Rock Mechanics Fundamentals

Rock Mechanics – Understanding the mechanical behavior of the rock mass

Ground Control – Controlling the ground around the mining/civil excavation

Rock Mechanics / Ground Control basically deals with two fundamental topics:

Material Properties: Strength, Stiffness/Modulus, Poisson’s Ratio, Weight/Density,

etc.
Stress: Stress Field, Stress Concentrations, etc.

Specific Gravity (sg) – The ratio of the weight of a substance to the weight of an equal
volume of a standard substance (typically water).

weight of substance
Specific gravity sg  
weight of water
Note: Water = 62.4 lb/ft3, 8.345 lb/gal, 7.48 gal/ft3, 1 gm/cm3, 1000 kg/m3

Porosity (n) – The ratio of the volume of voids in a material to the total volume of the
material.
volume of voids Vv
Porosity n   
total volume V

Void Ratio (e) – The ratio of the volume of voids in a material to the volume of solids in
the material.
volume of voids Vv
Void Ratio e   
volume of solids Vs

(Problem - Specific Gravity) A sedimentary rock weighs 165 lb/ft3 (pounds per cubic
foot). What is its specific gravity?
weight of substance
Specific gravity sg  
weight of water
165 (lb/ft 3 )

62.4 (lb/ft 3 )
 2.64

Stress (σ) – The force applied per unit area that produces deformation in a body.
force
Stress ( ) 
area
(Problem – Overburden Stress) The rock mass over a mine has an average specific
gravity of 2.55. What is the stress in psi (pounds per square inch) that is exerted per
foot of depth?

weight of substance
Specific gravity 
weight of water
weight of substance  Specific gravity * weight of water
 2.55 * 62.4 (lb/ft 3 )
 159 (lb/ft 3 )

(Problem – Overburden Stress) (Cont’d)

weight of overburden
overburden stress ( i ) 
acting area
159 (lb/ft 3 )
i 
144 (in 2 /ft 2 )
 i  1.1 psi/ft of depth

overburden stress ( i )  1.1 psi/ft of depth

0.006895 MPa/psi
 i  1.1 psi/ft of depth *
.3048 m/ft
 i  0.025 MPa/m of depth
Note: 145 psi/MPa, 3.28 ft/m

Strain (ε) – The deformation resulting from stress, represented as a dimensionless

number (in/in).
change in length
Strain ( ) 
initial length

(Problem – Strain) A 75 ft long building is subjected to an increase in length of 0.3 ft

due to subsidence. What is the corresponding strain?

change in length
Strain ( ) 
initial length
0.3 ft
ε
75 ft
ε  0.004 or 4000 micro - strains
Rock Properties:
Elastic Properties:
Elastic Modulus
Shear Modulus
Poisson’s Ratio

Strength:
Compressive, Tensile, Shear
Mohr-Coulomb: Friction Angle, Cohesion
Hoek-Brown: m, s

Uniaxial Compression Testing:

Unconfined/Uni-Axial Compressive Test (UCS):

Most common rock property
Relatively easy to obtain

Figure. Uniaxial-Compressive Test specimen.

1. Standards by the International Society for Rock Mechanics (ISRM).

2. A right circular cylinder
a. Diameter > 54 mm
b. Height/Diameter > 2.0
c. Flat Ends (< 0.02 mm)
d. Perpendicular Ends (< 0.05/50 mm)
3. Stored so as to maintain water content no greater than 30 days.
4. Constant strain rate 0.5 – 1.0 MPa/sec.
Elastic Modulus (E) (or Young’s Modulus) – The ratio of the axial stress to the axial
strain produced in the same direction.

axial stress σ a
E 
axial strain εa

Note: Elastic Modulus of Steel = 30,000,000 psi or 200 GPa

Elastic Modulus of Rock = 1,000,000 - 15,000,000 psi (typical)

Shear Modulus (G) (or Modulus of Rigidity) – The ratio of the shear stress to the shear
strain
τ E
G  xy 
γ xy 21  ν 

Poisson’s Ratio (v) – The ratio of the complementary strain induced in an orthogonal
direction to the primary strain generated by the applied force (uni-axial stress, plane
stress).
r a
 where  a 
a E

Note: Poisson’s Ratio of Water = 0.5 (hydrostatic)

Poisson’s Ratio of Rock = 0.1 - 0.4 (typical)
 (0.002500, 131.0)
c = 131 MPa
120

Axial Stress ( a)
(-0.000625, 65.5) 80 (0.001775, 65.5)
c /2

40 Es - Secant Modulus

Et - Tangent Modulus

-0.2 -0.1 0 0.1 0.2 0.3

Radial Strain ( r) % Axial Strain ( a) %
(0.001050, 0.0)
Figure Stress-strain curves for a typical uniaxial compressive test.

