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CVL710 : ENGINEERING PROPERTIES OF ROCKS

& ROCK MASSES
3 Credits (3-0-0) Coordinator : K.G. Sharma
Course Content
Introduction.
Rock materials, Physical properties,
Strength behaviour in uniaxial compression, tension and
triaxial state.
Laboratory testing methods.
Stress-strain relationships.
Factors influencing strength.
Failure mechanism.
Anistropy.
Failure criteria, Coulomb, Mohr’s, Griffiths and
Modified Griffiths criteria and Empirical criteria.
Brittle-ductile transition, Post failure behaviour.

Course Content Contd.

Strength and deformation behaviour of discontinuities.

Rock mass behaviour, Shear strength of jointed rocks,
roughness, peak and residual strengths.
S
Strength criteria for
f rock mass.

Intact rock and rock mass classifications,

Terzaghi, RQD, RSR, RMR and Q classifications,
Rating, Applications.
Creep and cyclic loading.
Weathered rocks
rocks.
Flow through intact and fissured rocks.
Dynamic properties.

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References

Ramamurthy, T. (2007). Engineering in Rocks for Slopes, Foundations

and Tunnels. Prentice-Hall of India Private Limited.

Goodman, R.E. (1980). Introduction to Rock Mechanics. Wiley.

Vutukuri, V.S., Lama, R.D. and Saluja, S.S. (1974). Handbook on

Mechanical Properties of Rocks. Vol. 1, Trans Tech. Publications.

Zhang Lianyang (2017). Engineering Properties of Rocks. Elsevier.

Jaeger, J.C. (1979). Fundamentals of Rock Mechanics.

Chapman & Hall.

Jaeger, J.C. and Cook, N.G.W. (1979). Fundamentals of Rock

Mechanics. Chapman & Hall.

Bieniawski, Z.T. (1989). Engineering Rock Mass Classifications.

John Wiley & Sons.

Bieniawski, Z.T. (1984). Rock Mechanics Design in Mining and

Tunnelling. Balkema.

Hudson, J.A. & Harrison, J.P. (1997). Engineering Rock Mechanics:

An Introduction to the Principles. Pergamon.

Relevant Technical papers and Ph.D. Theses.

Evaluation:
Minor Test I : 20%
Minor Test II : 20%
Major Test : 50%
Assignments : 10%
Note: Students having less than 75% attendance will be given
one grade less than the grade scored by them.

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ROCK MECHANICS: INTRODUCTION

Prof. K. G. Sharma
Department of Civil Engineering
Indian Institute of Technology Delhi, New Delhi, India

Rock Mechanics
Rock Mechanics is the theoretical and applied
science of the mechanical behavior of rock, it is
that branch off mechanics concerned with the
response of the rock to the force field of its
physical environment.
ISRM (1966)

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Year Description
1850-1900 ¾ First attempt to evaluate mechanical properties, Importance of
voids, fissures, faults recognized.
¾ Civil engineers were the first to take interest (involvement in
River Valley Projects)
¾ Developed techniques to test and measure strength and elasticity
in tunnels & galleries
¾ Testing of joints to find strength
¾ Kinematics and dynamics of rock slides, earthquakes, earth crust
vibrations recognized
1874 Rziha (German engineer) concerned with horizontal stress in tunnels
1880 Prof. Heim ((Zurich University)
y) suggested
gg that insitu stress ratio is
unity at large depths
1920 ¾ First pressure test in tunnel conducted by Swiss Federal Railway
in Amsteg tunnel (North of Alps) to get Bulk modulus of rock
mass
¾ Schmidt was probably the first to measure insitu modulus
¾ First time steel lining used for tunnels and shafts
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Year Description
1932 Experimental determination of tangential stresses σθ on the tunnel
boundary in Hoover dam (USA) by USBR. Insitu stresses: σh0 =
3σv0, i.e., K0=3
1946 Terzaghi proposed Rock mass classification for the estimation of
rock loads on steel rib supports for tunnels
1950 ¾ A systematic research in Rock Mechanics was started at USBR
(USA)
¾ American Society of Engineering Geologist (ASEG) was formed
to develop Rock Mechanics
1952 Classical work of Terzaghi & Richart (Geotechnique) for evaluating
stresses around 2-D (circular, oval, rectangular, elleiptical) and 3-D
(spherical, spheroidal) openings
1956 First US Symposium on Rock Mechanics
1950-1960 ¾ Europe most active centre for research in Rock Mechanics
¾ University of Vienna main centre of activities
¾ First Symposium on Rock Mechanics in Austria in 1951
¾ Failure of Malpasset dam (France) on 3rd December 1959 and
Vajont dam slide (Italy) on 9th October 1963 set pace for research
in Rock Mechanics
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Year Description
1962 It was decided to establish International Society for Rock Mechanics
(ISRM) at Salzburg
1966 First International Congress on Rock Mechanics (ISRM Congress)
organized at Lisbon (Portugal), whereas First International
Conference of Soil Mechanics and Foundation Engineering held in
1936
1970 2nd ISRM Congress at Belgrade (Yugoslavia)
1974 3rd ISRM Congress at Denver (USA)
1978 4th ISRM Congress at Montreux (Switzerland)
1983 5th ISRM Congress at Melbourne (Australia)
1987 6th ISRM Congress
g at Montreal ((Canada))
1991 7th ISRM Congress at Aachen (Germany)
1995 8th ISRM Congress at Tokyo (Japan)
1999 9th ISRM Congress at Paris (France)

