10 m)
principal far-field stress as natural large-scale stress relief measurements. For stress relief
hydraulic fracturing experiments. Thus the measurements made at depths larger than
mean strike of vertical dikes should corre- 10m (or at least one excavation diameter away
spond to the direction of the maximum from the free surface of an opening), the
horizontal stress SHmax' In order to determine assigned data quality depends on the internal
the current state of stress, one must use feeder consistency of multiple measurements (Table
vents of young age, preferably of Quaternary 11.1). For instance, in Fennoscandia the over-
age; however, paleostresses can similarly be coring data believed to have been influenced
studied using older dikes or cinder cones that by overlying or adjacent excavations in mines
are radiometrically dated. or underground chambers are simply not
All the data related to volcanic vent align- included in the WSM database (Stephansson et
ments included in the WSM database have al., 1987).
394 State of stress in the Earth's crust
(e) Hydraulic fracturing stress number and combined length of breakouts
measurements observed in a single well (or in wells in close
As discussed in Chapter 4, hydraulic fractur- proximity), and on the average and standard
ing can be used to measure in situ stresses at deviation of the breakout orientation.
large depths now reaching 6-9 km (Te Kamp,
Rummel and Zoback, 1995). According to 11.1.2 DETERMINATION OF STRESS REGIMES
Zoback et al. (1989), since many of the hydrau- AND GLOBAL STRESS PATTERNS
lic fracturing tests are conducted for engineer-
ing purposes, the reliability of the test results Various analyses of the WSM database have
to record tectonic stress fields must be eval- enabled Zoback et al. (1989) and Zoback (1992)
uated in terms of local site conditions. If this to draw some general conclusions regarding
information is not valid, a conservative stress patterns and stress regimes in the
approach is followed and stress orientations Earth's crust. The stress regimes are defined
obtained by hydraulic fracturing (for purely using the model of Anderson (1951), based on
engineering studies) are given a D quality the relative magnitude of the vertical stress Sv
rating. As shown in Table 11.1, the highest and the maximum and minimum horizontal
quality rating, A, for stress orientation requires stresses SHmax and Shmin, respectively. The
four or more hydrofrac orientations in a single three major stress regimes include (1) the
well with a standard deviation :::; 12° at a normal faulting stress regime with
depth > 300 m, or alternatively the average of Sv> SHmax > Shmin, (2) the strike-slip faulting
the hydrofrac orientations for two or more stress regime with SHmax> Sv > Shmin and (3)
wells in close geographical proximity with a the thrust or reverse faulting stress regime
standard deviation:::; 12°. with SHmax> Shmin > Sv. These stress regimes
and their respective body-wave focal plane
mechanisms are shown in Fig. 11.4. In addition
(f) Borehole breakouts to those three basic regimes, Zoback et al.
Borehole breakouts represent 28% of the WSM (1989) and Zoback (1992) consider transitional
database (Fig. 11.2). In addition, the technique stress regimes such as Sv = SHmax > Shmin,
probably has the greatest potential for pro- which produces a combination of normal and
ducing new stress orientation data. Breakout strike-slip faulting, and SHmax> Shmin = Sv,
data are important for the WSM compilation which produces a combination of strike-slip
because they generally sample a depth inter- and thrust faulting.
val (1-4 km or even deeper, up to 5-6 km) The mean stress directions and dominant
intermediate between the earthquake focal stress regimes for different clusters of data in
plane mechanisms and the in situ stress the WSM database have been plotted by
measurements and near-surface geological Zoback (1992) and are presented in Fig. 11.5.
observations (Fig. 11.3). They also provide a The arrow size on this figure represents a
large number of observations of stress orienta- subjective assessment of quality related to the
tion over considerable depth ranges which degree of uniformity of stress orientation and
allows statistical determination of orientation also to the quantity and density of data (see
and the scatter about the mean. Statistical caption of Fig. 11.5).
analyses of breakout data recorded with bore- One of the major conclusions derived from
hole televiewers and formation microscanners the analysis of the WSM database (and from
are of great importance (Barton, Zoback and Figs 11.1 and 11.5) is that broad regions within
Burns, 1988) since these instruments generate the interior of many plates of the Earth's
detailed breakout information. Breakout rank- lithosphere are characterized by uniformly
ing in Table 11.1 depends largely on the oriented ( ± 15°) and consistently oriented (for
The World Stress Map 395
different types of stress indicators and depths) horizontal stresses are greater than the vertical
horizontal stress fields. Uniformity in stress stress. On the other hand, continental exten-
orientation has been found in continental sional stress regimes (normal or combined
regions over distances of up to 5000 km. This normal and strike-slip faulting), in which the
regional consistency allows the definition of maximum principal stress is vertical, generally
broad-scale regional stress provinces, also occur in topographically high areas.
called 'first-order' stress provinces by Zoback Correlation between regional intraplate
(1992). Regions of very uniform horizontal stress orientations and both absolute and rela-
stress orientation include, for instance, eastern tive plate motions has been noted by several
North America, the western Canadian Basin, authors such as Sbar and Sykes (1973) and
central California, the Andes, western Europe, later by Zoback and Zoback (1980) for North
the Aegean and northeastern China. America, and by Muller et al. (1992) for
Another conclusion derived from the WSM Europe. This observation was reinforced at a
is that most mid-plate or intraplate continental larger scale by Zoback et al. (1989) and Zoback
regions are dominated by compressive stress (1992), who found some correlation between
regimes (thrust or a combination of thrust and the measured SHrnax orientations and the azi-
strike-slip faulting) in which one or both of the muths of absolute plate velocity predicted
with the AM-2 model of Minster and Jordan
(1978). This correlation is shown in Fig. 11.5
where plate movements are indicated by thin
T lines. The correlation has been found to be (1)
strong for mid-plate North America and the
,(I)
B
uniform broad-scale stress fields in the litho-
sphere are the broad-scale forces that either
drive or resist plate motion, including slab
pult ridge push, collisional resistance, trench
suction and basal drag (Fig. 2.29). The regional
St.min
stress field (first-order stress pattern) can be
perturbed locally by various local phenomena
due to a variety of forces acting on the litho-
sphere and to even more local effects or per-
turbations related to topography, anisotropy,
heterogeneities, erosion, artificial excavation
and major faults or shear zones. These more
local stresses create so-called 'second-order'
stress patterns (Zoback, 1992).
Intraplate areas of active extension are
Fig. 11.4 Definition of style of faulting and state of generally associated with regions of high
stress, related slip vectors and P-, T- and B-axes. topography, e.g. the high Andes, western US
(After Anderson, 1951.) Cordillera, Tibetan plateau and South Africa.
180' 135' 90' 45' o· 4S' 90' 135' 180'
60' 60'
30' 30'
o· o·
30' 30'
60' 60'
IDAHO
42°r-~-----r~~~~+-____ -4______-r-=~--'
NEVADA
--A
I
CARRIZO PLAIN
- C
~t:~~~~~~~~~~~~
I
/,80REHOLE ElONGATION
SANTA BAR
------4'...-b'=--'~'-H---
/ " ,DeAL MECHANISM
/ ' GEOLOGICAL
Fig. 11.6 Generalized geological map of California with data points showing the direction of maximum
horizontal compression in the crust. The length of the bars attached to each data point is a measure of its
quality (A, B or C as defined in Table 11.1). The symbol associated with each data point indicates the type of
stress indicator. No focal mechanisms from earthquakes directly on the San Andreas or major, right-lateral
strike-slip subsidiary faults are included. (After Zoback et al., 1987.)
Within the Mid-plate stress province in as proof that the state of stress results from
North America, at the center of each region drag forces as the plate moves over a relatively
defined by the 20° by 20° latitude and longi- stable asthenosphere (Zoback et al., 1989). It is
tude grid in Fig. 11.7, the direction of absolute not possible at this time to say with certainty
plate motion of North America coincides with whether a push from the Mid-Atlantic ridge or
that determined by Minster and Jordan (1978). a drag from the base of the plate is responsible
One cannot simply interpret the generally for the state of stress in the Mid-plate province.
good correlation between SHmax and the abso- The Texas-Louisiana Gulf Coast stress prov-
lute plate motion directions in North America ince is characterized by an extensional state of
The World Stress Map 399
lBO' 20'
160'
40'
40'
40'
20'
20'
. . . . Compression
_Extanslon
~ Piale Motion
Fig. 11.7 Stress provinces of North America and plate motion. (After Zoback and Zoback, 1991.)
stress. In situ stress measurements and fluid wedge and forearc region, the state of stress is
pressure data from both onshore and offshore highly compressive and thrust faulting is
boreholes of the Gulf Coast have been used to dominant with the direction of SHmax parallel
show that the state of stress within the sedi- to the direction of relative plate motion, (2) in
mentary basin is controlled by the frictional the volcanic arc, the state of stress is typical of
strength of the many normal faults in the area. strike-slip faulting and the direction of SHmax is
To what degree the underlying basement rocks parallel to the direction of plate motion, and
are involved in the fault mechanisms is still (3) an extensional state of stress in the back-arc
unknown. region, where Sv is the maximum principal
As shown in Table 11.2, six subduction- stress and the direction of the intermediate
related stress provinces have been identified in stress is parallel to the strike of the volcanic
North America (Zoback and Zoback, 1991). arc. Although it is not necessary for all three
The state of stress in continental plates that stress domains to be present in a given plate
are overriding the subduction zones can be overriding a subduction zone, this general
divided into three distinct regions (Nakamura pattern has been widely observed (Nakamura
and Uyeda, 1980): (1) in the accretionary and Uyeda, 1980).
400 State of stress in the Earth's crust
Table 11.2 Stress provinces of North America (after Zoback and Zoback, 1991)
Subduction-related provinces
Aleutian TF/SS NNW Vertical! NNW SHmax direction observed throughout most of Alaska south
subduction ENE of the Brooks Range is consistent with the NNW direction of
relative motion of the Pacific plate with respect to North America.
Thrust faulting along shallow, low-angle subduction zone and
within accretionary prism. Strike-slip faulting in volcanic arc.
Pronounced oblique subduction in western Aleutians
Aleutian NF Vertical NNW? While poorly documented, this province may encompass most of
back-arc the Bering Sea, Seward Peninsula and parts of northeastemmost
Siberia. Direction of minimum horizontal compression is
approximately perpendicular to the arc
Central TF/SS NE Vertical/ SHmax direction parallel to the direction of relative motion of Cocos
American NW plate with respect to North America
subduction
Trans- NF Vertical N Pronounced volcanic alignments and grabens define this stress
Mexican (NNE-N) province. Calc-alkalic composition and location of volcanic belt
volcanic belt consistent with this zone as a volcanic arc of the Central American
subduction zone. Unlike most volcanic arcs, however, the SHmax
direction is normal to the convergence direction rather than
parallel to it
Cascade TF NE Vertical Poorly defined, this province is based on - 10 earthquakes in
convergence Vancouver Island and sparse breakout data in western
Washington and Oregon. The NE SHmax direction distinguishes
the province from the Pacific Northwest province to the east.
Apparent SHmax direction is - 30° oblique to convergence
direction of the Juan de Fuca plate, suggesting a weak coupling
between the state of stress in the North American plate and
subduction of the Juan de Fuca plate
The World Stress Map 401
Table 11.2 Continued
Principal stress direction
Stress
regime Maximum Minimum Remarks
Subduction-related provinces-Continued
Pacific SS/TF N E/Vertical N-S compression throughout this province is accompanied by
Northwest strike-slip faulting in the Cascades and active folding and thrust
faulting in Puget Sound and Columbia plateau. Source of this N-S
compression may be movement of the Pacific plate with respect to
North America, perhaps suggesting a weak coupling between the
Juan de Fuca plate and North American plates
Transform-related provinces
San Andreas SS/TF NE NW/ This province includes the San Andreas fault zone and a broad
Vertical zone of crustal shortening adding to it in which SHmax is oriented
at a very high angle to the strike of the fault ( - 85° in central
California and - 70° in southern California). This is especially
surprising as the direction of relative plate motion between the
Pacific and North American plates in central California is only
slightly convergent. The source of the near fault-normal
compression direction is believed to be the result of the San
Andreas, and its principal branches, having a markedly lower
stress than the surrounding crust
Queen SS/TF NE NW/ Similar to the San Andreas, the SHrnax direction adjacent to the
Charlotte Vertical Queen Charlotte is at a high to the strike of the fault ( - 60 to 70°).
However, the data set is quite sparse and based primarily on
earthquake focal plane mechanisms. In addition, the Queen
Charlotte is oriented obliquely to the direction of relative plate
motion and thus accommodates appreciable shorting across it
Gulf of SS/NF N-NW / E/NE Although generally considered as a zone of mid-ocean spreading,
California Vertical most of the length of the Gulf of California is a transform plate
boundary with spreading limited to a number of rather short
segments. Geological indicators and earthquake focal plane
mechanisms indicate strike-slip and normal faulting in Baja
California with an Shrnin direction that ranges between NE
(fault-normal extension) to E-W, a direction more consistent with
that expected from conventional faulting
Method:
~ local mechanism
/
breakouls
overcoring
70' ?; hydro. Iraclures
geol. indicalors
jJ
Regime:
O NF ~ 55 • TF
Qual ity:
A
8
C
Fig. 11.8 European stress map plotted on a regional topographic base. Maximum horizontal compressive
stress orientations are plotted for all data of quality categories A, Band C (Table 11.1). The length of the
symbols is proportional to the quality. The different center symbols represent different types of stress
indicators as defined in the key. (Courtesy of B. Muller, 1996.)
404 State of stress in the Earth's crust
SHmax' The different stress fields can be attrib- loading, (3) the effect of topography and (4)
uted to plate-driving forces acting on the shear strength variations of faults and joints.
boundaries of the Eurasian plate, locally mod- The physical properties of geologically old
ified by lithospheric properties in different shield areas, like the Fennoscandian Shield,
regions. are characterized by thick lithosphere and low
In the stress province of western Europe, the heat flow. This reduces the mean stress level of
direction of maximum horizontal stress shows the lithosphere and permits local effects due to
a uniform NW-SE direction with a mean value lateral inhomogeneities in the crust such as
of N53°W:±: 16°. The boundary of the stress density or strength to have an important
province to the north is governed by the influence on the stress field.
Ringkoping-Fyn basement ridge striking The maximum principal stress of the
WNW-ESE across southern Denmark (Ask, European continent is horizontal except in the
Muller and Stephansson, 1996). Overall, the Aegean Sea and western Anatolia, the Lower
maximum stress in western Europe is aligned Rhine embayment, the Apennines and west-
with the direction of the Eurasian plate motion ern France, where dominantly normal faulting
relative to the African plate. As pointed out by data exist (Fig. 11.8). The E-W direction of
Zoback et al. (1989) and Muller et al. (1992), the SHmax in the Aegean Sea appears to be
uniform stress field coincides with a thin to associated with African versus Eurasian plate
medium thick lithosphere (50-90 km) and movement.
high heat flow (> 80 X 1O-3 w1m2 ). The per-
sistent SHmax orientation of western Europe is
only locally affected by major geological struc- (e) Indian subcontinent
tures such as the Alps. The Rhine Graben rift
system, which is another major structure, A map of the orientation of SHmax in the Indian
appears to have no effect on the stress subcontinent has been prepared by Gowd,
orientation. Srirama Ra and Gar (1992) using orientations
The European stress map (Fig. 11.8) shows derived from borehole breakouts, hydraulic
that the stress orientation in Fennoscandia is fracturing and earthquake fault plane mecha-
not as consistent as in western Europe. How- nisms (Fig. 11.9). Four stress provinces have
ever, there is a slight tendency for the stresses been identified on the basis of regionally con-
to be aligned in the NW-SE orientation at sistent orientations, namely (1) the mid-
greater depth, as demonstrated from earth- continent Indian province, (2) the Southern
quake focal plane mechanisms by Slunga Indian Shield, (3) the Bengal Basin and (4) the
(1989), Bungum et al. (1991) and Gregersen Assam wedge. The midcontinental province
(1992). Rock stress and rock stress problems comprises central and northern India and is
from overcoring stress measurements in characterized by NNE-ENE-oriented SHmax
Norway have been discussed by Myrvang which is expected to arise from the net resis-
(1993). The ridge spreading and the associated tive forces at the Himalayan collision zone.
ridge push force at the Mid-Atlantic ridge give Much of southern India appears to form the
rise to tectonic stresses, and this is assumed to second stress province characterized by
be one of the contributors to the stress field in NW-oriented SHmax stresses. This orientation
Fennoscandia. The following conditions may appears to be similar to that of the intraplate
modify the local stress field and cause some of stress field prevailing in the central Indian
the observed scatter in the orientation of the Ocean. The third stress province in the Bengal
principal stresses according to Stephansson Basin is fairly complex but shows mainly an
(1988, 1993): (1) isostatic response from ice E-W orientation of the maximum horizontal
loading, (2) creep of crustal rocks from ice principal stress.
The World Stress Map 405
80
100 0 200
! !
km
20
•
~I~
• It'llc
11),« 10
•
10
N
N \ \
\ \
\ \
\F \
\~. .+ + ++
+ + +
/1
1
)
,/ 1 /
o•
I - ' +..!- A+ +~
__ + i~:r--;-+ + : I \/.: -? 1 I ~.
_ -f _ -+ ..- .~./.o)..~ "'\ I 1/: '\
-1
-..:~ - ~J /).- I "I I
__
1 _:-..:trI ..-_,r
101 /)./ / J
~ /<\// I
--I + J.4:. (~. I
I ..:;-,,;-; ..-:--------i
ff --
J
/ ,/ / 1/ 101 I N DE X 1SOO
'1 /.'
I , /~ I /:i FRACTURES
,//,' 1/-'
I /::::-/'i + + FOLD CRESTS
I 77 TT SUBDUCTION ZONE
,/ I / , 5H••• ORIENTATION
700
//// / /
/ /,
/ 1/
,; I
800
I 90
...... BOREHOLE BREAKOUTS
-HYDROFRAC
-0- FOCAL MECH ANISMS
Fig. 11.9 Map of SHmax orientations in the Indian subcontinent. SHmax orientation is indicated by a line
whose center symbol designates the type of stress indicator. The length of the line indicates quality of the
data. Important tectonic and geodynamical features of the Indian plate are also shown on the map. (After
Gowd, Srirama Ra and Gar, 1992.)
406 State of stress in the Earth's crust
(f) Australia the maximum horizontal principal compres-
The first major compilation of stress measure- sive stress trajectories radiate from the Tibetan
ment data for the Australian continent was plateau to the northern, eastern and the south-
published by Worotnicki and Denham (1976). eastern parts of the mainland (Fig. 11.10). The
Later, Brown and Windsor (1990) made a com- existence of the broad-scale radial pattern of
SHmax directions seems to indicate that it is
pilation of stress data primarily based on near-
surface in situ measurements, and reached the quite likely that the indentor effect of plate
conclusion that the distribution of measure- collision between India and Asia is the driving
ment sites across the continent as a whole is force.
still too sparse to establish reliable continental
or regional trends. Attempts to relate con- 11.2 EFFECT OF SCALE ON IN SITU
tinental stress data to large-scale geological STRESSES: FACT OR FICTION?
and tectonic features have been generally
inconclusive. Brown and Windsor (1990) sug- The dependence of rock properties on the
gested that the underlying stress directions in geometric dimensions of the sample is called
Australia reflect those associated with the scale effect (Cuisiat and Haimson, 1992). The
cratonization of the continent. Hence the situa- role of scale on in situ stresses in rock needs to
tion in the Australian continent, as for Fenno- be addressed for three main reasons. First,
scandia (Stephansson, 1988), Brazil stress is, by definition, a concept that applies
(Assumpcao, 1992), Canada (Adams, 1989) to a point in a continuum. Second, all measur-
and other shield areas, seems to be charac- ing techniques used in practice monitor the
terized by a large scatter in the orientation of response to disturbance of a certain volume of
the horizontal principal stresses in the upper rock (a sample) which can consist of a very
part of the Earth's crust. large number of points (Table 3.1). The volume
Zoback (1992) reported that stress patterns can be small, as with hydraulic methods and
have been recently clarified somewhat in especially borehole relief methods, or quite
Australia. New breakout data and thrust fault- large, as with the earthquake focal mechanism
ing focal mechanisms seem to indicate that method, the under-excavation technique or
much of central and northeastern Australia the bored raise method. The larger the rock
experiences a compressional stress field domi- volume, the more rock discontinuities and
nated by a N-NE compression, whereas avail- heterogeneities can be expected to be included
able data from both the southeastern and in that volume and to affect in situ stress
southwestern parts of Australia indicate an measurements. In general, large rock volumes
E-W compression. give average values of the in situ stress field
and tend to eliminate the effect of local rock
mass irregularities on the stress measure-
(g) China ments. On the other hand, small-scale
The data used to infer the present-day stress measurements provide a more detailed
field in China come from more than 5000 small description of the in situ stress field. The rock
earthquakes (with a local magnitude 1 < ML volume involved in stress measurements
< 5) reported by Xu et al. (1992), a large defines the stress measurement scale.
number of in situ stress measurements made A third reason for addressing the problem of
with overcoring and hydraulic fracturing (Li scale when dealing with in situ stresses is that
and Liu, 1986), and borehole breakout studies stress measurements are usually carried out to
(Gao, Xu and Chen, 1990). The map of the provide input data for the analysis of prob-
P-axes orientation from focal plane mecha- lems of various scales. For instance, geophysi-
nisms studied by Xu et al. (1992) suggests that cists are interested in large-scale problems (of
':f
...".1
i.:-;i;'-;'
::~~
30·
V 71> Ilal·
Horizontal
• Vertical
Y I :/1110·
"0' Less reliable
o
l
2.50 ~
'- __
.500 750km
Fig. 11.10 P-axes orientation map for China. Bold symbols represent mean directions from multiple earthquake composites while thinner and
smaller symbols indicate axes from individual M 2: 6 earthquakes. The regions contoured by dotted lines have an elevation higher than 3000 m.