Tangent Elastic Modulus (Et) – The slope of the axial stress-strain curve at a specific
point, generally at 50% of the peak strength.
stress change Δσ a
Et  
strain change Δεa

Secant Elastic Modulus (Es) – The slope of the axial stress-strain curve from zero stress
to a specific stress, generally at the peak strength or 50% of the peak strength.
stress change σ a  σ 0
Es  
strain change εa  ε0

(Problem – Modulus of Core) -Determine the Tangent Elastic Modulus at 50% of

failure strength from the graph?
Δσ a
Et 
Δε a
131  0 MPa

0.00250 - .00105
 90.3 GPa
(Problem – Poisson’s Ratio) - Determine the Secant Poisson’s Ratio at 50% failure
strength from the graph?
 r

 a
0.000625

0.001775
 0.35

(Problem – Elastic Modulus)A surveyor’s 100 ft long steel tape has a cross section of
0.250 in by 0.03 in. What is its elastic modulus if its elongation is 0.064 in when held
by a force of 12 lb?

force change in length stress

Stress  Strain  E
area initial length strain
12 lb 0.064 in 1600 psi
  
0.250 in *0.03 in 100 ft *12 in/ft 0.000533
 1600 psi  0.000533  30 X 106 psi

Note: The elastic modulus of steel stays the same irregardless of strength!
Hooke’s Law: In a tri-axial stress field, the strain in any given direction can be
determined by:

Horizontal Stress - In a gravity loading situation without any tectonic or residual

stresses, the “natural” horizontal stress is determined by the overburden’s Poisson’s Ratio


h  * v
(1  v)

Note: In general, this is not the case and the tectonic/residual stresses determine the
magnitude of the horizontal stress.

(Problem – Horizontal Stress) - Determine the ratio of horizontal to vertical stress for
a gravity loaded material with a Poisson’s Ratio of 0.25?

h  * v
(1  v)
h 

 v (1  v)
0.25
  0.33
1  0.25
Stress Concentrations:

 yy
rr r 
ur

r
u


Figure. Schematic for Kirsch's equations for stresses around a circular opening.

Stress around a circular opening according to Kirsch:

σ yy  a 2  σ yy  4a 2 3a 4 
σ rr  1    1  2  4  cos 2θ
2  r 2  2  r r 
σ yy  a 2  σ yy  3a 4 
σ θθ  1    1  4  cos 2θ
2  r 2  2  r 
σ yy  2a 2 3a 4 
σ rθ  1  2  4  sin 2θ
2  r r 

Stress at the edge (r = a) of a circular opening according to Kirsch:

σ rr  0
σ θθ  σ yy  2σ yy cos 2θ
σ rθ  0

(Problem – Stress Concentration) - For a unit vertical stress, what is the tangential
stress at the side of a circular tunnel?
σ θθ  σ yy  2σ yy cos 2θ
 1  2( 1 )(  1 )
 3
(Problem – Stress Concentration) - For a unit vertical stress, what is the tangential
stress at the top of a circular tunnel?

σ θθ  σ yy  2σ yy cos 2θ
 1  2( 1 )( 1 )
 -1

(Problem – Stress Concentration) - For a unit vertical stress, what is the vertical
stress 2 radii from the edge of the circle (r = 3a)?

σ yy  a 2  σ yy 3a 4 
σ θθ  1    1  4  cos 2θ
2  r 2  2  r 
1 a2  1  3a 4 
σ θθ  1  2   1   cos ( 180 )
2  9a  2  81a 4 
σ θθ  1.074

Biaxial Stress:
For a bi-axial stress field, the uni-axial solutions can be combined? For instance, a
uni-axial vertical stress field of 3 would give a stress concentration of 9 at the side of the
hole. A uni-axial horizontal stress of 1, would give a stress concentration of -1 at the side
of the hole. The combination of a 3 vertical stress and 1 horizontal stress would result in
a stress concentration of 8 at the side of the hole (and 0 at the top of the hole).
 s /szz
+1 0 -1
5
st
4 sr
z/r 3 3
2 2
st s /szz
1 1
sr
r 0
1 2 3 4 5
x/r
Figure The radial (r) and tangential(t) stress at the top and side of a circular opening.