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Year Description
2003 10th ISRM Congress on RM at Sandton (South Africa)
2007 11th ISRM Congress at Lisbon (Portugal)
2011 12th ISRM Congress at Beijing (China)
201
2015 13th ISRM
S C
Congress at Montreall (C
(Canada)
d )
2019 14th ISRM Congress at Iguassu Falls (Brazil))

•Symposia at National & International Levels

•Asian Rock Mechanics Symposium (ARMS)
•Impressive progress made in the last 50 years in Rock
Mechanics

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Journals
1. International Journal of Rock Mechanics & Mining Sciences
2. Rock Mechanics & Rock Engineering
3. Journal of Geotechnical Engineering Division, ASCE
4
4. Geotechnique
5. Canadian Geotechnical Journal
6. Soils and Foundations
7. Engineering Geology
8. Tunnels & Tunnelling International
9. Indian Geotechnical Journal
10. Water & Power
11. Tunnelling & Underground Space Technology
12. Journal of Rock Mechanics & Tunnelling Technology
13. Journal of Rock Mechanics & Geotechnical Engineering

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India
Year Description
1948 Indian Geotechnical Society formed
1965 Indian Society of Engineering Geology formed
1990 International Society for Rock Mechanics (India) formed
1962 First Course in Rock Mechanics at Indian Institute of
Science, Bangalore
1971 Course at Undergraduate level at IIT Delhi (Elective)
1977 M.Tech. Program in Rock Mechanics started at IIT Delhi
Now the Program is called as Rock Engineering &
Underground Structures

More than 40 Engineering Colleges offer Rock Mechanics as

an Elective course at Undergraduate Level

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Fields of Application of Rock Mechanics

† Our involvement with rock extends backward far into
prehistory.
ƒ To bury dead bodies

ƒ For shelter

ƒ To take enemy by surprise

ƒ For mining, transport

† Arrow heads, common tools, vessels, houses,

fortifications, even tunnels were built of or in rock
† Great sculptures
† In 18th and 19th Centuries, great tunnels were driven
for mine, ventilation and drainage, water supply,
canals, and transport
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Fields of Application of Rock Mechanics

† Oldest known mine: BOMVU RIDGE in Swaziland
(South Africa), was in operation before 40000 BC.
Hematite mined using bones, sharp stones, bare
hands.
† Dynamite in 1863 Nobel
† Power drill, Blasting
† Tunnel Boring g Machines

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Applications
1. Surface Structures

† Housing: Light structures, no foundation problem,

Landslide
† Bridges, Tall Buildings: Large loads, Drilled shaft/pier
foundation, Landslide
† Dams: Foundation and Reservoir area. Selection of
dam type (arch
(arch, gravity
gravity, rockfill).
rockfill) Landslides
† Surface Subsidence: Mined area, Underground Metros

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Applications contd.
2. Transportation Routes
† Highways, Railways: Landslide
† Canals, Pipelines: Landslide
† Penstocks: Landslide

3. Surface Excavations for Other Purposes

† Quarries and Mine Pits (Open pit mining): Slope
stability
t bilit
† Spillways: Landslide

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Applications contd.
4. Dry Underground Excavations
† Caving Mines: Room & Pillar or Longwall Mining (Coal),
Excavation & Supports
† Stable Mines: Metals,, Geologic
g structures ((Faults),
), Rock
bursts, Excavation & Supports
† Tunnels: Geologic structures (Faults), Rock bursts,
Excavation & Supports
† Underground Chambers: Shelter homes, Offices,
Warehouses, Recreation centres, Stadia, Geologic
structures (Faults)
(Faults), Rock bursts
bursts, Excavation & Supports
† Defense Works: Deep basing of Strategic Missiles,
Underground chambers for invulnerable facilities, Geologic
structures (Faults), Rock bursts, Excavation & Supports

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Applications contd.
5. Energy Development
† Petroleum: Faults, Rock bursts, Deep holes in shales,
evaporates, Hydraulic fracturing
† Geothermal: Exchange earth’s heat as an energy source
in dry hot rocks, Circulate cold water to hot rocks by
hydraulic fracturing
† Hydroelectric/Nuclear Power Plants: Geologic structures
(Faults, Shear zones, folds), Landslide
† Nuclear Waste Disposal: Underground repositories for
p
nuclear waste disposal, , High
g Temperature
p ((200°C),
), No
leakage, Environmental hazard. Geologic structures
(Faults, Shear zones)
† Energy Storage Caverns: Storage of Oil, LPG, LNG,
Faults, Low Temperature (-200°C)
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Rock Foundation
Foundation engineering involves the design and analysis of type,
load carrying and settlement of foundations, and their
construction.

Footing

End Bearing Piles

Socketed Pier

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Effect of geological structure on foundation stability and settlement: (a) planar sliding failure on
single discontinuity; (b) wedge sliding failure on two intersecting discontinuities; (c) toppling failure
of steeply dipping slabs; (d) circular failure in closely fractured rock; (e) stable condition with no
daylighting discontinuities; and (f) stable Condition, but compressible seam may result in settlement

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Stability of sliding block related to dip of sliding

surface.

Resolution of forces in foundation to determine normal N and

shear S components on potential failure surface.

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Forces acting on foundation containing planar discontinuity

dipping out of slope face.

End-bearing drilled pier transfers applied load to rock below tunnel

invert.

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Construction of rock foundation: (a) attempted ‘sculpting’ of rock foundation to form

shear key; and (b) ‘as built’ condition with footing located on surface formed by joints.

Typical applications of rock anchors to support tension loads:

(a) anchored roof to protect roadway from rock falls; (b)
permanent tie-downs installed to improve overturning resistance
of dam; and (c) rock anchors providing support for tensioned
cable.

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Cause of Failure of Malpasset Dam

Sudden Localized
Fracture

Tolerable movement of abutment would today be 77% smaller.

VAJONT DAM

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VAJONT DAM

VAJONT DAM

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VAJONT DAM

Plan of Lakhwar Dam with Geology

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Underground Structures

Cavern

Tunnel Shaft

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Metro under
Chandpole Gate,
Jaipur

Principal layout of the Hindhead road tunnel

system, Simplified sketch

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Conceptual 3D Model of Powerhouse Complex

Access Tunnels

Transformer Cavern

Tailrace Tunnels
Surge Chamber

Powerhouse Cavern Pressure Shafts

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3D layout of a underground repository

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Components of a Repository

Storage of Nuclear Waste

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3-D layout of the underground storage caverns

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Vizag Crude Oil Storage in Underground Rock Cavern  Project

Entrance

Dumping yard 

HCC site office

EIL site office

B.P

ISPRL Cavern
Equip. W/S

The underground works include creation of two compartments one for storing 0.3
MMT of crude oil having two galleries and another for storing 1.03 MMT of crude oil
having three galleries. In addition to the caverns the works include creation of access
tunnels,30 July 2018
water curtains, vertical30shaft
th IGS Annual Lecture
etc. 46/186

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Rock Slopes
Slopes can be divided into natural slopes and excavated
slopes.

Slope Stability Problems

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Modes of Failure

Plane Failure

Wedge Failure

Toppling Failure

Mode of Failure

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Rock Fall

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Rockfall Meshes (GEOBRUGG)

Konkan Railways

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Slump/Earth- Flow
Crown

Leeft Flank
Right Flaank
Head

Foot

Kehew

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Tension Crack Treatment

Monitor

Lukhbir Slide on NH-31A

(Year 2002-03)

TOE EROSION

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Rock Failure –Remedial Measures

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Some of the types of structures on, in or of rock

(after Brown, 1993)
Field of Application Types of structures on, in or of rock

Mining • Surface mining- slope stability; rock mass

diggability; drilling and blasting;
fragmentation.
• Underground mining- shaft, pillar, draft and
stope design; drilling and
• blasting; fragmentation; cavability of rock
and ore; amelioration of rockbursts;
mechanized excavation; in situ recovery.
Energy Development Underground power stations (hydroelectric and
nuclear); underground storage of oil and gas;
energy storage (pumped storage or
compressed air storage); dam foundations;
pressure tunnels; underground repositories for
nuclear waste disposal; geothermal energy
exploitation; petroleum development including
drilling, hydraulic fracturing, wellbore stability.
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Some of the types of structures on, in or of rock

Field of Application Types of structures on, in or of rock
Transportation Highway and railway slopes, tunnels and
bridge foundations; canals and
waterways; urban rapid transport tunnels and
stations;
t ti pipelines.
i li
Utilities Dam foundations; stability of reservoir slopes;
water supply tunnels; sanitation
tunnels; industrial and municipal waste
treatment plants; underground
storages and sporting and cultural facilities;
foundations of surface power stations.
Building Construction Foundations; stability of deep open
excavations; underground or earth sheltered
homes and offices.
Military Large underground chambers for civil
defense and military installations; uses of
nuclear explosives; deep basing of strategic
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Rock versus Other Materials

† Rock differs from other engineering materials:
Contains discontinuities such as joints, bedding
planes, folds,
f sheared zones and faults
f which
render its structure discontinuous.
† We cannot prescribe strength & modulus
values. Whereas for concrete & steel we can
prescribe the values.

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INTACT ROCK or ROCK MATERIAL

and ROCK MASS
† Intact rock may be considered as a continuum or
polycrystalline solid between discontinuities consisting of
an aggregate of minerals or grains
grains.
† Rock mass is the insitu medium comprised of intact
rock blocks separated by discontinuities.
† Intact rock: Properties governed by the physical
properties of the materials of which it is composed and
the manner in which they are bonded to each other.
† Rock masses: Discontinuous and often have
heterogeneous and anisotropic properties.

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s=1

Hoek, 2000

Nature of Rocks
† Continuum/Discontinuum
† Isotropic/Anisotropic
† Interconnected Pores: Water Pressure
† Bedding planes, Sets of joints, Faults, Fissures
† Brittles/Ductile
† Elastic or Elasto-Plastic
† Perfectly plastic
† Strain hardening
† Strain softening
† Creep: Viscoelastic/Viscoplastic, Time dependent
behaviour
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S: Single occurring Discontinuities

M: Multiple occurring Discontinuities

S: Single occurring Discontinuities

M: Multiple occurring Discontinuities

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Influence of Joints/Discontinuities
on Foundations & Excavations

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Nature of Rock
Idealization: Homogeneous, Continuous, Isotropic, Linear
Simplest Idealization
B t rocks
But k are non-ideal
id l
† Seldom truly continuous as pores and fissures are
usual.
† Interconnected pores
† Isolated vugs in volcanic rocks and soluble carbonate
rocks.
rocks
† Capacity to store & transmit fluids is largely dependent
upon behaviour of these voids.

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Nature of Rock
1. Microfissures: Small planar cracks, 1μm or less in width
and about a length of a crystal or two. Common in hard rocks
and occur as intra-crystalline and crystal boundary cracks.
Not seen by naked eyes. All rocks have it.
2. Microfractures: Planar cracks about 0.1 mm or less wide,
barely visible to the naked eyes. Depend on schistosity of
rock and have well defined direction in space.
3. Macrofractures: Wider than 0.1 mm, may be up to several
metres or more in length. Closed/Tight or Open,
Gouge/Filled material
Joints: Discontinuities along which little/no displacement
has occured, Closed/Open joints
4. Faults: Large macrofractures with relative displacement of
more than 0.3 m. Fault zone, Shear zone
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Nature of Rock
Large geologic fractures and faults are important for the
design of tunnels, foundations.
Microfissures and microfractures determine the real crushing
strength
g of rock material and mass.
† Rock Material: is the smallest element of rock not cut by
any fractures. There are always some microfissures in the
rock material.
† Rock Mass: refers to any insitu rock with all inherent
geomechanical anisotropies.
† H
Homogeneous Zone:
Z refers
f to rock k mass with
i h comparable
bl
geological and mechanical properties such as type of rock,
degree of weathering and decomposition, and rock
structure.