A bar crossing a dot means that the P-axis is vertical and the direction of the horizontal B-axis is represented by the bar. (After Xu et aI.,
1992.)
408 State of stress in the Earth's crust
the order of several cubic kilometers) such as technical papers, the problem of scale effect
identifying general stress patterns in a region with regard to in situ stress is still poorly
or over an entire continent. Their problems are understood and open for discussion and
essentially at the megascopic or regional scale. further research. The reader interested in the
Geologists are more interested in smaller-scale topic of scale effect and in situ stress will find
problems, such as the influence of a particular additional information in the papers by Hyett,
geological structure on the stress field. Mining Dyke and Hudson (1986), Hudson and
and geotechnical engineers are interested in Cooling (1988), Enever, Walton and Wold
determining the stress field in a volume of (1990), Haimson (1990b) and Cuisiat and
rock interactin§ with an excavation (of the Haimson (1992).
order of 103-10 m 3). The problems of interest When dealing with in situ stresses, three
to engineers and geologists are at the applica- types of potential scale effects need to be
tion scale or local scale, which ranges some- considered: (1) the effect of scale on stress
what between the megascopic scale and the itself, (2) the effect of scale on stress measure-
mesoscopic scale (i.e. a scale large enough to ments and (3) the effect of scale on the proper-
be observed in its entirety). Stresses at the ties entering into the analysis of in situ stress
microscopic scale are of interest to geologists measurements. In discussing these three
interested in petrography, mineralogy and aspects of scale effect, we will make use (for
crystallography. The microscopic scale is also illustrative purposes) of the simple model of
the strain or displacement measurement scale Fig. 2.18 which has been reproduced in Fig.
in overcoring techniques. ll.lla. In this model, an idealized rock mass of
In general, engineers, geologists and geo- length L (and unit width) consists of N juxta-
physicists are interested in knowing stresses posed units, each unit i (i = l,N) having an
over rock volumes much larger than those elastic modulus Ei . The units are all assumed
involved in the actual in situ stress measure- to be horizontal, to have the same width
ments. Unless the stress field is homogeneous Wi = LIN, and to be connected laterally. The
over the volume of rock of interest, stresses rock mass is subject to a vertical force F and is
need to be extrapolated from the measurement assumed to experience a uniform displace-
scale to the scale of the problem of interest (or ment in the vertical direction over the length L.
application scale). This interpolation process is Using basic strength of materials, the average
still a subject of discussion in the rock mech- vertical stress (Ji in each unit is given by equa-
anics and rock engineering literature. Thus a tion (2.19) which, for the case considered here,
basic question arises: how do we reconcile the reduces to (Ji = (Ei/Eav)(Jav where Eav is the
state of stress at a point with what we measure average modulus over the length Land
in situ? (Jav = F I(L X 1).
The problem of scale effect in rock
mechanics has received quite a large amount
11.2.1 EFFECT OF SCALE ON STRESS
of interest over the past decade, as testified by
the creation of a special ISRM commission on By definition, the concept of stress as defined
the subject and the publication of the by Cauchy (and summarized in Appendix A
proceedings of two recent ISRM-sponsored and section 1.1), is a limiting concept that is
international workshops (Cunha, 1990, 1993). applied at a point around which a small area is
Both workshops addressed the general prob- defined. In the limiting process, the average
lem of scale effect with regard to rock deform- force vector per unit area converges to a vector
ability, strength, permeability and in situ called the stress vector and the resultant
stress. Despite all the research reported in the moment is assumed to vanish. Stress is also
workshop proceedings and in more recent defined within the context of continuum
Effect of scale on in situ stresses: fact or fiction? 409
mechanics, which implies that the material Due to the complex nature of rocks from the
under consideration is continuously distrib- micro-scale to the regional scale, in situ stres-
uted throughout its volume and completely ses are intrinsically non-uniform. As discussed
fills the space it occupies. Stress is expressed as in Chapter 2, for given boundary conditions,
a piecewise continuous function of space and the magnitude and distribution of in situ stres-
time (Mase, 1970). Because of its intrinsic ses depend largely on the rock mass structure
definition, stress in any material cannot be (petrography, discontinuities, heterogeneities,
scale dependent. folds, faults, dikes, fabric, etc.) and on its
geological history. When analyzed thoroughly,
1 F
the in situ stress distribution in a rock mass can
be so complex that local stresses may be
quite different from the average stress. Note
I" L ~I that the two are however related, as shown
for instance for the model of Fig. Il.Ila (equa-
1;.,12131]i1 IN-,I N
tion (2.19)).
In rock masses, stress perturbations occur at
I
1
I-I the small and large scales. This was clearly
Wi = LIN emphasized by Enever, Walton and Wold
(1990) who presented several case studies in
Australia showing how stress measurements
(a) by overcoring and hydraulic fracturing can be
affected by geological structures at various
2.0
scales ranging from the regional scale to the
1.8 local scale. In the model of Fig. Il.Ila, the
1.6 vertical stress in each unit varies with the unit
1.4 stiffness, yielding larger stresses for the stiffer
1.2 layers. Since there is no scale in Fig. Il.Ila, this
>
<1l figure could be used to describe stress pertur-
--
\:l
\:l
CIl
0.8
1.0
bations over the length of a core specimen, a
borehole or a tunnel.
0.6 The non-uniformity of in situ stresses in rock
0.4 masses at various scales creates, in itself, a
0.2 natural (intrinsic, inherent) local scale effect
which is obviously independent of the
0
method of stress measurement. It is related to
o 10 20 30 40 50 60 70 80 90 100
the geology and the applied boundary con-
SAMPLE SIZE, n ditions. Nevertheless, it has been found that
the non-uniformity does not seem to be as
(b)
strong at the megascopic or regional scale. As
Fig. 11.11 (a) Idealized rock mass of length L (and discussed in the previous section, analysis
unit width) consisting of N juxtaposed units, each of in situ stress data collected worldwide
unit i (i = 1, N) having a modulus Ei • The rock mass through the WSM Project has shown
is subject to a vertical force F distributed over the N that large stress provinces (or stress regions)
units and is assumed to experience a uniform dis-
placement in the vertical direction over the length can be identified over which the stress is
L. (b) Variation of (Js!(Jav with the number of quite uniform (mostly in orientation) despite
element n in each sample as n varies between 1 and topography, local variations in geology and
N= 100. many causes of geological structures and
410 State of stress in the Earth's crust
heterogeneities (Cornet, 1993; Zoback, 1992; scale effect. The quality of the prediction de-
Zoback et al., 1989). More specifically, stress pends of course on the complexity of the rock
regions have been identified (1) in North mass and the constitutive models chosen for its
America (Adams and Bell, 1991; Arjang, 1991; constituents. The prediction can be as simple as
Bell and Babcock, 1986; Haimson, 1990a; that for the model of Fig. l1.11a or may require
Haimson, 1992; Herget, 1993; Plumb and Cox, more complex numerical models such as those
1987; Sbar and Sykes, 1973; Zoback, 1989; used at the URL or with the CSM block.
Zoback and Zoback, 1980), (2) in Europe
(Cornet and Burlet, 1992; Gonzalez de Vallejo
11.2.2 EFFECT OF SCALE ON STRESS
et al., 1988; Klein and Barr, 1986; Muller et al.,
MEASUREMENTS
1992; Stephansson, 1993), (3) in Australia
(Brown and Windsor, 1990; Enever and As discussed in section 3.8, stress measure-
Chopra, 1986; Enever, Walton and Windsor, ments involve different rock volumes of
1990; Enever, Walton and Wold, 1990; Wor- several orders of magnitude and therefore
otnicki and Denham, 1976) and (4) in Asia different samples of the stress field. Depend-
(Gowd, Srirama Ra and Gar, 1992; Li, 1986; ing on the size of the sample, the rock
Lin, Yeh and Tsai, 1985; Sugawara and Obara, characteristics (anisotropy, heterogeneity and
1993). Figures 11.12 and 11.13 show two exam- discontinuities) change. Each rock volume will
ples of principal stress orientation showing react differently as the rock is subject to new
consistency in in situ stress orientation over boundary conditions or disturbance associ-
large continental areas. Figure 11.12 depicts ated with the measurement process itself.
the results of four-arm dipmeter surveys of oil Therefore, one should expect different values
well breakouts in the western Canadian Basin of the stress field for different rock volumes.
reported by Bell and Babcock (1986). Figure However, the case studies presented in
11.13 shows the maximum horizontal stress Chapter 9, and in particular the URL, seem to
directions in the eastern part of the USA and indicate otherwise. From these case studies it
Canada inferred from borehole breakouts, appears that for a same rock condition and
hydraulic fracturing and overcoring, reported within a well-defined geological domain, dif-
by Plumb and Cox (1987). ferent stress measurement techniques give (on
As discussed in section 9.1, the stress average) comparable stress values within the
measurements at the Underground Research uncertainty expected in stress measurements,
Laboratory (URL) also showed well-defined i.e. an error of ± 10-20% for the stress magni-
stress domains bounded by major thrust faults. tude and an error of ± 10-20° for the stress
In each domain the stress field was found to be orientation.
essentially continuous and predictable using It must be emphasized that the conclusion
numerical techniques. The block test at the about the apparent lack of substantial effect of
Colorado School of Mines (CSM) Experimental scale on stress measurements for the URL site
Mine serves as another example showing that, was reached based on the results of a large
in between well-defined geological boundaries number of small-scale stress measurements
(in this case local fractures) and for known (overcoring and hydrofracturing) sampled
boundary conditions, the local state of stress over the representative domain, and to a lesser
can be predicted (section 9.2). These two exam- extent on a smaller number of large-scale
ples, which involve two different scales, can measurements. The small-scale measurements
serve as arguments that within well-defined provided multiple samples of the rock mass
geological boundaries and for adequate bound- with a meaningful average despite some clear
ary conditions, the variation of in situ stresses is dispersion. The conclusion was also based on
quite predictable and has nothing to do with detailed mapping of the site geology at all
102 0
~
~
~
<l'
,)0. \
~
I 11 \
! '2~ '\~5 1-
I ,27
\
'28 I J,
30~ \
....
I 34 33 " 3 2 C'
3s:.....
!...... '1",
I 36 ~'
j "-.45 '10
, -.......- /
I~., 46 '1",
j .........",,9
,48 ,,'
~
iJ-f \
\
" 70"" !I 7'"
<5"",
\
'83
\
'0, --I
I --\'02
"8~"'09 tn' ~.\ ;
~.;.
i',"3
, 123 ~\~
I ('l ',0
Km 200 ~
'; ,'",7
~'
I'" -z. '.
>i~
r-,>
16" Well location number "'I ...
-,,
mean breakout orientation m,o
........ Major populalion ~I~ _'53',
>i::;: -,49
i~ 151
Fig. 11.12 Mean azimuths of major and minor breakout populations for 154 wells in the western Canadian Basin and Rocky Mountains, (After
Bell and Babcock, 1986,)
412 State of stress in the Earth's crust
/
Borehole Elongation I~$~
/' Hydraulic Fracture
Overcoring
•• @.,
50°
42°
46°
,
,,,
Alantic Coast
Stress Province
,
._.l
Boundary
38°
Appalachian Fold Belt
42°
\ Grenville & Kenoran Fold Belts
I
.-.j Coastal Plain
\\... / Water
38°
.' 1
-
100
100
0
0
100 Mi
100 Km
34°
Fig. 11.13 Maximum horizontal stress directions in the eastern part of the USA and Canada inferred from
borehole breakouts, hydraulic fracturing and overcoring. (After Plumb and Cox, 1987.)
scales. Extension of the trends observed at the The importance of rock volume when
URL site to rocks other than hard and com- measuring in situ stresses can be illustrated
petent granitic rocks, and to other geological further using again the model of Fig. llo11a,
environments, must be taken with caution. which is now assumed to consist of N = 100
The extremely low natural fracture frequency elements. The Young's modulus for each ele-
encountered at the URL is an exception and is ment was determined using a random number
far from being representative of the conditions generator with values ranging between 1 and
of hard granitic rocks of Precambrian age. 100 GPa. Samples consisting of n consecutive
Detailed studies similar to the study at the elements (1 ::s n ::s N) were taken from the ide-
URL are needed before we can draw more alized rock mass. For each sample, the mean
general conclusions on the effect of scale on in stress (J s was determined as the average of all
situ stress and its measurement. It is clear, the vertical stresses in the units comprising the
however, that if geological boundaries are sample. Figure 11.11b shows the variation of
crossed in the process of stress measurement (J sl (J av as n varies between 1 and N = 100.
(such as faults, folds, inclusions and dikes), Figure Ilo11b indicates that as n increases, (Js
variations in the measured stress field should converges to (J av and the dispersion decreases.
be expected (Fig. 2.16). Such variations may be If we now use the analogy that each sample is
interpreted as scale effect but have nothing to comparable to a rock volume involved in
do with it. stress measurements, we can predict much
Effect of scale on in situ stresses: fact or fiction? 413
more variation in stress measurements with of interest involving different rock mass
methods (such as overcoring) that involve volumes, different fan-shaped diagrams sim-
small rock volumes than with those methods ilar to that shown in Fig. 11.Ilb can be con-
(such as the under-excavation technique) that structed (Cuisiat and Haimson, 1992).
involve larger volumes where the effect of Before concluding our discussion on the
rock irregularities has been eliminated. It is effect of scale on stress measurements, the
noteworthy that the fan-shaped trend in Fig. importance of scale on the measurement of
11.Ilb is not surprising and could have been residual stresses needs to be reiterated. As
suspected beforehand, due to the nature of the discussed in more detail in section 2.9.2, there
problem being analyzed here and the averag- seems to be a consensus in the literature that
ing process selected in making that figure. residual stresses vary with the volume of rock
If the trend shown in Fig. 11.Ilb is again considered, up to a certain volume where
transposed to actual stress measurements, there are in equilibrium. As remarked by
there is a rock volume beyond which the stress Hyett, Dyke and Hudson (1986), a rock mass
scatter is minimal (which corresponds to the can be considered as being composed of equi-
sample of size L in Fig. 1l.lla). This volume is librium volumes at different scales depending
called the representative elementary volume on the heterogeneities present. Any volumes
or REV in the literature. Initially used for smaller than the equilibrium volumes will be
characterizing the hydraulic properties of rock affected by the stresses balanced at the scale of
masses, the REV concept has been extended to the equilibrium volumes. According to Hyett,
in situ stresses by Hyett, Dyke and Hudson Dyke and Hudson (1986), the amount of
(1986), Hudson and Cooling (1988), Cuisiat residual stress should increase as the volume
and Haimson (1992) and Cornet (1993). When of rock decreases from the macro- to the micro-
dealing with in situ stresses, the REV has three scale. This trend can be attributed to the fact
basic characteristics. First, the REV must be that as the volume increases, discontinuities
small enough so that over the REV, the vari- are more likely to be found and those dis-
able of interest, e.g. the in situ state of stress, is continuities are not able to transmit residual
constant, the in situ stress tensor is symmetric stresses if in tension.
and in situ stress gradients can be neglected.
Second, since stresses are assumed to be con-
11.2.3 EFFECT OF SCALE ON ROCK
stant over the REV, the latter must consist of an
PROPERTIES INVOLVED IN THE ANALYSIS OF
equivalent continuum material where the rock
STRESS MEASUREMENTS
mass is homogenized. Finally, the REV cannot
be used to understand or model phenomena As seen in this book, in situ stresses cannot be
that occur at scales smaller than the REV. measured directly but are instead inferred by
In the model of Fig. 1l.lla, the idealized monitoring how the rock responds to disturb-
rock mass has only one level of heterogeneity. ance (relief, pressurization, slotting, excava-
This model can be extended further to a rock tion, stress concentration, etc.). In order to
mass with several levels of heterogeneity. An calculate in situ stresses, it is therefore neces-
extension of the model of Fig. 1l.lla would be, sary to know the mechanical properties of
for instance, a rock mass consisting of several the rock such as the Young modulus and
sections separated by major discontinuities, Poisson ratio for overcoring, the tensile
each section having the same number of units strength for conventional hydraulic fractur-
N. For any sample larger than N, the effect of ing, and the compressive strength for the
one or several of the major discontinuities will quantitative analysis of borehole breakouts.
be felt when calculating the mean stress over There is enough evidence in the literature that
the sample. In general, for different scales these properties are scale dependent. Thus this
414 State of stress in the Earth's crust
phenomenon may have potential for influ- mostly for holes with diameters between 20
encing the interpretation of various stress and 75 mm, where the tangential stress at the
measurements. borehole wall required to cause spalling could
As discussed more extensively in Chapter 4 be up to three times the rock's unconfined
in relation to hydraulic fracturing, the rock compressive strength. For diameters larger
tensile strength entering into the equation for than 75 mm, the stress at failure was found to
the breakdown pressure is affected by scale be less than the unconfined compressive
and in particular by the hole diameter. Several strength. Similar trends were observed by
theories have been proposed in the literature to Martin, Martino and Dzik (1994) who tested
model that effect (see review by Haimson, blocks of Lac du Bonnet granite in uniaxial
1990b and Cuisiat and Haimson, 1992 and compression with boreholes ranging between
section 4.2.4). The scale effect was clearly 5 and 103 mm in diameter. Their test results,
shown by Enever, Walton and Wold (1990) who shown in Fig. 11.14, indicate that for boreholes
calculated the difference between crack initia- with diameters at least equal to 75 mm, the
tion and crack reopening pressure (also known maximum tangential stress required to create
as the hydraulic fracture tensile strength) in the borehole sidewall spalling is close to the rock's
laboratory and in situ. They found a decrease in unconfined compressive strength (Jc (= 200
tensile strength with an increase in hole diam- MPa). For smaller diameters, the scale effect is
eter. For instance, for a fine-grained low- important. A review of other laboratory tests
permeability sandstone, the scale effect was showing the effect of borehole diameter on the
found to operate for a hole diameter of up to sidewall stress required to initiate breakouts
about 30 mm. Laboratory tests conducted by under uniaxial, biaxial and triaxial loading
Haimson and Zhao (1991) also showed the conditions can be found in Martin, Martino
effect of hole diameter on tensile strength for and Dzik (1994).
diameters up to 20 mm. In general, an over- The only comprehensive study known to
estimation of the hydraulic fracture tensile the authors showing the effect of scale on
strength would result in an overestimation of breakouts in situ was reported by Martin,
the major horizontal in situ stress. Martino and Dzik (1994). Breakouts were
As discussed in Chapter 8, the prediction of observed in boreholes with diameters ranging
the initiation of borehole breakouts requires
knowledge of the compressive strength of the 3.0
rock. The results of various load tests con- t!J
2.5
ducted in the laboratory on blocks of rock fIl
fIl
, ~
I
I
12.2.1 ROLE OF IN SITU STRESSES IN THE I
1!J\ ~
BEHAVIOR OF UNDERGROUND EXCAVATIONS
+
I
opening an underground excavation in rock.
)~
I
t&j.'
modes of instability: (1) instability due to rock
stresses, (2) instability due to adverse struc- I
I
tural geology, (3) instability due to weathering I
I
and! or swelling and (4) instability due to I
I
excessive groundwater pressure or flow. They I
~
I
z P2 = -8.7MPa
E
(b)
P3 = -12.3MPa
(c)
Fig. 12.2 Three-dimensional elastic stress analysis of the Imaichi power house cavern using the boundary
element method. (a) Measured in situ stress field (compression is negative), (b) three-dimensional
boundary element mesh and borehole for stress measurement, (c) distribution of tangential principal
stresses on cavern wall. (After Sugawara et al., 1986.)
Stresses in civil rock engineering 423
tension, tensile stresses may open existing lems in its sidewalls. In mountainous areas
fractures or create new ones which could with extreme topography and steep valley
result in block stability problems. On the other walls (such as in Norwegian fjords), tunnels
hand, the magnitude of compressive stresses parallel to the valleys have been found to
in the walls of an excavation may be large experience rockbursts in the tunnel wall and in
enough to overstress the rock and mobilize the the part of their roof located the closest to the
rock mass strength locally. This can result in valley side due to stress concentrations. In
problems such as rockbursts, spalling, buck- very deep excavations, such as the deep mines
ling and heaving of rock layers, squeezing and in South Africa and North America, stability
excessive deformation in the form of roof problems can occur all around the excava-
closure, sidewall movement and/or ground tions. There are also situations where floor and
subsidence. The location, extent and nature of roof stability problems along a section of an
the overstressed zones depend on many para- underground opening are replaced by side-
meters such as rock mass properties (strength wall problems (or no stability problems what-
and deformability), the rock fabric (anisotropy, soever) along other sections.
joints, etc.), the in situ stress field (magnitude As an example, Fig. 12.3 shows the results of
and orientation), the geometry and depth of a two-dimensional stress analysis conducted
the excavation, and external conditions such by Eissa (1980) using the boundary element
as the topography (section 2.8) and the method. The extent of the potential over-
method of excavation. High horizontal stres- stressed zone around a horseshoe opening in a
ses are likely to create problems in the roof and biaxial stress field, with a vertical component p
floor of an underground opening whereas and a horizontal component O.5p, was deter-
high vertical stresses are likely to create prob- mined for different values of the ratio between
1. = 0.3
O'c £. = 0.2 £. = 0.1
O'c
O'c
A m = 7.5, S = 0.1
B m = 1.5, S =0.004
C m = 0.3, S = 0.001
Fig. 12.3 Potential overstressed zones around a horseshoe opening in a biaxial stress field (p, O.5p) for
different values of the ratio between the vertical stress p and the intact rock compressive strength (Jc. Three
rock masses A, Band C are considered with decreasing values of the Hoek and Brown empirical strength
parameters m and s. (After Eissa, 1980.)