SZZ(Psi)
-50
-75
-100
-125
-150
-175
-200
-225
-250
-275
-300
-325
-350
-375
-400
-425
-450
-475
-500
-525
-550
Z -575
-600

Y X

Figure.Vertical stress around a hole in a 200 psi vertical stress field

Stress Concentrations:
For the previous stress concentration charts, a safety factor of 2 (short term) and 4 (long
term) is recommended for compression and a safety factor of 4 (short term) to 8 (long
term) is recommended for tension
 s v/szz
-1 0 +1
5
4 sv
3 3
z/r
2 2
sv s v/szz
1 1
r/2 0
r 1 2 3 4 5
x/r
Figure.The vertical stress concentrations at the top and side of a rectangular opening.

SZZ(Psi)
0
-25
-50
-75
-100
-125
-150
-175
-200
-225
-250
-275
-300
-325
-350
-375
-400
-425
-450
-475
-500
-525
Z -550

Y X

Figure.The vertical stress around a (homogeneous, elastic) rectangular opening in a 200

psi vertical stress field.
(Problem – Stress Concentration) - A tunnel is being constructed 500 ft underground.
The properties of the material are: specific gravity = 2.59, Poisson’s Ratio = .25,
compressive strength = 13150 psi and tensile strength = 1225 psi. Calculate the
vertical and horizontal stresses at the construction site. Calculate the stress
concentration factor for the center top and corner for a rectangular opening with a
width-to-height ratio of four. Calculate the safety factors.

Vertical stress: weight of overburden

overburden stress ( i ) 
acting area
2.59 * 62.4 (lb/ft 3 )
i  * 500
144 (in 2 /ft 2 )
 i  561 psi
Horizontal stress: ν
σh  *σ v
( 1  v)
0.25
 *561 psi
1  0.25
 187 psi

Stress ratio (M):

σh ν
M  
σ v ( 1  v)
187 0.25
 
561 1  0.25
1

3

The stress concentration factor for M=1/3 and w/h=4, using the figure 5 above:

Top center = -0.5 Corner = 5.5

Safety Factors:
tensile strength compressive strength
SFtension  SFcomp 
SCF * σ v SCF * σ v
1225 13150
 
.5 * 561 5.5 * 561
 4.37  4.26
Note: Good for short term stability in tension and long term stability in compression.
Mohr’s Circle of Stress:

The normal stress on a plane oriented at angle θ to the principal axes:

σ θ  σ x sin 2 θ  σ z cos 2 θ  2 τ xz sin θ cos θ
σx  σz σz  σx
  cos 2θ  τ xz sin 2θ
2 2
σ θ  normal stress on  plane σ x  normal stress in x direction
τ θ  shear stress on  plane σ z  normal stress in y direction
θ  angle of plane in x - y system τ xz  shear stress on x - z face
The shear stress on a plane oriented at angle θ to the principal axes:

τ θ  σ z  σ x  sin θ cos θ  τ xz sin 2 θ  cos 2 θ 

σz  σx
 sin 2θ  τ xz cos 2θ
2

σ θ  normal stress on θ plane σ x  normal stress in x direction

τ θ  shear stress on θ plane σ z  normal stress in y direction
θ  angle of plane in x - y system τ xz  shear stress on x - z face

The principal stress in the stress field:

 σ  σ x  
2
σ  σx
σ1,σ 3  z   z   τ xz2
2  2 

σ1  maximum principal stress σ x  normal stress in x direction

σ 3  minimum principal stress σ z  normal stress in y direction
τ xz  shear stress on x - z face

The principal stress direction in the stress field.

1  2 τ xz 
θp  arctan 
2  σz  σx 

σ x  normal stress in x direction

σ z  normal stress in y direction
τ xz  shear stress on x - z face

(Problem - Mohr Circle) From the previous tunnel problem, the

concentrated vertical stress at the mid-height of the side of the opening is
1,402 psi (2.5 * 561). If we have a 45 joint with no cohesion and a
friction angle of 35 intersecting the tunnel side, will this joint slip?

First, we calculate the normal stress on the joint:

σx  σz σz  σx
σθ   cos 2θ  τ xz sin 2θ
2 2
0  1402 1402  0
  cos (2 * 45)  0 sin (2 * 45)
2 2
 701 psi
Next, we calculate the shear stress on the joint:
σz  σx
τθ  sin 2θ  τ xz cos 2θ
2
1402  0
 sin (2 * 45)  0 cos (2 * 45)
2
 701 psi

Finally, we calculate the shear resistance to sliding:

τ  c  σ n tan
 0  701 * tan(35)
 491 psi

The shear force is 701 psi and the resistance is 491, so the joint will
slide.

The Hoek-Brown failure criteria:

2
σ1  σ 3  mσ c σ 3  sσ c

σ1  Major principal stress

σ 3  Minor principal stress
σ c  Uniaxial compressive strength of intact rock
m, s  empirical constants
Hoek-Brown “m” and “s” values: