CENTRAL BOARD OF IRRIGATION AND POWER

RESEARCH SCHEME APPLl ED TO RIVER VALLEY PROJECTS

NEW OELHl

Manual on Rock Mechanics

Technical Report No. 26

New Delhi February 1979

 MANUAL ON
ROCK MECHANICS

Technical Report No. 26

RESEARCH SCHEME APPLIED TO R I V E R VALLEY PROJECTS

CENTRAL B O A R D OF IRRIGATION AND POWER

Kasturba Gandhi Marg, New Delhi

New Delhi February 1979

 FOREWORD

Rock mechanics is a young scientific discipline. However, in

view of its importance in the design and construction of large engi-
neering structures, considerable research and developmental
activity is going on at a fast rate in the world in the field of rock
mechanics. In view of the need for full utilisation of the country's
water resources for irrigation, hydropower generation, etc., it is
necessary to use all available sites by studying and employing the
information on properties of rocks and rock-masses, presented at
the various national and international symposia held on the sub-
ject, as well as the work of research organisations. Considering the
importance of the subject, the Central Board of Irrigation and
Power included the same as one of the aspects of study under its
Research Scheme applied to River Valley Projects. In 1967 the
Board further constituted a Committee with the Directors of U.P.
Irrigation Research Institute, Roorkee; Irrigation and Power
Research Institute, Amritsar; Central Soil and Materials Research
Station, New Delhi as members and the Director, Maharashtra
Engineering Research Institute, Nasik as its convener for prepar-
ing a Manual on Rock Mechanics. The present publication is the
result of the dedicated work of this Committee. The various
chapters of the Manual were drafted by the above research
stations. The M.E.R.I., Nasik compiled and edited the publication
in its final shape. A Bibliography on this subject was prepared by
the Irrigation and Power Research Institute, Amritsar a n d has also
been included in this publication.
The draft manual was circulated to various organisations and
individuals dealing with the subject for their comments/suggestions
and these have been suitably incorporated. Useful information
on the testing methods practised in India and typical test results
have been included in the manual.
The Board gratefully acknowledges the contribution made by
the Research Stations in the compilation of this manual.
I t is hoped that this publication wilI be found useful by
research and field engineers in better appreciation of the important
subject of rock mechanics.

New DELHT C.V.J. VARMA

February 1979 Secretary
Central Board of Irrigation and Power
 CONTENTS

CHAPTER I

INTRODUCTION TO ROCK MECHANICS

1.1 History
1.2 Fundamental concepts in rock mechanics
1.3 The scope of rock mechanics study
1.4 Engineering classification of intact rock
1.5 Properties of rock
1.6 Theories of failure
1.7 Dynamic behaviour of rock masses
1.8 In situ state of stress
1.9 Interstitial water in rock masses
1.10 Stresses around openings in rock
1.11 Stability of rock structures
1.12 Treatment of rock for better performance
1.13 Comminution
1.14 Needed research
CHAPTER I1
ROCK MECHANICS-LABORATORY TESTS

Introduction
Porosity
Hardness
Drill ability
Durability
Pulse velocity
Deformability
Strength
Analysis and limitations
CHAPTER III
ROCK MECHANICS-FIELD TESTS
3.0 Introduction

(iii)
3. I Field permeability tests
11.2 Geophysical methods for field exploration
3.3 Earth resistivity test
3.4 Seismic refraction method
3.5 Uniaxial jacking tests
3.6 Flat jack tests
3.7 Radial jack tests
3.8 Cable jacking tests
3.9 Rock bolt pull-out tests
3.10 In situ shear tests
3.11 Other methods of deformation modulus determination.
 I
CHAPTER
INTRODUCTION TO ROCK MECHANICS
1.1 History
Rock Mechanics, which has grown rapidly during
last two decades, is now a well recognised branch of
civil engineering, Historically it dates back to the end
of nineteenth century when mining engineers and tunnel
experts realised the 'Residual Forces' responsible for
rock bursts and rock squeezing in tunnels and galleries.
Rziha (1874), the German tunnel expert was probably
the first to realise the horizontal component of the
forces acting in tunnels. In 1920, Swiss Federal Rail-
ways performed pressure tests in Amsteg tunnel in the
Alps and recorded the elastic deformations of rock
mass. Later H. Schmidt (1926), Jaeger (1933) and
Fenner (1938) did pioneering work on the subject and
some of their theories were confirmed by Terzaghi and
Richart (1 952).
The systematic research work in the rock mechanics
started in the United States and several European coun-
tries in the later half of this century. An International
Conference of 'State of Stress in the Earth's Crust' was
organised in California in 1963 and since then a num-
ber of national and international symposia and con-
ferences are being organised. The International Society
for Rock Mechanics organised the First International
Congress in Lisbon, Portugal in 1966.
1.2 Fundamental Concepts in Rock Mechanics
Rock mechanics is the theoretical and applied
science of the mechanical behaviour of rock ; it is that
branch of mechanics concerned with the response of
the rock to the force fields of its physical environ-
ment(1).
Usually the rock mass is a discontinuous and hetero-
geneous material and the present practice is to study
the rock as it is. For this a precise definition of concepts
regarding the rock masses and their mechanical aspects
is needed. These concepts as defined by Muller with
a few modifications introduced by Farren and Thenoz,
are given below :
Rock mass refers to any in situ rock with all inherent
geomechanical anisotropies. Rock substance or rock
material is the smallest element of rock not cut by any
fracture ; there are always some microfissures in the
rock material.
Microfissures are 0.001 mm or less in width and
about the length of crystal or two to three molecules
of water. Micro-fractures are about 0.1 mm or less
in width and their extent is significant despite the fact
that they are barely visible to the naked eye. They
often depend on the schistosity of the material and have
well defined directions in space. Macro-fractures are
wider than 0.1 mm and may be up to several metres or
more in lengths. The chemical, physical and mechanical
properties of the filling material are of considerable
importance to the overall strength and properties of
the rock mass. Fault usually refers to a large fracture
possibly with relative displacement of its lips.
Orientation of geological planes is defined by the
three-dimensional orientation of the line of dip of a
particular plane. by the azimuth (between north and
the projection of this line on the horizontal plane)
and the ultra-azimuth (between the horizontal and line
of dip).
The degree of jointing (k) indicates the number of
intersections of a particular set of joints per metre
measured normal to the geological plane. The average
spacing of joints is denoted by d = 1IK.
Muller has stated that the technological properties
of a rock mass depend far more on the system of geo-
logical separations within the mass than on the strength
of the rock material itself. Therefore, rock mechanics is
the mechanics of a discontinum, i.e., a jointed medium.
The strength of a rock mass is considered to be a resi-
dual strength which together with its anisotropy, is go-
verned by the interlocking bond of the unit blocks, re-
presenting the rock mass. The deformability of a rock
mass, its anisotropy, modulus of elasticity and Pois-
son's ratio result predominantly from the internal
displacements of the unit blocks within the structures of
a rock mass.
1.3 The Scope of Rock Mechanics Study
The b a s ~ cconcern of rock mechanics is the state of
stress in the earth's crust. The following outlines were
developed by the American National Academy of
Sciences Committee on Rock Mechanics as a concise
method of defining the scope of rock mechanics.
(a) Fundamentals :
9
,-

(b] Measurements : TABLE 1.2

( i ) Laboratory methods. Engineering classification of intact rock

(011 the basis of modulus ratio EtlGULt).
(ii) Field methods.
Class Description Modulus ratio
(c: Applications :

Surface foundations, man-made excava- H High Over 500

tions and natural slopes.
M Medium 200 - 500
Underground openings (including bore- (Average)
holes).
L Low Less than 200
Rock as a construction material.

Comminution comprising of drilling, blast- Another geological classification of in situ rock as

ing and crushing. given in Table 1.3(l) was proposed by Deere to facili-
tate communication among engineering geologists,
Subsidence studies. students of rock machanics and design engineers. The
classification is bdsed on the spacing of joints.
Structural geology.
TABLE 1.3
1.4 Ihgineering Classification of Intact Rock
Geological classification of intact rock by joint spacing.
In,act r x k refers to the rock material which is free
of the large scale structural features such as joints,
beddirig planes, pxtrngs and shear zones. Deere and Descriptive terms Spacing of joints (cn~)
M,ller suggested classifications based on two important
e:nginc:ering properties of the rock ( i ) the uni-axral com-
pressi~.estrength, and (ii) the modulus of elasticlty(1). Very close Less than 5
The rnoduhls of elasticity ( E t ) used is the tangent
rnodu us taken at 50 percent of theultimate strength Close 5 - 30
(D,,~,) of the rock. The rock classifications based on
the ba'sis 01' strength and modulus ratio ( E t / ~ n l t )are Moderately close 30 - 100
given n Tdbies I. 1 and 1.2 respectively.
Wide 100 - 300

Very wide Greater than 300

Engineering classification of intact rock
(on the bas~sof strength a,ll).

1.4.1 Rock Q~lalityDesignation ( RQ D )

Class Description
A Very high
B High
C Medium
D Low
E Very low
Uniaxial compressive The rock quality designation (RQD) classification is
strength (kgjcmz) based on a modified core recovery procedure which, in
turn, is hosed indirectly on the number of fractures
and the amount of softening or alteration in the rock
Over 2300 mass as observed in the rock cores from a drill hole.
Instead of counting the fractures, an ind~rectmeasure
1150 -- 2300 is obtained by using the total length of core recovered
but counting only those pieces of core which are 10 cm
or more i n length. For example, if for a core run of
570 - 1150 100 cm in length, the total core recovery is 90 cm
yielding a core recovery of 90 percent but if, the core
285 - 570 pieces longer than 10 cm, together measure 60 cm only,
then RQD is 60 percent. The relationship between
RQD and rock quality suggested by Deere and others
Less than 285
is given in Table 1.4(l).
 TABLE 1.4
Relation of RQD and rock quality.
RQD (rock quality designation)% Description of rock
quality
0 - 25 Very poor
25 -- 50 Poor
50 - 75 Fair
75 - 90 Good
90 - 100 Excellent
1.5 Properties of Rock
1.5.1 Weathering Susceptibility
The susceptibility of rock to weathering and altera-
tion is an important property. In cor~siderationof
weathering of rock mass one relevant factor is the
weathering susceptibility of the rock material which js
governed by its mineralogical composition and the
nature and extent of voids in the material. The nature
and extent of structural discontinuities traversing the
rock mass govern the volume of rock material exposed
to weathering. Where the deteriorated material is
filled-in in these structural planes, the stability and
strength of the whole rock mass is in jeopardy when
acted upon by weathering agents. Further, the environ-
mental conditions existing within the rock mass and in
its surroundings in the form of the presence of water,
atmospheric gases, chemicals in solution and tempera-
ture variation, etc., affect the type and rate of weather-
ing. In this respect it is important not only to consi-
der the degree of weathering, but to assess the effects,
upon the mass, of the proposed works particularly
where environmental conditions change in any way.
1.5.2 Elastic Properties
Rock masses are discontinuous anisotropic and
inelastic and the laws of elasticity, generally, can not be
applied to them directly. This is particularly applicable
in the case of near-surface masses where joints, fissures
and bedding planes are more open. At depth, quasi-
elastic behaviour is possible. where structural disconti-
nuities are unimportant, as often joints and bedding
planes are tightly closed.
The behaviour of rock material is affected by the
state of stress. Experiments conducted by Handin
(1966) o n quartzite indicated the same type of beha-
viour for both confined and unconfined specimens.
However, a different type of behaviour was ohserved
by Karman (1911) who described how cylinders of
marble, loaded uniaxially without lateral restraint,
behaved as brittle material. As lateral stresses were
increased, the rock material behaved as a ductile
material with an increasing range of yield deformations.
Further, when the rock material is subjected to
stress for a long time, creep flow occurs. Elastic de-
formation of the rock material occurs on the initial
application of load, followed by a non-elastic flow
ascribed to the re-arrangement in the atomic structures
of the rock material. This creep strain is not recover-
able on the removal of the applied stress. As the
fracture is approached, the rate of creep increases
and this is attributed to the formation of microcracks
within the rock material.
1 S . 3 Mechanical Properties
In evaluating the stability of any kind of structure,
knowledge of the mechanical properties of its material
is an important factor. The composition of even the
common rock types is highly complex. 111 addition,
in situ rock is affected by geological separations, such
as joints, faults and bedding planes which usually
expose the rock to chemical processes that promote
alteration and decomposition. The mechanical proper-
ties include tensile strength, uniaxial compressive
strength, stress-strain properties in uniaxial compres-
sion and the stress-strain properties of rock subjected
to combined stress.
Factor of safety is defined in several different ways,
either to compensate for the difference between assum-
ed and actual strength parameters or to contain the
deformations within tolerable limits. In structural
engineering, it is the ratio of the allowable load which
will cause failure to the actual working load. In rock
mechanics, as in soil mechanics, it is preferable that
the factor of safety be defined in terms of the strength
parameters of the rock. For problems involving over-
all shear failure it is suggested that the factor of safety
be defined as that factor by which the shear strength
parameters may be reduced in order to bring the slid-
ing mass into a state of limiting equilibrium along a
given slip surface. No simple rule can be given for
specfying an allowable factor of safety for a rock mass.
Each case must be judged on its own merits(l).
The test results of some common types of rock are
included in Table I.5(2). It may be seen that there is a
wide variation in the results. Any laboratory test is
conducted on a specimen of the rock material which
can not represent the in situ rock in view of the above.
This position points to the importance of field testing.
1.5.4 Engineering Properties of in Situ Rock
Rock masses are heterogeneous and usually discon-
tinuous assemblages of material with the result that the
scale of an experiment to some extent determines the
I-er;ult of lhc experiment. The determination of the angle between major and minor principal stress; were
stiffness ol' the rock may be cited as an example which modified by Navier.
js repmed to be overestimated up to 20 times from
laboratory tests. The only method that can be used to 1.6.2 Codomb Navier Theory
prov~de a reasonable estimate of the in situ rock con-
dit ion such as discontinuities, etc., is large scale field
lests. Other important properties besides stiffness that Navier modified Coulomb's theory by assuming
that the normal stress acting across the plane of failure
can be: determined in situ are strength and bearing increases the shear resistance of the material by an
capacity, modulus of deformation, permeability and the
stress field, etc. amount proportional to the magnitude of the normal
stress.
The fie:ld tests that are normally conducted at a
project site are the (i) plate bearing test, (ii) flat jack According to this, the criterion for shear failure in a
test, ; a d (iii) shear test. Dynamic testing methods also plane is,
give ~xseful information regarding strength and extent
of joiriting in the rock mass.
Tl~ougl-1not directly beneficial to the particular
project, detailed observation of the subsequent beha-
viour of the completed structure is essential to the where, a = normal stress,
de.vell:,pment of rock mechanics.
T = shear stress (absolute value),
1.6 jrheorics of Failure
So = shear strength of the material
Ecperirncntal results show that an unconfined
brittlc rock will fracture when subjected to a certain
stl.ess but under confinement the same rock will with- and p = coefficient of internal friction.
;stand a larger stress before it fails. Thus failure, which In a two-dimensional case, if a, and a, are the principal
may occur either by fracture or by excessive deforma- stresses in a material, then the normal and shear
tion, depends upon the mechanical condition in the stresses across a plane whose normal is inclined at 0 to
rock under test. The various theories proposed for 0 , [Figure 1.1 (a)] are

brittl?:fracture are given below.

1.fj.1 The Maximum Shear Stress Theory

The theory proposed by Coulomb (1773) postulates T = 4 (a1 -0.J Sin 20 ...(4)
that f'iiilure will occur when the maximum shear stress
at a ~'ointin the material reaches a specific value which The Equation (2) can be written as
is re;erred to as the shear strength. The assumptions
of thic; theory (i) equal shear strength both in tension
and compression, and (ii) the failure plane bisects the
So - T - pa
(Sin 20-P
= + (a, - a,)
Cos 2e>-g P (a1 + a3) ...(5 )

FIGURE 1.1 (a--c) : Coulomb Navier Theory-Relation ofnormal and shear stresses.
 TABLE 1.5
Static mechanical properties of rock.