424 Using stresses in rock engineering, geology and geophysics
the vertical stress p and the intact rock around openings (e.g. Sugawara and Obara,
compressive strength (Te' The rock mass was 1993).
assumed to be under plane strain and its Figure 12.4 shows an illustrative example of
strength was defined using the criterion pro- stress redistribution measured by Obara et al.
posed by Hoek and Brown (1980b) with two (1995) in Japan using the conical-ended bore-
parameters, m and s. Three rock masses of hole overcoring technique described in section
decreasing strength were considered and are 5.2.2. A total of 18 overcoring stress measure-
defined as A, B and C. Figure 12.3 shows ments were carried out at distances ranging
clearly an increase in the extent of the over- between 0.6 and 29.5m from the wall of a 6m
stressed zone around the opening as the rock span gallery excavated in granodiorite at a
mass strength decreases. Also, for given depth of 520 m. Three steeply dipping, sub-
values of the parameters m and s, the extent of parallel faults were found to interact with the
the overstressed zone increases with the ratio gallery, two intersecting the gallery itself (not
p/ (Te' shown in Fig. 12.4) and one between measure-
The value of the ratio between the vertical ments 6 and 7. Figures 12.4a and 12.4b show
stress and the unconfined compressive the distribution of the principal stresses in the
strength of the intact rock material is critical vertical plane and in the horizontal plane,
when assessing the potential for squeezing of respectively. Here the stress distribution is
weak clay-bearing rocks such as shales, clay- affected by both the presence of the gallery
stones and mudstones. A good example, and the fault(s). The stress measurements at
described by Morton and Provost (1980), is points 17 and 18 (located more than 25 m from
that of the Stillwater tunnel in the USA where the gallery and 20 m from the fault) were taken
squeezing ground was encountered in shale as in situ stress values.
beneath ground cover of the order of 2500 ft Stress analysis can also help in the selection
(762 m), resulting in a complete stoppage of a and design of support systems. For instance,
tunnel boring machine (TBM). In this case the the extent of overstressed rock can be used to
vertical stress to unconfined compressive determine the length of rock bolts. In situ
strength ratio was of the order of 0.25. stresses are an integral part of the ground-
Stress analysis can be used to determine the support interaction model proposed by Brown
extent of the zone where stresses have been et al. (1983) since they form the 'loading
disturbed by excavation of an underground system'. In this model, the extent of the plastic
opening. Such an analysis is important when zone around an underground excavation and
predicting the interaction between adjacent the displacement of the walls of the opening
openings and the interaction between an depend on the magnitude of the in situ stres-
opening and adjacent geological structures ses. As the shape of the ground reaction curve
such as faults. Eissa (1980) analyzed the stress varies with the level of applied stress, so does
distribution around openings of various the amount of support required to reach
shapes and under different levels of horizontal mechanical equilibrium between the support
and vertical stresses. He concluded that the system and the rock mass.
zone of influence of an opening depends The distribution and magnitude of in situ
largely on its height to width ratio and the stresses affect the geometry, shape, dimension-
horizontal to vertical in situ stress ratio. For all ing, excavation sequence and orientation of
practical purposes stress redistribution takes underground excavations. The main goals
place over a distance from the wall of the when designing underground openings in rock
opening of at least 1-1.5 times the opening (where stresses are likely to be a problem) are
span. This rule of thumb seems to be realistic to minimize stress concentrations, create a com-
when compared to actual stress measurements pressive stress field as evenly distributed as
Stresses in civil rock engineering 425
REGION I REGION II 20MPa
z -4--
Stress scale
~x
18
o Sm
I I
(a)
(b)
Fig. 12.4 Principal stresses measured in the wall of a gallery. (a) Vertical cross-section, (b) plan view. The
stress measurements at points 17 and 18 are used as in situ stress values. (After Obara et a/., 1995.)
possible (the 'harmonic hole' concept) in the Stress concentrations based on the two-
excavation walls and avoid tensile stress dimensional theory of elasticity are available
regions. This can be done by changing the for single openings in a uniform in situ stress
shape and geometry of the openings as well as field, or in a stress field increasing linearly
their orientation with respect to the known with depth. Stress concentration factors are
principal in situ stresses. The theory of elasticity also available for parallel openings of various
is often used to that effect. However, as noted shapes and for different values of the ratio of
by Hoek and Brown (1980a), the harmonic hole the opening span to pillar width (Eissa, 1980;
concept applies when virgin stresses are low Hoek and Brown, 1980a). Figure 12.5 shows a
compared with the rock strength. If the virgin summary of tangential stress concentrations in
stresses are high enough, the harmonic hole the roof and springline of single openings in a
concept could result in uniform but large com- uniform in situ stress field with vertical com-
pressive stresses all around the opening, which ponent p and horizontal component kp. The
could create stability problems. In that case, rock is assumed to be homogeneous, con-
Hoek and Brown (1980a) suggested following a tinuous and linearly elastic. This figure indi-
recommendation proposed earlier by Fairhurst cates that, within the context of linear
(1968) whereby the excavation shape is selected elasticity, openings with a major horizontal
in such a way that the zones of overstressed axis are better suited in stress fields with hor-
rock are concentrated in sharp corners and are izontal stresses higher than the vertical stress.
limited in extent. According to Broch (1993), On the other hand, their major axis should be
the same recommendation should be followed vertical if the vertical stress is larger than the
for deep caverns where the in situ stresses are horizontal stress. A general characteristic of
so high that rockbursts and spalling can be stress concentrations around openings in iso-
expected. tropic media is that they are independent of
426 Using stresses in rock engineering, geology and geophysics
the elastic properties of the medium. The separation of the stream lines. On the other
reader should be aware that this is no longer hand, the zones of compression correspond to
true if the medium is anisotropic, in which a crowding of the stream lines. The stream
case the stress concentrations depend not only flow analogy can be useful when trying to
on the rock elastic properties but also on the understand the overall stress pattern around
orientation of the planes of rock anisotropy multiple excavations and stress shadow effects
with respect to the opening (Amadei, 1983). In that occur when excavations are in the near
general, stress concentrations in layered rocks vicinity of each other.
can be quite different from those in isotropic The orientation of in situ stresses with
rocks. respect to an excavation can have a large effect
Stress concentrations around single or on the excavation stability. The excavation
multiple undergound openings can also be layout should be optimized in order to mini-
(qualitatively) inferred using the 'stream flow' mize the impact of in situ stresses. Geological
analogy proposed by Hoek and Brown (1980a) structures or any other constraints (topogra-
for elastic models. The idea is that the applied phy, water, etc.) also need to be taken into
stress field is analogous to an undisturbed account in the optimization process. This has
stream flow. In the wall of an excavation already been discussed in Chapter 1 with
(equivalent to a pier in the stream flow), zones regard to the alignment of the penstock
of tension may develop and are equivalent to a manifold at the Helms project (Fig. 1.3) and
12
VALUES OF CONSTANTS A & B
0" r = (Ak _ 1)
11
P ~ 000000000
10 A 5.0 4.0 3.9 3.2 3.1 3.0 2.0 1.9 1.8
~c..
en en 9 B 2.0 1.5 1.8 2.3 2.7 3.0 5.0 1.9 3.9
en en
w w en
a: a: 8 tl 6
I- c..
I-
en en en O"s
u. ::::> 7 en en 5 - = (8 - k)
t:: w en P
0 en a: w
0 6 I- a: 4
a: z en I-
:::a ...J ...J en
::::> « 5 ...J
« ::::> 3
:::a ()
~
t::
X i=
a: 4 w en
« w 0 z
:::a > 3 Ci5 ...J
« 1
0
:::a ()
::::>
:::a I-
«i=
2
-a:
a: Xw
«> -1
:::a
0 0 -2
i=
-1 «a: -3
0 2 3 4 0 2 3 4
Fig. 12.5 Influence of excavation shape on tangential stress concentrations in the roof (ar ) and springline
(as) of single openings in a uniform in situ stress field (p, kp). The rock is assumed to be homogeneous,
continuous and linearly elastic. (After Hoek and Brown, 1980a.)
Stresses in civil rock engineering 427
the orientation of the proposed underground Legge, Richards and Pound (1986), Deere et al.
nuclear waste repository at Hanford (Fig. 1.5). (1986), and Bada, Sharp and Rabagliati (1991).
Various other examples have been reported in Figures 12.6a, b show strength/ stress contours
the literature. Haimson (1977) showed how in around a proposed power house cavern in the
situ stresses and rock foliation were accounted Niagara Falls area (Haimson, Lee and Huang,
for in the design of the underground openings 1986). In this example the rock is horizontally
at the Bad Creek pumped storage project in stratified and the maximum and minimum
South Carolina. horizontal in situ stresses are the major and
The stability of rock caverns is very much intermediate principal stresses. The stresses
controlled by their orientation with respect to around the cavern were determined using the
the in situ stress field, along with other factors finite element analysis and the strength was
(Broch, 1993). In general, aligning caverns in defined using the empirical Hoek and Brown
rocks with their long axis perpendicular to the (1980b) failure criterion. Figures 12.6a and
largest horizontal in situ stress component 12.6b differ in the orientation of the cavern
should be avoided (Broch, 1993; Richards, with respect to the horizontal stresses. In Fig.
Sharp and Pine, 1977). Excellent case studies 12.6a the long axis of the opening is perpen-
showing the decisive role of in situ stresses on dicular to the maximum horizontal stress
cavern orientation selection can be found in UH = 9.2 MPa. This results in large over-
Mimaki (1976), Mimaki and Matsuo (1986), stressed zones in the wall and floor of the
Elev
m ~ cry
134 -r====::::::,==:r=j+
THOROLD/GRIMSBY THOROLD/GRIMSBY
SANDSTONE SANDSTONE
121 - ~====2":2..:~--t
GRIMSBY/POWER GLEN GRIMSBY/POWER GLEN
SHALE SHALE
(a) (b)
35 - ' - - - - - - - - - - - - '
I
Om 39m Om 39m
Fig. 12.6 Strength/stress contours around a proposed power house cavern in the Niagara Falls area.
(a) Cavern axis perpendicular to the maximum horizontal stress UH = 9.2MPa resulting in large
overstressed zones, (b) cavern axis parallel to the maximum horizontal stress UH = 9.2MPa and
perpendicular to the minimum horizontal stress Uh = 6.0 MPa resulting in smaller overstressed zones.
(After Haimson, Lee and Huang, 1986.)
428 Using stresses in rock engineering, geology and geophysics
opening. On the other hand, in Fig. 12.6b the stress concentrations. As shown in Fig. 12.5,
long axis of the opening is parallel to the for the simple case of a circular opening, the
maximum horizontal stress O"H = 9.2MPa and maximum tangential stress in the roof and
perpendicular to the minimum horizontal floor of the opening is about three times the
stress O"h = 6.0 MPa. For that orientation the horizontal stress if the vertical stress is insig-
size of the predicted overstressed zone is nificant. If the opening is close to the surface,
reduced considerably. the stress concentrations in the roof and floor
It is usually accepted that stress-related are no longer equal and depend on the rock
instability problems increase with depth and cover. For a rock cover equal to 10% of the
that structurally controlled problems are more tunnel diameter, the stress concentration in the
likely to occur at shallow depths. There are roof is about seven times the horizontal stress.
many exceptions to this trend, in particular in Hanssen and Myrvang (1986) reported several
regions where high horizontal in situ stresses examples of tunnels running N-S in the Kob-
exist at shallow depths. As discussed more belv area in northern Norway experiencing
extensively in section 2.11, this is the case near heavy spalling in their roofs and floors as they
Lake Ontario (southern Ontario and upper were driven perpendicular to the E-W trend-
New York State), where stresses of the order of ing major in situ stress component.
5-15 MPa have been measured at shallow If the rock is bedded, layered or stratified,
depths and where stress relief phenomena the effect of high horizontal in situ stresses will
such as heave of canal and quarry floors, be enhanced and will be expressed in the form
natural pop-ups, rock squeeze, rockbursts, of buckling and heaving of roof and floor
tunnel wall spalling, cracking of tunnel con- layers, respectively. Slip along layers may also
crete linings and/or movement of the walls of create large inward and horizontal displace-
unsupported excavations (tunnels, shafts and ments of the tunnel sidewalls. Several case
canals) have been observed (Asmis and Lee, studies showing this phenomenon were
1980; Franklin and Hungr, 1978). Rock squeeze described by Lee (1978) and Franklin and
applies additional loads to surface and under- Hungr (1978) for some tunnels in sedimentary
ground structures, which may present con- rocks in southern Ontario. Guertin and Flana-
siderable difficulties in maintaining gan (1979) reported several cases of tunnel
operations (Lee and Klym, 1977). It is note- problems following excavation of tunnels at
worthy that many of the problems observed shallow depths (1-7 m) in a highly stressed
near Lake Ontario in Canada and in the USA (up to 14 MPa) undeformed dolostone in
have also been observed in highly horizontally Rochester, New York. Horizontal displace-
stressed sedimentary post-Permian rocks in ments as large as 40 mm were measured at the
the Sydney Basin in Australia (Enever, Walton tunnel springline, whereas the crown experi-
and Windsor, 1990). Other examples where enced a heave of 0.4 mm. The displacements
high horizontal in situ stresses have played a were accompanied by invert and crown spal-
significant role in the stability of civil (and ling (due to high tangential compressive stres-
mining) engineering excavations have been ses) and cracking at the springline (due to
reported by Broch and Nielsen (1979), Carls- tangential tensile stresses). All these case stud-
son and Olsson (1982), Myrvang (1993) and ies revealed, among other things, that in strat-
Stephansson (1993) for various underground ified rock masses the roof and floor stability
works in Norway and Sweden. problems may not necessarily be the same due
In high horizontal stress fields, stress- to differences in rock layer stiffness and
induced instability problems are likely to strength.
occur in the roof and floor of excavations in the In general, the presence of high horizontal
form of spalling or squeezing due to high stresses at any depth should be clearly defined
Stresses in civil rock engineering 429
and properly taken into account in the plan- openings may vary with time. Stress changes
ning, design and construction of all major rock around underground openings may be asso-
engineering projects. Failure to anticipate the ciated with rock creep, nearby excavations,
existence of high stresses may result in struc- sequences of excavation, pumping, poor
tural damage and expensive remedial work as drainage, earthquake loading, blasting, etc. As
most design methods based only on gravita- discussed in Chapter 10, stress changes can be
tional loading are invalidated in that case quite complex with some regions of a rock
(Franklin and Hungr, 1978). High horizontal mass experiencing loading and others ex-
stresses may also create problems during exca- periencing unloading. As noted by Kaiser and
vation. Myrvang (1993) noted several case Maloney (1992), unloading can be critical as
studies showing the difficulties associated some of the previous rock mass confinement is
with TBM boring in a rock with violent surface reduced and the rock-support interaction is
spalling. affected. The role of stress path on the stability
Different strategies can be followed to mini- of rock masses has been observed in the field
mize the impact of high horizontal in situ but has not received much attention by
stresses. Franklin and Hungr (1978) recom- numerical modelers (Amadei, Robison and
mended delaying tunnel lining following Yassin, 1986; Kaiser, 1980; Kaiser and Maloney,
excavation. They also suggested maximizing 1992; Martin, 1995).
the distance between the location of rock
excavation and the nearest rigid support by
12.2.2 IMPORTANCE OF IN SITU STRESSES
overexcavation. Linings and supports should
FOR PRESSURE TUNNELS AND SHAFTS
either be flexible enough or should be pro-
tected by a deformable interface capable of In situ stresses play an important role in the
accommodating up to 10 cm of movement of siting and design of unlined pressure tunnels
the excavation walls. Monitoring of displace- and shafts. Pressure tunnels and shafts which
ments and rock pressures are also highly are unlined over most of their length have
recommended. It has also been found that been used in various hydroelectric schemes
spalling and overbreak in the crown of tunnels around the world and have been called upon
can be successfully controlled by using rock to perform under increasingly higher heads,
bolting with or without shotcrete. In mining, now approaching 1000 m (Bergh-Christensen,
the impact of high ground stresses can be 1986). The first and foremost consideration in
minimized by experimenting with mining the safe design of unlined pressure tunnels is
sequence and controlled yielding of pillars that water leakage by hydraulic opening
and closing of excavations. (hydraulic jacking) of the rock mass must be
It must be kept in mind that high horizontal avoided. Water leakage may lead to disastrous
stresses may be beneficial in making the rock and costly consequences, as illustrated in sev-
tighter, self-supporting and less inclined to eral case studies (Brekke and Ripley, 1993;
create seepage problems. Pathways for con- Broch, 1984a, b; Haimson, 1992; Marulanda,
taminant transport are also smaller. In some Ortiz and Gutierrez, 1986; Sharma et al., 1991).
cases, high horizontal stresses may permit the Hydraulic jacking can be prevented by pos-
use of large (mostly unsupported) roof spans itioning unlined pressure openings in com-
in underground caverns, a recent example petent rock and under enough rock cover to
being the 61 m span underground Olympic provide confinement and watertight condi-
ice hockey hall in Lillehammer, Norway tions. Another alternative is to use steel liners,
(Myrvang, 1993). which tend to be costly.
The reader should be aware that the effect of Several criteria have been proposed in the
in situ stresses on the stability of underground literature to determine the safe position of
430 Using stresses in rock engineering, geology and geophysics
pressure tunnels and shafts near slopes or numerical methods, such as the finite element
valley walls (Brekke and Ripley, 1993; Broch, method, to determine the state of stress in situ
1984a). All the criteria emphasize the import- in valley sides. The selection of the location of
ance of the topography and its variation over a pressure tunnel or shaft is based on the
the project layout. One empirical criterion, condition that along its alignment the internal
used successfully in many hydroelectric pro- water pressure Ywhw is always less than the
jects, was first proposed by Bergh-Christensen minimum in situ principal stress (13 in the
and Dannevig in 1971 (Broch, 1984a, b). It surrounding rock mass (compression being
states that, at each point along the pressure positive). Mathematically, this criterion can be
tunnel alignment, the minimum rock cover L, expressed as follows:
taken as the shortest distance to the valley
(12.2)
slope surface and shown in Fig. 12.7, must be
equal to Design charts based on the finite element
method have been proposed for idealized
Ywhw F valley geometries and topographies and
L=-- (12.1)
ycosp idealized rock mass properties.
where hw is the static water head at the point of Using the finite element method to deter-
the tunnel under consideration, p is the aver- mine the in situ state of stress for the purpose
age slope angle of the valley side (less than of selecting the alignment of pressure tunnels
60°), ywand yare the unit weights of the water and shafts has several limitations. First, the
and the rock mass, respectively, and F is a method is restricted to finite domains. Second,
safety factor. For a near horizontal topography the results tend to be mesh dependent and
(cos p = 1), equation (12.1) reduces to the tradi- errors can arise when selecting the boundary
tional criterion where the minimum rock cover conditions of the domain of interest. Third,
must be equal to YwhwF /y, that is, the vertical most pressure tunnel and shaft design charts
stress associated with the overburden rock obtained with the finite element method are
must always exceed the water pressure at any based on the assumption that the rock mass is
point along the opening. continuous, homogeneous and isotropic. The
Another criterion, proposed by Selmer- effect of rock mass fabric such as bedding,
Olsen, (1974) is based on the concept of using foliation or jointing on the in situ stress dis-
tribution and magnitude is usually not taken
into account. Fourth, the model topography is
very much simplified and idealized. Fifth,
most finite element analyses are two-
dimensional and assume a plane strain
condition. Finally, the stress perpendicular to
the model plane is assumed to be the inter-
mediate principal stress (Broch, 1984a), which
is not always mechanically correct even under
plane strain.
The design charts based on the finite ele-
ment method can be replaced by analytical
solutions recently proposed by Pan, Amadei
Fig. 12.7 Definition of minimum rock cover in
empirical design criterion of Bergh-Christensen and and Savage (1994, 1995) and discussed in sec-
Dannevig. (Source: Broch, E. Copyright 1984, with tion 2.8. Recall that those analytical solutions
kind permission from Elsevier Science Ltd, The can be used to estimate in situ stresses in
Boulevard, Langford Lane, Kidlington, UK.) ridges and valleys with smooth and irregular
Stresses in civil rock engineering 431
topographies and in isotropic or anisotropic Ywhw. At that point the static water head hw is
rock masses subject to gravity or to combined equal to H - Y - D where H is the maximum
gravitational and tectonic loading. The use of static water head and D is a characteristic
those solutions for selecting the alignment of depth of the topography. Thus the no-leakage
unlined pressure tunnels and shafts was criterion defined in equation (12.2) can be
explored by Amadei and Pan (1995). It was rewritten in dimensionless form as follows:
found that the safe alignment of unlined pres-
sure tunnels or shafts depends greatly on the S= 0'3 _ Yw [H _lL - 1] > 0 (12.3)
extent of tensile regions in valley walls, which yD y D D
itself depends on such parameters as the
valley geometry, the degree of rock anisotropy, Contour diagrams of S can be generated for
the orientation of the planes of rock anisotropy different types of topography, rock mass prop-
and the in situ loading conditions (gravity or erties, rock mass loading conditions (gravity
gravity and tectonic). or gravity and tectonic) and different values of
Figure 12.8 shows the geometry considered the ratio HID. The contour S = 0 corresponds
by Amadei and Pan (1995) representing a two- to the balance between increasing water pres-
dimensional cross-section of an anisotropic sure and increasing minor in situ principal
rock mass with an irregular topography con- stress. The domain S > 0 corresponds to the
sisting of long ridges and valleys. An X,y,2 region in the rock mass in which unlined
coordinate system is attached to the cross- pressure tunnels can be placed without leak-
section. Gravity acts in the - y direction and age. If a safety factor against leakage F is
tectonic stresses O';x and O';z act in the hor- introduced (usually larger than 1.3), the criti-
izontal x and z directions, respectively. The cal contour is no longer S = 0 but S = Sc with
rock mass is homogeneous, has a uniform unit
weight y and is transversely isotropic with
(12.4)
planes of anisotropy striking perpendicular to
the x, y plane and dipping at an angle If! in the
+ x direction. For the geometry of Fig. 12.8, at Amadei and Pan (1995) have shown that, in
each point P(x,y) in the rock mass, the mini- general, S and Sc depend on the following
mum in situ principal stress 0'3 can be deter- parameters: (1) the elastic constants of the rock
mined using the analytical solutions of Pan, and the dip angle If! of the planes of rock
Amadei and Savage (1994, 1995). anisotropy, (2) the relative density yI Yw of the
The no-leakage condition can then be deter- rock, (3) the ratio between the maximum static
mined by comparing the predicted value of 0'3 water head H and a characteristic depth D of
with the water pressure at P(x,y) equal to the topography, (4) the coordinates xlD and
ylD of the point P(x,y) at which the leakage
criterion is verified, (5) the parameters
describing the topography and its irregu-
larities, (6) the ratios O';x/yD and O';/yD when
tectonic loading is active in the X,2 horizontal
--------~~~~--r+~----~----~x
plane, and (7) the value of the safety factor F.