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Nature of Rock
† Laboratory Tests: carried out on rock material.
† Insitu Tests: carried out on rock mass.

Collectively fissures and pores do the following:

1. Non-linear load-deformation or stress-strain response
2. Reduced tensile strength
3. Stress dependency
p y in material p
properties
p
4. Variability and scatter in test results
5. Scale effect into prediction of behavior
6. Anisotropy

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Rock Masses
† Discontinuous and variable in space
† It is important to choose the right domain, representative
off the
th rockk mass, affected
ff t d by
b the
th structure
t t analyzed
l d
† Scale Effect
† Intact Rock
† Intact rock with one set of discontinuities
† Intact rock with two sets of discontinuities
† I t t rockk with
Intact ith many discontinuities
di ti iti
† When the structure being analyzed is much larger than
the blocks of rock formed by the discontinuities, the rock
mass may be simply treated as an equivalent continuum

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Components of a General Rock Mechanics Program (after Brady & Brown, 1985)

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Suggested Levels of Accuracy Required for Rock Mass Properties in Different

Applications (after Pine & Harrison, 2003)

Application Strength Deformability Permeability/Hydraulic

Conductivity
Mining Pillars Shafts (25%) Total inflow rates (50%)
Walls (10%)
Roofs

Civil excavations Tunnels (25%) Tunnels (25%) Total inflow rates (50%)
Caverns (10%) Caverns (25%) Total leakage rates (25%)
Pressure tunnels and
shafts (10%)

Nuclear/radioactive Mass transport (factor of 10-2

waste to 102)
Oil and gas Borehole stability Reservoir subsidence Connectivity/transmissivity
(10%) (25%) (50%)
Civil foundations/ Settlement (25%)
pile sockets

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DETERMINATION OF ENGINEERING
PROPERTIES OF ROCKS
† Rock mass is complex and it is difficult to
determine rock properties.
† Direct Methods & Indirect Methods

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Direct Methods
† Laboratory and Field (Insitu) Tests
† BIS, ISRM, ASTM
† Volume of Rock Mass affected during the tests
† Insitu tests time consuming & expensive

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Indirect Methods
† Empirical or theoretical correlations
† Combination of intact rock and discontinuity properties
using
i analytical
l ti l or numerical
i l methods,
th d B Back-analysis
k l i
using field observations of prototype observations
† Current practice relies heavily on the indirect methods
† The indirect methods can also be used for checking the
test results.
† Data resulting from laboratory and insitu tests are often
not completely consistent.
† Empirical correlations can be used to check the data
from tests for the inconsistency

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Categories of Test Methods Suggested by ISRM

(after Brown, 1981)
1. LABORATORY TESTS
(a) Characterization
(i) Porosity
Porosity, density
density, water content
(ii) Absorption
(iii) Hardness - Schmidt rebound, Shore scleroscope
(iv) Resistance to abrasion
(v) Point load strength index
(vi) Uniaxial compressive strength and deformability
(vii) Swelling and slake-durability
(viii) Sound velocity
(ix) Petrographic description

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Categories of Test Methods Suggested by ISRM

(after Brown, 1981) Contd...
1. LABORATORY TESTS
(b) Engineering design
(i) Triaxial strength and deformability test
(ii) Direct shear test
(iii) Tensile strength test
(iv) Permeability
(v) Time dependent and plastic properties

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Categories of Test Methods Suggested by ISRM

(after Brown, 1981) Contd...

2. IN SITU TESTS
((a)) Characterization
(i) Discontinuity orientation, spacing, persistence,
roughness, wall strength, aperture, filling, seepage,
number of sets, and block size
(ii) Drill core recovery, RQD
(iii) Geophysical borehole logging
(iv) In situ sound velocity

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Categories of Test Methods Suggested by

ISRM (after Brown, 1981) Contd...

(b) Engineering design

(i) Plate and borehole deformabilit
deformability tests
(ii) In situ uniaxial and triaxial strength and deformability
test
(iii) Shear strength - direct shear, torsional shear
(iv) Field permeability measurement
(v) In situ stress determination

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