SI. Rock type Compressive strength of Tensile strength Modulus of rupture Static modulus Dynamic modulus of
No. test group (kg/cm2) of test group of test group (kg/cmz) of elasticity of elasticity of test group
(kg/cm2) test group (kg/cm2 x 106)
(kg/cm2x 105)
Max. Min. 50% Max. Min. Max. Min. 50% Max. Min. Max. Min. 50%
of data of data of data
within within within

1. Amphibolite
2. Basalt
3. Diabase
4. Diorite
5. Dolomite
6. Gneiss
7. Granite
8. Greenstone
9. Limestone
10. Marble
11. Marlstone
12. Quartzite
13. Sandstone
14, Shale
15. Siltstone
Eqnatiw (5) has maximum value when
6iSo
d0
= 0, i.e., when,
so thal 20 lies between 90" and 180" and
Hence as p increases, the plane of failure moves toward
the direction of the algebraically maximum stress
(compi~essionbeing positive). The failure plane makes
an angle of f tan -1 ($)with the maximum principal
s tress.
On solving for the maximum value of r-po, Equation
( I ) gives
t tensile principal stress has reached a limiting value To.
0, [ ( P . -]-03[(p+l) +p]=2S0
This is a stmight line TC, P in the o,, o, planes which
has iniercept
on the a, axis; and intercept-? So[(p' +I)* -
the o, ;]xis [Figure l .l(b)].
It shou Id be l~otedthat the intercept Co on the o, axis
is the uniaxtal compressive strength but the intercept
on [he 73 axis is not the uniaxial tensile strength since
phqsic;il conditions restrict lhe criterion to only a
portior~ of the line T G P . Essentially, a physical
ars1.1mption implicit in Equation (1) 1s that o should be
pos~tiv:!,i.e.,
IWXRE 1.2 : Mohr's strength envelope.
Equations (7) and (9) combined require
%>So [(p3 +112
1
+
p1 = w o ...( 10)
It follows that only the portion of ACoP [Figure l.l(b)],
of the line represents a valid criterion.
For uniaxial tension, it has been observed that the
extension fracture occurs in the plane perpendicular to
o, at uniaxial tensile strength To. This behaviour is
entirely different from the shear fracture which occurs
with compressive stresses. This gives [Figure 1.l(c)]
1
o, [ ( ~ ~ + --PI-G,
l ) ~ [(p2+1Y +PI = 2 & for
ol>Co [l-CoTo/4S02] ...(11)
and a, = -To for a, <Co[l - CoTO/4So2] ...(13)
1.6.3 Mohr's Theory of Failure
This theory postulates that a material will fail when
the shear stress on the fracture or slip plane has in-
creased to a value which depends on the normal
stress acting on the same plane or when the largest
.(7)
Thus at failure, either, r = f (a) ...(13)
Since the sign of r affects the direction of sliding,
only the magnitude of r is in question. The relation
(13) must be determined experimentally and will be
$1 on represented by a curve such as AB in the a, r plane
(Figure 1.2). In a three-dimensional case (such that
ol>02>03), the values of o and r can be found by
Mohr envelope and the failure will not take place if
the values of o and r thus found lie below the envelope
AB. Failure will take place if the circle of diameter
(a1 - o,) just touches AB. Mohr's theory further
implies that the intermediate principal stress 0 , has no
influence on failure and the plane of shear fracture
FIGURE 1.3 : Stress distribution at end of elliptical hole.
passes through the direction of the intermediate cracks which are randomly oriented, failure would
principal stress and its normal makes an angle 0 with occur, if
the direction of maximum principal stress, where 2 0 is
the angle P Ca which the normnl to the curve APB
makes with the a axis. The envelop curve if projected and a, = - To, if a,+3 o,<O ...( 19)
into the - a quadrants (i.e., tension side) does not
predict the correct angle of failure in tension. In these when, a, =. 0 (uniaxial compression), a, = 8 TO, so
quadrants the maximum stress theory is assumed, i.e., that the un~axialcompression Co, is,
failure will occur if a,, o, or a, reaches a critical value
To and the failure plane will be normal to the direction
of the failure stress. For the special case when the
envelop curves are straight lines, This result, which is unequivocally predicted by the
theory, is reasonable in respect of magnitude but not
in details. A remarkable consequence of the above
Hence for this case the Coulomb.Navier's and Mohr's failure criteria is that the presence of internal cracks
theories and identical. can give rise to tensile stresses large enough for frac-
ture, even when the applied principal stresses are
1.6.4 Griffith Theory of Brittle Fracture compressional. Experiments carried out by Griffith
verified the above theory. The intrinsic pressure of
The Coulomb-Navier's and Mohr's theories of many metals, stones and glasses is of the order of
failure are concerned with the mechanism of fracture 10' kg/cm2 whereas the tensile strength for an ordinary
and yield occurring on a m.xroscopic scale and make glass was found by Griffith to be 1830 kg/cm2. Thin
no attempt to account for the cause of failure on a rods of hot glass indicated a strength of 63,000 kg/cm2
microscopic basis. For a perfectly homsgeneous, just after drawing to thin rods. This strength decreased
flawless, brittle soild the value of rensile strength must rapidly with time until after a few hours a steady
be equal to its theoretical intrinsic pressure defined as value was reached which depended on the diameter of
the inter-molecular attractive force. The tensile strength the rod. Rods of diameter 1 mm or above had a
of single crystals has been computed on the basis of tensile strength equal to that of ordinary glass while
inter-molecular forces with the result that the theoretical the permanent strength of fibres with a diameter of
values are many times larger than the ob3erved values. 0.003 mm was about 35,000 kg/cm? It was inferred
The cause of this d~screpzncy between the molecular by extrapolation of test results that the strength of
cohesive forces and the observed tensile strength hns been fibres of infinitesimal diameter would be about 1,13,000
elucidated by Griffith. He assumed that the difference k g / c m h n d this is of the order of the theoretical in-
between the theoretical and observed values of tensile trinsic pressure of the glass molecules.
strength was caused by the presence of very small cracks
around which a strong stress concentration is developed Mclintock and Walsh (1962) and Brace (1960) modi-
when the soild is stressed. If a flat plate containing a fied Griffith theory by assuming that in compression
flat elliptical hole of major axis 2C (Figure 1.3) is sub- Griffith cracks close and a frictional force develops
jected to a tensile stress perpendicular to the major axis across the crack surface.
of the hole the highest tensile stress which occurs at
the ends of the major axis is 1.6.5 Murrell's Extension of G r i ' t h Theory

Murrell (1963) has given a logical extension of the

where, 1 is the minimum radius of curvature of the
hole. If the crack is in unstable equilibrium with the
external forces, for a small increase in its length, the
increase of the surface energy and of the excess elastic
work must be equal to the work done by the external
forces. Thus by uslng these energy relations Griffith
derived a relation for the tensile stress in a plate which
contains a crack of length 2C on the verge of rupture.
This relation can be expressed in the form
Griffith two-dimensional theory to three dimensions.
There are two major differences between the prediction
of the theories. (i) The Coulomb and modified Gri-
ffith theories predict a linear variation of major and
minor principal stresses (a, and o, respectively) in the
triaxial test while the Von Mises and Griffith criteria
give a parabolic variation. But neither of these fits
the experimental results well and the empirical relation
(Murrell, 1965)

where, E is the Young's modulus, T is the surface
energy and To is the tensile strength of the material.
In a two-dimensional stress condition by assuming
that the material contains a large number of incipient
(where, C , , b and n z are constants), probably is
better. (ii) The Coulomb, Mohr and Griffith theories
all predict that the intermediate principal stress has no
effect on the strength while Von Mises and three-dimen-
sional Griffith criteria show the effect.
1.7 Dynamic Behaviour of Rock Masses mechanism of deformation during uplift and erosion,
etc., are in themselves unknown.
Ws.ves effect the rock masses and structures in
numerous ways and these effects must be considered in Some experts feel that there is absolutely no justi-
many stages of design when the structures such as fication for the assumption that the horizontal stress at
dams, atc., are located in seismically active areas. a given depth below the horizontal surface is related
to overburden pressure in accordance with the elastic
Thr: response of structures on rock and of the rock theory. According to elastic theory,
mass itself ;o earthquake loading involves consideration
clf the nature of the source as well as the dynamic S,=r h ...(22)
compliance. By considering rock properties it is possi-
hle to establish an upper bound to the particle velocity
involved in response to the earthquake or other motion.
The hehaviour of a rock mass constituting say, a slope where Sh is the horizontal component of stress,
or dam abutment, depends upon this value as well as on
atper input Features and properties of rock mass. Other su is the vertical stress at a depth h,
wave effec1.s in rock mechanics include the application h is the vertical depth,
of b1a;ting to comminution and the hazard of spalling.
r is the unit weight of rock, and
Tlle classical theory of wave propagation, although
inval uable i r ~giving an insight into the processes invo- v is the Poisson's ratio.
lved in dynamic problems, is inadequate to completely
tle!;cribe phenomena observed very near to the source. Any one of the number of geological events could
Also, the wave length and the shape of the wave is cause the horizontal stress to diifer significantly from
chiinging, thc former increasing with distance from the this value. Poisson's ratio for most rocks lies between
soilrcc:. T m e effects have considerable bearing on the 0.2 and 0.33, hence the ratio of the horizontal to
assessment of the stability of rock and on other pro- vertical stress obtained from this relation should be
1)lr:nw of rock breakage. between 0.25 and 0.5. However, most of the in situ
measured values of S,/S, lie in between 0.5 and 0.8
Seismic methods are frequently used by engineers for hard rocks and between 0.8 and 1.0 or even more
in thc exploration of in situ rock masses. Seismic for soft or inelastic rocks. Obert reported that in a
rtoun13ing :,uch as refrac~ion surveys are economical massive, flat bedded limestone at a depth of 750
mean!; of locating general boundaries between different metres the horizontal stress was more than twice the
laqers of rock on engineering projects. In addition, vertical stress. Heim in his reports explained that
it is 1:lossit)le to cnlculate the elastic properties of in these residual stresses have a geological origin, a view
situ i.l:ck nasses from the observed seismic velocities. to some extent confirmed by the fact that very large
masses of rock show a horizontal stress component
Although the calculation of Young's modulus for much greater than the vertical stress field.
ihe rcck rxlss from measured velocities is straight
forward, there is not general agreement anlong experts In areas which during the course of geological time
re:;ai ding the practical significance of this property for have suffered tectonic disturbances, residual stress may
desig~lpurposes. The modulus of deformation utdised remain within the rock body and contribute towards
ror the design of structures, such as arch dams, must be the existing in situ stress value. In the vicinity of
<3pplic:ablef o r static loads ofthe order of 30-45 kg/cm3. faults, igneous intrusions acd in areas of folding, resi-
Jointed rock masses subje~tedto these loadings under- dual stress concentration will occur and the stress
,go permanent deformation which do not occur in a pattern may be complicaied. At present, any variation
dynamic sei!,mic sounding at low stress level. Thus, in horizontal stresses computed on the basis of elastic
the values of Young's modulus calculated from seismic theory, is ascribed largely due to residual stress effect.
veloc ties zre generally too high to be used for design It may be more realistic to accept that the elastic theory
valucj. is inappropriate and that stresses cannot be easily
calculated since many variables are operating.
1.8 In Silu State of Stress
1.9 Interstitial Water in Rock Masses
?he Swiss geologist Heim (1878) observing the
behaviour of the rock masses in tunnel excavations, Water is generally present and stored in the rock
suggested that the horizontal component of forces masses and when hydraulic gradients exist, the intersti-
actin;!, in tunnel is of the same order in magnitude as tial water percolates through pores and other structu-
the ~11:rticalcomponent. The natural state of stress ral discontinuities producing hydraulic, mechanical,
that cxists at a point within a rock mass is a function physical and chemical action inside the rock. Under-
of' all the previous geological processes. The material ground water is normally under pressure which jncrea-
properties under long-term loading and the actual ses with depth. Such water pressures are important
factors in the behaviour of rock masses and their varja-
tion causes changes in the stress in the rock material
itself thus affecting rupture and deformations of the
crust and the performance of the foundations of struct-
ures. Brace and Byerlee stated that there is a great
deal of evidence that the law of effective stress holds
for many rocks. Handin and others also observed that
there is no difference in the ultimate strength under
triaxial condition for various rocks with or without
pore pressure, if interpreted in terms of the effective
stress. However, Heard found lhat the strength of
Solenhofen limestone was practically independent of
pore pressure.
It is observed that most rocks show lower strength
when saturated with water. Several investigators obser-
ved that limestone and mudstone, etc., expand when
soaked with water. A sample when saturated exhibi-
ted a swelling pressure of 60 kg/cm2 in one directjon
and only 30 kg/cm2 in a perpendicular direction (as
measured on a special odometer) before the rock dis-
integrated. A substantial drop of the Young's modu-
lus and compressive strength has been observed on
some rock samples. From studies of the effect of
absorption of water in Griffith cracks, Feda concluded
that the decrease of compressive strength and modulus
of elasticity from dry to saturated rock samples is
explained by the internal decrease of energy in the
surface of the cracks due to the absorption. The pro-
blem of the swelling pressures of minerals (specially
clays), inside joints of rock masses due to saturation,
is an important factor in the stability of tunnels and
rock slopes.
of the overburden and possibly because of stresses
of tectonic origin. Further, an underground opening
will produce stress concentration in the surrounding
rock if the stresses in the surrounding rock exceed its
strength, the opening will fail either by frac~uringor
by deforming more than some tolerable limit. Most
competent rocks fail by fracture, whereas .incompetent
types generally fail by deforming excessively. Sub-
stantial support or lining is required to keep the open-
ing in service.
The distribution and magnitude of the stresses due
to a single opening in massive elastic rock can be
approximated by means of elastic theory, assuming
(i) massive rock to be linearly elastic, homogeneous
and isotropic, and (ii) the opening is in an infinite
medium, this condjtjon being satizfjed jf the distance
from the openicg to an adjacent boundary is greater
than three times the dimension of the opening in the
direction of boundary. According to elastic theory,
by Equation (23),
where, m = a constant =
(&)
Three types of stress fields have been considered,
i.e., m=O, 113 and 1. The state of stress represented

Rocks in earth's crust alter with time. This is due

to chemical decay in the presence of'ajr, water ol other
agents or dissolution of certain constituent minerals.
The process is normally accelerated with the opening
of microfissures which multiply the area available to
the weathering and to the passage of nater. Chemical
reactions which cause alteration of rocks are exrremely
complicated.

It has been observed that if the flow of water thro-

ugh. capillaries or mjcrocracks of rock samples remains
constant and removal of particles is small, the rock has
a low alterability.
However, any decrease in permeability may be
attributed to the blocking of the capillaries by eetrai-
ned particles or to the swelliiig of clay minerals and
his means that the rock is alterable.
1.10 Stresses around Openings in Rock
If the stress distribution in the rock surrounding an
underground opening is not affected by other surfaces
FIGURE 1.4 : Boundary-stress concentrations for a circular
or underground voids, it is considered to be a single hole in a biaxial stress-field (after Leonard
opening. All underground rock is under stress because Obert).
 Stresses around a circular hole are independent of
elastic constants of the material and the radius of the
hole.

Figure 1.4 shows the tangential and maximum

shear stress distribution on the boundary of a circu-
lar opening for stress fields corresponding to m=O,
113 and 1 . For m=O and O = 180" o0/S, is 3, and for
0=270° it is - 1. Thus for applied compressive stress
+
of S,, the maximum tangential compressive and tensile
boundary stresses are +
3 S, and - S, respectively.
For m = 113 the maximum stress concentration is 28 at
8=0° and O= 1 80°, at 0=90° and 270°, oOJS, is 0. For
m = l , the stress concentration is 2 for all points on
the boundary of the circle. a 8 is the tangential stress
and 0 is polar co-ordinate, horizontal axis represents
8=O0. The maximum shear stress occurs in a direction
at 45' to the tangent at any point on the boundary of

FIGURIS 1.5 : Boundary-stress concentration for elliptical

holes in a biaxial stress-field (after Leonard
Obert).

by m.=O might occur at shallow depths and/or near

verl jcal free surfaces. The state of stress by m= 113
might occur at a wide range of depths and corresponds
to the: condition of no lateral constraint in a rock
h a v i ~ ~agPoisso~i'sratio of &. The state of stress corr-
espoliding to nz= 1 might occur at great depths or in
semi .viscous or plastic rocks.

1.10.1 Circular Opening

For convenience the magnitude of any of the stre-

sses near ].he boundary of an opening is expressed as
a ratio of the stress at a point to one of the applied
siresjes. This ratio is referred to as the stress concent-
ration. A positive stress concentration means that
the stress a1 a certain point has the same sign as the
apph:d stress. A negative stress concentration means
the stress at a point has a sign opposite to the applied
sl.ress. The maximum positive stress concentration FIGURE 1.6 : Boundary-stress concentration for ovaloidal
and the minimum negative stress concentration are hole in a biaxisl stress-field (after Leonard
called critical stress concentrations. Obert).
the circular hole. The stress concentratjon curve (iii) The hydrostatic stress-field m = l produces
r,a,/S, is also given in Figure 1.4 for m=O and 1. maximum stresses on the horizontal axis for
W,/H, ratios greater than 1 and on the verti-
1.10.2 Elliptical Opening cal axis for W,/H, ratios less than 1.

The distribution around elliptical openings have 1.lO.3 Ovaloidnl Opening

been derived theoretically for various major t o minor
axis ratios. These stress distribution, like those for
circular openings are independent of the size of the
opening and the elastic constants of the material.
Figure 1.5 shows the boundary stress distribution
curves for ellipses with width and height ratio W,/H,
of 4, 4,2 and 4 for applied stress fields represented by
m=O, 113 and 1.
These curves show
The tangential boundary stress distribution for the
stress-fields represented by m=O, m = 113 and m= 1
and for Wo/H,ratios of i, 3 , 2 and 4 is given in Figure
1.6. Unlike elliptical openings the maximum boundary
stresses around approximate ovaloidal openings do not
occur on the axis of the openings, but are shifted
towards the junction of the semicircular end and the
straight side. For the uniaxial stress-field nz=O, the

(i) For the uniaxial slress-field m=O, the maximum

stress concentration at the ends of the horizo-
ntal axis increases as the W,/H, ratio increa-
ses, whereas the stress concentration at the
top and bottom of the opening remains cons-
tant at a value of (-I), signifying tension
when the applied stress is compression.
(ii) For the biaxial stress-field rn= 113 the bound-
ary stress concenlration at the ends of the hori-
zontal axis increases with the W,/Ho ratio and
the stress concentration at the ends of the
vertical axis changes from large positive values
to small negative values.