As an illustrative example, Figs 12.9a-f
show contours of the minimum principal
Fig. 12.8 Two-dimensional cross-section of an stress 0'31yD (Figs 12.9a-c) and contours of S
anisotropic rock mass with irregular topography (Figs 12.9d-f) for a symmetric valley for
and definition of variables for no-leakage condition. HI D = 0.5, 1.0 and 1.5. The rock is strongly
(After Amadei and Pan, 1995.) anisotropic with EIE' = GIG' = 3, v = 0.25
432 Using stresses in rock engineering, geology and geophysics
and v' = 0.15 (using the notation defined in favorable than the left side with regard to
section 2.5). The planes of anisotropy dip at an positioning unlined pressure tunnels. Further,
angle If! = 30° in the + x direction. The charac- the extent of the no-leakage region (S > 0)
teristic depth D is equal to the depth of the increases as the maximum static water head
valley. The rock mass is (1) under gravity only H decreases, as expected. Finally, addition of
in Figs 12.9a,d; (2) under gravity and a far-field compressive stresses reduces the
uniaxial tectonic compressive stress field (J;x/ extent of the tensile region in the valley walls
yD = 1 in Figs 12.9b, e; and (3) under gravity and bottom (the tensile region vanishes in
and a biaxial tectonic compressive stress field Fig. 12.9c), and increases the extent of the no-
(J;x/yD = (J;z/yD = 1 in Figs 12.9c,f. Figures leakage region on both sides of the valley.
12.9a-f indicate that because the planes of rock The criteria mentioned above are usually
anisotropy are inclined, the tensile and used at the preliminary stage of design of
no-leakage regions are not symmetric with pressure tunnels and shafts. They are useful in
respect to the axial plane of the valley. Further, assessing the feasibility of a project and in
the right side of the valley experiences more providing recommendations with regard to
of a compressive state of stress and is more the maximum length of a pressure opening
- - - - - - 1 . 0 _ _ _ _---]
-{l. .5
e
~
-1.
-1.
_ _.,...1.5 a
-2. 2.0
s>o
2.5
-3. "'-----------------'-3.o
O. ~~~---'---'--...J.....-1...--.J..___:~~(l . 0
-0. ,..:.u"'-~·I 0.5
-1. 1.0
'l -1.
-2.
1.5 a
2.0
-2. 2.5
~ U
-3.0 -2.5 -2.0 -1.5 -1.0 -{l.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0 -3.0 -2.5 -2.0 -1.5 -1.0 -{l.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0
xID xID
Fig. 12.9 Contours of u3/yD in (a)-(c) and 5 = a in (d)-(f) for a symmetric valley. The contours of 5 = a are
obtained for H / D = 0.5, 1.0 and 1.5. The planes of rock anisotropy dip at 30° to the right. The rock mass is
under gravity only in (a) and (d), under gravity and a uniaxial tectonic stress field u':x/yD = 1 in (b) and (e),
and under gravity and a biaxial tectonic stress field u;x/yD = u;z/yD = 1 in (c) and (f). (After Amadei and
Pan, 1995.)
Stresses in civil rock engineering 433
which can stay unlined with a minimum risk minimum stress 0'3, measured using the shut-
of water leakage. However, the criteria are in pressures of hydraulic fracturing tests, is
based on an estimate of the in situ stress field. 12.3 MPa. Comparison of this pressure with
In order to verify the design assumptions and the maximum applied water pressure gives a
finalize the design, in situ stresses need to be safety factor of 12.3/9.64 = 1.3 against hy-
measured. In the past, both overcoring and draulic jacking. This value of the safety factor
hydraulic fracturing have been used (Bergh- was found to be in agreement with (1) the
Christensen, 1986; Enever, Wold and Walton, safety factor determined using the empirical
1992; Price Jones and Sims, 1984; Vik and rule of Bergh-Christensen and Dannevig and
Tundbridge, 1986). Overcoring is carried out equal to 1.3, (2) the safety factor based on finite
with some of the techniques described in element charts and equal to 1.4-1.5 and (3) the
Chapter 5. Hydraulic fracturing is done in a safety factor determined from the results of
simplified manner by measuring only the overcoring tests and equal to 1.3.
shut-in pressure and by setting that pressure
to be equal to the minimum in situ stress. As an
12.2.3 IMPORTANCE OF IN SITU STRESSES
illustrative example, Fig. 12.10 shows the loca-
FOR UNDERGROUND STORAGE OF FLUIDS
tion of several hydraulic fracturing measure-
ments reported by Bergh-Christensen (1986) In situ stresses, and rock mechanics in general,
and conducted adjacent to a power station play a decisive role in the design of unlined
near the base of a 1300 m long unlined pres- rock caverns used for underground storage of
sure shaft with a static head of 965 m at the fluids such as gas, oil, compressed air, cryo-
Nauseate-Steggje hydropower project in west- genic liquids and heated water. As for pres-
ern Norway. The sandtrap in Fig. 12.10 located sure tunnels and shafts, leakage and hydraulic
at the foot of the pressure shaft has the highest or pneumatic failure must be avoided by pro-
water pressure acting on the unlined rock with viding enough confinement and by requiring
a value of 9.64 MPa. The lowest value of the that the fluid pressure does not exceed the
C\J
co
-- -
..0 .r ('t)
C\J
r-. "': Ll'!
C\J C\J
C')
"
II
SANDTRAP
POWER
LEGEND STATION
/12.3
~_ Hole for hydraulic o 25 50 m
7 fracturing. Hole W W I
nO.7 0'3 = 12.3 MPa SCALE
Fig. 12.10 Location of hydraulic fracturing measurements adjacent to a power station near the base of a
1300 m long unlined pressure shaft with a static head of 965 m at the Nauseate-Steggje hydropower project
in western Norway. (After Bergh--Christensen, 1986.)
434 Using stresses in rock engineering, geology and geophysics
minor principal stress in the rock mass. The depth when the stresses are high), and by
construction cost of storage caverns can be ensuring that the caverns are located deep
reduced if confinement due to sufficiently enough below the water table in order to
large in situ stresses can be found at shallow provide a proper groundwater seal for gas
depths. containment (hydrodynamic containment).
The stress field in the rock around an Sometimes water curtains in the roof or in the
unlined storage cavern is the combination of roof and walls of the caverns are installed (in
four types of stresses: (1) in situ stresses, (2) the form of parallel drillholes) to provide arti-
stresses associated with the excavation of the ficial hydrodynamic containment in addition
cavern, (3) stresses related to the operation of to that created by the natural water table. This
the cavern (which is often under pressure) and allows gas pressures higher than the natural
(4) stresses resulting from the interaction hydrostatic pressure, thus significantly
between the stored material and the rock in improving the economics of the storage (Kjor-
the cavern wall. A good example of the latter holt and Broch, 1992; Liang and Lindblom,
corresponds to thermal stresses generated in 1994; Lindblom, 1990; Roald, Ustad and Myr-
the walls of LNG storage caverns where the vang, 1986). The amount of pressure that can
LNG can be at temperatures as low as - 250°F be applied by water curtains is limited by the
(-160°C). Such low temperatures can induce in situ stresses since jacking of the rock mass
tensile stresses large enough to create thermal by opening of the fractures must be avoided
cracking of the rock mass, either in the form of (Gustafson, Lindblom and Soder, 1991). The
new fractures or opening of existing ones, same limitation applies to cryogenic grouting
which could result in migration of the stored pressures when used to seal rock mass frac-
fluids and further crack propagation tures around LNG caverns (Lindblom, 1977).
(Lindblom, 1977). It is noteworthy that the
storage of cryogenic fluids at very low tem-
12.2.4 ROLE OF IN SITU STRESSES IN THE
peratures or, on the other hand, the storage of
BEHAVIOR OF SURFACE EXCAVATIONS
heated water and oil at temperatures
100-200°F (40-90°C) higher than the ambient Whether a rock slope is natural or artificial,
temperature induces thermal stresses that stress redistribution occurs as a result of the
vary with time since the temperature distribu- excavation. The final stress field associated
tion in the rock is non-uniform. Such transient with the new topography can be analyzed
effects need to be taken into account when using the models discussed in section 2.8. At
predicting the short- and long-term stability of and near the excavation, the principal stresses
the wall of storage caverns. are essentially parallel and normal to the
When fluids are stored in unlined caverns ground surface. Away from the excavation, the
excavated in crystalline rocks, most of the stress field approaches the pre-excavation
leakage is likely to occur along fractures. This stress field.
problem has been addressed by various As for underground excavations, instability
authors, in particular in Scandinavian coun- problems near surface excavations may arise
tries. In the case of natural gas (or compressed due to the stress redistribution. Excessive com-
air), which can be stored at pressures up to pression may lead to local or global slope
10 MPa, two criteria are used: the gas entry failure. This can be critical in deep excavations
condition and the gas migration condition such as open-pit mines where the stresses at
(Goodall, Aberg and Brekke, 1988). The escape the bottom of the pit may be large enough to
of gas can be reduced or even eliminated using mobilize the rock compressive strength or
rock confinement by placing storage caverns create buckling of steeply dipping layers. On
at large depth (and sometimes at shallow the other hand, tension may destabilize the
Stresses in civil rock engineering 435
rock mass, accelerate weathering and create Myrvang, Hansen and S0rensen (1993) gave
block stability and drainage problems, thus an example of stress redistribution around the
creating a zone near the excavation surface in Bjmnevatn iron ore open-pit mine in Kirkenes
which the rock mass is looser and discontin- in northern Norway. Stress measurements in
uous. In the case of open-pit mining, this may the near vicinity of the pit revealed sharp
result in an increased risk of bench failure. increases in stress associated with surface
Surface excavation of rock masses with high mining (over a period of 19 years) in a rock
horizontal in situ stresses may result in large mass initially subjected to high horizontal in
lateral movement of the excavation walls. The situ stresses. Figure 12.11 shows the principal
problem is exemplified in horizontally bedded stress distribution predicted by two-dimen-
rock formations where slip along bedding sional boundary element modeling of an
planes occurs as stresses are relieved. Such a E-W vertical section of the pit, and the loca-
phenomenon has been well documented for tion of a ramp for underground mining.
surface excavations in southern Ontario in Heavy spalling in the roof of the ramp due
Canada and upper New York State in the USA to stress concentration predicted by the
(Franklin and Hungr, 1978; Guertin and Flana- numerical model was also observed during
gan, 1979). Rock movements as large as 23 em excavation.
have been reported in open excavations in that Another example illustrating the role
geographical area by Rose as early as 1951 played by surface excavation on nearby
(Guertin and Flanagan, 1979). More recent underground openings was reported by
case studies of horizontal displacements due Molinda et al. (1992). By conducting a survey
to high stresses can be found in Enever, Walton on the nature and frequency of coal mine roof
and Wold (1990) for excavations in the post- failure beneath valleys, they found that 52% of
Permian rocks in the Sydney Basin. These the unstable roof cases in the surveyed mines
authors also reported an example of a road cut occurred directly beneath the bottom-most
stability problem where surface spalling was part of the valleys. The survey also showed
created by stress concentration in highly
stressed rock.
Stress redistributions may also create prob-
lems in underground excavations located ..... .... ..... ......
M
direction (i1 The stress data recorded from the applica-
aximum
tion of two different rock stress measurement
a principal techniques at the Luossavaara mine (Leijon
:~R stress and Stillborg, 1986) are used below to demon-
1 I I"ROadWay strate the procedure used in the design of a
(b) crown pillar of a large blasthole open stoping
mine.
Fig. 12.12 (a) Percentage of roadway driveage In the Luossavaara iron ore deposit at
affected by shear failure of roof strata at two sites Kiruna in northern Sweden, a new bulk
versus the angle BSR between the roadway axis and mining method called large blasthole open
0"1 (see (b». Also plotted in (a) is a theoretical
stoping was developed and tested in the mid-
variation of the factor of safety against shear failure
for the roof strata (assuming Coulomb failure) 1980s. The orebody is 1200 m long, with an
versus the angle BSR . The factors of safety were average width of 23 m and dips about 60 0
normalized as a percentage of the maximum value toward the east. A major crown pillar separat-
obtained. (After Gale, 1986.) ing the previously mined upper sections of the
438 Using stresses in rock engineering, geology and geophysics
HANGING WALL
0 •
•
40
... 22
13 0 ...
·19
15
11
IQ:i~ OH •... cr 1
FOOTWALL oI 250 500 m cr2
+ ! I
• cr3
Fig. 12.13 Plan view of the 795 m level of the Kiruna mine showing average in situ stress measurements
(stresses in MPa) at eight locations. (After Leijon, 1986.)
orebody from the lower stopes had to be The finite element method was used to obtain
designed. The crown pillar not only acted as a the stress distribution in crown pillars of
support member to provide global stability, different sizes. Pillar stability was determined
but also as a working platform from which by using the conventional factor of safety
drilling was carried out. Two approaches were F = strength/ stress. Boundary stresses for the
used in determining the dimensions of the two-dimensional finite element analysis were
crown pillar, as described by Stillborg (1993). taken from the results of a comparative study
First, a simple analytical method based on of two overcoring stress measurement tech-
the two-dimensional hanging-wall caving niques presented by Leijon and Stillborg (1986;
model developed by Brown and Ferguson section 9.2). From the compilation of the stress
(1979) was used. The loading is governed by measurement data at the 265 m level, the fol-
the weight of the wedge of the sliding rock in lowing in situ stresses (in MPa) were applied
the hanging wall and the weight of the caved as boundary stresses to the finite element
material laying on top of the crown pillar. model:
Using the relevant rock mass strength and
(Jy = 0.027z - 0.2
geometry, it was concluded that the hanging- (12.5)
wall stability would be ensured if an entire (JH = 0.05z - 5.1
crown pillar thickness of more than 5 m was
used. Considering the width of the orebody, for the hanging wall,
the virgin rock stresses and blast-induced frac- (Jy = 0.05z - 5.4
turing, Stillborg (1993) stated that the top part (12.6)
of the crown pillar should have a minimum (JH = 0.05z - 0.1
thickness of 10 m. for the orebody and
The second method used in the stability
analysis of the crown pillar at the Luossavaara (Jy = 0.036z - 2.0
mine was assessed by comparing the strength (12.7)
(JH = 0.05z - 2.7
at various points in the pillar to the applied
pillar stresses (Stephansson, 1985). A geo- for the footwall. The pillar strength was
mechanical model of the crown pillar is determined using the method presented by
presented in Fig. 12.14 and the rock properties Stephansson (1985), which accounts for the
for numerical modeling are listed in Table 12.1. fact that large volumes of rock have lower
Stresses in mining engineering 439
® Hanging wall
® CD
H1
Drilling level
Open slope
Footwall
®
Fig. 12.14 Geomechanical model of the crown pillar at Luossavaara mine. Numbers refer to rocks listed in
Table 12.1. (After Stephansson, 1985.)
strength than small laboratory specimens. The Table 12.1, VI is the volume of the laboratory
volume dependence of strength is determined specimens, Vi is the volume of the pillar and IX
using the equation is a coefficient of volume reduction equal to
0.007.
(12.8) Next, the effect of confinement (or the minor
in situ principal stress) is accounted for by
where rIo is the unconfined compressive using the following formula for the strength at
strength of the pillar, rIc is the average value of any point in the pillar:
the uniaxial compressive strength listed in (12.9)
Table 12.1 Rock properties for numerical modeling of the crown pillar at the Luossavaara mine (after
Stephansson, 1985)
(a)
I I I I
o 0.5 1.0 1.5 2.0 2.5
Height to width ratio, H21W
o Pillar strength
• Safety factor
Pillar strength
o 5 10
Top crown pillar
I I I (b)
401- -4
(b) cu
0..
~Co 301-
c
~ __ -3$
.J:: -----
o
'0
g, 201- __-= 2 ~
~ .".,.-- :z::.
...
Ui
Jl1
0::
101- / -1~
Safety factor
I I I I
oI 5
I
10
o 0.5 1.0 1.5 2.0 2.5
I
Peripheral dike
For sill:
Pm>Sv+Tv
For dike:
t
Fig. 12.17 Stress conditions compatible with dike and sill intrusions. (Adapted from Price and Cosgrove,
1990.)
Stresses in geology and geophysics 443
Substituting these values into equation (12.12) inclusion close to the ground surface, deflec-
gives a tensile stress or magma overpressure at tion of the roof of the inclusion due to increas-
the time of intrusion (if the fractures are inter- ing magmatic pressure results in a reduction
preted as dikes) of 4 MPa, which is a reason- in horizontal stress near the tips of the inclu-
able value considering the scale effects and the sion (points A and B in Fig. 12.17), which is
low strength of columnar fractures in basaltic conducive to the formation of a vertical dike
lava flows. (also called a 'peripheral' dike).
For the emplacement of a horizontal sill, the According to Price and Cosgrove (1990),
following condition must be satisfied between analysis of magmatic intrusions can provide
the magmatic pressure Pm, the vertical stress insight into how fluids other than magma can
Sy and the tensile strength T y in the vertical create fracturing in situ, and the stress regime
direction: of the rock mass at the time of emplacement of
the intrusion. However, there is no guarantee
(12.13) that dike and sill structures mapped in the
field reflect the present state of stress. On the
As remarked by Price and Cosgrove (1990), for contrary, large discontinuities in the in situ
the emplacement of sills in horizontally stress field are often measured in rock masses
bedded or foliated rock formations, the adjacent to dikes, sills and other magmatic
vertical tensile strength is, for all practical intrusions. In many cases this is due to the
cases, close to zero. Thus a sill intrusion into large contrast in rock stiffness between the
horizontally layered rock masses occurs when hard intrusion and the softer country rock.
Pm> Sy.
Sills must be fed with magma from a pipe or
a dike. At the junction of the feeder dike and
the sill, the conditions governed by equations 12.4.2 SALT DIAPIRS
(12.11) and (12.13) must be satisfied simul-
taneously (Fig. 12.17). This gives the following Diapirs are geological features which result
relationship: when rocks of relatively low density pierce
and rise through overlying rocks of higher
(12.14) density. The largest and most important dia-
pirs are composed of rock salt (or other evap-
Since, as discussed above, the vertical tensile orites) or igneous rocks. Diapiric intrusions of
strength is almost zero, equation (12.14) indi- salt may take many forms such as salt pillows,
cates that sills fed from a dike are emplaced salt walls and salt domes or stocks (Trusheim,
when the difference in magnitude between the 1960). In general, diapir geometry depends
vertical and minimum horizontal in situ stres- upon the thickness, density and viscosity ratio
ses is less than the tensile strength in the of the source layer and the overburden rock
horizontal direction, which is itself small (tens (Ramberg, 1981). Salt diapirs are important in
of MPa), in particular if the rock mass is petroleum engineering as they create condi-
jointed (Price and Cosgrove, 1990). tions favorable for the creation of hydrocarbon
Equation (12.14) gives a possible explana- reservoirs in adjacent sediments.
tion of the mechanism whereby a dike can The driving mechanism of a salt diapir is
become a sill. It can also be used to explain usually attributed to the buoyancy force of the
how a sill or laccolith terminates and changes low-density salt surrounded by denser rocks.
into a dike. Indeed, according to Johnson Figure 12.18 shows the idealized geometry of
(1970) and Price and Cosgrove (1990), for the an isolated salt stock emplaced into an over-
geometry of Fig. 12.17 and for a sill or laccolith burden of denser rock. As shown by Price and
444 Using stresses in rock engineering, geology and geophysics
Ground surface Height of top of dome above base (km)
// - V/ - // - -:77 --' / / ---' / / - // 2km
Overburden
....t'Ss· .
Average salt density 2.2
• Ps ' Pr
Shale density-de
Pth re/ationshl
Average Sha~'e=-m=i~ne:-::ra~'=;de~n~Sity~2.~65:---~
• Salt·
,-r-, '--I-..
.\--c ---~---
I
"
~ :x~-1-xi-rx-i' ~ ~
'/"
I· I
I \1 1 ,
I
, ", I
I' 1
"
I
, I '" I , 1 \ , "I \ 1
'~ , I I 81 , I ......... ~/
), , r-..l_:...t..._1..-1 ' . . . i"
'1-_..1. ,..£..1...-\ 1_--\.....
----t-----
(e) ++
Fig. 12.20 Stress and potential fault patterns for elliptical domes. The short thin lines correspond to the
direction of the major principal horizontal stress, and the thick solid lines indicate possible fault trends.
Zones A, B and C correspond to normal faults, strike-slip faults and thrust faults, respectively. (a) Elliptical
dome without lateral strains, (b) combined doming and uniaxial extension, (c) combined doming with
twice as much uniaxial extension as in (b), (d) combined doming and uniaxial compression, (e) combined
doming with twice as much uniaxial compression as in (d). Tick marks indicate plate center. (After
Withjack and Scheiner, 1982, with permission.)
Stresses in geology and geophysics 447
which states that the critical axial buckling
force Fcrit for an elastic beam of length L,
Young's modulus E and moment of inertia I, is
equal to
(12.16)
Y -
...L..! \ I I --
t"j/:--
r BOd6\
.'
MolRBnB
/
/
_, ' I
,,1 GIII,vBre
I LansJiirv hi
/ a l"\
(
'
\
J
(
\
,
ROVlI:'etnl
~
(
\
,
\
RUSSIA
\
: SWEDEN \ FINLAND \
I I , - J
~O, ,
, I
,,
, I
/ o...._ _.....