FIGURE 1.8 : Boundary-stress conceutrations for rectangular

FIGURE 1.7 : Boundary-stress concentration for a square holes with rounded corners ratio of fillet radius
hole ia bjaxal stress-field (after Leonard to short dimension 1 to 6 (after Leonard
Obert). Obert).
maxirnum slress concentration along the sides of the
open~ngincreases with the width-to-height ratio.
For all Sour width-to-height ratios, the stress con-
centr;~lionat the top and bottom of the opening rema-
ins a,:)proxi~natelyconstant at a value of (-1). For a
b axid str1:ss-field represented by in= 113, the boundary
stress concentration on the sides of the opening increa-
ses wl,ththe width-to-height ratio and the stress conce-
n.ration a. lhe top and bottom of the opening changes
from small positive values to small negative vdlues.
The 11 ydrosl atic stress field produces m.iximum stress
conct:ntration on the sides of the opznins for width-to-
heigl~tralios greater than 1 and on the top and bottom
for c~idth-to-heightratio less than 1. The position and
magnitude: of the critical stresses can be ascertained
from these curves.
opening with an increase in its dimensions results
from r he Fact that as these dimens~onsincrease, the
prob~bllityof intercepting a mechanical defect in the
rock, such as a joint or fault, increases; hence it is the
strength of the rock rather than the stress that
is affected by opening size. In the process of increasing
the opening size, the first manifestation of failure is
usually enlarging the loosening and ultimate falling
off of pieces of rock from sidewalls and roof, some-
times referred to as slough or spall. This mode of
failure is strongly affected by gravity and in many
instances it can be prevented by rock bolting. As the
dimensions of the opening are increased the magnitude
of these failures will most likely increase and to such
a degree that they may become the factor that limits
its size. However, only in rare instances has successive
sloughing led to a general collapse of the opening.

1.10.4 Rectangular Opening wirh Rounded Corners 1.11 Stability of Rock Structures
The tangential boundary stress distribution around a 1.1 1.1 Design Aspects
squ:lr.e opening with rounded corners is shown in
Figure I .7 for stress-fields represented by m = O , m--- 1/3 In the engineering evaluation of structures in rock
and m= I . It may be noted that unlike a circle, the it is necessary to assign numerical values to a maximum
nmxi~nun~ compressive stress concentration occurs for number of probable variables. Usually the principal
a hydrost3t ic stress-field, whereas the minimum comp- variables of concern are the magnitude and direction of
ressi-ie stress concentration is developed by uniaxial pre-existing stresses and other properties of rock.
s1,res;-field. However, the latter stresc-field produces
tension at the top and bottom of the opening. BecC~use rock properties generally are determined
111the labaratory under a state of stress different from
'I'he tangential stress concentr,ition on the boundary that in the field, a criterion of failure may be required
of r,:ctan;;ular opening with rounded corners, with to relate the values determined in laboratory and in
W,/l4,, ratios o f f , 9,1, 2 and 4 and for stress-fields situ. Also because of uncertainties and unknowns, a
rcptwented by m= 1, 113 and 0 are shown in Figure safety f x t o r should be employed that is consistent with
1.8. These distributions. were determined pholoelasli- the prevail~ngexperience and the type of structure. For
call) by Duvall. instance, the structure for military purposes is designed
for a high degree of safety over a long life time as
I'he fact that the stress distribution around an compared to a mine which will remain open long
oper,ing of a given shape is independent of its size is enough to remove the minerals safely. Unfortunately,
oftell mistakenly interpreted as implying that the s ~ a b i - the time dependent properties of rock and the
lity .d the opening should be independent of its size, a
conc lusio I that is manifestly inconsistent with mining
experience. Rather, the increased instability of an

IilGUKF. 1.9 : Diagram illustrating the inclination q3c of FIGURE 1.10 : Greatest height H of a rock cliff. The rock
the critical slope B-B in stratified rock cohesion C is not negligible (afterTerzaghi,
(after Terzaghi, 1962). 1962).
mechanism of failures in inelastic rock are not suffi-
ciently understood so that a design can be formulated
on this basis.
1.11.2 Stability of Rock Slopes
Heim in 1932, published his findings in systematic
ways. He considered both (i) slowly progressing slides
and (ii) rapidly accelerating slides. Accordmg to
Terzaghi, all intact and jointed rock m m e s with
effectwe cohesion have the mechanical properties of
brittle materials. Failure of brittle materials starts at a
point when thes hearing stress r becomes equal to shear-
ing resistance T,. The shearing resistance T, at a given
point of a potential sliding surface in porous and
saturated material is given by the well established
empirical law.
r, = c f (o-U) tan 4 ...(24)
where, c = effective cohesion,
o = normal stress, and
u = pore pressure.
Stresses on the surrounding rock masses increase
and progressive failure occurs by brittle shear fracture.
If the rock has a random pattern of jointing, the
shear resistance equation is valid for any section in
any direction. The critical slope angle decreases
with the increasing height of the slope, but +IG remains
larger than+. In regularly jointed rock the value of
+'c depends on the type and degree of interlock between
the blocks on either side of the sliding surface. The
effective cohesion of the rock mass is smaller than that
of rock material and because of progressive failure 'c'
tends towards zero. So i t is safe to assume cohesion as
zero. In unstratified jointed rocks, viz., granite, marble,
etc., the critical angle for slopes, with underlying hard
rock masses with a random jointed pattern, is about 70°,
provided seepage is not acting upon the walls of the
joints.
Stratified sedimentary rocks have no cohesion
because of the presence of bedding and cross joints.
The cohesion across the joints between all the blocks
of each layer is zero. The stability of a slope will
depend primarily on the orientation of the bedding
planes with reference to the slope. Cross joints are
assumed to be staggered and perpendicular to the
bedding joints. If the bedding planes are horizontal,
no slide can occur; and the critical slope is vertical.
In stratified rocks if the bedding planes dip into
the mountain at an angle a, and the line A-A cuts the
rock mass (Figure 1.9) at an angle (90"-a) to the
horizontal no failure could occur along planes A-A if
(90-a) < #.
If the cross joints are parallel to A-A but staggered,
the position of the critical slope depends on the average
value of ratio C/D between the average length of the
offset C between cross joints and the average spacing D
between bedding joints. For any value of a smaller
than (90"-+) the critical slope angle is equal to that of
the line B-B and at a given value of a the critical slope
angle increases with increasing values of the ratio
# l o
C / D and at a given value of C / D it decreases with
decreasing value of (90"-a) until (90"-a)=+=30°. At
this point the critical slope angle abruptly increases to
90" because the slope angle of the cross joints becomes
smaller than the angle of friction +=30° along the joints.
However, as (90"-a) further decreases and approaches
90" the danger of a failure by buckling of layers located
between bedding planes increases. Cohesion along the
bedding joints increases the slope angle for any value of
a smaller than (90"-+). If the stratum is steeper,
cohesion practically eliminates the possibility of a
failure of the exposed stratum by buckling.
If the bedding plane dips towards the valley
(Figure 1.10) at an angle smaller than the angle of
+
friction = 30°, the critical slope angle is 90". For
values of a greater than 30" the critical slope angle is
equal to a. If the slippage along bedding joints is
resisted by effective cohesion 'c' in addition to friction,
the steepest stable slope is no longer plane. It will be
vertical up to a certain height H and above it the slope
will rise at an angle a. If y is the unit weight of
rock, the driving force along a bedding joint through
the foot of the slope is, Y H Cos a Sin a per unit area
of bedding joint and the resisting force is
C + Y H Cos2 a tan +
Hence the vertical height of the slope to be stable
should be
C
H<- .. .(25)
Y Cos a (Sin a-Cos a tan +)
An increase in height of the vertical slope would be
immediately followed by a slide along the bedding
plane B-B through the foot of the slope.
1.1 1.3 Subsidence and Caving
Sometimes underground openings close as a result of
gravitational or tectonic forces. A part of closure results
from elastic deformation, some from inelastic deforma-
tion and in many instances a substantial part of the
closure is due to the fracturing of the overlying rock
which falls into the opening. These effects, collectively,
tend to produce a lowering of rock overlying the
opening and t h ~ sprocess is referred to as either subsi-
dence or caving.
(a) SUBSIDENCE
The first manifestation of subsidence may be con-
vergence of the walls and roof of the valley or a
succession of local failures in the rock surrounding the
opening. This phase of the process is termed sub-
 wrfac e subsidence, as opposed to surface subsidence,
which causes a depression in the overlq ing surface.
Sub-~urfacz subsidence is largely an uncontrolled
process.
It i i a fcrrn of sub-surface subsidence but the term is
restricted to a process where either both the rate of
Fa~lur:or the area over which the failure occurs is at
least partially controlled by the mining method.
'Wherr.as sub-surface subsidence is primarily a result of
the gi~tvitatianalforce acting on the rock surrounding
or overlying an opening, caving may, in addition, be
induced or encouraged by other means such as blasting
Dr by producing local stress concentrations.
Thus subsidence and caving depend on both the
t irne.dependent and time-independent characteristics of
~ h rcck
c and on the stress conditions created in the
rock by the geornemy of the opening or the method of
mining. Because of the wide variation in rock pro-
13erties and in methods of mining there appears to be
,I liunlber of different subsidence rnechan~sms,four of-.
which are identified as trough subsidence, sub-surface
cavir~p,plug caving, and chimneying (sometimes called
piping or funnelling). There are no completely
:;a1 isfactory mathematical or empirical theories that
c:xpla~nany of these mechanisms and even if theories
existe.1 the mechanical characteristics of large bodies of
rock are so approximately known that quantitative
ev~luatiouof these processes could not be made.
1.1 1.4 Rock Bursts and Btirnps
( u Rock burst is defined as any sudden and
violet11 expulsion of rock from its surroundings, the
pheno menon resulting from the static stress exceeding
!.he s~3ticslrength of the rock and the result being of
s,u;ficient magnitude to create a n engineering problem.
Seismic energy is generated and radiated outward in
all directions when a rock burst occurs Obert and
lhvall used micro-seismic methods to predict rock
bursts. The rock bursts that occur in or near working
areas creaie major engineering problems since the
exlent of the rock breakage may range to several
thousand t onnes or more with explos~ve violence.
lJsually smaller bursts occur in openings of limited
size such as tunnels, development drifts or shafts,
whereas, larger bursts are more likely to happen in
ex1 ens rvely mined areas. In addition, many bursts
occur in worked-out and usually abandoned parts of
mines
Bolh, severity and frequency of rock bursts inc-
rezje with depth and the cause c f this increase is
usually atfrrbuted to the increasing weight of
the overlying rock and correspondingly the
increasing strehs in the rock with depth. However, the
~vergh~ of the overl~lingrock is not the only force that
can contribute to the cause of rock bursts.
Minor rock bursts have been reported in com-
paratively shallow mines, i.e., at depths less
than 300 m. Undoubtedly, these near surface bursts
are primarily the result of tectonic forces acting in a
direction approximately parallel to surface. The strain
energy that can be stored in the rock has also been
considered as some measure of the tendency to bursts
that is the higher the maximum strain energy that can
be stored in a given type of rock, the greater are the
chances of the rock bursting.
(b) A bump is defined as a strong seismic shock
resulting from a failure or a sudden displacement at
some point in the rock surrounding an underground
opening. The failure may be the shearing of an
overlying stratum or the displacement may occur along
an existing fault. Usually the focus of the d~sturbance
is only roughly known. The seism~c shock may
manifest itself as a thud or sharp audible report
accompanied by a ground motion strong enough to
cause partially detached rock in the roof or. on the
walls of openings to fall.
1.12 Treatment of Rock for Better Performance
1.12.1 Rock Bolting
Rock bolting is used to reinforce and support
partially detached (loose), thinly laminated or otherwise
mcompetent rock that would be subjected to failure
under the action of gravity. Rock bolting is superior
to other methods of reinforcing or supporting local
areas of rock in several ways. In some instances,
underground structures that would not be serviceable
if the surface rock is not stabilized and that would
become too costly if supported with lining, etc., are
made serviceable within economic limits through the
use of rock bolting.
Some o f t h e advantages of rock bolting are the
following :
(i) In coal mines or other flat-bedded mineral
deposits, the cost of supporting mine roof with rock
bolts is comparable with the cost of timber supports.
However, rock bolting is more permanent and so main-
tenance costs are reduced. (ii) Because rock bolts are
less subjected to damage from blasting or other mining
operation than metal or timber props, bolting can be
installed close to the working face. Whereas timber
supports usually interfere with underground
haulage and the movement of machinery, rock bolts
do not. (iii) In large mine openings or in industrial or
military installations, timber support is usually imprac-
tical and the cost of lining or steel sets or arches can
become prohibitively costly. In this type of opening
rock bolts may prov~dean effective means of reinfor-
cing surface rock in both laminated and the jointed or
fractured forma~ions. The fact that rock bolting is
elatively permanent and requires a minimum of
maintenance makes this technique specially suitable ( b ) does not require heavy axial loads,
for all installations designed for a long lifetime. (c) employs mechanically robust drill,
1.12.2 Other Methods (d) very slow penetration rate, and
Depending upon the exigencies of a situation
various other methods may also be employed for imp- (e) is an inefficient method of breaking rock.
roving rock masses. Pressure grouting is the technique (ii) Rotary drilling,
of injecting a fluid grout into the rock mass so that all
air or water in the fissures and cracks will be replaced (a) is limited to use in soft and medium-
by a set product which will inhibit leakage of water hard rocks,
through the mass and may provide added strength.
Cable anchoring is similar to rock bolting where the (b) requires heavy axial loads,
loosened rock mass is supported by holding it to the (c) employs structurally weaker drill bit I han
untensioned zone beyond. Cables are normally consi- that for impact,
derably longer and can, therefore, support a much
greater volume of rock. ( d ) under suitable conditions, is capable of
high penetration rates,
1.13 Comminution
(e) approaches a continuous cutting cycle,
The hypothesis advanced by Livingstone is that
failure is dependent on energy transfer depending upon (f) is more efficient than percussion drilling,
and
the characteristics of the explosives and solids through
the strain energy range, the shock range, the fragmen- ( g ) can not be used in abrasive rocks.
tation range and the air blast range.
1.13.1 Rock Drilling Penetration rates for different types of drills can be
compared in Table 7.6.
Although millions of feet of rock is drilled annually, TABLE 1.6
the bas~c mechanism involved is not well understood
because the basic principles of rock failure are not Drilling rates.
known. There are three basic methods of breaking the
rock (i) a percussive action, (ii) a rotary action, (iii)
a combined rotary percussive action. Rock type Drilling system Penetration
rate (cn~/min.)
A percussive drill applies a force perpendicular to
the rock surface and the bit moves into the rock, for-
ming a crarer beneath it. A rotary drill applies a cons- Sandshale I'ercussion
tant thrust 10 the bil while a torsional force moves
the bit parallel to the rock surface, breaking the rock Rotary
ahead of it. A rotary percussive drill applies both, Combinalion
a rotary force and a percussive force to the bit which
moves into the rock.
Sandstone Percussion
The commonly used drills can be classified as : Rotary
(i) Rotary-drag, diamond, Combination
(ii) Percussive-hammer, piston, churn, and Very hard Percussion
sandstone
(iii) Combination-rotary percussive, roller. Rotary
Fairhurst and W. D. Lacabanne summarize the chara- Combination
cteristics of pure rotary and pure percussion drilling
in the following statements and then argue that rotary
percussion drilling tends to eliminate the major The successful design compromise resulting from
disadvantages of each, while retaining the main advan- the use of rotary impact drill, is evident from the above
tages. table.
(i) Impact drilling (percussive drill), Apart from slow rate, another major disadvantage
in percussion drilling is, that it disturbs the existing
(a) can be used in most rocks, geometry of the rock.
 Ap:lrt From these a large number of exotic drills
nrhich do not use conventional bits have been proposed
anc tr:,ted. These may be classified according to the
n a y they remove rock ; mechanical, chemical, thermal
spalli~~g, fusion and vapourization, etc. Although many
of exol ic dr~llshave only limited potential at this time,
they sliouIc[ be considered as new technology and
ilnprolred equipment for future developments.
1 1 1.2 A r ~ g kDrilling
Al~gledrilling almost unknown till 1960 has become
very pl-~pularnow-a-days. It is an excellent tool t o cut
CIXI 01' drilling and blasting.
1.14 Needed Research
Bas c research should be carried out to under-
star d the phenomenon of rock failure under
various conditions of stress and strain. The
modes of failure (whether brittle or elastic)
shoilld be observed by varying stress and strain
direclions, rates, etc.
Studies should be carried out on Indian rocks
for their general engineering properties such as
d u r , ~ l d i t yindex, hardness, elastic properties
and abrasion resistance, etc. An engineering
classification of the common rocks available in
Ind a may be established on the basis of these
stuclies as indicated in section 1.4.
Stu31esshould be conducted to understand the
mechanism of rock drilling. Photoelastic and
stress analysis studies of the geometries and
loaaing conditions present around the drills
m%ybe conducted to provide insight into the
dr~l'ingmechanism. Drilling test in transparent
brittle materials would be helpful in visual
inspection of the working of drills. Such studies
would enable more scientific approach to the
design and use of drills and bits.
Stuhes should be conducted for rationalimtion
of elastic modulus from load deformation
curves. A large number of plate bearing and
flat jack tests are needed to be carried out. Each
test should contain a number of loading and
unloading cycles with the incremental load per
cycle varied systematically, because the rock
usudly stiffens appreciably after first few c j cles,
p r o x ~ b l y due to closing of cracks. Different
in\t.stigators recommend determination of
elastic properties f r o n ~these curves in different
wa) s. Hence more research is needed in this
field.
An attempt should be made on theoretical as
well as on experimental basis t o correlate the
elastic properties of rock material (cores) and
rock mass, taking into account the frequency
of joints This will help in assessment of elas-
tic properties for jointed rock mass by deter-
mining elaslic properties for rock cores in the
laboratory. Model studies may be useful in
this regard.
Studies should be conducted to establish some
correlation in static and dynamic modulus of
elasticity for rock mass, so that seismic methods
may be effectively used in the field to deter-
mine elastic properties for design purpose.
Studies should be conducted to investigate the
dynamic behaviour of rocks in respect of exca-
vation projects and stability of highways and
railways slopes.
Studies may be conducted in the field as well
as in laboratory to find the extent to which the
various properties of foundation rocks may be
improved by the several available or new
me1 hods of rock treatment.
Studies on stress analysis of rock foundations
by finite element method may be carried out
to understand the behaviour of foundation
rock of various types under varying loading
conditions.
As already pointed out in section 1.5.4, the
insfrumentation for observing the behaviour
of 1 he rock structures and interpretation of the
results w ~ l l promote improvement upon the
available and development of new instruments
and methods of tests.
It is felt that for rock mechanics technology, which
is developing fast, it may not be possible to write a
manual which is absolutely upto date. Constant
efforts will be required for improvement and perfect-
ing the techniques as more theoretical and technical
experience in the field of rock mechanics is gained.
The mutual understanding between engineers and geo-
logists 011 requiiement. possibilities and lin~itationsof
the respective sciences has to be carefully cultivated.
It is believed that the engineering, geological termi-
nology. which would be fully understood and practised
by both engineers and geologists, is essential for
further development of rock mechanics. In this res-
pect continuous interaction between research stations,
rock mechanics experts, designs and construction
agencies is of prime importance.
 ROCK MECHANICS -LABORATORY TESTS
2.1 Introduction
Materials can exhibit ductile or brittle behaviour.
Ductility implies fracture only after appreciable flow,
the flow occurring by shear within the microstructure of
the material. Brittle fracture may be defined as tensile
separation with little or no plastic flow, occurring more
or less suddenly. The main distinction between soil and
rock is that of this "brittle" property. Rocks also
tend to be more heterogeneous, as compared to the
soils and generally show very large scatter in any
property that is determined in a given suite of rock
specimens. Consequently, much greater number of rock
tests are needed for determining any particular properly.
In rock mechanics, it is of importance, as well as of
necessity, to consider two methods of testing namely
( i ) in situ large scale testing of rock masses, and (ii)
laboratory tests of small samples collected or prepared
from rock masses. The former endeavours the direct
determination of the properties of in situ rock masses,
while in the latter the properties are determined for
intact rock materials only. Although it is the rock
mass that is of more importance, due to the excessive
cost and immense labour involved in performing the in
situ tests, the latter method of testing small specimens
in the laboratory is more in practice.
This chapter briefly describes some of the impor-
tant laboratory tests for rock in the order of priority
that may be necessary to estimate the properties for
safe design of rock structures. The aspects regarding
the necessity, significance, application and the Iimita-
tions of these tests are also discussed. The following
are the tests discussed in the subsequent sections :
porosity,
hardness, drillability and durability,
pulse velocity,
deformability, and
strength.
2.2 Porosity
Geologists may lay emphasis on the solid consti-
tuents of rock, while for engineers, pores, cracks and
fissures are of greater mechanical significance. The
latter are the weakest rock components and play a large
part in determining the strength and deformabilily. The
pore space characteristics in the fabric of rock material
causes its strength to decrease and its deformability to
increase. It has been reported by Sriva~tava(~) that
crystalline igneous rocks show a much greater reduc-
tion in uniaxial compressive strength as compared
to sandstone, quartzite and slates. The information
on the porous nature of rocks is extremely useful if it
is to serve as a guide to mechanical performance. Sand-
stones and carbonate rocks in particular occur with a
wide range of porosities and hence of mechanical be-
haviour. In the case of igneous rocks, porosity data
can provide valuable information to their state of
weathering. The observations on the importance of
porosity as made above apply equally to unit weight
of rocks.
The dry density of a rock material is directly re-
lated to its grain unit weight and por~sity.As the rock
types generally have more or less similar value of grain
density, the porosity and dry density would be well
correlated. A low density rock is usually highly porous.
It would often suffice to quote only the values of
porosity alone, but for a more detailed and complete
description both the values for porosity and density
need to be given.
Unlike soil, all the pores, cracks and fissures in
rock are seldom connected. All porosity measurements,
unless determined by pulverising the samples, give
apparent porosity and not the total porosity. For deter-
mining the 'total porosity', the rock specimen should
be pulverised to a mesh size below that of the average
grain size and the final volume as obtained by displace-
ment of toluene or some other inert liquid should be
used for its calculation. Several methods are available
for determining porosity, density and the related para-
meters. These have been described in many text books
and following is a summary of the available methods.
The basic measurements needed are grain weight (dry
specimen weight) and two of the following : bulk
volume, pore volume and grain volume.
(a) Bulk volume may be determined by :
( i ) Calculation from dimensions of a regularly
shaped specimen.
 (ii) Displacement of mercury (non-penetrating).
(iii) Displacement of water, the specimens hav-
ing been coated to repel water.
(iv) Archimedes principle :
Upthrust = saturated weight in air satu-
rated submerged weight.
= vol. of specimen (suitably
corrected in liquid other than
water).
('1) Pore volume may be obtained by
(i) Waterlliquid saturation method
weight of imbibed waterlliquid
= saturated surface dry weight
- dry weight
(ii) Mercury pump method : Pores are filled
with mercury under pressure and the weight
increase is measured. By plotting the weight
increase as a function of pressure, the pore
size distribution may be estimated.
( r ) Grain volume may be determined by :
(i) Crushing the specimen and measuring the
grain volun~eby fluid displacement
( j ~ ) Boyle's law principle : Grain volume is
calculated by subjecting the specimen to
a pressure increase when surrounded by
gas 111 a container of known volume and
measuring the change in gas volume.
Expel mental techniques described in the preced-
ng paragraph give an accurate value of volumetric
por: content of permeable or total voids. These do not
provide any information on such properlies as the size
, ~ n dconf~gurationof pores. Microscopic examination,
ns well as other techniques such as mercury injection
and pernmibility testing provide useful supplementary
information on the nature of the pores. The porosity
de~.c:rmination for argillaceous and other rocks which
have a tondency to swell or disintegrate when oven-
dncd and immersed. in water may be done with non-
reactive liquids like toluene, paraffin or by mercury
disj:dacernent method.
2.3 Hardness
Har2ness is an approximate measure of the com-
pressive slrength of the rocks and fairly correlates with
driilability(2). The hardness tests can be done with
Rockwell indentation, Shore scleroscope or Schmidt
hammer. The advantage of using these instruments is
thai; a large number of tests can be done quickly.
Although the Rockwell indentation tests have been used
by employing arbitrary scales for softer rocks, it is not
considered very suitable ; and the use of the two equip-
ments, Shore scleroscope and Schmidt hammer, is
recommended.
The Shore scleroscope determines the relative hard-
ness and is expressed as the height of rebound on an
arbitrary scale of 0 to 140 of a small diamond tipped
cup. The hammer falls within a glass tube from a
he~ght of 25 cm on the surface of a rock specimen
(5 cm cube). Twenty readings are normally taken and
averaged to give a Shore number. The Schmidt hamm-
er, originally developed by Dr. Earnst Schmidt, Swiss
Engineer (1948), to determine the compressive strength
of concrete, can also be used for rocks with great advan-
tage and rapidity. The hammer basically consists of
a spring loaded piston which is projected against an
anvil under controlled conditions, the anvil being held
in contact with the surface of the rock to be tested.
The piston rebounds after striking the anvil and the
heighc of rebound, indicated on an arbitrary scale of
0 to 100, is the Schmidt number. The less the "hard-
ness" of the rock, the more energy is absorbed and the
less the rebound height. At least 15 readings are taken
to get an average value. The Schmidt hammer czn
also be used with advantage in field directly on the
rock outcrops.
Miller (') has shown that the uniaxial strength and
n~odulusof elasticity correlated best with the product
of the dry density of the rock multiplied by Shore or
Schmidt hardness reading. These can also be utilised
to predict either the uniaxial compressive strength or
the deformation modulus of rock within 75 percent
confidence limits and are discussed by Hendron, Jr.(l).
For the hardness test to be meaningful the rocks
should be non-porous and relatively isotropic. Besides
errors are likely to creep in due to honeycombing,
scaling, rough textures, etc. However, the tests are
not intended to supplant the regular test but an adjunct
for getting actual strength determined by other methods.
Hardness, as would be anticipated, correlates
roughly with the ease of excavation and drillability.
Drillability and in particular the density or hardness
of a rock is not an index to its abrasiveness. A soft
sandstone wh~chis high in silica may respond to rotary
drill easily but be highly abrasive whereas a dense lime-
stone may be difficult to penetrate, but at the same
time be low in abrasiveness.
2.4 Drillability
Perhaps the best way to measure formation drilla-
bility with respect to rolling cutters is to drill with roll-
ing cutters and measure it. The proposal to move
rotary drills from site to site is just too expensive and
may not be practicable in many situations. Alterna-
tively rock samples can be moved to a drill, but this
again can be expensive if the formations were of the
type that isdifficult to driil through and might give
bit footages of several hundred feet. Rollow(" has
described a test from which drillability can be predic-
ted based on drilling small samples with 3.17 cm
( I &in.) microbit.
Attempt has also been made to classify rocks or
minerals with regard to both the drillability and abra-
siveness factor. When holes are drilled in different
rocks at constant pressure and with a fixed number
of revolutions of the bit, the relative depth measure-
ment of the holes gives an idea of drillability ('J' factor).
The abrasiveness (' W' or Wear factor) is determined by
measuring the test bit in profile on an optical compara-
tor after it has drilled the test hole. The scleroscope
hardness SC factor is mainly applicable when determi-
ning percussive drill speeds and costs. In conjunction
with the 'J' and 'W' a 'Percussive drillability' factor
can be determined.
2.5 Durability
Rock durability is its capacity to resist disintegration
and decomposition. The rocks show widely varying
degrees of durability in terms of the life of he engineer-
ing struclures. The predominantly argillaceous are prone
to swelling, weakening or disintegration when exposed
to short terms weakening processes of drying and wett-
ing nature. The best way to determine durability will
be by making observations of a large number of in situ
rock masses exposed in nature, but unfortunately these
are lengthy and last easily for a number of years. The
tests conducted in laboratory simulate or accelerate
natural drying and wetting process. Many of the tests
are tedious and time consuming. A quick test deve-
loped by Ramesh Chandra(6) and Franklin(7) is
shown in Figure 2.1. This has also been drafted as an
International Standard for International Society of
Rock Mechanics.
A sample of ten representative rock lumps, each
weighing 40-60 grams, is oven-dried and placed in the
test drum. The drum is then half immersed in a water
bath and slowly rotated at 20 r.p.m. The fine products
of this slaking process pass through a standard sieve-
mesh that forms the body of the drum. The slake
durability index is calculated as :
dry weight of rock retained in drum
Id= x 100
dry weight of rock before slaking
The index can, therefore, vary from 0, where a rock
completely disintegrates, to 100 where no disintegration
takes place. The test allows for variations in the slak-
ing fluid (salt water, acid and sodium hexametaphos-
phate, etc.) to meet special requirement.
The actual rate of weathering of a rock mass will
depend on four factors, viz., (i) Properties of the rock
material forming the rock mass such as clay percent-
age, permeability and intergranular cohesion; (ii) Pro-
pertles of the rock mass such as jointing and fracture
spacing, ease of access and dissipation of water and
depth of burial; (iii) Properties of minerals; and (iv)
Environmental and climatic conditions in the area such
as changes in temperature, rainfall, humidity and
ground water levels. The last factor is very complex
and uncertain and is likely to vary at different conditions
and at different times of the season. The slake dura-
bility test does not take severity of climate The modulus of elasticity and the Poisson's ratio
into ;iccount and as such c ~ n not directly can be deterrn~ned on rock specimens on a uniaxial
predkt sates of weathering. However, a rela- loading machine. Two types of gauges are normally
tive comp~~rison of the rates of durability of rocks in in use-mechanical and electrical. Mechanical gauges
the same .slirnatic area having more or less s ~ m ~ l a rhave a tendency to slip on curved surfaces (when testing
rack mass properties can be achieved by examination cylmdrical samples) and for using mechanical gauges
of' the rock mlterial properties forming it; to this cub~calsamples are more desirable, as these provide
exteut, slake-durability tests can be employed. For flat surfaccs for determining deformation. If not
assessment of long-term durabil~ty other weathering properly bonded eleclrical gauges may give erratic
agent:; like chem~cal and biological f a t o r s become reddmgs. If bendiug stresses occur due to non-axialily
irnpaAtantand can be assessed only by visual examlna- of the lodd, it can be detected as a difference in strain
tion,, readmgs on the opposite sides of the specimen.

2.6 Pulse Velocity
The pulse velocity depends upon the rock
propcrties such as deformat~on modulus,
density and Poisson's ratio and 1s strongly
affected by f x t o r s like porosity, joint~ng, wster
satur.rtion and state of stress. The longitudinal or
corny-essional wave (P-wave) velocity in the overburden
is of rho order of 250-1,800 m/sec while in different
rocks it varies from 460-6,160 mlsec (').
The values of deformation modulus csn be calcula-
ted if the value of Poisson's ratio is known or assumed.
It has been pointed out by Onodera (') that the varia-
tion in Poisson's r'ltio over the usual rdnge from 0.27
to 0.35, for hlrd to mxierately hard rocks, has little
effect in the value of E for practical purposes. Evison
(lo) has, however. p ~ i n t e d out thlt this mcthod may
not be very correct for rocks having velocities less than
3,000 mlsec. Comparison of this velocity wich that
of in situ field velocity provides a clue to the extent of
jointing, 1i;icturing and weathering. It also provides
information on the relative strength of rock materials
and rock masses. The weak homogeneous rocks and
lightly jointed rock formations both tend to give lower
seismic velocities in field, but with the help of labora-
tory iests on solid rock simples, it is p3ssible to dis-
criminate between them. In case, the different samples
of the same rock type give different values of P-wave
velocity, a clear variation of the parosity c.in be antici-
pated and investigated in detail.
There is some evidence (although not very conclu-
sive) that for rocks there is some direct relationship
betwzen uniaxial compressive strength and modulus of
deformation (I1) ( I 2 ) . Another application of this
is be~ngdone in determining the rippab~lityof the rock
t~rpe:,without blasting of the surface rocks (I3).
2.7 Deformability
Curves of axial and lateral strain (X-axis) against
stress (Y-axis) are plotted from data obtained during
loading of the speclmen to approximately 213 of its uni-
axial strength and unloading. After the first cycle, the
uniaxial strength alongwith failure strain is determined
by reload~ng~t to fadure. The stress-strain curve for
this second half cycle is also recorded on the plot for
the first cycie for the purpose of comparison. The
tangent to the axial strain curve is drawn corresponding
to stress value equal to 50 percent uniaxial strength.
Tangent Young's modulus and Poisson's ratio are
determined at this point.
Testing machines are normally provided with a
spherical seating to the upper bearing block to avoid
eccentricity of loading. The non-linearity and irrever-
s i b ~ l ~ tofy the curves is due to the presence of voids,
inherent open cracks and closed cracks of different
sizes and random orientations. The initial part of the
curve is due to gradual closing of the cracks and the
later part has been attributed to the surfaces of these
and other closed crdcks sliding past each other(l4).
The initial slope of the stress-strain curve, at the start
of unloading is steeper and gives a measure of the
modulus when most the cracks are closed. It is
interesting to make a plot of volumetric strain also
corresponding to the axial stress. Some rocks show
dilation at increased levels of stress. For example, some
marble rocks show such trend and behave differently
from sandstone.
The modulus of elasticity as obtained in the labora-
tory is likely to be greater than the deformation modu-
lus of the in situ rock m m which would have been
obtained from the field tests in the immediate vicinity
from where the samples were taken. This is due to
the presence of fissures and discontinuities; and the
extent to which it w11l be less will depend upon the
frequency, continu~ty and tightness of the joints, as
well as upon the nalure of m~terialfilling the joints.

?'he deformability of rocks is useful in determining
the stress distribution in rock structures. These are of
importanc:e in the context of foundation movements,
desi~;nof arch dams and in the design of linings and
supports for tunnels and underground excavations.
The n o n - h e a r and irreversible behaviour of r o c k is
also of importance.
Only relatively stronger samples survive as core
samples. These samples would generally be free from
discontinuities and are likely to glve higher results, i.e.,
they establish an upper bound for the rock mass.
These values if used in (i) evaluating foundation settle-
ment or (ii) design of deep excavation are likely to give
lesser deformations than which will actually occur in
the in situ rock mass. To account for it, either an where, W is the failure load, D the diameter and L the
appropriate reduction factor based on experience should length of the clyinder.
be used or actual values as determined from the in sltu
tests should be used for design. Although the above tests are very quick, they suffer
from a serious disadvantage, due to very high stress
2.8 Strength gradients occurring at the points of application of load.
It is to be stressed here that for practical engineering
A study of the strength of rock enables an assess- purposes an accurate determination of tensile strength
ment of the stability of a structure to be made or at is not very necessary or justified due to large variation
least, since fractured rock is not always unstable, zones in the values of tensile strength observed in a
o f potential failure can be outlined. The two maln given suite of rock specimens, when tested with
types of strength measurements that are done for rock conventional test. In addition, the directional variations
are (a) tensile strength, and (h) compressive, triaxial and leading to anisotropy are large in metamorphic
shear strength. and thinly bedded sedimentary rocks. An assumption
of tensde strength equal to 5 to 10 percent of uniaxial
2.8.1 Tensile Strength compression strength is often made in design of struc-
tures and for other engineering problems. This can
The direct tensile strength tests consist of cement- be checked easily with indirect point load test men-
ing the ends of a cylindrical specimen with an epoxy(15) tioned above.
to flat caps and applying the tensile load through flexi-
ble cables. It must, however, be ensured that the 2.8.2 Conzpressive, Triaxial and Shear Strengths
applied tensile load is uniformly distributed over the
end of the specimen and parallel to its axis. It is
Compressive strength is an important property of
known that the rocks contain places of weakness, cracks the rock. Some of the points that need special mention
and other defects and failure usually occurs at the point are : (i) length to diameter ratio, (ii) planeness of the
of these defects. These factors often cause a large devia- bearing platens, (iii) function of the spherical seating,
tion in strength measurement on a group of specimens. and (iv) rate of loading. It is usual to keep length to
As the length of specime~r increases, the probability of diameter ratio of the sample as 2:1 to ensure a fairly
including weaker defects also inceases and i n view of
this, samplzs of length greater than 10 to 12 cm in uniform stress distribution and to increase the possi-
bility of the failure plane being free to form without
length are not recommended for this type of test. intersecting the testing head. Corrections as suggest-
ed by Obert and Duvall(2) can be applied for samples
It is necessary to saturate the prepared rock samples
in laboratory for undertaking engineering tests like having of end
different length to diameter ratios. Parallelness
surfaces should be within i lo. The diameter of
strength, deformability, etc. It is a common practice
to keep the rock samples under water for 72 hours. the spherical head should be larger than the diameter
Degree of saturation can be increased by employing a of specimen.
vacuum pump. A vacuum of about 1 terr (I mm) is
achieved by continuous operation of vacuum pump for A loading rate of 40 to 400 kglcrn2lmin. is found
about 4 hours and is cons~dered sufficient for deairing generally suitable. The specimen should be surface
and saturation of rock samples. dried after immersion in water for 24 hours. It would be
of interest to note that direction of bedding planes with
The above method of determining the tensile strength
of rock requires the preparation of a regular specimen
which is tedious, time consuming and expensive. It is
in this context that the strength evaluation from irregu-
lar lumps has gained importance. If an irregular lump
of rock is crushed under load (P) along the least
dimension (d), it has been found(16) that the equation
of G, = 0.9 Pld2 represents the tensile strength. The
constant 0.9 varies slightly but not very appreciably.
The tensile strength can also be determined by applying
a point load(16) across a diameter ( d ) of cylindrical rod
of length (where 1 > 2 4 , the tensile strength is given
by ot = 0.96 P / G , where, P is the load at crushing. In
another test referred to as 'Brazilian test', a cylicdri-
cal test specimen is loaded in compression along a
dimetrix. The failure occurs along the diametrical
plane between the bearing platens largely by tension. Angle degrees

The tensile strength (17)(ls) is given by o, = 2W FIGURE 2.2 : Relationship between bedding plane orientation
x DL . and strength of slate
respecl to d~rection of load is of great importance.
Figure 2.2 s w w s such a behaviour in respect of slate-
after t l o e k ~ : ~ ~It
) . would be seen that the highest
strength of slate can be as much as four times its
lowest strength, depending upon the orientation of the
b1:dding planes to the direction of applied load. An
important p~actical conclusion which can be drawn
from the trend in the figure is that a comparison of the
results obtained from compression tests on cores
drilled normal to and parallel to the bedding planes
does n:)t necessarily determine isotropy of the material.
The coiinpressive strength of specimens drilled normal
to and parsillel to the bedding planes is almost the
sitme and if the strength of the specimen in which the
bedding planes are oriented at 30' to the direction of
applie~:lload is not taken into account, one may be
tempttd to mnclude that slate is isotropic. The extreme
examyle ha; been cited to caution against the dangers
involwd in drawing conclusions from inadequate test
data.
If failure: of a compressed rock occurs, this is
generi Ily the result of the combined action of compres-
sive (c r tensile) and shear stresses, Not only compres-
sive strength but also the shear strength can be found
from the ur~iixial and triaxial compression tests(20). The
direct test fhr shear suggested by Kenty may also be
errployed(21).
Triaxial or shear strength of rock is of importance
in calculatin;; the bearing capacity of the foundations
and the stn:ngth of mine pillars and underground struc-
tures. 'The strength of rock is a function of its confining
stress --It has no unique value.
In case of rock the increase in strength due to con-
fining prewure is more marked than in the case of most
of the materials like steel.
A!; In soils the triaxial tesls are done by applying
constant hydraulic load (o: = cell pressure) to the
lcurvcrl surface of cylindrical specimen in a pressure
(cell a -1d at the same time applying a compressive load
(0,) incrementally or continuously until the specimen
Fails. A ral e of loading between 100 to 400 kglcmymin
is quite statisfactory. The specimen is usually jacketed
wlth ;I rubber or metal foil sleeve to prevent penetra-
tion o f waler or hydraulic fluid into the pore space of
the specinien. It is recommended that a group of
aboui four to six specimens be tested at different cell
press .Ires. The cell pressure should not preferably be
morc than 5 to 6 times the estimated actual lateral
presc,~u.ei n field. It is also important that all the
specimens be either taken from the same block or at
lenst from the same situations. The tests can be done
on s:unplm taken from the weakest, strongest and the
average stage of weathering.
Some cells have a provision for measurement of
pore pressures and saturated samples with pore pressure
measurements can be tesled in these. The moisture
can reduce the strength of rock, may be, up to 50 per-
cent(Z2). The presence of water under pressure in pores
can be accounted for by an appropriate reduction in
normal stress and the law of effective stress holds for
many rocks.
The triaxial strength of specimen, as mentioned
earlier, is not a single value ; but it is a function of the
values of o, and o, (axial and confining stresses res-
pectively). The relation suggested by Murrel, viz.,
o , = c , + A G , ~ (where. C. A & B are constants) is
considered quite sati~factory(?~). For practical purposes
it is considered that a formula of the type T = CO A +
( a - u ) (where,
~ u is the pore water pressure and 7 and
o are shear and normal stresses) would be more repre-
sentative of the actual behaviour of rock masses in
nature.
The conventional method of plott~ng Mohr's circles
from a set of experimentally determined d a ~ aand fitting
its envelope by eye suffers from many difficulties. It is
found that many circles lie within other circles. The
Mohr's envelope is invariably fitted to the circles of
maximum diameter and does not take mto account the
scatter of the experimental values. Hoek suggests that
plot of mean shear stress and normal stress be done
after normalising these with uniaxial compressive
strength or otherwise. Normalising the data enables
the comparison of results of different rock types and
is more advantageous. This method has many advan-
tages and is recommended for use.
2.9 Analysis and Limitations
Variability being inherent in the quality of rock
because of the effect of other factors such as specimen
preparation, etc., ofien a large scatter in the results is
seen. This situation requires a large number of specimens
to be tested. The data should be plotted in the form of
histograms to examine the accuracy of the results and
the variability of the rock samples. The mean values
and standard deviation should be calculated and the
results expressed within 95 percent confidence limits.
The strength of rock mass is much less than the
strenglh of intact rock due to the presence of joints
and other discontinuities which weaken the rock. The
extent of reduction in strength due to these can only be
estimated by actual in situ tests. Very often it is the
weakness of joints and discontinuities that govern the
design of rock structures and need to be evaluated
carefully.
 ROCK MECHANICS-FIELD
3.0 Introduction
In many fields of endeavour pursued by the civil
engineer, he is required to evaluate the foundation
materials varying from rock masses to soils. Increasing
need for a better understanding of subsurface conditions
in the solution of engineering and construction prob-
lems has fostered him to apply various types of
techniques developed progressively on the basis of
accu~r~ulatedknowledge, which has been coming his
way through the experience gained in working through
the complicated problems encountered. Whether he is
engaged in the construction of dams. dykes, tunnels or
power houses, in the multipurpose river valley schemes
or of a highway project cutting through a variety of
terrain, controlling landslides or raising multistoreyed
buildings, the crux of all the problems lies in the proper
evaluation of the foundations to work out safer and
economical designs.
The prime approach to this problem of the founda-
tion evaluation is to carry out subsurface exploration to
detect the various rock/soil interfaces in sequence,
number as well as in type and to determine their extent,
course and dip as precisely as possible in order to dis-
close variations in these conditions over the entire area
which is expected to be influenced by the structure to
be raised The variations in the soil formations include
discontinuity of soil horizons and lenses of foreign
material in a particular horizon.
The variations in rock structures include zones of
weathering, macro and micro fractures. faults, isotropic
matrix fissurisation and the thickness of the overburden
or tallus overlying the bedrock. In addition to the above
consideralions 'opponent' water is most often present
as ground water or artesian water and the same needs
to be accounted for in most of the foundation problems.
Rock structures and the various methods used to
evaluate the rock masses lying in the force fields of the
structures to be raised are dealt with in this chapter.
The first part of the field invesl igations is intended
to delineate the geological separations i n the rock for-
mations and as such are of exploratory nature. A
proper appraisal of these foundation characteristics
TESTS
requires an integrated approach towards the whole
problem making the best use of the available techniques.
Thus much time and expense can be saved if geophysi-
cal methods of explorations are used prior to and in
conjunction with drilling and sampling programme. The
application of geophysical methods lies in quick re-
connaissance of large areas to be assessed so that drilling
is confined to areas of special interest. Geophysical
methods of explorations d o not supply data equal in
value to the logs of boring or to samples recovered by
drilling but they do give useful parameters for evaluat-
ing the probable physical characteristics of subsurface
materials and conditions that are of direct interest to
the engineer.
The following tests can be listed under this sub-
head.
(i) Field permeability test in drill/bore holes
(a) Open end tests
(b) Packer test.
(it) Geophysical techniques for foundation explora-
tion
(a) Electrical resistivity test.
(b) Seismic refraction test.
The second part of the field jnvestigatious is direct-
ed towards evaluation of in situ rock masses in and
around the zones of influence of the proposed struc-
tures. No doubt the deformation characteristics of
rock material can be easily evaluated from laboratory
tests, but these strength results are not representative
of the true field of forces about the rock mass under
examination. In other cases where the rock masses are
frequented with geological separations bulk strengths
determined on the basis of in situ testing have been
reported to be as low as 35 percent of the core
strengths (24). In addition the moduli of initial in situ
deformations were found to be approximately 30-60
percent of the values of the cores. F ~ e l d testing is,
therefore, directed towards determining the modulus of
deforniation and the state of stress in the test site. So
this testing of evaluation of the geological characteri-
stics ot the in situ rock formations encompasses both
static iind dynamic methods of tests which can be
classified as follows :
Load bearing tests for open pits
Horizontal jacking tests for shafts or tunnels
Flat jack tests
Equilment with pillows
Prec,sure tunnel tests
S h e x tests on rock/concrete blocks
Bor? hole deformeters or soundil~gdilatometers.
Dyuamic Tests
(i) Pulse velocity techniques
(ii) Wave mechanics.
Visual or photographic devices for observations in
bore fioles
(ii) Bore hole camera.
3.1 Field Permeability Tests
Th~:setests in themselves constitute an integral part
of he conventional drilling and sampling programme
carriec, out in a project area. Drilling in itself is a
s~ecial~sed subject and needs a separate treatment.
Pe1 me 3bility measurements in drill holes are used to
deternine rock fracture and porosity ("6) resulting from
t ] ~ pn:sence
e of openings produced by the breaking or
shattering of an otherwise less previous rock. All
graniiic and metamorphic rocks and some volcanic and
K = --
Q H=H ( g r a v i t y ) + t
5-5r H
FIGURE 3.1 (A-D) : Field permeability-Open-end test.
sedimentary rocks can be studied by this method. The
method is not applicable to permeable sandstones,
breccia, granular interbeds or to fractured sediments
alternating with granular pervious beds.
3.1.1 Scope
So with the above aim two tests of pumping in type,
based on the measurements of the amount of water
accepted by the rock formation are described ('6). The
reliability of the values of permeability of individual
formation penetrated depends upon the extent of the
homogeneous zones and on the limitations of the
mathematical relationships used. However, with reasona-
ble care and adherence to the recommended procedures,
useful results can be obtained. The other two pre-
requisites of these tests are that the use of drilling
muds or other additives shall be avoided; the water
used for pumping in test shall be clear, free from even
small amounts of silt or clay and that the temperature
of the added water must be higher than the ground
water temperature so as to preclude the creation of
air locks in the interstitial laminar flow resulting thereby
in misleading evaluations.
The apparatus required for the two tests consists of
the following in addition to the drill rig and driving
pipe casing arrangement :
(i) For open end tests-A watermeter to read in
millilitres, pressure gauge, centrifugal pump and
necessary water pipe and connections.
(ii) For packer test-A supply of packels, per-
forated water pipe and necessary fittings are
needed in add~tion to the equipment listed
under (i) above.
P e r v ~ o u sstratum
i (pressure)
3.1.3 Open End Tests when the open end of the pipe casing is driven to a
depth of more than 101-into the stratum under test and
This type of test has its application in situations the next underlying one is also at a depth of more than
where the rock formation is badly shattered and an lor from the open end.
uncased drill hole cannot stand by itself. Figure 3.1 ( A )
& (B) show tests made through the open-end of a
Permeability coefficient K =- Q ...(1)
pipe casing which has been driven to the desired depth 5.5rH
and which has been carefully cleaned out to the bottom
of the casing. When the hole extends into a water where, Q = Constant rate of flow into the hole,
bearing seam [Figure 3.1 ( A ) ] , it is necessary that the
hole be kept filled with water during cleaning and r = Internal radius of the casing, and
especially during withdrawal of tools to avoid accumu- H = Differential head of water duly corrected
lation of loose material at the bottom from the sides for head loss due to friction.
of the hole. After the hole has been cleaned to proper
depth, the test is commenced by adding clear water Any consistent set of units may be used. For con-
through a metering system to maintain gravity flow at venience if K is measured in centimetresjsec, Q in
a constant head. In tests above the water-table cubic cent~metreslsecand H in centimetres, Equation (1)
[Figure 3.1 (B)], a stable constant level is rarely obtain- can be written as
ed and a surging of the level within 5-7 cm at a con-
stant rate of flow for about 5 minutes shall be
considered satisfactory or else a laminar flow assump-
tion is hard to achieve.
Values of C , vary with the size of the casing as
If it is desired to apply pressure to the water enter- shown in Table 111.1.
ing the hole, the pressure in units of head, is added to TABLE 111. 1
the gravity head as shown in Figure 3.1 (C) & (D).
Measurements of a constant head, the rate of flow into Standa~dsize of casing EX AX BX NX
the hole, the size of the casing pipe and the elevations Dia. of the test hole (cm) 381 4.84 6.03 7.62
of the top and the bottom of the casing are recorded.
The permeability is obtained from the following relation
derived on the basis of electrical analogy experiments
C o n s o l ~ d a t e dm a t e r t a : C o n s o l ~ d a t e dm a t e r ~ a l
tests made d u r i n g d r ~ l l t n g tests mode a f t e r hole is completec

Saturated Unsaturated Satura led Unsaturated

rnater~al material matertal materm1

(A! (El IC J (Dl

H = H [Gravity)+ H (Pressure)
FIGURE 3.2 (A-D) : Field permeability-Packer test.
 The value of IP for gravity tests made below water- For convenience the formulae can be written as
table is the difference in levels of the water in the
casil~g and the ground water-level. For tests above Q where, C, is experimental constant.
k = C, -
water-table, H is the depth of water in the hole. For H
p:essnre lesls the applied pressure in cm of water
( 1 ?e:/crn2 = 1001.7 cm at 20' C ) is added to the When Q is measured in cubic centimetres per
graklty head to obtain H. It is quite mandatory that second and H centimetres the following values of C, are
applied precmresshall in no case exceed the overburden derived for the various lengths of test sections and the
pressure at the elevation of the open end of the casing. hole diameters (Table 111.2). Coefficient of permeability
(k)obtained from these values will be in cmlsec.
3 1.4 Pucll er Tests
TABLE IIT.2
1;igurc 3.2 shows a permeability test made in a
portion of the drill hole below the casing. This test Length of test c D
can be made both above and below the water-table section (cm) EX AX BX NX
prov ded lhe hole through the rock formation stands
intacl. This test is commonly used for pressure testing
of bedrock using packers but can be used in uncon-
solidated material, when the top packer is placed just
inside the casing. In no case the applied pressures
shall exceed the overburden pressures obtainable above
the 11:ngthof the test section

7 he usual procedure is lo drill the hole, remove the

core barrel or other tool, set the packer, make the test,
remove the packer, drill the hole deeper, set the packer
agaili test the newly drilled section and repeat the
proc:ss upto the desired depth [Figure 3.2 ( A ) & (B)].
If the holc $lands without casing, a common procedure
i!; to drill the hole to the final depth, fill with water,
surgl: it and ball it out. Then set 2 packer cone
pipe; or cirill stem as shown in Figures 3.2 (C) and (D).
The b o t t m of the pipe holding the packer must be
plugged and its perforated portion must be between the
packcrs. In testing between two packers it is desirable
to start from the bottom of the hole and work upward.
The formulae for this test are :

Because of the variability of the rock masses the

where, k = Coefficient of permeability,
Q = Constant rate of flow into the hole,
L = Length of the portion of the hole tested,
H = Differential head of water duly corrected
for head loss due to friction in pipe section,
and
r = Radius of the hole tested.
'The above formulae have best validity when the
thickness of the stratum tested is equal to or greater
r ha17 5L and they are considered to be more accurate
[or tests below water-table than above it.
permeability viilues in field show a very wide range of
results by virtue of which there can be no standard
specifications for field permeability tests. However, the
field permeability test results are useful for comparative
purposes of alternative sites.
3.2 Geophysical Methods for Field Exploration
Geophysical methods of site exploration have
rapidly developed in the past two decades. Their
application lies in quick reconnaissance of large project
areas to be assessed so that costly drilling operations
are confined to areas of special interest. Under modern
conditions it is possible to obtain several complete rock
profiles across a river 100 m wide for the cost of a
single drill hole, making possible more economical
drilling programmes through anticipation and correla-
tion of conditions, Selection of the proper geophysical
technique for most exploratory programmes and allied
engineering problems depends upon the successful 3.3 Earth Resistivity Test
anticipation of electrical, seismic or chemical charac-
teristics of the sub-surface material. The relation of 3.3.1 Ilztroduction
these characteristics to physical properties of the
material and to the probable geometry of disconti- The resistivity of a rock is not a characteristic of
nuities between the different materials must also be a rock, but is influenced by various cond~tions in and
considered around the rock. The majority of mineral constituents
are non-conductors of electricity and the current is very
The most commonly used methods which are rela- largely restricted to the salt solutions filling the inter-
tively simple and dependable are (a) Earth resistivity stitial spaces. Accordingly resistivity depends upon two
measurements, and (b) Refraction seismographs. factors : (a) the conducting properties of the solutions,
which can vary from 10 ohm-cm for low concentration
The above two tests have their following established of salts up to 1,00,000 ohm-cm for fresh waters, and
applications (27) in the civil engineering profession : (b) the percentage volume of solutions in the rocks.
This last factor depends upon the porosity of the rock,
(i) Evaluation of foundation conditions for bridges, if it is saturated, or on the grain size of the rock, if it
large buildings, dams and high earthfills to is above the water-table and the water is retained by
delineate fissures, faults and depths of strata, surface tension against gravity. Following class~fica-
etc. tion, depending on pore space, may be used as a
guidepa) :
(ii) Studying existing and potential landslide con-
ditions. Crystalline rocks
(low porosity) ... 50,000 to 10,00,000 ohm-cm

(iii) Locating sources of construction and borrow
materials and determining the extent of de-
posits.
(iv) Evaluating the rippability characteristics of the
rock mass.
(v) Obtaining information leading to the proper
slope design for grading projects for highways.
( v i ) Investigation of tunnel sites.
(vii) Surveys of sub-surface conditions under water
covered areas such as swamps, lakes and rivers.
The utility of geophysical tests lies in providing
supplementary data at a much less time and expense.
These tests are used prior to and in conjunction with
drilling and sampling programmes.
With regard to the fundamental theory involved in
the two test procedures, many of the theoretical
assumptions made when evolving the formulae used in
computing the geophysical data for both type of tests
become rather nebulous when making the actual field
tests. The surface and near surface conditions existing
at many of the locations where geophysical tests are
made vary rather widely from the smooth level surfaces
and interfaces between successive formation layers
assumed in theory. Nor does the perfectly homo-
geneous character assumed for the various materials
encountered in each layer materialise to the degree
pictured by those responsible for the theoretical com-
putations. For these reasons much of the geophysical
data obtained are analysed by the use of empirical
rather than theoretical procedures.
Consolidated .. 5,600 to 1,00,000 ohm-cnl
sediments
Unconsolidated ... 50 to 10,000 ohm-cm
sediments (high
porosity)
3.3.2 Theoreticul Considerations
Electrical prospecting methods(28) ("9) (30) are
becoming increasingly important in engineering geology
were resistivity techniques are used to measure depth
to bedrock at prospective dam sites and locations for
other engineering works. Some of them such as
spontaneous polarization and telluric current techniques
depend upon naturally occurring earth potentials.
Others like potential drop, equiporential line and resis-
tivily, electro-magnetic, electro-transient and Elfl ex
(i.e., electrical reflection) methods require artificially
generated currents to be impressed at earth's surface.
Again selection of particular technique depends upon
presumptive fundamental properties of rocks and
degree of contrast manifested by material around or in
faults and fissures. Self-potential methods are preferred
in situations of pronounced electro-chemical activity
with respect to electrolytes in ground.
The inductive methods depend upon pronounced
capacitance or capacity of rocks to store direct or
alternating electric charges with significant contrast
when high frequency alternating currents are impressed
in the earth. The chemical composition of rocks, the
composition and concentration of electrolytes in ground
water which determine largely the magnitude and sign
of voltage developed, become important factors guiding
selection of best field prospecting technique. All the
electrical methods are moreover affective mainly for
 shallow exploration seldom giving information on sub-
surface features deeper than 500 m with spontaneous 1 2 3 4
polar, zation technique limited only upto 30 rn. While
the range of resistivity in rock materials extending from Metamorphic
:o lo-' ohm-cm is enormous consistent difference rocks :
between I-esistivities of igneous, sedimentary and
metamorphic rocks is not seen due to spurious effects Garnet gneiss - 2~ lo7
caused by shallow sub-surface conductors, inhomo- Mica-schist 16 1.3~105
geneities and varying salt concentrations in contact. Biotite gneiss - 1 0 s - 6 x 108
In porous sedimentary formation like sands, gravels,
conglomerafes, mud, etc., resistivity is determined Slate - 6.4 x l o 4 - 6 . 5 ~106
chiefly by electrolyte concentration of pore fluid than
by intrinsic rock conductivity (or resistivity). Sedirnen tary
rocks :
B:!fore discussing the methods of tests the typical Chattanooga shale 50 2 x loS-1 .4 x 105
values of the resistivity and dielectric constants of some
rock types and earth materials are given in Tables 111.3 Shales, dry clays
and I 11.4. slits 60 104 = 2x105
Calument and
TABLE 111.3 hecla conglomerates 60 2 X 105-1.3 x 106
Resistivity of typical rock and earth materials. Muschellcalk
sandstone 16 7x103
Ferrugenous
Frequency ~ e s i s t i v i t y sandstone - 7 x 106
(c.p.s.) of (ohm-cm)
Impressed Muschelkalk
current limestone 16 1.8X104
(if not d.c.)
.
--- --
. - Marl - 7.~10~

1 2 3 4 Glacial till - 5x10"

011sand - 4 X 10~-2.2x 10"

Minc~als : Sandstones: clean,

dry sand and
Galena 0.5-5.0 gravels - 2 x lo4-105 or even
Pyrite 0.1
Hard clays, partially
Magnet~te 0.6-1.0 saturated clay, silts.
saturated sand and
Graphite 0.03 gravels - 5 x lo3- 1 . 5 104
~
Rock salt (impure) 3 x 103-5 x 106 Wet inorganic clays,
Serpentine 2 x 10"
silts - lo3-5 X 103

Sider~te 7 x lo3 Saturated organic

clays, organic salts - 5~ 1oL2x 103
Silver IX 10-8 (Lowest)
Sulphur 1x l O I 7 (Highest)
NB - Rocks and minerals with resistivities from 10-3 to 101
ohm-cm are termed good, 10"o lo9 as intermediate
Ignems and 1010 to I O l 7 as poor conductors.
rock:; :
TABLE 111.4
Granite
Crystalline sound Dielectricconsfants of rock and earth materials.
rocks like granite

Diorite Mater~al Dielectric constant (electrostatic

units)
Gabbro
Vacuum 1
Diabase
Hard rocks 6 to 16
Rock formations o f Wet soils and clays 16 to 40 or even 50
volcanic origin
3.3.3 Resistivity Test Techniques
METHODS
CURRENT
(a) IMPRESSED
Resistivity explorations, in simple, involve pa3sing
a n electric current of known mignitude through ground
between two outer-called-current electrodes and
measuring potential gradient across a pair of 'receiving'
or 'potential' electrodes placed symmetrically midway
in a line. The electrodes are immersed about 20 dia.
into the ground. This simplest electrode configuration
shown in Figure 3.3 is called Wenner arrangement with
distance in outer current electrodes being threetimes
that in p3tential electrodes. The arrangement has
the advantage of giving fair average of horizontal
variability. By increasing the spread at definite incre-
ments for succeeding set of measurements the hemis-
pheres depicting carrent flow expand with lines
penetrating deeper as per illustrat~on equipotential
bowl or hemisphere of radius 'd' set up around each of
the two electrodes has at every point on its surface the
same potential due to current flowing from El to E,.
The potential drop between the two hemispheres is
measured by separate circuit of potential electrodes
P, and P , placed on ground where the hemispheres
intersect the ground. The measured values of V the
potential drop and A the current flowing in the circuit
are inserted in the simple formula R=2?cd.-=2d.
v r
A its electrolytes, porosity and openings besides resistivity
(for direct resistance reading instrument) and resistivity
in ohm-cm is obtained. As a fair approximation it gives
rise to the empirical relation that electrode spacing is
equal to depth explored. Distortion of hemispheres of
equipotential lines are assumed to occur only when
resistivity changes horizontadly or vertically. Horizon-
tal discontinuities are mapped keeping centre of the
t
>r
-
+
>
.-
e
ln
.-
ln
+
C
Electrode separation -c
FIGURE 3 3 : Earth resistivity test-Wenner arrangement.
electrodes fixed and depth discontinuities by keeping
electrodes spacings fixed.
Moore (31) devised interpretive technique for
routine resistivity surveys by plotting resistivities against
electrode spacing or depth (Figure 3.4). The field data
in this illustration is plotted as dashed-line relation and
replotted using cumulative resistivity values keeping
increment of spacing or depth constant at l m upto
10m depth in the entire cumulative curve. Straight
lines are drawn through as many points as possible on
the cumulative curve. Their intersections are indica-
tions of depth boundaries between different conducting
surfaces below mid-point of potential electrode separa-
tion.
If good resistivity contrast is available between rock
interfaces or between rock and fissure material, resisti-
vity method can be used to successfully chart out
distribution of fissures by constant spacing traverses
like 2m, 4m (Figure 3.5) along main lines of proposed
structures forming grids over the entire area and
plotting resistivity results contoured at different slabs
of ohm-cm/ohm metres. Clay filled fissures are indicat-
ed by low resistivities.
In actual practice, however, the above ideal condi-
tions seldom exist because the flow of current is
affected by moisture content, nature, concentration of
of the rock. Anomalous potentials result also from
diurnally varying earth currents, sub-surface inhomo-
geneities, differing geometry of rocks and soils between
below and around the electrodes as well as spurious
effects of polarisation (increased resistance due to
electro chemical action between electrodes and electro-
lytes in solutions causing accumulatisn of H ' ions on
Instrument
Normal to c u r r e n t f l o w s lines
c:athotle), electro chemical action in rock minerals and
solutions in contact, differential aeration (oxidation) of
interface beneath and above the water-table or perma-
frost, salt domes, varying dielectric constants of media
zmd presence of extraneous sub-surface conductors
like pilpelincs, fences, power lines and even streams of
wa ter.
Elect rode spacing,metres
F E U R E 3.4 : Cumulative resistivity curve.
Comrnenc ement Dlstanc,e,met r e s
of trove~ses
FIGURE 3.5 : Typical resistivity traverses.
In attempts to develop more convenient and econo-
mical resistivity survey techniques overcoming anomn-
lous potentials due to multitude of causes enumerated,
diversified methods cited in section 3.3.1 were adopted
by workers in the field. Anomalous self potential of
ten hundreds of millivolts were detected and accounted
for in using non-polarising electrodes comprising
copper-copper-sulphate in porous pots. Alternatively
polarization effects were overcome by the use of alter-
nating current or while using direct current by reversing
simultaneously, at a frequency of 30 cycles/second with
reversing switch (revolving commutator) the current as
well as connections of potential electrodes to the volt-
meter (Gish-Ronney method)(32). Lee partitioning
method as well as resistolog electrode configurations
[Figure 3.6 (a)] deployed additional potential electrode
E, half way between potential electrodes B and C in
case of Lee's method (getting more detailed information
by first measuring potentials between left and central
and then between central and right potential electrode)
and two fixed potential and one fixed, one movable
current electrode. J a k o ~ k y ( ~described
~) a method of
continuous electrical profiling with resistolog electrode
configuration [Figure 3.6 (b)] wherein the movable
current electrode was the metal wheel of a truck. As
the truck moves along the profile a continuous record
is made of the potential and current, resistivity being
computed at any position from the recorded data and
known electrode separations. Polarization effects at
electrodes were eliminated by using a low frequency
alternating current. Effect of sub-surface conductors
was eliminated by laying traverse lines at a
distance from the known conductors using
Schlumberger's symmetrical electrode configuration,
with potential electrodes spaced at 1 /5th of the separa-
tion between energising electrodes whereby assumption
of measurement of potential in uniform varying field
were better satisfied and the evaluating effect of buried
conductors by Lee partitioning method or resistolog con-
figuration through alternate use of electrodes B and C
as the second current electrodes was attempted by
( a 1 L e e p o r t i t l ~ r ~ i nmge t h o d
IA o n d D o r e c u r r e n t electrodes, 8,C a n d E
o r e p o t e n t 1 0 1e l e c t r o d e s 1
Current Potent ~ a l
electrodes electrodes
tbl q e s ~ s t o l o ge l e c t r o d e c o n f g u r o t l o n
FIGURE 3.6 (a & b) : Impressed current methods.
West and B e a ~ h a m ( ~ 9 )Impressed
. current methods ohms obtained by selector switch (X-3) like German 4
being independent with regard to current intensity, Terminal Metrawatt Earth Tester with hand-generator
exploration could be conveniently extended to larger marked by MIS. Umartson Trading Corporation,
depths than in the case of self-potential techniques. Madras, could be procured. Circular motion of a knob
They can be used even in situations where electro on German instrument after setting to null point permits
chemical activities are significant. direct measurement of resistivity of material hemispheres
around current electrodes shown in Figure 3.3. The
(b) SELF-POTENTIAL OR TELLUKIC CURRENT TECHNIQUEpotentiometer-ammeter type instruments should not
only be rugged and portable but with galvanometers in
As the name signifies these method depend on the potential circuit meeting the sensitivity of 0.125 m.u.a.
available earth currents instead of current impressed in per mm recommended by US Bureau of Public Roads.
earth. Natural earth currents of global extent are The instruments should also be capable of reversing the
believed to be induced by ionosphere currents caused DC current manually l o account for nat~rralground
by diurnal changes in the earth's magnetic field varying potentials.
geographically, diuranlly, and seasonally but remaining
fixed with respect to the sun. Though these currents Utility : Resistivity measurements have a particular
conlmonly termed telluric currents were not measur- value in geological investigations in locating ground
able from electro-chemical ones, horizontal potentla1 water tables and In identifying buried fractured zones,
gradients produced could be measured readily and especially faults when they are saturated with water (as
current densities deduced in areas of known earth it contains electrolytes). Although several methods for
resistivities. finding resistivity of underground formations exist all
of them are useful for determination of rather simpler
In 1939 Scl~lumberger(~~)reported resistivity stratification of ground structure. The tesls do not give
measurements in France where in outer, i.e., current reliable results if the strata are steeply dipping or exceed-
electrodes were dispensed with using earth currents ing two or three in number(36).
instead. This not only removed polarization of elec-
trodes caused by electro-chemical action due to homo- 3.4 Seismic Refractio~z Method
geneous oscillatory nature of earl11 currents but affected
economy since only potential electrodes were to be The refraction method is a basic one in seismic
moved apart over much less distances. prospecting and is employed to resnlve a wide range
of geological problems. The apparatus used in the
Telluric currerlts are measured by maintaining a technique consists of geophone pickups with an oscillo-
base station in continual operation while moving graph recorder. A disturbance is created either by
second electrode to observation points. The magni- exploding a charge of dynamite or, for shallow depths,
tudes of variation in amplitudes of oscillations as well by hitting the ground with a hammer. The energy is
as directions were noted and used as mapping para- transmitted mainly by compressional or longitudinai
meters. On account of direction of earth currents waves and shear or transverse waves. Geophones are
being constantly shifting readings of magnitude placed along a straight line originating at the shot point.
and direction nf current are taken of two pairs A pickup at the shot point records the starting time of
of mutually perpendicularly placed electrodes the ground wave. The geophones then pickup the
averaged for short time intervals for accuracy. arrival time of the waves, which are shown on the
Separation of base and field stations vary from 1 to oscillograph and are photographically recorded.
100 km and ratios of average potential gradient at field
to that at the base are plotted at field locations with These arrival times are plotted against horizontal
resultant values contoured. Results are not affected distance of the detectors from the shot point. The plot
by polarisation effects because amplitudes of oscillations of the arrival time and distance gives a measure of the
ralher than absolute potentials are actually measured. wave velocities through the various strata. The detec-
Variation in earth current can be accounted for from tors are normally placed at distances up to four times
simultaneously measured amplitudes of oscillation at the depth to which the information is required.
places varying from few seconds to a few minutes. If a
poorly conducting salt dome penetrated highly conduct- Apart from determining the depths to various layers
ing formation, lines of current flow tending to by-pass the technique provides in situ seismic velocities in
the same would get distorted proving diagnostic to their the layers which give some idea of the strength charac-
location. teristics of the rock mass as opposed to that of indi-
vidual samples.
Equipment : Besides potentiometer-ammeter type
resistivity instrument manufactured in India by National The m e ~ h o dhas the outstanding advantage of being
Geophysical Research Institute, Hydersbad and Adept relatively cheap and rapid enabling study of large
Laboratories, Poona, without involving foreign ex- volumes of rock. However, the method should be used
change, direct resistance reading compact portable units exclusively as the results obtained do not normally
-
with in built ranges of sensitivitv 0-2-1 0-100-1000-10000 agree with those obtained from static tests. Also a low
 in sit11seismic velocity introduces the ambiguity of TABLE 111.5 (Contd.)
wh~:thcr the material is a weak homogeneous rock or
whether the formation is composed of a hard rock
substance i n :I highly jointed mass. Furthermore, if the
fissure; of a highly jointed formation are filled with Sandstone (quart-
water, the belocity will be only slightly affected by the zitic) 0 1400-4300 3380
joints. T~ppicalwave velocities in different foundation Shale and Sandstone 610-915 (2195-4055) -
niateri,~lsare given in Table 111.5. ( 930-4200)

TABLE 111.5
* After George F. Sowers and H L. Salley's "Earth and rockfill
LVelocitics of seismic naves in soil and rock strata. dam engi;eering"-Asia Publishing House, New Delhj'; and
Brich's Hand-book of physical constanls" and Rock
Mechanics" by H R. Re)nolds. The depths preceded by L
(Laboratory) were artificially reproduced in high pressure
Mater i I 1 Depth (m) Longitudinal Transverse apparatus with velocity obtained by dynamical methods.
wave velocity wave velocity
V L (m/sec) VT (mlsec) 3.5 Uniaxial Jacking Tests
3 5.1 Tesfs in Drifts and Tunrzels
Scope : The deformation modulus of rock can be
Loose silnd 0 150-450 - determined by this test by measuring deflections of rock
Clay, hard clay 0 610-2750 - faces on the opposite walls of a drift, gallery or tunnel
when stressed. As the loading is confined to a very
Hardpan, cemented small zone of the rock mass, for correct apprajsal of
sands : nd glavels the modulus, tests may be conducted at many
(conglomerates,
breccia?), soft shale, points(37).
weal hered r o c t s 0 1200-3050 -
-
Preparation of Test Site : The size of the drift or
Allu v i ~ m 0 500-2010 gallery in which tests are to be carried out should be
--do-- 1980 2990-3500 - the minimum required for carrying out the test, nor-
mally 1.25 x 3 m size should be adequate. The drift
Sound r x k 0 3050-6 100 - should be excavated with the least possible disturbance
0 484-1700 - to the rock. The test surfaces should be properly
Glacial (drift
chiselled and ground smooth.
Granite 0 4000-5700 2103-3292
Set U p f o r the Test : The general arrangement for
Gneisse!; and c h i s t s 0 3050-7140 3475 narrow drifts and wider tunnels are shown in Figure
Nor]te. Sudbury 0 6220 - 3.7 and Figure 3.8(38) respectively. In case of wider
tunnels, the deflection of each face is measured separa-
tely with respect to independent datums.
Gabbro Mellen L 12192 6880 3718
The minimum size of the test plate should be 3 to
Diabase, Vinal 4 times the average spacing of joint or crack pattern or
Haven L 12192 6850 60 cm whichever is greater. For fixing test plates and
Dunite, Balsam Gap L 12192 8050
dial gauges the detailed instructions contained in
clauses 3.2.1. and 3.2.2 of the printed Indian Standard
Cap rock (anhydrite may be followed.
gypsum ' 0 3500-5520
-
Dolomite 0 4940-6160 - Test Procedure : The maximum loading may he
upto 1.2 to 1.5 times the anticipated stresses. The
Salt, carnalite, actual loading may be done in two cycles of 50 and 100
sylvfte 0 4390-6520 -
percent of the maximum. In each cycle of loading, the
Dolomilic limestone 0 5975 3260 increments of loading may be at least one-sixth to one-
eighth of the test load for that cycle ; the unloading may
Limestone 0 ( 975-6400) - be done in three steps. With each load increment the
(3350-5300) recording of dial gauge readings is continued till the
change in dial gauge readings over a period of 30
minutes is less than 0.002 mm.
Slate and Shale 0 2285-4695 2895
- hterprelation of the Test Results : Because at modc-
Slate 0 3200-5000
-.-- rate loads stress-strain relations may be assumed to be
almost linear and creep properties insignificant it is
customary to interpret their deformation moduli on
the basis of elastic theory. Assuming the rock under
the bearing plate to be isotropic, semi-infinite and per-
fectly elastic, average settlement (surfrice displacement)
S, of the rigid plate of area A , subjected to total load
P, is given by the relationship(39)
P (1-v? .,.( 5 )
s=m wA-
where, m = Coeficient of stiffness/load distribution
depending on the loaded surface with
values of 0.96 for circular, 0.95 for
square and 0.92, 0.88, 0.82, 0.71 and
0.37 for rectangular areas of l / b of
2, 3, 5 , 10 and 100 respectivaly,
E = Modulus of deformation, and
v = Poisson's ratio
Note : Poisson's ratio of rock is either determined
from laboratory rock cores or assumed equal
to 0.2 since the laboratory results vary from
0.1 to 0.3, being in most cases from 0.2 to
0.25.
It is usually found that in the first cycle compara-
tively large deformations occur. Hence the secant
modulus of elasticity at the maximum stress during the
second loading cycle shall be taken as the deformation
modulus. Another value of the modulus is worked out
from the hysteresis loop and this is known as hysteresis
modulus E, (Figure 3.9 and also Table 111.6).
Displacemer~tsOutside the Loaded Area(l) : In addi-
tion to the measurement of the displacement of the
plate, i t is also advisable to measure the normal surface
displacements at several points outside the loaded area.
These external displacements are less sensitive to varia-
tions in pressure distribution than those within the

- 1.25rn (approxL

Face dressed pardl

and coafed w ~ t hI I -------
cement m o r t a r
( 5 m m thrck)

Angle Iron frame for

supporting h y d r a u l ~ ~
~ a c khy
, d r a u l ~ cpump,
packlng plates and

base for easy slr

i n t o p o s ~ t l o n-

Elevat~or

FIGURE 3.7 : Uniaxial jacking test-narrow drifts and galleries.

loaded area. Besides relatively they are more influenced
1sy deformation behaviour of rock well below the load-
ed arca. Also one may compare theoretical displace-
ments with those actually obtained at varying distances
from the loaded area. Discontinuity of measured dis-
placements away from the loaded area is taken to
intlicL~te the effect of fissuring.
, 3 5 2 Test'sin Opeu Pits
Normally the jacking test is not carried out in an
open pit for want of a sufficiently slrong reaction point
for the loading jacks to bear against. However, if it is
essential for evaluation of the surface deformation
modulus of rock the set up shown in Figure 3. is
usually employed (Table 111. 7). A trench or a pit 3 m
wide and 2 to 2.5 m deep is carefully excavated, central
area of the excavation being made smooth by chiselling.
The loading platform is anchored suitably by
pimiing rods whose holes are grouted adequately.
The lest procedure and interpretation of the results
are as described in the tests in drifts and tunnels
(Table 111. 7).
FIGURE 3.8 : Uniaxial jacking test wider tunnels
3.6 Plat Jack Tests
Scope : The test is conducted for determining the
in situ deformation characteristics and magnitude of
stresses in rock by stress relief technique. The expan-
sion of rock affected by stress relief, measured as con-
vergence of reference points fixed on opposite sides of
a slot, is used for computing the rock stresses. The con-
vergence is later annulled by inflating a flat jack fixed
in the slot and the cancellation pressure is noted. This
cancellation pressure is used for determining the resi-
dual stresses. The method does not require knowledge
of Poisson's ratio. By twin tests (horizontal and
vertical) the Poisson's ratio and the modulus of defor-
mation can also be evaluated from the strain
measurements.
Though the size of the flat jack happens to be too
small relative to the rock mass under test it is sufficient-
ly large relative to the microfissures that may be
existing in the rock. Actually the test is more useful
in the case of soft and surface rocks. However, the
 TABLE 111.6
Typical jacking test results (Drifts and tunnels).

Project Feature Test location Nature Direction Modulus of deformation

of rock of test (kg/cm2>

Bhakra Dam site - Sandstone Horizontal

dam
(Punjab)

Beas Beas dam Under-river Sandrock -do-

Project at Pong tunnel
(Punjab)
Y amuna Ichari 22.5m upstream to Vertical 1.30 to
hydel dam site 18m downstream 3.73 x lo3 with
project with RL from 607.6 av. at 2.29 x lo3
(U.P.) to 614.65 m

99 2m upstream to Horizontal 1.31 to

2 1.7m downstream 5-39x lo3 with
with RL from 606.65 av. at 3.29 x lo3
to 612.46m

Khodri Drift No. 1 Sandstone Vertical 1.06 to

Power CH 42 to 60m 2.25 x lo4 with
House (41) av. at 1 .dl x lo4

19 Drift No. 2 Purple Vertical

CH 90m siltstone
(Adit 2)

19 Drift No. 2 Sandstone YY 9.1 to 14.1 x lo3

CH 11 to with av. at
14.8m 11.6x103

Tehri Dam site Drift L-5 Phyllite Vertical

Project grade-I1
(U.P.)

-do- -do- -do-

-do - -do- Horizont a1

Tehri Dam site Drift L-5 Phyllite Horizontal

Project grade-I1
(U.P.)
-do - -do- Drift R-2 -do- -do - 0.31 X i05
-do- -do - Drift R-1 1 Phyllite -do-
grade-I11
-do- -do- Drift R-1 1 Phyllite -do- 1.69 x lo5
grade-I1
eflecl of stress concentration due to driving of tunllels The flat jack is then firmly embedded in the slot by
in wt ich t 1 tests
~ are carried out is likely to influence grouting.
the rt:sults It is assumed, that the expansion on stress
relief and the recovery on application of cancellation After the mortar has hardened, pressure is applied
pses,ure, are equal and opposite and also that, in spite to the flat jack through a pump at slow but steady rate.
of th~:hysteresis the characleristics on stress relief and The raising of the pressure in the jack to cancellation
O I L rcloading are the same. pressure shall be done in steps of 5 kglcm2 or less
: A flat jack (Figure 3.13) is a
7::st E'il~iprnent(~~)
hollo bv square shaped hydraulic pressure cell made of
thin inild stcel plates welded on the four sides. Strain
measurements are made with the help of a deformeter
which measures change in distance between the gauge
pins (Figu-e 3.14) with an accuracy of 0.002 mm. A
jig which is a frame made of mild steel plates (Figure
3.15) is us~:d to demarcate the positions for the slot and
gaugc points (Figure 3.11).
?:?st S~ttSelecrion : The test location is selected
such that ~t is as near to the midlme of the drift wall
b l ~ taway fram the corners, floor, deep depressions or
acljactmt \v:dls as possible. The rock face should be
s~~fficientlyplane, not shattered or loosened by blasting.
Trlst Procedure : After preparing the test site, the jig
is fix,:d 111 the desired plane and holes are drilled for
the g,luge plns. After removing the jig the gauge pins
are c orrectly positioned and grouted. Initial gauge
readl*~gsare taken with a deformeter after the mortar
hiis set.
The ,jig is then refixed and the slot cut by drilling
overJ,tpping holes by rock core drilling machine or
p ~ ~ e u ~ n ajack
t i c hammer. Gauge readings are taken
durillg slot cutting to observe the behaviour of the 3~format1an
rclck ~nass. The gauge readings should indicate con-
traclion o' lhe solt (otherwise the test is abandoned). FIGURE 3 9 : Illustration defining moduli of rock.

TABLE 111. 7
Typical jacking test results (Open piti.

Location Nature of rock Modulus of deformation

(kg/cm2>

I. Hllakra darn(43)
I Punjab) ST 20
CH + O000 3 Claystone

Siltstone

3. -do - Dam area Sandstone 40.08 x lo3

4. 'rl~errnala(~~) Left abutment Crushed rock 2.52 x 10"

dam (Kerala)

5. -do - Right abutment Sound rock 2.13 x lo6

 Plon
{Wooden plotform remowdl

FIGURE 3.10 : Uniaxial jacking test set up (open pit).

depending c c the condition of rock at site and anti-
cipated residnal stress. When the deformation is nearly
recovered the pressure is retained for 24 hours and
car~cellation pressure for 100 percent recovery of the
total d eforraxtion is recorded.
Cdcululions : Stresses, normal to the slot ( S ) , paral-
lel to he slot (Q) and the concellation pressure (P) are
re1,~tecIas below (Figure 3.12) :
i+
S e c t ~ o n a lvlew o f r o c k foce Rock f a c e
A- D o n d E-HI 500 mm p a i r g o u g e p o ~ n t s
€3-C ond F-GI 2 5 0 m m palr gouge p o ~ n t s
I - k 2 5 0 m m gouge length
J - t 500 rnm g o u g e l e n g t h
A l l d ~ m e n s ~ o n Isn m ~ l l r m e t r e s
FIGURE 3.11 : Details of slot and gauge points.
FIGURE 3.12 : Stress field around the slot
A
Enlarged detoll ot
wlth 3 10 and 10 OD
(All d ~ m e n s i o n s in millimetres)
FIGIJRE3 13 Details of flat jack (30 c m x 30 cm).
Where, F, and F2 are constants. Test dimensions as
per I.S. specificatio~is(~)
yield 0.815 and 0.064 as values
for Fl and Fz. This equation involves two unknowns,
namely, S a n d Q which can be evaluated by conduct-
ing two flat jack tests in mutually perpendicular direc-
tions so that S and Q values replace each other in the
equation.
Limitations : The major shortcoming of the test is
the effect of displacements due to creep durmg slot
cutting, grouting, settmg of the mortar and pressure
restoration. To overcome this two procedures have
been proposed(14) which consider the effects of creep
on flat jack tests. Conducting a test over long period
and taking continuous displacement readings would
help to know, by experience, the creep behaviour and
methods of correction to account for it.
Typical Results : Results of such vertical and hori-
zontal tests conducted at various project sites are given
in Table 111.8.
I
25
T %I
+
+ h r e c d e d hole iscrew
I
'i
FIGURE 3 14 : Details of spacer bar (300 rnm long)
and gauge pin
 TABLE 111.8
Typical Flat Jack Test Results.

Project/civil Nature of Test site location Mode of Direction Modulus of In situ

structure rock test site of loading deformstion residual
encountered Feature Chainagc Wall excavation E(kg/cm2) stress
(kglcm2>

Yamuna hydel Sa.~dstoue Adit 1 60 m Right Manual Vertical 82.96 x lo3 21.5
project/I<hodri to
power house(46) drift 1
-do- -do - -do- -do- -do- Horizontal 7 2 . 4 2 ~ID3 14.5
(parallel to
axis) '

- do- -do- Drift 1 53 m Left Blasting Vertical 35.86 x lo3 12.7

-do- -do- -do- -do - Right -do- Horizontal 40.08 x lo3 17.0

-do- -do- 56 m --do- -do- -do- 45.07X lo3 -

-do- -do- 43.5 m Left -do- -do- 47.8 x lo3 -

-do- -do- 31.5 m Right -do- Vertical 3 6 . 5 6 ~lo3 -
Vaitarna hydro- Basalt Gate - - Blasting Horizontal 9.1 x lo5 -
electric project/ gallery
power house wall
Maharashtra

-do - Workshop - Right -do- Vertical 3 . 0 lo5

~ -
side wall

Vaitarna
hydro-electric Basalt Workshop - Left Blasting Horizontal 1.1 x lo5 3.5
projectlpower side wall
house (Maharashtra)

Approach Near
tunnel side Ch. 475
(right of
dyke)

-do- -do- Right -do- Vertical 5.8 x lo6 15.8

(left of
dyke)

-do- --do- -do- -do- Horizontal 4 . 6 lo6

~ 20.0
(right of
dyke)
 TABLE III.8 (Contd.)