100 200 km
' _ _ _..A'
(
'" I
I
Fig. 12.23 Reported late Quaternary faults in northern Fennoscandia. Stress measurements have been
conducted at the Lansjarv fault system south of Gallivare. (After Olesen et al., 1995.)
Stresses in geoZogy and geophysics 451
Jaeger (1960) and Bray (1967). More complex principal stress directions x, y and z is defined
methods of analysis of fault slip under two- by two angles: a dip azimuth angle fJ and a dip
and three-dimensional stress fields can be angle 'fl. The principal stresses acting on the
found in Jaeger and Cook (1976), Amadei, fault plane are defined as ax, ay and a z . Using
Savage and Swolfs (1987), Amadei (1988), the coordinate transformation rules for stress,
Amadei and Savage (1989), Ferrill et aZ. (1995) the normal stress an and shear stress r acting
and Morris, Ferrill and Henderson (1996). on the fault plane can be determined and are
Figure 12.25 shows the geometry used by equal to (section A.6 in Appendix A)
Amadei and co-workers. In this figure the an = ax Z
2
+ aym 2 + azn 2
orientation of the fault plane with respect to
r = [(ax - a y)2z2m2 + (a y - a z )2 (12.19)
X n 2m 2 + (ax - a z )2Z2n 2]112
0l\~~------------~====~
where Z, m and n are the direction cosines of
the normal to the fault plane with respect to
100 the X-, y- and z-axes.
Assuming Coulomb friction, slip along the
fault plane occurs when the normal and shear
200
stresses satisfy the following equation:
:[
£:
a.
Q)
Irl = J1a n (12.20)
300
Cl
where J1 is the coefficient of friction along the
fault plane. Fault cohesion (cohesive strength)
can be accounted for with an additional term
400
on the right-hand side of equation (12.20).
Also, if there is water pressure along the fault
plane, the normal stress in equation (12.20)
o 2 4 6 8 10 12 14 16 18 20 22 24 26 must be replaced by an effective stress.
Stress (MPa) Combining equations (12.19) and (12.20),
fault slip can be expressed in the form of a
Fig. 12.24 Measured stresses in borehole adjacent mathematical expression relating the three
to the Lansjarv fault system in northern Sweden.
Average stress data from hydraulic fracturing stress
principal stresses acting on the fault plane, the
measurements in Fennoscandia are presented to fault plane orientation angles (fJ, 'fI) and its
illustrate the stress anomaly of a neotectonic fault. shear strength properties. That expression
(After Bjarnason, Zellman and Wickberg, 1989.) must be complemented with the additional
y
Fig. 12.25 Resolved shear stress T and normal stress an on a fault plane inclined with respect to a three-
dimensional homogeneous principal stress field aX! ayand a z . (After Amadei and Savage, 1989.)
452 Using stresses in rock engineering, geology and geophysics
constraint that, in order for slip to occur, the stresses. The slip tendency for fault surfaces of
normal stress O"n must be positive definite. The any orientation is then calculated and dis-
direction of the shear stress T on the fault played. This slip-tendency display can then be
plane (parallel to the slip vector) can also be modified by changing the magnitude and ori-
determined, as well as the type of motion that entation of the three principal stresses. The
is likely to occur, e.g. dip-slip (normal or slip tendency and slip vector on any individ-
reverse), oblique-slip or strike-slip. ual fault surface can be determined. The slip-
The mathematical analysis outlined above tendency data can also be linked to fault map
can serve several purposes. First, it can be traces, enabling the user to investigate various
used to determine, for a fault of given orienta- stress scenarios and their effects on known or
tion, which stress states could create slip. This suspected fault geometries. Slip-tendency
approach is discussed more extensively in the analysis also provides a means of rapidly
papers by Amadei (1988) and Amadei and assessing which faults are best explained by
Savage (1989). Second, it can be used to deter- any given stress state. With a knowledge of
mine, for a given stress field, the fault plane both the in situ stress state and the distribution
orientations for which slip could occur. This of existing faults in a given area, it is possible
approach was addressed by Amadei (1988) to assess relative earthquake hazard.
and Amadei, Savage and Swolfs (1987). It is Figure 12.26 gives an example of slip-
also called 'slip-tendency analysis' by Ferrill et tendency analysis reported by Morris, Ferrill
al. (1995) and Morris, Ferrill and Henderson and Henderson (1996) for faults in the Yucca
(1996). Finally, the mathematical analysis can Mountain area in Nevada. The faults are
be used to solve the inverse problem, i.e. to located in a stress field with principal com-
determine the virgin stress state from slicken- ponents 0"1 = 90 MPa (vertical), 0"2 = 65 MPa
sides (striae) on a given population of fault (N25°E-N300E) and 0"3 = 25MPa (N600W-
planes with various attitudes. This approach, N65°W) selected on the basis of the results of
called fault-slip analysis, was followed by hydraulic fracturing tests by Stock et al. (1985).
Angelier (1984) and co-workers, and is further In Fig. 12.26, the results of the analysis are
discussed in section 2.14.1 presented in the form of a shaded stereonet
The slip-tendency analysis of Ferrill et al. where the degree of shading is scaled with
(1995) and Morris, Ferrill and Henderson respect to the value of the ratio Ts/TsMAX
(1996) deserves further discussion. Although it (which varies between 0 and 100%). Figure
is based on the same equations as in the other 12.26 indicates that faults having N-S to
analyses, it provides a tool for conducting a NE-SW azimuths and moderate to large dip
comprehensive assessment of the risk of fault angles have a relatively high tendency to slip.
slip and associated earthquakes on existing Also, strike-slip and normal faults are com-
faults located in a contemporary stress state. patible and can coexist in the contemporary
Slip tendency is determined by comparing the stress state at Yucca Mountain.
value of the ratio 4 = T / O"n with the fault's
coefficient of friction J1 (Ferrill et al., 1995), or
12.4.7 INTRAPLATE STRESSES IN THE UPPER
by calculating the ratio Ts/TsMAX = T/{J1O"n)
EARTH'S CRUST
(Morris, Ferrill and Henderson, 1996).
A serious advantage of the method of Ferrill Various investigations have shown that the
et al. (1995) and Morris, Ferrill and Henderson Earth's crust can be basically divided into an
(1996) is that slip tendency can be calculated upper brittle part and a lower ductile part. The
automatically using an interactive computer strength in the brittle part is essentially con-
tool. The stress tensor is specified by choosing trolled by the frictional strength of pre-
values and orientations for the principal existing favorably oriented faults. On the
Stresses in geology and geophysics 453
other hand, the strength of the lower ductile frictional strength of the crust and that labo-
part is described by various flow laws (Brudy ratory derived coefficients of friction ranging
et al., 1995). In order to verify that the upper in the range of 0.6 to 1.0 can be applied to
crust is in a state of failure equilibrium, in situ faults in-situ' (Brudy et al., 1995). This is dem-
stress measurements at depth are required. onstrated below for the stress measurements
Currently available stress measurements in conducted at the KTB drill site in Germany.
deep boreholes in intraplate areas include The KTB project involved two distinctive
those in Cornwall, England (Pine and phases. In phase I, from September 1987 to
Kwakwa, 1989); Fenton Hill, New Mexico April 1989, a pilot hole was drilled through
(Barton, Zoback and Burns, 1988); Cajon Pass, foliated gneisses with sections of amphibolite
California (Zoback and Healy, 1992) and the to a final depth of 4001 m. From October 1990
KTB (Kontinentales Tiefbohrprogramm der to December 1994, corresponding to phase II, a
Bundesrepublik Deutschland) site in the main well was drilled down to a final depth of
Oberpfalz, Germany (Baumgartner et al., 1993; 9101 m (Fig. 12.27). Below a depth of 4 km,
Brudy et al., 1995; Te Kamp, Rummel and nearly all the rock has been found to be mas-
Zoback, 1995; Zoback et al., 1993). All data of sive amphibolite. During phase I, a total of 14
stress versus depth at those sites 'are con- hydrofrac tests were performed by wireline
sistent with the concept that stress magnitudes technique and using an inflatable double
in the upper crust are in equilibrium with the straddle packer system. Of the 14 tests, seven
Ts/TsMAX
100%
50%
0%
s
0, = 90 MPa o Normal fault pole
~ Normal fault slip vector
O2 = 65 MPa IIStrike-slip fault pole
0 3 = 25 MPa A Strike-slip fault slip vector
Fig. 12.26 Slip-tendency analysis for Yucca Mountain area faults. Lower hemisphere equal angle plot of
poles of surfaces in a three-dimensional state of stress shaded with respect to slip tendency. Superimposed
on this plot are poles to two potential slip surfaces with their resolved slip vector orientations to illustrate
the coexistence of strike-slip and normal faults in a single stress state. (After Morris, Ferrill and Henderson,
1996.)
Fig. 12.27 Aerial view of the drilling rig and site of phase II of the KTB continental deep drilling project in Germany. Hydraulic fracturing tests
were conducted down to a depth of 9 km, where the maximum and minimum horizontal in situ stresses were found to be equal to 285 and
147MPa, respectively. (Courtesy of J. Lauterjung.)
Stresses in geology and geophysics 455
were successfully completed. In the KTB main measured by hydrofracturing at the depths of
borehole, two modified hydrofrac tests were 6and9km.
performed at depths of 6 and 9 km where, as By combining the stresses determined by
described by Te Kamp, Rummel and Zoback hydraulic fracturing and those estimated from
(1995), a mechanical casing single packer was the breakouts and drilling-induced subvertical
set at depth and the remaining open hole fractures, using a Mohr-Coulomb faulting
section (18 m at 6 km depth and 70 m at 9 km theory and Byedee's law of friction, both Te
depth) was pressurized. Because the maxi- Kamp, Rummel and Zoback (1995) and Brudy
mum head pressure for fracturing at a depth et al. (1995) concluded that for the appropriate
of 9 km was expected to exceed the upper pore pressure, the upper Earth's crust sup-
safety limit of the equipment, an injection ports high shear stresses. They also concluded
fluid with a density of 1.5 g/cm3 was used. that stress magnitudes in the crust are limited
The hydraulic fracturing test at a depth of by the frictional equilibrium on pre-existing
9 km represents the deepest reliable stress optimally oriented faults with laboratory-
measurement ever made. The pressure versus determined coefficients of friction ranging
time record for that test was found to resemble between 0.6 and 0.8 If the stresses try to exceed
classical hydrofrac records with a breakdown this equilibrium state, slip on favorably
pressure of 157 MPa, a shut-in pressure of oriented faults occurs which reduces the
147 MPa and a refrac pressure of 148 MPa (Figs stresses back to the equilibrium state.
3 and 4 in Te Kamp, Rummel and Zoback,
Stress (MPa)
1995). The maximum and minimum hori-
zontal in situ stresses were determined to be 0 100 200 300
0
equal to 285 and 147 MPa, respectively.
A stress profile derived from the hydrofrac 1000
tests at the KTB test site is presented in Fig.
12.28. The results indicate a strike-slip type of 2000
stress regime (SH > Sv > Sh). The orientation of
the hydraulic fracture traces in the pilot hole 3000
(depth range 805 to 3011 m) was found to give
an average azimuth for the maximum hori- 4000
zontal stress SH of N149° ± 15°. Using bore- I.c
hole breakouts, Brudy et al. (1995) established a.
5000
a profile for the orientation of SH for the entire (I)
Cl
depth interval ranging between 3.2 and 6000
This appendix provides a summary of the average force per unit area Af / AS tends to a
basic concepts of the continuum mechanics limit df / ds as AS tends to zero, whereas Am
description of stress. The writing of this vanishes in the limiting process. This limit is
appendix was done based on lecture notes and called the stress vector t(n) , i.e.
after consulting several major textbooks on
. Af df
continuum mechanics. The presentation t(n) = hm - =- (AI)
dS-->O AS ds
follows in part that used by G.E. Mase in his
book entitled Continuum Mechanics (Schaum's The components of the stress vector t(n) in the
Outline Series, McGraw-Hill, 1970). x, y, z directions are expressed in units of force
per unit area. Likewise, the stress vector corre-
A.1 CAUCHY STRESS PRINCIPLE sponding to the action across AS of the mate-
rial within volume V upon the material
Consider a material continuum occupying a outside that volume is t(-n). By Newton's law
region R of space and subjected to body forces of action and reaction
1
b (per unit mass) and surface forces (Fig. AI).
Let x, y, z be a Cartesian coordinate system t(n) + t(-n) = 0 (A2)
with unit vectors e1, ez, e3 parallel to the x, y, z Equation (A2) can be formulated as follows:
directions, respectively. the stress vectors acting on opposite sides of a
The material inside an arbitrary volume V in same surface are equal in magnitude but
the continuum interacts with the material out- opposite in direction.
side V. For a small surface element AS located
on the outer surface S of volume V and for a
A.2 STATE OF STRESS AT A POINT
point P located on AS, a unit vector n normal
to AS can be defined. Let Af and Am be respec- The state of stress at point P in Fig. Al can be
tively the resultant force and moment exerted defined by using equation (AI) for all planes
across AS by the material outside of V upon AS having point P as an interior point. An
the material within V. alternative is to look at the stress vectors t(e1),
The Cauchy stress principle asserts that the t(eZ) and t(e3) acting on three orthogonal planes
R
y
ib
i
I
x
t
z
Fig. A.1 Material continuum subjected to body and surface forces.
462 Analysis of stress
normal to the x-, y- and z-axes, respectively. A.3 STATE OF STRESS ON AN INCLINED
These three planes form an infinitesimal stress PLANE
element around point P.
The nine components of vectors t(el), t(e2) Consider again point P of Fig. Al and let (1ij be
and t(e3) are the components of a second-order the stress tensor representing the state of stress
Cartesian tensor also known as the stress at that point. The components of the stress
tensor (1ij (i, j = 1-3). The components (111, (122 vector t(n) acting on an inclined plane passing
and (133 represent three normal stresses (1X! (1y through P can be expressed in terms of the (1ij
and (1z acting in the x, y and z directions, components and the orientation of the plane
respectively. The components (1ij (i =1= j) repre- using a limiting process similar to that used to
sent six shear stresses 7:xy, 7:yX! 7:XZI 7:zx , 7:yz and introduce the stress vector concept. As shown
7: zy acting in the x, Yi x, Zi and y, z planes. Two
in Fig. A3, consider a plane ABC of area dS
sign conventions are considered below: parallel to the plane of interest passing
through P. Let n be the normal to the plane
1. Engineering mechanics sign convention. with components nl, n2, n3' The force equilib-
Tensile normal stresses are treated as posi- rium of the PABC tetrahedron leads to the
tive and the direction of positive shear following relation between the (average) stress
stresses is as shown in Fig. A2a. The stress vectors acting on its forces:
vectors t(el) , t(e2) and t(e3) have the following
expressions t(n) dS + t( -ell nl dS + t( -eZ) nZ dS
t(el) = (1xel + 7:xy e 2 + 7:xz e 3 (AS)
t(e2) = 7:yxel + (1ye2 + 7:yze3 (A3)
where nl dS, nz dS and n3 dS are respectively
t(e3) = 7:zxel + 7:zye2 + (1z e 3 the areas of faces CPB, CPA and APB of the
2. Rock mechanics sign convention. Compres- tetrahedron. Using equation (A2), t(n) can be
sive normal stresses are treated as positive expressed as follows:
and the direction of positive shear stresses
is as shown in Fig. A2b. The stress vectors
t(n) = t(el) nl + t(eZ) nz + t(e3) n3 (A6)
t(el) , t(e2) and t(e3) have the following The stress acting on plane ABC will approach
expressions the stress on the parallel plane passing
t(el) = -(1xel - 7:xy e 2 - 7: xz e 3
through P as the tetrahedron in Fig. A3 is
made infinitesimal. In that limiting process,
t(e2) = -7:yxel - (1ye2 - 7:yze3 (A4) the contribution of any body force acting in the
t(e3) = - 7:zxel - 7:zye2 - (1z e 3 PABC tetrahedron vanishes.
Oy
,
I:
t xz
t zy
. ' t zx
7~---
(a) (b)
Fig. A.2 Direction of positive normal and shear stresses: (a) engineering mechanics convention, (b) rock
mechanics convention.
Stress transformation law 463
y l. Equations of equilibrium:
n tin)
a(Jx aryx arzx b
- + - + - + p I =0
ax ay az
arxy a(Jy ar zy
- + - + - + p b2 =0 (A.8)
ax ay az
arxz aryz a(Jz
x - + - + - + p b3 = 0
ax ay az
z where p is the density and pb l , pb2 , pb3 are
the components of the body force per unit
Fig. A.3 State of stress on an inclined plane passing volume of the continuum in the x, y and z
through point P. directions, respectively. The positive direc-
tions of those components are in the
Equation (A.6) can also be expressed in positive x, y and z directions if the engineer-
terms of the normal and shear stress compo- ing mechanics convention for stress is used,
nents at point P. Let t x , ty and t z be the x, y, z and in the negative x, y, z directions if the
components of the stress vector t(n). When rock mechanics sign convention is used
using the engineering mechanics sign conven- instead.
tion, combining equations (A.3) and (A.6), we 2. Symmetry of the stress tensor:
have
rxy = ryx; rxz = r zx ; ryz = rzy (A.9)
Equation (A.9) implies that only six stress
components are needed to describe the
state of stress at a point: three normal
stresses and three shear stresses.
On the other hand, for the rock mechanics
sign convention, combining equations (A.4) A.S STRESS TRANSFORMATION LAW
and (A.6), we have Consider two rectangular coordinate systems
x, y, z and x', y', z' at point P. The orientation of
the x' -, y' -, z' -axes is defined in terms of the
(A.7b) direction cosines of unit vectors el, ez and e3 in
the x, y, z coordinate system, i.e.
el = lx,el + mx,e2 + nx,e3
The (3 X 3) matrix in equations (A.7a) and ez = ly,el + my,e2 + ny,e3 (A.IO)
(A.7b) is a matrix representation of the stress
tensor (Jij' e3 = lz,el + mz,e2 + nz ,e3
Let [A] be a transformation matrix such that
A.4 FORCE AND MOMENT EQUILIBRIUM
X
[u.
'ixy
'ixy
ay 'n]
'iyz
lx' = cos t5 cos Ply' = - sin t5 cos P
'ixz 'iyz az = - sinp
lz'
2
U x' I~, mx, n~' 2mx'nx' 2nx,Ix' 2Ix,mx' UX
2 2
U y' I~, my, ny' 2m y,ny' 2n y,Iy' 2Iy' my, uy
U z' 1;, m;, n;, 2mz,nz' 2n z,Iz' 2Iz,mz' U z
(A. 13)
'y'z' Iy,Iz' my,mz' ny,nz' + mz, ny, ny' Iz' + nz, Iy' Iy' mz, + Iz' my'
my, nz, 'yz
'l'z'X' Iz' lx, mz,m x, nz,nx, mx,nz, + mz, nx, nx, Iz' + nz' lx, lx, mz, + Iz' mx, 'zx
'x'y' Ix,I y' mx,my' nx,ny' mx' ny, + my, nx' nx, Iy' + ny, lx, lx, my, + Iy' mx, 'xy
y y
y' (9)
x' (r)
z
(a) (b)
Fig. A.4 Two special orientations of the x' -, y' -, z'-axes with respect to the x, y, z coordinate system.
Principal stresses 465
2 2 2
A.6 NORMAL AND SHEAR STRESSES ON , = 'x'y' + 'x'z' (A19)
AN INCLINED PLANE The stress vector ten) acting on the plane is such
Consider a plane passing through point P and that
inclined with respect to the x-, y- and z-axes. 2 2 2 2 2 2
1ten) 1 = Un +, = U x' + 'x'y' + 'x'z' (A2a)
Let x', y', z' be a Cartesian coordinate system
attached to the plane such that the x' -axis is
along its outward normal and the y' - and A.7 PRINCIPAL STRESSES
z'-axes are in the plane. The x'_, y'- and z'-axes Finding the principal stresses and principal
are oriented as shown in Fig. A4a with the stress directions is equivalent to finding the
direction cosines defined in equation (AlS).
y
The state of stress across the plane is defined
by one normal component U x ' = Un and two
l",
shear components 'x'y' and 'x'z' such that Y
I
(Fig. A.5)
ll' -
m x,
ll'
Ux
n"]
'xy 'xz
(AlS)
(A.22)
(A.24)
where II, 12 , 13 are respectively the first,
second and third stress invariants and are with the normality condition
equal to nik + n~ + n~k = 1
APPENDIX B DISPLACEMENTS,
STRESSES AND STRAINS AROUND
A CIRCULAR HOLE:
ANISOTROPIC SOLUTION
(B.2a) (B.4)
when k = 1, 2 and
3. (i, j = 1-6) are components of matrix [A]
aij
P3 =A3<Pll/-l~ + Pl2 - PI6/-l3) + P15/-l3 - P14 in equation (5.8) (p. 236);
4. AI, A2, A3 are such that
Al =- 13(/-l1). A2 = _ 13(/-l2) .
12(/-l1) , h(/-l2) ,
A3 = - 13(/-l3) (B.5)
(B.2b) 14(/-l3)
468 Displacements, stresses and strains
5. ¢Jk (k = 1, 2, 3) are three analytic functions of The radial and tangential displacement
the complex variable Zk = x + flkY where x, Y components are equal to
are the coordinates of the point in the aniso-
tropic medium at which the displacements Ur = U cos e + v sin e;
(B.10)
are calculated. For the present loading con-
dition, the expressions for the functions ¢Jk Vg = v cos e - U sin e
are
B.2 EXPRESSIONS FOR DISPLACEMENT
COMPONENTS WHEN HOLE AXIS z IS
PERPENDICULAR TO A PLANE OF ELASTIC
1 SYMMETRY
+ Z1 A3(fl3 - fl2)) -
~1
If there is a plane of elastic symmetry normal
1 -
¢J2 = ~ (al()0I A3fl3 - fll) + b1(1- Al)03) to the z-axis (Fig. 5.26) (p. 236), equations
(B.1)-(B.10) still apply with the additional
(B.6)
1 relations
+ Z1 A3(fll - fl3)) -
~2 a46 = aS6 = a4i = aSi = 0 (i = 1,2,3)
1 -
¢J3 = ~ (al(fll A2 - fl2Al) + b1(Al - )02) /346 = /3S6 = /34i = /3Si = 0 (i = 1,2,3)
(B.11)
1
+ Z1(fl2 - fll)) -
~3
with
The problem of elastic equilibrium of an aniso-
A = fl2 - fll + A2 A3(fll - fl3)
tropic medium bounded internally by a hole of
+ Al A3(fl3 - fl2) (B.7) circular cross-section with applied stress com-
and ponents Xn, Yn , Zn can now be considered as
the sum of two uncoupled problems:
For all points located along the contour of Comparing equation (5.11) (p. 237) with the
the hole of radius a in Fig. 5.25 (p. 234) (x = a expressions of Xn , Yn and Zn in equation (5.10)
cos e, y = a sin e), ~k is equal to ell!. and using equation (B.8) we obtain
Radial displacement induced by drilling a hole in an infinite anisotropic medium 469
hh=O
(B.12)
j4h = Re{ ~ (i cos 0 sin 0 - cos20) [PI A3(f.l3 - f.l2)
with
j6h = Re{ ~ (i sin 0 cos 0 - cos20)
or (l-l)
- 2 sin20 -'----'-
E
(B.16) . (3 - v - 4l)
J6h = - sm20 E
For both cases, /11 + /12 is always purely imagi-
nary and /11/12 is always real. In addition,
B.4 RADIAL DISPLACEMENT INDUCED BY
/3 )1/2
/11/12 = -
( /3:: ; APPLICATION OF IN SITU STRESS FIELD
((;r-
B.6 GENERAL EXPRESSIONS FOR STRESS
COMPONENTS the square root terms in (B.32) are equal to
At any point in the medium, the stress compo-
nents in the x, y, z coordinate system induced
1- f-l~ y/2 = i(sin () - f-lkCOS ()
~
J44h = - Re [ - 0+
sin- -i -cos-0]
sinO - f.13COSO
f64h = - Re[Yl A3f.11(;13 - f.1z) + YZ A3f.1z(;11 - f.13)
~ [. sin 0 + i cos 0 ]
J4Sh = Re l - - - - -
(B.47)
+ Y3 A3f.13(;1Z - f.11)] sin 0 - f.13 cos 0
f6Sh = Re[iYI A3f.11(;13 - f.1z)
f41h = f4Zh = f43h = f46h = 0
+ iyz A3f.1Z{Jtl - f.13) + iY3 A3f.13{JtZ - f.11)] sin 0 + i cos 0 ]
fS4h = Re [ f.13 - . - - - - -
f66h = - Re[Ylf.11(Az A3 -1) + yzf.1z(1- AI A3) smO - f.13COSO
+ Y3 A3f.13(Al - AZ)] - Re[iYlf.11 sin 0 + i cos 0 ] (B.48)
fSSh = - Re [ if.13 . {} n
X (;1z - Az A3f.13) + iYzf.1z(Al A3f.13 - f.11) Slnu - f.13COSV
Aamodt, L. 164 Batchelor, A.S. 11, 25, 35, 126 Bott, M.HP. 397
Abel, J.F. 46, 208, 361, 373 Bauer, E.R 376 Bouteca, M. 305
Aberg, B. 434 Bauer, S.J. 52 Bowling, AJ. 278
Abou-Sayed, AS. 149, 169, 173 Baumgartner, J. 9,25,28,81,113,125, Boyce, G. 128,149
Adams, J. 3,25,28-30,47,69,406, 128-9,131,147,154,187,307, Brace, W.F. 35,36
410 453 Brady, B.H.G. 5,67, 100, 104,210,436
Agapito, J.F.T. 436, 441 Bawden, W.F.5,50,419,436 Branagan, P. 41
Agarwal, R 232 Beaney, E.M. 208 Bray, J.w. 259,451
Aggson, J.R 51, 103, 109, 166,204, Bearden, W.G. 122 Brechtel, CE. 149,169,173,377
212-13,251,256,259,365 Becker, RM. 234, 253, 261, 263 Bredehoeft, J.D. 125, 144, 169, 184
Ahrens, T.J. 103,210 Beer,G.422 Brekke, T.7,51,429-30,434-5
Akhpatelov, D.M. 52 Bell, J.S. 3, 25, 28-30, 47,69,304,311, Brereton, R 308
Akutagawa, S. 210 410 Bridges, M.C 103
Aleksandrowski, P. 45, 308 Benson, RP. 6 Broch,E.4,7,51,425,427-30,434-5
Alexander, L.G. 207, 210 Berckhemer, H 291 Brooker, E.W. 68
Allen, M.D. 78 Berents, H.P. 207 Brown, D.W. 28, 108, 112, 113, 126,
Aloha, M.P. 51 Berest, P. 14 293
Amadei, B. 35-7, 39, 41, 43-4, 49, 53, Bergh-Christensen, J. 429, 433 Brown,E.T.3-5,25,31,33,44,71,82,
56-60,74-6,108,155-7,177, Bergman, E.A 64 155,259,306,406,410,421-2,
232,236-7,240,243,248, Bemede, J. 284-5 424-7,436,438,441
253-5,258,260-3,365,373, Berry, D.S. 104,234,240,247,260-2, Brown, S.M. 49,340
426,429-31,451-2 373 Bruckl, E. 52
Ames, E.S. 371 Bertrand, L. 215, 277-8, 280 Brudy, M. 9, 32, 36, 96, 112, 113, 193,
Amstad, C 205-6, 259 Bickel, D.L. 51, 204, 212-3, 365 323
Anderson, E.M. 32, 76, 394 Bielenstein, H.U. 13,46,65,67,77, Bruhn, RL. 35
Anderson, T.O. 135 232 Brunier, B. 77
Angelier, J. 77,81,392,452 Bieniawski, Z.T. 284, 421 Bruno, M.S. 153
Apel, R 322-3 Biot, M.A. 447-8 Buchner, F. 76
Argon, AS. 65 Bixley, P.F. 9 Buckingham, C 367
Arjang, B. 25,49,410 Bjamason, B. 82, 127-8, 131, 147, 163, Bulin, NK 25, 28, 31, 69
Arthaud, F. 76 169,307-8,347,449 Bungum,H.
Artyushkov, E. V. 69 Black, M. T. 340 Bunnell, M.D. 78
Ask, M.V.S. 319-21,404 Blackwood, RL. 25, 111, 208-9, 223, Burlet, D. 25, 41, 98, 128, 190, 192-3,
Asmis, HW. 69,428 226,232,367 351,402,410
Assumpcao,M.401-2,406 Blake, W. 49 Bums, K.L. 394, 453
Aydan, 0. 74 Blanton, T.L. 290, 296 Bush, D.D. 128, 148
Aytmatov, I.T. 24-5, 107 Blejwas, T.E. 362 Byerlee, J. 28, 36
Blisniuk, P.M. 402
Babcock, CO. 49, 373, 376 Blum, P'-A 14 Cai, M. 108, 111, 207, 209, 215, 221,
Babcock, E.A. 304, 410 Bliimling, P. 319 223,225-6,252-3,263
Backblom, G. 449 Bock,H. 68, 100,104,209,227 Camara, RJ.C. 277, 283
Bakhtar, K. 361, 370 Bogdanov, P.A 103 Carbonell,R.148,153
Ballivy, G. 373 Bohac, V. 101,210 Carey, E. 77
Bandis, S.C 37,44 Bois, A-P. 364, 372-3 Carlsson, A 3, 46, 70, 428
Barla, G. 259,262,361,427,436 Bonnechere, F.J. 204,215,245,369 Carter, B.J. 414
Barr, M.V. 31, 127, 402, 410 Bonvallet, J. 277, 284 Carter, N.L. 448
Barron, 1<. 12,65,67,232,256,369 Borecki, M. 232 Carvalho, J.L. 173
Barton,C.A.102,310,322,394,453 Borg, T. 5,6 Chambon, C 258
Barton, N. 35, 37, 44, 125, 128, 148, Borm, G. 70, 104 Chan, S.S.M. 78
361,370,421 Borsetto, M. 246, 262, 277 Chandler, N.A. 28-9, 46, 49,100,107,
Bass,J.210 Bosworth, W. 402 112,210,258,330-5,337-8
478 Author index
Chaplow, R 51 Doe, T.w. 25, 115, 125, 128, 149, 163, Freudenthal, A.M. 305
Chappell, J. 77 169 Friday, RG. 210
Chekan, G.J. 376 Dolezalova, M. 39 Friedman, M. 65, 76
Chen, J.G. 406 Donaldson, I.G. 11 Froidevaux, C 277
Cheng, A.H.-D. 143 Donnell, L.H. 49 Fuchs, K 322-3
Chiu, CH. 52 Draper, N.R 240,249,256
Chopra, P.N. 131, 163,344,410 Duncan, J.M. 37, 44 Gale, w.J. 227, 436
Choquet, P. 215, 218, 221, 225 Duncan-Fama, M.E. 209, 231, 249-50 Galle, E.M. 245
Christiansson, R 221, 328, 331 Durand, E. 215,277 Gao, H. 52
Clark, B.R 14,52 Durup,G.14 Gao, Q.L. 406
Clark, J.B. 121 Dusseault, MD. 145-6 Gar, V.K 404, 410
Clifton, RJ. 149,169,173 Dutta, P. 370 Garritty, P. 108,226
Coates, D.E 70 Duvall, W.I. 14,69,99,203,230,251, Gay, N.C 5,25,30,35,46,50,82,126
Cook, cw. 371 256,279,364,422 Gentry, D.W. 65
Cook, J.C 103 Dyke, CG. 12,65,67,70,408,413 Gephart, J.w. 81
Cook, N.G.w. 5, 25, 32, 70, 75-6, 142, Dzik, E.J. 82, 109, 113,258,304,308, Germain, P. 50
150,159, 181,279,283-5, 329,333,414-15 Gerrard, CM. 37
305-6,311,314,317,420,422, Gibson, RE. 45
451 Edl, J.N. 306 Gill, D.E. 205-6, 218, 221, 246,
Cooling, CM. 25,45,82,108,109, Eisbacher, G.H. 46, 47 259-60,367
131,344,408,413 Eissa, E.A. 423-5 Gilley, J.L. 376
Cornet, EH. 25, 74, 96, 98, 112, 125, Eldred, CD. 51 Gonzalez de Vallejo, L.1. 410
128-9,162-3,187-90,192-3, Enever, J.R 3,5,7,41,43,46-7,49, Goetze, C 35
204,346-7,351-2,410,413 69,96,106,125, 131, 137, Gonano, L.P. 113,115,259,263-4
Corthesy, R 112,205,218,245-6, 162-3,172,290,344,408-10, Goodall, D.C 434
259-60,367 414,428,433,435-6 Goodman, R.E. 32,35, 37, 44, 50, 68,
Cosgrove, J.W. 12,76,420,441,443-4, Engelder, T. 14,25,41,47,76,79-81 75,113,208,210,281,285,
447-8 Eriksson, L.G. 24, 45 450
Coutinho, A. 49, 368 Eshelby, J.D. 49,373 Gough, D.l. 304, 311
Cowgill, S.M. 308 Etchecopar, A. 77 Gowd, T.N. 404, 410
Cox, G.EN. 371 Evans, B. 35 Grant, F. 340
Cox, J.w. 304, 308, 410 Evans, D.M. 9 Grant, M.A. 9
Cramer, M.L. 340,361 Evans, KE 41,46, 397 Gray, W.M. 112,219,240,245,256-7
Crouch, S.L. 204,422 Ew~R.T.305-6,314 Greenshpan, Z. 53
Cuisiat, ED. 67, 172, 406, 408, Gregersen, S. 397, 404
413-14 Faiella, D. 277 Gregory, E.C 205, 218, 340, 361,
Cundall, P.A. 49, 67, 100, 104, 210 Fairhurst, C 4, 12,25,45, 97, 104, 365-7,371
Cunha, A.P. 277,281,286,408 109,124-5,129-31,141,144, Gresseth, E.W. 77
Cyrul, T. 107-8 149,157,204,234,245,259-60, Griswold, G.N. 204
369,425 Grob, H. 205-6, 259
Daignieres, M. 77 Farrell, H.E. 8,46,290,361,445-6 Gronseth, J.M. 163
Daneshy, A.A. 157-8 Fejerskov, M. 387 Grossman, N.F. 277,283
Dart, RL. 304-5, 317 Fellers, G.E. 208 Gudmundsson, A. 442
Da Silva, J.N. Ferguson, G.A. 436, 438 Guenot, A. 305,414
Dean, D.5. 397 Ferrill, D.A. 451-2 Guertin, J.D. 428,435
Deere, D. 427 Feuga, B. 98, 128 Guisepetti, G. 277
Deffur, RD. 284 Feves, M.L. 292,295 Gussow, W.C 444
D~ean,M.277,284 Fidler, J. 282 Gustafson, G. 434
De la Cruz, RV. 209-10 Fiore, J. 361 Gutierrez, R 429
Denham, D. 25, 406, 410 Fitzpatrick, J. 226
Denkhaus, H.G. 74,259 Flaccus, C 13 Habib, P. 101,203, 277
Depledge, D. 46, 436-7 Flanagan, RF. 428,435 Haimson, B.C 4, 11,25, 28-30, 41, 46,
Der, V. 361 Forsyth, D.W. 52,67,70-1,81,96,108,112,
Desroches, J. 178, 180 Foruria, V. 100,209 114-15,124-7,129,131,141,
Detournay, E. 128, 143-4, 147-8, 153, Fossum, A.E 370 144-5,154,163,166,169-70,
173,259 Franklin, J.A. 3,43,69,78,110, 139, 172,175-6,305-7,341-3,
Dey, T.N. 28, 112-13, 126, 293 214,221,225,279,376,428-9, 346-7,406,408,410,413-15,
Dieterich, J.H. 448 435 427,429
Digby, P.J. 311,314-15 Fraser, CD. 124 Hallbj6rn, L. 208
Author index 479
Halpern, J.A. 25 Hudleston, P.J. 448 Kobayashi, S. 100,207
liandin,J. 67, 103 Hudson, J.A 10, 12,25,45, 65, 67, 82, Koga, A 234, 247, 261
Hansen, F.D. 370 108,109,344,408,413 Kohlbeck, F. 53, 373
Hansen, J. 152 Hungr, O. 3, 43, 69, 78, 110, 428-9, Kohlstedt, D.L. 35-6
Hansen, KS. 41 435 Koslovsky, Y.A. 308
Hansen,L.51,435 Hunt, E.R 41 Kovari, K 205-6, 259
Hansen,S.E.3,205,367,435 Hustrulid, W.A. 49, 177, 181, 340, Kramer, A 82, 307
Hanson, M.E. 420 361,364 Krauland, N. 436
Hanssen, T.H. 428 Hyett, AJ. 13,65, 67, 408, 413 Kropotkin, P.N. 25
Hansson, H. 420 Kry, P.R 163
Hardy, M.P. 149, 163,361,436,441 Inderhaug, O.H. 45, 308 Kulhawy, F.H. 68
Hargraves, AJ. 376 Ingraffea, A 70 Kuriyagawa, M. 164
Harper, T.R 41 Irvin, RA 108,226 Kurkjian, A 178
Hast, N. 3, 24-5, 46, 64, 69-71, 100, Ishijima, T. 377 Kurlenya, M.V. 203
203,259,368 Ivanov, V. 203 Kusznir, N.J. 397
Hatfield, RW. 370 Kutter, H.K. 71, 304
Hawkes, I. 205-6, 208, 369, 370 Jackson, e.S. 68 Kwakwa, KA 8,25,29, 113,345,
Haxby, w.F. 68 Jaeger, J.e. 25, 32, 70, 75-6, 142, 159, 453
Hayashi, K 78, 103, 154, 163 181,279,283-5,311,420,422,
Hayes, D.J. 99,206,218,247 451 Lacy, L. 290-1
Healy, J.H. 8,25,36, 125, 129, 304, James, P. 63 Lade, P.v. 34
310,319,353-4,356-8,397, Jaworksi, G.W. 370 Lambe, T.W. 33, 68
453 Jeffery, RI. 41, 129 Lang, P.A. 65, 67, 103, 105,206,211,
Heasley, KA 377 Jeger, e. 376 221,231-2,247,258,327-32,
Heim, A 24, 75 Jenkins, F.M. 218 336
Helal, H. 295,212,279 Jiao, Y. 10 Ledingham, P. 125, 147
Henderson, D.B. 451-2 Jing, L. 48, 69, 420 Lee,C.F. 3,25, 69, 70,427-8
Herdocia, A 436 Johnson, AM. 67, 420, 441, 443, 447 Lee, e.-I. 25
Herget, G. 25,27--8,30,31,46, 64, Johnson, e.F. 234, 261 Lee, F.T. 46, 67, 208, 214, 361, 373
69-71, 100, 113,212, 217, Johnson, J.B. 371 Lee, M.Y. 25, 29, 70, 71, 81,127,129,
221-3,371-2,410,436 Jordan, T.H. 395-6, 398 145, 154, 163, 166, 169-70,
Herrick,C.G.25,129,306 Judd, W.R 45, 51, 277 175-6,305-7
Heugas, O. 290,293 Julien, P. 192 Leeman,E.R.49,81,95,99,104,
Heusernrrann,S. 205, 260,277,284 Jung,Rl25 205-6,217-18,234,240,245,
Heuze, F.E. 77,361 Jupe, AJ. 258, 346 247,259,304,365,367-8
Hickman, S.H. 125, 129, 137, 145, 163, Legge, T.F.H. 427
169,304,310,318-19,353-5 Kaiser, J. 103, 105 Leijon, B.A 47, 49,105-6,109-10,
Hill, J.L. 376 Kaiser, P.K 101, 104,210-11,306,332, 113,206,209,247,339,340,
Hiltscher, R 206,221,245,247 336,361,421,429 419,437-8
Hiramatsu, Y. 234 Kanagawa, T.52,204,216 Leite, M.H. 246, 259
Hirashima, KI. 49, 234, 247, 261, 373 Kaneda, T. 207 Lekhnitskii, S.G. 235, 237
Hocking, G. 245, 361 Kawamoto, T. 261 Lemos, J.v. 67, 100, 104,210
Hoek,E. 3,4,25,33,44, 71, 82, 155, Kehle, RO. 124 Lempp, Ch. 104
421-2,424-7,436,441 Keller, e. 377 Li, F. 24,25,31,406,410
Hohring-Erdmann, G. 25, 131 Kemeny,J.305 Li, F.Q. 125, 128
Holcomb, D.J. 104 Kidybinski, A 232 Li, Y. 103
Holditch, S.A. 41 Kikuchi, S. 177 Liang, J. 434
Holland, J.F. 52 Kim, K 6,46,68,109,139,168,214, Liao, J.J. 52-3
Holman, J.P. 105 221,225, 279, 307, 355, 361, Lien,R 421
Holzhausen, G.R 67, 128 365-6,371 Lieurance, RS. 210, 202
Hooker, V.E. 14,51,52, 69, 204, Kirby, S.H. 35 Lim, H.-U. 25
212-13,234,253,261,263,365, Kjorholt, H. 434 Lin, e.H. 410
370 Klasson,H. 129, 164-5,167-8 Ltnblom, U.E. 434
Hoskins, E.R 52, 65-7, 207, 210, 218, Klein, RJ. 31, 127,402,410 Lindner, E.N. 25, 67, 69
245,277,281,284 Klostermann, L.A 103 Ling, e.B. 52
Howard, G.e. 122 Klym, TW. 428 Lingle, R 361,365,370-1
Howard, J.H. 28 Knapstad, B. 45, 308 Lisowski, M. 75
Huang,Q.77 Knill, J.L. 61 Liu, L. 52
Hubbert, M.K. 122 Ko,Ke. 78 Liu,G.406
480 Author index
Ljunggren, e. 47, 69, 128-9, 131, 147, Michalski, A. 24,45 Orowan, E. 65
155,156-61,163,169,171-4, Mills, K.W. 46, 108,207,247,367, Orr,e.M.25
177-8,187-8,192,206,347-9, 436--7 Ortiz, e. 429
351-2 Mimaki, Y. 4, 207, 427 Ortlepp, W.D. 82
Lo, K.Y. 3, 41, 65, 70, 232 Minster, J.B. 395-6,398 Oshier, E.H. 210
Lombardi, G. 259 Mohr, HE 205 Oudenhoven, M.S. 49
Lopes, J.J.-B. 277,279,283-4 Molinda, M. 63, 435 Ouvry, J.E 41
Loureiro-Pinto, J. 284 Montenyohl, V. 361 Oxburgh, E.R 64
Lowry, W. 377 Moos, D. 82, 307
Lu, P.H. 104,377-8 Morgan, H.s. Pahl, A. 205, 260, 277, 284
Luang, J.HS. 427 Morgan, T.A. 204 Paillet, EL 307, 355
Lumsden, A.e. 37, 44 Morlier, P. 298 Pakdaman, K. 203
Lunde, J. 421 Morozov, G.T. 103 Pala, J. 373
Morris, A. 451-2 Palmer, J.HL. 69,232
Maleki, HN. 361 Morton, J.D. 3, 70, 424 Pan,E.37,39,41,53,55-7,59,60,
Maloney, S. 306, 361, 421, 429 Mosnier, J. 188 430-1
Mandfredini, G. 277 Motahed, P. 258 Pande, G.~. 422
Manvelyan, RG. 52 Mount, V.S. 47, 397 Panek, L.A. 111, 240, 256, 277, 284,
Mao,~. 103,361,370-1 Moxon,S. 205 376
Marchand, R 101, 277 Muller, B. 8, 10,47, 72, 308, 319, 323, Panet, M. 259
Mardia, K.V. 320 395,397,402,404,410,455 Paquin, e. 277
Marmorshteyn, L.M. 103 MUller, W. 129 Parashkevov, R 203
Martin, e.D. 6,25,28-9,46,49,82, Muller, 0.77 Paris, p.e. 173
103,105,107,110-13,221,258, Mustoe, G.G.w. 361 Pariseau, W.G. 365
264-5,304,308,327-39,362, Myrvang, A.M. 3,4, 7, 25, 31, 45, Park, D.-W. 368
375,414-15,429 51-2,69,70,126--7,205-6,367, Parker, J. 76, 77
Martinetti,S. 246, 259,262 404,428-9,434-6 Parrish, D.K. 52
Martino, J.B. 82,259,304,308,329, Patrick, w.e. 361, 370
333,414-15 ~akagawa, EM. 153 Peleg,~. 104
Martna, J. 51,206,221,247,435 ~akamura, K. 77, 399 Pender, M.J. 46, 108,207,231,247,
Marulanda, A. 429 ~atau, O. 70, 104, 108 249-50,367,436-7
Mase, G.E. 1,409,461 ~elson, P.H 361,365,370-1 Peng, S.s. 103, 368
Mastin, L.G. 102,305-6 ~ewman, D.B. 13, 52 Perreau, P.J. 290,293
Masuoka,M.78,103 ~g, L.K.W. 65, 67, 211, 231-2, 331 Pettitt, B.E. 124
Mathar, J. 201 ~guyen, D. 112,205,218 Petukhov, I.M. 103
Matheson, D.S. 61, 63 ~ichols, T.e. 46, 65, 67, 208, 361, Phong, L.M. 203
Matsuki, K. 207, 291, 293-6 373 Pickering, D.J. 39
Matsuo, K. 4,427 ~ielsen, B. 428 Piguet, J.P. 277, 286
Mattaue~M.76-7,420,441 ~ilssen, T.J. 52, 218 Pine, RJ. 8, 11,25, 29, 35, 113, 125-6,
Maury, V. 8, 82, 306 ~ishimura, G. 49 147,345-6,427,453
May, A.~. 368 ~iwa, Y. 49, 261, 373 Pinto, J.L. 277,281,286
Mayer, A. 101, 277, 284 ~olting, RE. 208 Pirtz, D. 50
Mayne, P.W. 68 ~ordlund, E. 158-61 Pitt, J.M. 103
McCabe, w.M. 361 ~orth, M.D. 41, 129 Plumb, RA. 28, 41, 43, 304, 318-19,
McClain, w.e. 361, 364 ~uismer, RJ. 173 355,410
McClintock, EA. 65 Pollard, D.D. 45, 77
McCutchen, W.R 7l-2 Obara, Y.25,35,46,73-4,100,205, Popov, S.~. 203, 259
McGarr, A. 5,25,30,35,74, 126 207,216,410,424 Potts, E.L.J. 368
McKay, J. 290, 376 Oberg, A. 129 Pound, J.B. 427
McKenzie, D.P. 80 Obert, 1. 13, 70, 204, 251, 364, 422 Powers, P.S. 52
McKibbin, RW. 218 Ode, H. 76, 77 Pratt, HR 67
McLennan, J.D. 164 Odum, J.K. 214 Preston, D.A. 46
McTigue, D.E 52-3 Oien, K. 370 Price, ~.J. 13,69,76,420,441,443-4,
Mei, e.e. 52-3 Oka, Y.234,245,247 447-8
Meissner, R 35 Okubo, S. 368 Price Jones, A. 433
Meister, D. 380 Olesen, O. 449 Procter, E. 208
Merrifield, M. 125, 147 Olsen, O.J. 202 Proscott, W.H. 75
Merrill, RH. 99, 201, 204, 212, 277-8 Olsson, T. 3,46,70,428 Provost, A.J. 424
Michael, A.J. 77 Onaisi, A. 305 Purcell, W.R 41
Author index 481
Qiao, L. 111,259 Sbar, M.L. 13,25,31,47,64, 65, 67, Stacey, D.R 70, 71
127,395,410 Stahl, E.J. 131, 135
Rabagliati, U. 427 Schaller, S. 376 Stanfors, R 449
Rahn, W. 245--6, 262 Scheidegger, AE. 13,52-3, 76-7, Starfield, AM. 422
Raillard,e;.187-8,192,347-9,351 123-4,373 Stein, RS.
Raleigh, CB. 125, 127 Scheiner, C 445 Stein, S. 52, 397
Rarnberg, Ii. 420,441,443-4,447 Schmidt, B. 68 Steiner, W. 68
Ramsay, J.e;. 420, 441 Schmitt, D.R 103,128,147,210 Stephansson, 0.3,25,27-9,31,45,
Ratigan, J.L. 169-71, 184 Schrauf, T. 365 48,69,72,82,97,124,126-9,
Read, RS. 103, 105, 107, 112,258, Schubert, e;. 69 131,134,147,155,163,169,
327-32,336-8,362 Schwartzmann, R 205, 212 177-9,182-6,307-8,319,347,
Reches, Z. 77-8 Scott, P.P. 122 352,393,397,402,404,406,
Rechsteiner, e;.E 259 Segall, P. 45 410,420,428,436,438,444,448
Rector, N.L. 361, 370 Sellers, J.B. 370,376 Stephen, RM. 50
Rehbinder, e;. 380 Selmer-Olsen, R 7,51,430,435 Stephenson, D.E. 70
Ren, N.-K. 101,292-4,298 Senseny, P.E. 218 Stickney, Re;. 218
Revalor, R 258 Serata,S.177,180,182,186 Stillborg, B.L. 109,206,339,437-8,
Rhett, D.W. 8,46,445--6 Sezawa, K. 49 441
Ribacchi,R.246,259,261-2 Shamir,e;. 29, 82,307,356 Stock, J.A. 277, 284, 376
Richards, L.R 427 Sharma, V.M.7,429 Stock, J.M. 452
Richardson, RM. 13, 64, 158 Sharp, J.C 113, 115,259,263-4,427 Stone, CM. 128, 148
Richart, EE. 24 Shemyakin, E.I. 203 Stone, J.w. 214
Richter, D.A. 292 Sheorey, P.R 25, 71-4 Strack, O.D.L. 49
Riley, P.B. 208 Shimizu, N. 100,210 Strecker, M.R 402
Riley, W.E 447 Shlyapobersky, J. 128 Strehlau, J. 35
Ripley, B.D. 7,429-30 Siegfried, RW. 292, 295, 298 Strickland, Ee;. 101, 292-4, 298
Rivkin, 1.D. 103 Sih, e;.c 173 Strindell,L.206,210,247
Riznichanko, Y.v. 103 Silva, J.N. 277, 279, 283-4 Sturgul, J.R 53
Roald, S. 434 Silverio, A 208 Su, W.Ii. 368
Roberts, A. 206-7, 369 Silverstri, V. 63 Sugawara, K. 25, 35, 46, 73-4, 100,
Robison, M.J. 429 Sims, e;.p. 433 205,207,216,410,422,424
Rocha,M.113,208-9,277,279, Simmons, e;. 292, 295, 298 Sukaguchi, K. 207
283-4 Simmons, GR 6,25,46,258,264-5, Sulem,J.259
Rockel, Th. 70 327-31,337,339,362,375 Sun, Y.L. 103
Roegiers, J.C 162-4,292,294,298 Singh, UK 311, 314-15, 436 Suppe, J. 47, 397
Rolles, J.C 125, 129 Sipprelle, E.M. 203 Suzuki, K. 204
Rosengren, L. 69 Skempton, A 68 Swolfs, Ii.S. 13,24-5,36-7, 39, 41,
Rossi, P.P. 277, 361 Skilton, D. 369 43-4,52,60,67,72,74-6,103,
Royea, M.J. 204 Skipp, B.a. 277 377,451-2
Rummel, E 8,25,28-9,32,35--6,41, Slobodov, M.A. 205 Sykes, L.R 31,64, 127,395,410
75,81,97, 125--6, 128, 131, 147, Slunga, R 404 Szymanski, J.C 41
149-53,169,171-3,187,307, Smith, CS. 46
394,453,455 Smith, Ii. 240,249,256 Tabib,C 63
Russell, J.E. 65-7, 370 Smith, M.B. 290 Takeuchi, K. 291, 294-6
Rutqvist, J. 133,305,314-17,352-3 Smith, RB. 35 Talebi, S. 103,333-4
Smither, CL. 103,210 Talobre, J.A. 24, 202-4
Sakaguchi, K. 291, 293 Snider, e;.R 206, 221, 247, 330 Tamai, A. 207
SakurID,S.100,154,163,210 Solomon, S.C 64 Tarantola, A 187-90
Salamon, M.D.e;. 44 S0rensen, T.3,51,435 Te Kamp, L. 8, 25, 28, 81, 97, 307, 394,
Saleh, K. 373 Sorheim, S. 51, 435 453,455
Sandstrom, S. 209 Sorrells, D. 292 Teichman, Ii.L. 203
Santarelli,EJ.259,290,293,306 Souriau, M. 277 Ter-Martirosyan, z.e;. 52
Sarda, J.P. 305 Spathis, AT. 258, 374 Terzaghi, K. 23-4, 77
Siirkka,P.3,25,45,126-7,436 Spicak, A 77 Teufel, L.w. 8, 9, 41, 46,101,113,290,
Savage, J.C 75 Sporcic, R 376 291,293-6,299,300,361,
Savage, W.Z. 35-7, 39, 41, 43-4, 52-3, Srirama Ra, S.v. 404,410 445--6
55,56, 60, 65, 67, 74-6,430, Srolovitz, D.J. 52 Thompson, P.M. 65, 67, 204, 206, 211,
451-2 St. John, CM. 361 214-15,221,231-2,247,330-1
Savilathi, T.82,307-8 St. Pierre, B.Ii.P. 68 Thomson, S. 63
482 Author index
Thiercelin, M. 178, 180, 293-4, 298, Walker, J.R 110, 111, 113,258 Wooltorton, B.A. 125
301 Walsh, J.B. 13, 292, 297, 377 Worotnicki, G. 25, 31-2, 99, 109, 111,
Timoshenko, S.P. 1 Walton, RJ. 3, 31-2, 41, 43, 46-7, 49, 209,214,223-7,250-3,256-7,
Tincelin, E. 277 69,99,106, 137, 172, 209, 214, 260-3,365-6,373-5,406,410
Tinchon, L. 46,277,281,286 223,225,227,250-2,344,
Toews, N.A. 11,219,240,245,256-7 365-6,373-5,408-10,414,428, XU,Zh.406
Towse, D.E 77 433,435
Trusheim, E 443 Wane, M.T. 259, 262 Yamatomi, J. 259
Tsai, Y.B. 410 Wang, L. 203 Yassin, Y.Y. 429
Tsukahara,tI. 125,129, 137,145 Wang, Y.145-6 Yeh, Y.t!.410
Tsur-Lavie, Y. 108 Wareham, B.E 277 Yeun, S.c.K. 209
Tullis, T.E. 67 Warpinski, N.R 41, 113, 128,290-1, Young, RP. 103,333-4
Tunbridge, LW. 25, 108, 129, 131, 296, 299, 300 Yu, J. 111,252
163-4,166,344-6,370 Wawersik, W.R 128,148 Yu, Y.S.245
Tundbridge, L. 433 Weiss, L.E. 36
Turcotte, D.L. 64, 65, 68-9 Whinter, RB. 149 Zachary, L. 447
Turner, EJ. 36 White, J.M. 52,218 Zajic, J. 100,210
Whitehead, W.S. 41 Zapolskiy, V.P. 103
Ustad, O. 434 Whitman, RV. 33, 68 Zellman, O. 449
Uyeda, S. 399 Whitney, J.M. 173 Zhao, Z. 172,414
Wickberg, P. 449 Zimmerman, R 277, 284, 362
Valette, B. 11, 129, 187, 189-90, 346-7, Wiebols, G.A. 5, 317 Zemanek,J.137,309
351 Wiles, T.D. 101, 104,210-11,332,336 Zheng, Z. 305
Van der tIeever, P.J. 5, 47 Wilhiot, J. 245 Zoback, MD. 8,25,28-9, 36, 47, 52,
Van tIam, E 108 Williams, J.R 361,422 64,77,81-2,97,102,125-9,
Van tIeerden, w.L. 25, 107, 206, 219, Willis, D.G. 122 137,145,147,154,163,169,
222,232,245,247,261,340 Wilmer, R 41 304-5,307-8,310-14,317,319,
Varnes, D.J. 65, 67 Wilson, A.t!. 368 322-3,353-4,356-8,394-5,
Vasseur, G. 77 Windsor, C.R 3, 31, 69, 406, 428 397-401,410,453,455
Vernik,L.82,305,307-8,317,356 Withjack, M.O. 445 Zoback, M.L. 8, 13, 25, 31, 47, 64, 81,
Vik,G.433 Wold, M.B. 41, 43, 46-7, 49, 106, 137, 127,303-5,318,321,387-404,
Vogler, u.w. 284 172,344,373,408-10,414,433, 406,410,420
Voight, B. 13, 23-5, 28, 43, 51, 64-6, 435 Zona,A. 376
68,104,110,125,206,290 Wolter, K.E. 291 Zou,D.I04-5,210-11,332
Von Sconfeldt, t!. 125, 130, 157 Wong, LG. 47
SUBJECT INDEX
Anelastic strain recovery (ASR) comparison between overcoring techniques, equipment and
concept 101, 289 and hydraulic fracturing procedures 308-11
data analysis and interpretation 342-3 borehole camera 308
298-300 comparison between overeoring dipmeters 308-9
history 290-2 methods 340 formation microscanner (FMS)
Multiwell Experiment site data Doorstopper measurements 218, 308,310-11
290,298-300 220 televiewer 309-10
techniques, equipment, hydraulic fracturing 109, 168,355 theories for prediction of 305
procedures 293-4 proposedlayout6,7,427 damage models 305, 314-17
theory 295-7 shut-in pressure measurements extension failure 305, 314
Anisotropy 109 shear failure 305, 311-13
in the analysis of borehole slotting sleeve fracturing measurements volume of rock associated with 96,
measurements 254-5 185-6 105
in the analysis of CSIR-type stress change monitoring 361 in the World Stress Map 394
triaxial strain cell Biaxial testing Borehole deepening method 210
measurements 246-9 of CSIR Doorstopper 218 Borehole deviation due to stress 419
in the analysis of CSIRO HI cell of CSIR triaxial strain cell 222 Borehole inclusions, see Inclusions
measurements 250 of CSIRO HI cell 226 Borehole jack fracturing method 209
in the analysis of Doorstopper determination of anisotropic Borehole pressure cell (BPC) 376-7
measurements 246 behavior 251-3 Borehole scanner, see Formation
in the analysis of USBM gage determination of elastic properties microscanner
measurements 234-44 109,226,228,250-1 Borehole slotting method
definition and type 36, 261-2 equipment216,226-7 advantages of 227
determination from results of following overeoring 212, 226 analysis of measurements with
biaxial tests 251-3 of USBM gage 216 254-5
effect of confinement on 10, 37 Biot coefficient 142, 143 description of 100, 209, 227-30
effect on overeoring results 109, Block tests limitations of 229-30
112,260-7,334 at BWIP site (NSTF) 111,340,361 number of boreholes with 255
in elasticity 37, 235 at CSM experimental mine 49, Borehole stability 8, 71,419
equivalent continuum approach 340-2,361,410 Borehole televiewer 137,309-10,354,
37,44 numerical simulations of 48, 49 356
intact 37 Bored raise method, see Relief Boundary conditions
joint induced 37 methods relation to stresses 39, 74-6
in relation to stress 37-41 Borehole breakouts type of 39,74
ANISS.FOR 250 comparison with hydraulic Breakdown pressure
Anna site, Ohio 113-15 fracturing 353-8 data analysis and interpretation
ANZSI cell, see CSIR-type triaxial comparison with other 163
strain cells enlargements 304-5, 318, 322 first breakdown pressure 140, 141,
Aspo stress data, Sweden 163-8 data analysis and interpretation of 162
Auburn geothermal well, New York 317-23 fracture mechanics approach
breakouts 304, 318-19, 354-5 analysis of four-arm dipmeter 149-54
hydraulic fracturing 354-5 logs 318-21 for low porosity rocks 147-8
Auriat site, France 190-3 analysis of televiewer and FMS in poorly consolidated strata 145-7
logs 321-3 for porous and linearly elastic
Bad Creek pumped storage project, effect of borehole pressure on rocks 141-4
South Carolina 342-3, 427 313 for rock salt 148-9
Basalt Waste Isolation Project laboratory studies of 306-7, 414 second and third breakdown
(BWIP), Hanford, Washington observations of 304-5 pressures 144, 141, 162
block tests at NSTF 111, 340 orientation of 303-4 Breakouts 81-2
breakout measurements 307, overview of 81-2,102,303-25 see also Borehole breakouts
355 scale effects 308, 414-15 BRG gage 205
484 Subject index
Buckling of rock layers 447-9 Criteria of failure CSIRO Yoke Gage 365-6
ByerJee's law 28, 36, 356, 455 Barton (for joints) 35 Cyclic hydraulic testing 352-3
Coulomb (slip) 35, 451 Cylindrical inclusions, see Inclusions
Cajon Pass site, California Hoek-Brown 33, 155,424,427 Cylindrical pressure cell (CPC) 377
breakouts 81, 305, 307, 356 Lade 34
hydraulic fracturing 356 Mohr-Coulomb 32 Deep borehole deformation gage
stresses at 9, 26--7, 29, 113, 129,453 Crust thickness 72-3 (DBDG) 204, 214-15, 330
Canadian Shield, see State of stress in CSIR-type triaxial strain cells Diapirs, see Dome structures
Canadian Shield AECL-modified CSIR cell 206, 221, Differential strain curve analysis
Carnmenellis site, U.K. 9,26--7,29, 247,330 (DSCA)
113,344-6,347,453 analysis of measurements with concept 101,289
Caverns in rock 246--9 crack strain tensor 298
design of 7, 425 ANZSIcell data analysis and interpretation
hydrodynamic containment of 434 for absolute stress 300-1
orientation of 4,425,427-8 measurements 207, 247 Fenton Hill site measurements
relation to stresses 4, 380, 420, 422 for monitoring of stress changes 113-14
storage and leakage 7, 380, 433-4 367 history 292-3
CERCHAR cell 205 CSIR triaxial strain cell Multiwell Experiment site data
CIUS cell 372-3 advantages of 222 293,301
Civil rock engineering description of 99, 206, 218-23 techniques, equipment,
induced seismicity 450 disadvantages of 223 procedures 294-5
pressure tunnels and shafts 6, 7, ISRM suggested methods 221 theory 297-8
420,429-33 modified version for continuous Dikes
stress change monitoring 361 monitoring with 206, 221 to determine stress orientation
surface excavations 434-6 steps in overcoring with 222 76-7,393
underground excavations 3, 4, INTERFELS cell 206 effect on stress 29, 50
421-9 LuH or LuT cell 206, 246 emplacement of 441-3
underground storage of fluids 7, monitoring of stress changes with see also Igneous intrusions
433-4 367 Dilatometers
Comparison between different SSPB cell 206, 221, 247 CSM cell 177-8
methods of stress CSIR Doorstopper to determine elastic properties
measurements advantages of 218 253
at the URL 327-9 analysis of measurements with directional 177
between hydraulic fracturing and 244-6 Dipmeter 309
borehole breakouts 353-8 anisotropic solution 246 Directional dilatometer 177
between hydraulic fracturing and isotropic solution 244-246 Discontinuities, see Fractures in rock
overcoring 341-6 recovered to peak ratio (RPR) Disking, see Core disking
between hydraulic methods method 245-6 Dixie Valley site, Nevada 78
346--53 description of 99, 205, 216--18 Dome structures
hydraulic fracturing and HTPF disadvantages of 218 Ekofisk field, North Sea 8, 9, 445-7
346--51 modified version for continuous fault patterns associated with
hydraulic fracturing, HTPF and monitoring with 205, 218, 367 445--6
sleeve fracturing 351-2 monitoring of stress changes with studies on 444-6
between overcoring techniques 367 see also Salt, diapirs
339-41 number of boreholes 245 Doorstopper, see CSIR Doorstopper
Compressive strength steps in overcoring with 219 Double fracture method 177, 180,
role of hole diameter on 414-15 CSIRA.FOR 249, 257 183-4,184,186
strength-scale dependency 414 CSIRO Hollow Inclusion (HI) cell Double overcoring, see Overcoring
Conferences on rock stress 11-2 advantages of 225 of overcore
Conformal mapping 52-3 analysis of measurements with Earth's curvature effect on stress 24,
Conical-ended borehole method 100, 249-50 72
207,291,293,424 description of 99, 209, 223-6 Earthquake
Continental drag 64, 395 disadvantages of 225 focal mechanisms, see Fault-plane
Continental drilling programs, see ISRM suggested methods 225 solutions
KTB site recovery of 226 waves 71, 79-81
see also Cajon Pass site; steps in overcoring with 225 Ekofisk oil field, Norway
Carnmenellis site for stress monitoring 373-5 layout 8, 9
Core disking 70-1, 100, 307 thin-walled version of 223, stress changes 361, 445--7
Coriolis force 14 374 stress distribution 9
Subject index 485
Erosion effect on stress 68 to determine the reopening Hoover Dam 201
Estimating in situ stresses 23-94 pressure 169 Horizontal hydraulic fractures 155
European stress map and data base fracture toughness 152 Horizontal stress
10,47,323,402-4,455 related to core disking 70 due to the curvature of the Earth
stress intensity factor 149-51 71-4
Fabric and stress, see Anisotropy Fracture reopening pressure, see limits of 32-6
see also Lithology Reopening pressure mechanism creating 16, 24
FACSIMILE 137, 321 Fractures in rock as principal stress 16, 24, 30-2, 65
Factor of safety 430, 440 anisotropy induced by 37 ratio
Fault drilling-induced tensile 322-3 effect of anisotropy on 37-41
associated with dome uplift 446 effect on stress 44, 334-5 definition 24
frictional strength of 451 role in the HTPF method 186-7 depth relationship 25-30
Quaternary 449 slip on 34-5, 80, 450-1 Ko assumption 16, 24
relation to stresses 29, 45-8, 334-5, spacing and aperture 37 K = 1 assumption 24
363,424 stiffness 37, 353 limits of 32-6
San Andreas, see San Andreas fault variation with depth 25-30, 71-4
slip artificially triggered on 450 Geological structures and stress 8, 9, Hybrid stress measurement methods
types of 32, 33 16,21, 45-51, 334-5, 409, 421, 96,111
Fault-plane solutions 441-55 Hydraulic fracture
associated with faulting types Geomechanics classification 421 delineation and orientation of
394-5 Geothermal gradient 72 174-6
composite 79 Gidea borehole Gi-l, Sweden in horizontal plane 155
methodology 79-81, 103 HTPF tests at 347-50 Hydraulic fracturing
volume of rock associated with 96, hydraulic fracturing tests at borehole tools 134-7
104,406 347-50 breakdown during, see Breakdown
in the World Stress Map 391-2 Glacial loading, uplift and rebound pressure
Fault-slip analysis 68-9 comparison with
assumptions 77, 102-3 see also Isostatic compensation borehole breakouts 353-8
methodology 77-8, 102 Glotzl (or Gloetzl) cell 380-1 HTPF method 346-51
volume of rock associated with 96, overcoring 341-6
104 Hanford test site, see Basalt Waste sleeve fracturing 351-2
in the World Stress Map 392-3 Isolation Project data analysis and interpretation
Fenton Hill site, New Mexico 28, Harmonic hole concept, see 162-77
113-14,293,453 Underground excavations determination of fracture stiffness
Flakenberg granite 152-3, 171-2 Heim's rule 24 during 353
Flat jack method Helms pumped storage project, equipment for 130-1
advantages of 284 California 4, 342-3, 426 fracture delineation and
analysis of measurements with Hemispherically-ended borehole cell orientation 174-7
284-6 207 history of 11, 12, 121-30
ASTM standards 279 Heterogeneities effect on stress 29, in inclined boreholes 157-62
disadvantages of 281-4 45-51 ISRM suggested methods 139, 163
history of 277-9 High horizontal stresses laboratory tests 124, 152-3, 156,
for stress monitoring 375 core disking due to 70-1 171-4
techniques, equipment and in Fennoscandia 3, 69, 428 minifrac system 137-9
procedures 279-81 near lake Ontario 3, 69, 428, 435 multihose system 131-4
volume of rock associated with 96, manifestation of 3, 69-71, 435 overview of 97
105 measurement of poroelasticity in 141-4
Folds 24, 29, 50-1, 78,447-9 movement of surface excavation for pressure tunnel and shaft
Formation microscanner (FMS) 137, walls due to 3, 428, 435 design 433
188,310-11 role in underground excavation pressure-time curves 141, 162
Forsmark power plant, Sweden design 423, 428-9 reopening pressure during, see
hydraulic fracture tests on core squeezing due to 3, 69-71, 428 Reopening pressure
samples from 171, 174 stability problems due to 3 shut-in pressure, see Shut-in
state of stress at 46, 70 strategy for excavation in 425, pressure
Fracture initiation pressure, see 428-9 testing procedures 139-41
Breakdown pressure stress concentrations due to 69-71, theory of 141-62
Fracture mechanics 423,426,428 see also Breakdown pressure;
in analysis of hydrofracturing data in the Sydney basin 3, 69, 428, 435 Reopening pressure; Shut-in
149-54 Holographic methods 103, 210 pressure; Tensile strength
486 Subject index
volume of rock associated with 96, overview of 101, 277-8 indirect methods 103-4
105 see also Flat jack method integrated stress determination
wireline 131 Joints in rock, see Fractures in rock method 193
in the World Stress Map 392, 394 jacking methods 101, 277-88
Hydraulic jacking 7 measurement of residual stresses
Hydraulic pressure cells Kaiser effect 103 104
Borehole Platened Flatjack (BPF) Kamaishi mine, Japan relief methods 98-101, 201-76
376 ASRdata291 strain recovery methods 101-2,
Borehole Pressure Cell (BPC) conical-ended borehole data 291 289-302
376-7 DSCA data 293 Michigan basin 8, 26-7, 28
CALIP gage 377 Kiruna mine, Sweden 437 Mining
Cylindrical Pressure Cell (CPC) KTB site, Germany crown pillar design 436-40
377 analysis of televiewer and FMS depthS
Glotzl (or Gloetzl) cell 380-1 logs 321-3 extraction ratio 5
Hydraulic tests on pre-existing ASR data 291 layout optimization 436-7
fractures (HTPF) breakouts 81, 307, 455 pillar stability 5, 361, 375-6, 377,
history of 12, 186-7 hydraulic fracturing 453, 455 379,419,436,438
HTPF tool 188 state of stress at 8, 26-7, 28, 32, 113, roof failure beneath valleys 63-4,
overview of 98 128,453 435
recordings and interpretation Ko condition 16, 24, 36, 68, 71 seismicity 5
190-3 Kerckoff-2 project, California 30 see also Stress in mining
techniques and equipment for Kirsch solution 142, 182 engineering; Stress near
187-9 orebodies
theory of 189-90 Lansjiirv fault, Sweden 29, 449-50 Minifrac hydraulic fracturing system
Leakage of stored fluid in rock, see 137-9
Igneous intrusions Caverns in rock Monitoring of stress change 361-81
dike emplacement 441-3 see also Pressure tunnels and shafts applications 361-4
peripheral dike emplacement 443 Least squares analysis 111, 256-7 comparison with absolute stress
sill emplacement 443 Linear elastic fracture mechanics, see measurements 363-4
as stress indicators 76 Fracture mechanics with cylindrical inclusions
in the World Stress Map 393 Lithology deformable inclusions 373-5
Inclusions influence on stress 41, 42, 428 stiff inclusions 367-73
cylindrical and deformable model of 43-4 with deformation gages 365-7
inclusions 208-9, 373-5 Lithospheric loads 68-9 discrete approach vs. continuous
cylindrical and stiff inclusions Lithostatic stress 24, 41 monitoring 364
crus stressmeter 372-3 LNEC gage 209 with flat jacks and hydraulic
encapsulated spherical inclusion Lulea University of Technology pressure cells 375-80
208,373 borehole, Sweden ISRM standard for hydraulic
photoelastic stressmeter 207, cyclic hydraulic testing in 352-3 pressure cells 376
369-70 HTPF tests in 351-2 with strain cells 367
prestressed stressmeter 207, 368 hydraulic fracturing tests in 351-2 see also Inclusions
solid and hollow stressmeters Luossavaara mine site, Sweden Monte Carlo analysis 112, 258
207,368 339-41,437-41 Mosnier azimuthallaterolog 188
vibrating wire stressmeter 370-2 Multilinear regression analysis, see
stresses in 49-50 Least squares analysis
in time-dependent materials 104 Malmberget mine site, Sweden 113, Multiwell experiment site, Piceance
Indirect methods of stress 437 Basin, Colorado
measurements 103-4 Meetings on rock stress, see ASR data 290, 298-300
Instantaneous shut-in pressure Conferences on rock stress DSCA data 293, 301
(ISIP), see Shut-in pressure Methods of stress measurements hydraulic fracturing 41
Integrated stress determination borehole breakouts 81-2,102,
method 193 303-25
IRAD stressmeter, see Vibrating wire comparison between different Nauseate-Steggje project, Norway
stressmeter methods 327-60 433
Isostatic compensation 64, 68-9 fault-plane solutions 79-81, 103 Near surface effects on stress 108,
fault-slip analysis 77-8, 102-3 363
Jacking methods hydraulic methods 96-8, 121-99 see also Terrestrial stresses
curved jack 279 inclusions in time-dependent Neotectonic or postglacial faulting
cylindrical jack 278 material 104 449
Subject index 487
Nevada Test Site (NTS) 41, 342-3, driving mechanisms of plate multilayered bodies model 67
361-2 movement8,13,64,395-7 numerical simulation of 67
see also Yucca Mountain see also World Stress Map overcoring of overcore to
Nuclear waste 5, 6 Popups 70,428 determine 65, 232
Numerical analysis 53, 210, 315, 419, Pressure tunnels and shafts physical simulation of 67
421-2,430,436,448 hydraulic fracturing size and scale effect on 67-8, 413
measurements for 433 Ridge push 64, 395
Olympic ice hockey hall, hydraulic jacking 6, 7, 429 Rigid inclusion gages, see Inclusions
Lillehammer, Norway 4, 429 leakage criteria 429-30 Rock bursts 3, 23, 35, 65, 70, 376, 423,
Ocean Drilling Program (ODP) 82, positioning of 7, 429-33 428,435
307 Prestressed cells 203, 207, 368 Rock engineering systems 11
Overconsolidation ratio (OCR) 68 Rock mass relief methods, see Relief
Overcoring methods Q-rating (classification) 421 methods
effect of anisotropy 109, 260-7
assumptions in analysis of Rangely oil field, Colorado 11, 125 Salt
overcoring tests 230-4 Refrac pressure, see Reopening diapirs 443-5
laboratory studies 111, 215, 221, pressure effect of heterogeneities and
225,263-4 Relief methods geological structures 45
maximum stress recordable with borehole 99-100, 203-10 stress in 24, 45
100,259 history of 201-11 stress measurements in 148, 362,
measurement of elastic properties overview of 98-101 371,380
250-3 rock mass San Andreas fault
effect of non-linearity 109, 258-60 bored raise method 100, 104, shear strength of 356-8, 397
effect of overcore diameter 211, 210,331-2,333 stress distribution near 47, 67,
231,331 under-excavation technique 356-8,397,398,401
overcoring of borehole (UET) 101, 104,210-11, stress/heat flow paradox 356, 397
deformation-type cells 203-5 331-12,333 weakness of 356-8, 397
overcoring of CSIR-type triaxial surface 99, 201-3 Scale effect
strain cells 206-7 techniques, equipment and effect of hole diameter on
overcoring of gages at the end of a procedures 211-30 compressive strength 308, 414
borehole 205-6 theory 230-56 effect of hole diameter on tensile
overcoring of inclusion-type gages see also Overcoring methods; strength 172-3,414
207-9 Stress relief by center hole; ISRM commission on 408
overcoring of overcore 65, 232 Borehole slotting method effect of overcore diameter 211,
overcoring of prestressed cells 203 time-dependent response 233 231,331
overcoring of triaxial strain cells at volumes of rock associated with representative elementary volume
the end of a borehole 207 96,104-5 (REV) 413
statistical analysis of results 256-8 Reopening pressure for residual stresses 413
steps in overcoring 211-12 data analysis and interpretation effect of scale on rock properties
success rate with 100 fracture mechanics approach 408,413-5
surface overcoring 202 169-70 effect of scale on stress 408-10
time-dependent response 232, 258 reference threshold method effect of scale on stress
in the World Stress Map 390, 391, 170-1 measurements 410-13
393 definition 141, 162 types of 408
see also Relief methods for tensile strength determination on URL stress measurements 17,
Overcoring of overcore 65, 104, 232 144-5 337-8
Reservoir management, production
Packers and stress 8 Sedimentary basins
impression 130-7, 187-8, 130 see also Stress in petroleum stress in 28-9, 43, 69
straddle 130-7, 130, 138, 187-8 engineering types of 43
stresses induced by 134-5 Residual stresses Shear traction 64
Pernille-1 borehole, Denmark 319-21 compared to other stress Sheet jointing 65
Perturbation method 52 components 67-8 Shut-in pressure
Photoelastic stressmeter 369-70 definition 13, 65 data analysis and interpretation of
Planes of weakness, see Fractures in due to folding 67 163-9
rock grain-cement model 66 by bilinear pressure decay
Planning measurement of rock stress due to magma cooling 65 method 164, 165-6
95-6 in metals 65 by exponential decay method
Plate tectonics measurement of 104 164
488 Subject index
by inflection point method 163 Strain recovery methods 101-2, 105, Stress in
by maximum curvature method 289-302 civil engineering 3, 4, 7,361,
163 see also Anelastic strain recovery 419-36
by tangent intersection method (ASR); Differential strain geology and geophysics 8, 9, 361,
163, 164 curve analysis (DSCA) 441-55
definition 140--1, 154, 141, 162, 164 Stratification effect on stress, see mining engineering 3, 5, 361,
for pressure tunnel and shaft Lithology 434-41
design 433 Stream flow analogy 426 nuclear waste repositories 3, 5, 6,
Sioux Fall site, South Dakota 113 Stress 361-2,419-20
Slab pull 64, 395 buoyancy 444 petroleum engineering 3, 8, 445-6,
Sleeve fracturing method classification 12-3, 14 361,419-20
combined with hydraulic concentration 3, 4, 8, 49, 51-64, Stress measurements at
fracturing 180 421-7 Anna, Ohio 113-15
data analysis and presentation decoupling 29,30 Aspii, Sweden 163-8
184-6 definition 1, 2, 461 Auburn, New York 304, 318-9,
history of 177-8 equations of eqUilibrium 463 354-5
overview of 97-8 geologic history 9, 23 Auriat, France 190-3
recordings and interpretation gravitational 13, 24 Bad creek pumped storage project,
183-4 on an inclined plane 462-3 South Carolina 342-3, 427
techniques and equipment for induced 13 Cajon Pass, California 9, 26-7, 29,
178-80 limits of 32-6 113,129,305,307,356,453
theory of 181-2 lithostatic 24 Carnmenellis site, U.K. 9, 26-7, 29,
see also Dilatometers monitoring 361-85 113, 344-7, 453
Slip-tendency analysis 452 normal 2,465 Dixie Valley, Nevada 78
Slope and valley wall problems principal 2, 110, 465-6 Ekofisk oil field, Norway 8,9,361,
open-pit mines 434-5 redistribution 45, 421, 424, 436 445-7
surface excavations 3, 428, 434-6 relaxation 36, 75-6 Fenton Hill, New Mexico 28,
tensile stresses in valley bottoms residual 13, 65-8 113-14,293,453
61-3 rotation of 29,46,450 Forsmark power plant, Sweden 46,
near underground excavations 3, shear 2, 465 70, 171, 174
435 sign convention for 2, 462 Gidea borehole Gi-1, Sweden
see also Topography effect on stress tectonic 347-50
Soft inclusion gages, see Inclusions active 13, 63 Hanford BWIP site, Washington 6,
Spalling due to stress 3, 65, 435 remnant 13, 64 7,109,111,168,185-6,218,
Spherical-ended borehole method tensor 2, 110,462-3 220,307,340,342-3,355,361,
100,207 terrestrial 13 427
Spherical shell models of the Earth transformation law 463-5 Helms pumped storage project,
71-4 uniformity and variability 9, 41, California 4, 342-3, 426
State of stress in 437 Hoover dam 201
Africa 402 variation with depth 25-30 Idaho Springs (CSM), Colorado 49,
Australia 3, 26-7, 31, 46, 406, 428 Stress concentration 340-2,361,410
Canada 28 around boreholes 8, 71, 419, Kamaishi mine, Japan 291, 293
Canadian Shield 26-7, 28, 30--1, 49, 467-76 Kiruna mine, Sweden 437
338 around caverns 420, 422, 427 Kerckhoff-2 project, California 30
China 24, 26, 31, 406 around tunnels and mines 421-6, KTB site, Germany 9, 26-7, 28, 32,
Europe 8, 10,47,402-4 428,434 81,113,128,291,307,321-3,
Fennoscandia 26-7, 31, 45, 428 near surface excavations, see Slope 453,455
Iceland 29, 41, 42, and valley wall problems Lansjarv fault, Sweden 29, 449-50
India 404-6 Stress compensating method, see Luossavaara mine, Sweden
Japanese islands 26-7 Jacking methods 339-41,437-41
North America 26-7, 31, 397-401 Stress coupling phenomena with Malmberget mine, Sweden 113,
South America 401-2 anisotropy and fabric 10, 37, 44, 437
South Korea 26-7 421 Michigan basin 8, 26-7, 28
South Ontario and near lake drilling 3, 419 Multiwell experiment site,
Ontario 29, 65, 68, 427-8, 435 flow in fractures 11, 353 Colorado 41, 42, 290, 291, 293,
Southern Africa 26-7, 30 joint closure 37, 44, 421 298-301
Soviet Union (Former) 26-7,28,31 rock strength 11 Nauseate-Steggje, Norway 433
United Kingdom 31 Stress-depth relationships Nevada test site 41, 342-3, 361-2
Stillwater tunnel, Utah 424 25-30 Rangely oil field, Colorado 11, 125
Subject index 489
San Andreas fault 47, 67, 356-8, scale effects 172-3,414 tensile stresses around 419, 421,
397-8,401 from sleeve fracturing 183-4 423,426,434
Sioux Fall, South Dakota 113 methods to determine 169-70 zone of influence 424
Stillwater tunnel, Utah 424 Tensile stresses in valley bottoms Underground Research Laboratory
Stripa project, Sweden 342-3, 361, 61-3 (URL), Canada
363,365,371 Terrestrial stresses 13 breakouts 82, 306, 308, 333-4,
Underground Research Laboratory TIme-dependent deformation 414--15
(URL), Canada 6, 29, 46, 67, Topography effect on stress 51-64 as part of Canadian Shield 6, 327,
82,107,112-13,204,211,231, asymmetric ridges and valleys 338
264-5,306,308,327-39,362, under gravity 57--60 consistency of stress
375,414-5 modeling the 51-3 measurements at 335--6
Waterloo site, Wisconsin 346 for pressure tunnels and shafts geological setting 327-9
Yucca Mountain, Nevada 362, 452 430--2 importance of anisotropy in
Zinkgruvan mine, Sweden 5 ridges and valleys under gravity overcoring measurements at
Stress monitoring, see Monitoring of and tectonic loading 60--1 264--5,334
stress change symmetric ridges and valleys influence of geological structures
Stress near orebodies 49-50 under gravity 53--7 on stress 46, 334-5, 410
Stress orientation tensile stresses in valley bottoms properties of Lac du Bonnet
from breakouts, see Borehole 61-3 granite 329
breakouts Trench suction 64, 395 scale effects 337-8
from fault orientation 77 Trepanning method, see Overcoring stress change monitoring at 362,
from fault-plane solutions 79-81 methods 375
from fault slickensides 77, 102-3 Tunnels, see Underground stress measurements at 107,
from folds 76, 78 excavations; Pressure tunnels 112-13,329-34
from fracture slickensides on core and shafts borehole slotting 332-3
samples 78 hydraulic fracturing 333
from geologic structures 76-9 indirect measurements 333-4
from sheet intrusions 77, 393 Uncertainty in stress determination microseismic monitoring 333
from volcanoes alignments 77, 393 data analysis related 108-10 overcoring 112, 204, 231, 330--1
Stress regimes expected 16, 112-15 residual stresses 67
types of 32, 394--7 measurement related 107-8 rock mass relief methods 211,
variation with depth 28 natural 106-7 331
Stress relief by center hole understanding and reducing stress rotation at 29
analysis of measurements with uncertainties 11 0--12 Underground storage, see Caverns in
108,253-4 Under-excavation technique (UET), rock
equipment for 230 see Relief methods UNSW SI strain cell 208
overview of 99,203,208 Undercoring method, see Stress relief University of Liege cell 204, 215-16
Stress trajectories 421 by center hole US Bureau of Mines (USBM) gage
Stressmeters, see Inclusions Underground excavations accuracy of 212
Stripa project, Sweden 342-3, 361, design of 3-4,419,424 advantages of 214
363,365,371 disturbance of stress field due to 3, analysis of measurements with
Student's t-distribution 257 421-8 234--44
Surface excavations, see Slopes and failure of 3,423,428 ASTM suggested methods for 214
valley wall problems in folded rocks 50--1 description of 204, 212-15
harmonic hole concept 4, 425 disadvantages of 215
Tapercoring method 210 in layered rocks 428 ISRM suggested methods 214
Tectonic stresses modes of instability of 421 for monitoring stress changes
active 13, 64 near valley walls and other surface 365--16
broad scale 13, 64, 395, 420 excavations 3,423,435--6 number of boreholes 240
local 13, 64, 397, 420 orientation 3-4, 424, 427 in one borehole 241-4
remnant 13, 64 Q rating for 421 performance of 214--5
lateral strains 74 RMR rating for 421 reverse version of 212,214
Tectonic systems 441 rock bursts around 3, 428, 435 USBMA.FOR 240-1, 257
Tensile strength spalling of walls of 428, 435
effect of borehole diameter on squeezing of 3, 70, 423-4, 428 Vertical stress
172-3,414 stability of 3, 421-8 as gravitational stress 24, 27
from hydraulic fracturing field stress concentration around 3-4, as principal stress 24, 30--2
tests 144-5 70,421-2,428 variation with depth 25--30
from laboratory tests 171-4 support systems 4, 419, 424,429 Vibrating wire stressmeter
490 Subject index
single component 370-1 driving mechanisms of plate Europe 402-4, 410
three-component 371-2 movement 13 India 404-6, 410
Viscoelastic rock behavior fault-slip data in 390, 392-3 North America 397-401, 410
in the ASR method 290-1, 295-7 focal plane mechanism data in 81, South America 401-2
stress relaxation 36, 75-6 389 stress regimes in 394-5
Volume of rock in stress global stress patterns in 8, 17, 64, volcanic vent alignment data in
measurements96,104-5,410 394-6,409-10 390,393
hydraulic fracturing data in 389,
Waterloo site, Wisconsin 346 393 X-ray measurements of residual
Wireline hydrofracturing 131 overcoring data in 390, 393 stresses 104
World Stress Map (WSM) ranking system in 391, 389-90
borehole breakout data in 81, 318, stress patterns in Yoke gage 365-7
389,393 Africa 402 Yucca Mountain, Nevada 362, 452
database in the 8, 387-8, 391 Australia 406, 410
distribution of data 391, 391-2 China 406, 410 Zinkgruvan mine, Sweden 5