B handirdar a Masonry Adit to Between Manual Horizontal 2.3 x lo5 9

darn drainage 15 m to
gallery 18 m -do- Vertical 2.6 x lo5 6
from dls
toe of
dam at -do- Horizontal 1 . 0 lo5
~ 7
R.L. 2217 ft
(675.7 m)
[Reservoir
water-level
from R.L.
2330 to
2338 ft (710
to 7 12.5 m)]
- do- -do- -do- [Full -do- -do- Vertical 1 . 7 ~ 1 0 ~13
reservoir -do- Horizontal 1.75 x 10' 17
water
level at R.L. -do- Vertical 2 . 4 lo5
~ 16
2443.3 ft
744.7 m)]
--- .
-

3.7 Radial Jack Tests

Rzldial press or radial jack method of determining
modulus of deformation in situ first proposed and
iested by G o 6 is described hereinafter(l).
Unlike other jacking tests based upon Boussinesq
:;oluti~r~n
which require schematization of rock mass
geomttry, !:he radial jack method is relatively simpler

FIGURE 3.16: Radial jacking test-Loaded areas.

needing no such preparation or excavation of test gallery

in circular tunnels and giving almost equally accurate
and reliable results in homogeneous, isotropic and
elastic rock media.
The method is based upon the application of first
reciprocal theorem according to which the deformed
generatrix of a circular tunnel under concentrated
radial load is considered as the line of influence of
radial displacement of the point subjected to a set of
radial loadings, i.e.,
p . f ( E , a) = p. Q A = p. R A' ... (7)
where, p denotes linear uniform radial load,
ki220 hole -4
E the modulus of deformation,
----6oo--~ a the radius of the circular cross-section, and
@ hole for f ~ x ~ nframe
g
In posttion LI A, R A' the areas obtained from the experimentally
( A l l dirnensiqns in mm) determined deformation pattern (by loading
with hydraulic jack the opposite points A, A'
FIGURE 3.15 : A typical jig for flat jack (30 cm x crn). of the tunnel).
 Modulus of deformation E can thus be determined
from experimental data and the geometric dimensions.
If the jacking is applied to rock areas having the
dimensions h x b and the angle 2 E is small (Flgure
3.16), the modulus of deformation is given by
3.8 Cable Jacking Tests
The requirement of a specially excavated gallery is
eliminated in the cable jacking test proposed and
developed by Zienkiewicz and Stagg(37)(48).
Test Set Up : Typical cable jacking test set ups with
single and double cables are shown in Figure 3.17. The
load is applied through steel cables anchored at depth
in small bore holes against concrete loading pads. In
order that thc reachon at anchorage point will not
appreciably affect displacements at rock surface,
minimum anchorage depth of 8 to 10 times the bearing
pad diameter is recommended. Loads up to 1000 tonnes
can be applied with single cable and larger ones
with several cables. With two adjacent cables,
loads tangential to surface can be applied and informa-
tion about variation in the deformation modulus with
direction of loading obtained.
3.9 Rock Bolt Pull-out Tests
When advancing a tunnel face by length (the pull
attained in a single round) half dome llke double
arching effect is produced as a result of loosening and
expansion of overlying strata. Tension arch or loosened
zone developes above and below the tunnel while the
sides are in compression, The time for which this
pressure arch gives reliable support, i.e., the bridge
action penod, depends upon geological conditions, the
span 1, and the diameter of the tunnel. For spans used
in practice and with even weathered or strongly
jointed rocks the bridge action period lasts a few hours.
If no support is installed within this perlod the
exposed rock in the roof begins to spall ofi mvolving
gradual rise of pressure arch in a tendency to attain
stability by decreasing the spans in conformity with its
bearing capacity.
The purpose of rack bolting is to set anchoring bolts
of lengths exceeding thickness of this fractured zone
radially into the undisturbed rock layers, within the
bridge action period, establishing a resistant rock vault
of thickness able to counteract rock pressures. For safety
in case of fractured rock, the areas between the rock
bolts are lined with protective wire netting and sprayed
with gunite.
,Cob te heod ,Cable heod

Assuming rock to be stressed under moderate load

and behaving as isotropic, semi-infinite and perfectly
elastic, average deformation under loading pads of area
A with total load P can be given by Equation (5)
described earlier in section 3.5.1,namely,

Though, similar to the plate bearing test, the cable

jacking test results are likely to be affected by the
presence of weathered surface rock and the site prepar-
ation, the cable jacking tests have the following
advantages :
Obubla coble jock looding
(i) Passing cables through holes is more economi-
cal than tunnel driving,
(ii) Rock at the exact foundation location and in
directions of actual structural loads can be
tested and with the same cables tests can be
repeated at various levels to ascertain depth-
wise variation of rock characteristics, and
(iii) With two adjacent cables in double cable tests,
loads tangential to the surface can be applied \depth
for determining directional variation of defor-
mation moduli. This facility js important since sinole coble J a c k loodlr)g
a majority of rocks are anisotropic. FIGURE 3.17 :Cable jackjag test set ups.
 Kocl; bolting may be employed not only as a
tempor;try support but also as a permanent feature.
With a suitably designed rock bolt system i n a tunnel
taking account of dip of strata, coefficient of friction
a l m g bedding planes and shear strength of rock, a load
carryin:?:n n g I S actually formed of the rock. Even if the
anchor poict of a boll remains in loosened zone and
the b o l ~is halding two o r more pieces within the zone
their locking iogether may initiate arch action. A rock
slab 0-1 the side of an excavation acting as a strut if
bolted to rock behind would reduce effective lengh of
the strut and chances of buckling. Although roof-bolted
rock bault i:, cmployed only in arched tunnels yet roof
bdring can also be advantageous in flat roofed runnels
in which care composite action of rock layers occurring
by contact friction can be enhanced by roof bolts ~f
applied in divergent planes when I ~ k ebent up reinfor-
cl:menl. bars they would effectively resist the principal
tensile stresses.
Thl:: theory of the action of rock b9lts and anchors
is not yet \cry far advanced. Rock bolts function in a
con~plcatec. manner, inducing radial as well as axial
stresser; in tse immediate rock.
A rule of thumb formula which is used in Europe is
that tl- e rock bolt length should be a minimum of half
the (blastirg) round length or one-third the tunnel
width whichever is the greater(l). The spacing of the
bolt c m the11be determined from the density of the
rock, the length of the bolt, the factor of safety and the
pull-out sr :ength of a bolt.
E<ruipnae/l/: Plate 1 shows items of the equipment
For the rock bolt pull-out tests(4s). The equipment
I:onsir;ts o f a pulling head with stud, a bridge, a
PLATE 1 : Equipment assembly for rock bolt pull-out test.
hydraulic j,lck with centre hole ram, a hydraulic hand-
pump with pressure gauge, 2.5 to 30 cm spacers and a
long excensometer to measure displacement of bolt head.
Once the bolting specifications are known the bolt
tester is used for routine quality control. The success
of rock anchoring will depend upon whether the defor-
mation of both the bolt and the rock can be avoided o r
not. The real merit of rock bolting lies in essential
modification of inner stress conditions within the
area. Reduction of inner stresses thus leads t o
increased stability and bearing capacity.
An alternative arrangement for a pull-out test of a
set of bolts is indicated in Figure 3.18(50). The set-up
comprises a hydraulic jack (50 T capacity), wire rope
and lever arrangement. Electrical resistance strain
gauges are installed on the mdividual bolts for estimat-
ing the load shared by each of the bolts. The arrange-
ment can also be employed to test a single rock bolt.
By loading the free end of the lever with the jack, the
rock bolt is strained and pulled-out. The load taken by
the bolt is an index of the stability of the rock or the
efficiency of the rock bolting. Such pull out tests
provide information on the quality of rock, the extent
of loosened zone and a general estimate of grouting
or rock bolting requirements for further strengthening
of the formation.
Rock bolt pull out test can be used to determine the
shear strength of the formation by the relation(51),
where, p is the total load, r the radius of test hole, h
and R respectively the length and base radius of the
conic crater caused by the bolt removal (Figure 3.19).
 TABLE 3.9
Typical shear test results.

S1. Dam site Test location Nature of Parameters of Angle of Angle of Shear strength
No. rock true base residuals concrete to
Average 9 of S friction (after rock
C max (after cor- bond break
(kg/cm2) (deg-min) recting for down) C #J
interlock- (deg-min) (kg/cmd) (deg-min)
ing effect)
(deg-min)

1. Srisailam Ledge on Quart- - - 43-20 47-30 9.0

(Andhra right abut- zitic
Pradesh) ment at
CH 4+20m,
st. 34.5m
upstream,
+
EL 580

2. Mylavaram Dam founda- Fragmented - - 21-30 - -

(Andhra tion quartzitic (failure along
Pradesh) rock with gouge surface)
thin clayey
gouge bands

4. Sawalkot
5. Tawa
6. Supa
(Kalinadi)
7. Ujjani
8. Tenughat
9. Kishau dam Drift on left
in Yamuna bank near
hydel dam axis
project (9
(UP.)
10. Ichari dam Both banks
in Yamuna of Tons River
Project (55)
(U.P.)

1I . Bhandardara Approach Basalt - - -

dam channel of
(Maharashtra) auxiliary
spillway
3.10 [n Situ Shear Test@') For determining the shear strength of rocks it is
assumed that Coulomb's criterion applies, i.e.,
Te;ts conducted to assess the shear strength of rock
can also be employed to determine the coefficient of S= C+otan+ .. (10)
frictio-1 belween two beds. Such tests are also carried
ant 011 concrete or masonry blocks cast on rock to where, S=shearing stress,
cetermine thc frictional characteristics at the plane of
coulac I. C=cohesion,
A ypical Eeld shear test set up is illustrated in o = stress normal to shearing surface (effective),
Figure 3.20, rhe procedure involves carvmg out without and
the us:: of explosives, of a rock block containing the
preferred shedr plane. Where feasible, it is desirable to 4 = angle of shearing resistance.
test several blocks. The size of the block should be
as la1 ;!e as possible, but (70 cm x 70 cm X 30 cm) or From these tests performed with various normal loads,
(90 cni x 60 cm x 30 cm) are usually adopted. an estimate of the effective values of C and 4 may be
made. Since these tests are usually carried out on small
The shear load is inclined so that its line of thrust blocks the results are not necessarily representative of
passes through the centre of the shear zone between the rock mass as a whole.
the pr:)jecting block and the rock mass, thereby elimi-
ria inp overturning moments. The normal load is applied Typical results obtained in the tests conducted at the
with another jack bearing against a suitable reaction several project sites in the country are given in Table
a ssem ely. Ileflection gauges installed, monitor move- 111.9.
ment dong [ h e plane, differentiating between initial
elastic displacement and post-failure slide. Following 3.11 Other Methods Of Deformation Modulus
shear f'ailure the rock is caused to slide under various Determination
norm;.l loads and angle of sliding resistance determined.
3.1 1.1 Core Discing method
Rock cores drilled through highly stressed hard rock
are obtained as regular discs, the thickness of the discs

7R o c k r e m o v e d by bolt

A3- I

f l 1 2 5 m m 6 wedged foundotlon bolts 8 N o s .

( 2 1F o u n d a l l o n p l a t e 131 3 0 x 12 5 c m I s e c t ~ o n ,
I 4 Hydraulic jock, 151 S c m p n , l b l W ~ r erope,
I 7 1 4 0 m m 0 b o l t , ( 8 1 Nut for 4 0 m m p b o l t ,
@ ( 9i 35 mm e wedged b o r s d m ~ e n3 m ~ n s d e ,
FIGURE 3.19 : Bolt pull out test.
A NOS

V e r t ~ c adeformation
l gouge

FIGURE 3.18 : Testing of rock anchors FIGURE 3 20 : A typical shear test set up.
diminishing with increasing stress. Obert and Stephen- advantage of application over a large area with deflec-
son have formulated the following empirical relation tion measurable in any radial direction. Such tests
when discing occurs(14). have not so far been conducted in India.
3.1 1.3 Bore Hole Methods
where a,., a, are the radial and axial field stresses and Bore hole methods including stress relieving
So the inherent rock shear strength respectively techniques and making visual or photographic assess-
measured in kglcm2. Using this relation information ment of deeper rock layers with instruments like
regarding sub-surface stresses can sometimes be stratoscope, bore hole camera and bore hole television
inferred from exploratory drill cores. The first discs camera are used for exploring and evaluating a
have a thickness of about their diameter. For compu- proposed site.
tation of a,, a, may be taken as the stress due to over-
burden for vertical exploratory hole. The relation Again bore hole deformation techniques using one
implies very high radial stresses as compared with axial directional bore hole deformation gauge, Maihak and
stress. Hast gauges developed by Jacobi and Brandle and Hast
respectively, bore hole gauge after Obert et al,
3.1 1.2 Water Chamber Tests rigid inclusion gauge after Wilson, Potts and
Tomlin, bore hole polariscope, photo-elastic gauges
Water chamber tests developed by Kawamto T.(56) developed by Pincus, Hiramatsu et a1 and bore hole
consisting of sealing an adit or p x t i o n of tunnel with dilatometers; being not yet practised in India are only
a membrane and applying internal water pressure, stated in passing. Information of the various instru-
although most expensive of the adit type tests, have the ments can be had from l i t e r a t ~ r e ( ~ ) ( l ~ ) .
 REFERENCES
11) STAGG, K . G and ZIENKIEWICZ. 0 . C : "Rock
Mechanics in Engineering Practice." Published by John
Wiley and Sons, Inc., 1968.
12) OBERT, L. and DUVALL: W I. : "Rock Mechanics and
the Design of Structures in Rock." Published by John
Wile:/ and Sons, Inc., 1967.
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BIBLIOGRAPHY ON ROCK MECHANICS

G . S. Dhillon P.S. Gosal

Director Asstt. Research Officer
Irrigation and Power Research Institute, Punjab, Amritsar.
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*
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(933) Short, N.M . "Bore Hole TV Camera glves geologist rnsrde Story" UCRL Rept 7133, (1962).

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(940) Singh, B.; Fairhurst, C. and Cllristiano, P.P. : "Computer simulation of laminated roof reinforced
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(941) Singh, D.P. : "Drillability and Physical Properties of Rocks". Procd. of the 1st Rock Mech.
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(943) Singh, D.P. : "Drag-bit drilling". Australian Mining, 21 (8), 54-58, (1969)
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(945) Singh, D.P. : "Brittle Failure of Rocks". Journal of the Inst. of Engrs. (India), Min. and Met.
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(948) Singh, D.P. and Salluja, S.S. : "Rock Blasting". Mining Magazine 127(3), pp. 220-270, (1972).

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(950) Singhal, R.K. : "Rock Stress Measurements". Mining Magazine, Vol. 123, No. 6 , pp. 505-513,
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(951) Sinha, D.S. : "Dams in distress". Journal of C.B.I. and P (India) Irrigation and Power, Vol. 25,
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 REFERENCES RE-ARRANGED SUBJECT-WISE

S1.No. Subject Serial Nos. of related references

(1) Physical Geology, Rock Identification and Classification. 57, 91, 110, 123, 189, 198, 220, 221, 231, 254, 255, 256, 257,
258, 259, 260, 261, 329, 343, 347,361, 415, 553, 571, 708, 843,
858, 897, 1007.

(2) Field Prospecting, site investigations and soil, rock 32, 33, 70, 102, 123, 290, 300, 352, 354, 408, 414,520, 573,
sampling. 692, 731, 777, 846, 887, 899, 998, 1016, 1038, 1039, 1045,
1056.

(3) Origin, Structure Mineralogical composition and age 62, 320, 446, 459, 524, 555, 729, 887, 1009.
of rocks.

(4) physical, Technological and Engineering Properties of 1, 11, 12, 26, 28, 58, 114, 159, 166, 170, 190, 196, 228, 230,
rocks. 310, 317, 319, 337, 373, 401,411, 454, 465, 509, 580, 590,
645, 657, 666,679, 750, 767, 783,796,830, 835, 840, 845,
849, 859, 860, 884, 889,909, 929, 935, 941, 956, 967, 988,
1026, 1050, 1068.

(5) In-situ Characteristics of Rock Masses.

IL\ r+-,-,+r. ,,A n n f ~ r m ~ t i nr h ofc

na r a ~ t ~ r i c t i c Rncks. 4. 6. 7. 8. 9. 14. 16. i7. 18. 19. 20. 27. 29. 50. 67. 71. 72. 73.

Evaluation of Rock Load and Design of Supports 3, 5, 22, 24, 34, 35, 36, 37, 38, 39, 63, 64, 77, 86, 92, 97, 111,
(7) 125, 142, 154, 164, 173, 175, 176, 181, 182, 201, 215, 222,
(Tunnel, Mining Engineering).
223, 224, 225, 232, 233, 234, 235, 236, 252, 279, 281, 284,
285, 291, 295,299, 304, 3 15, 316, 336, 345, 350, 372, 378,
381, 387, 399, 400, 410, 413, 417, 419, 432, 451, 456, 457,
SI.No. Subject Serial Nos. of related references

Rock Bursts and Case Histories of Tunnelling Problems

Stability of Slopes.

Dynamic Behaviour of Rock Masses.

Rock Penetration (Drilling) & Fragmentation (Blasting).

Rock Degradation and its prevention.

Rock Permeability and grouting.

Instrumentation, Research and Developments in Rock

Mechanics.

General, Un-classified.
 LIST OF PUBLICATIONS BROUGHT OUT UNDER RESEARCH SCHEME
APPLIED TO RIVER VALLEY PROJECTS
A. Annual Reviews
(a) Annual Reviews* Research Scheme Applied to River
Valley Projects from 1959to 1973.
(b) Annual Review Summaries from 1974 to 1978-
8. Technical Reports
Design of Gravel Pack for Tubewells.
Statistical Design Formulae for Alluvial Canal System.
Current Design Practices in Canal Design in India.
Hydraulic Data of Upper Ganga and Eastern Yamuna
Canal Systems in Uttar Pradesh.
Economic Alternatives to Stone for River Protection
Works.
Rubble Concrete
Design Practice for Unlined Incised Canals.
Procedure to Work out Bulkagc in Air-entrained Flows in
Chute Spillways.
Manual on Evaporation and its Restriction from Free
Water Surfaces.
Study on the Position of Current-meter with Reference to
Boat.
Uncoarsed Rubble Masonry Methods of Construction.
Determination of Rugosity Coefficient for Lined and Un-
lined Channels.
Efficiency of Suspended Sediment Load Samplers.
Manual on Canal Linings.
Library of Canal Data.
Three-Dimensional Photoelastic Analysis of Anchorage
Zone Stresses in Post-Tensioned Concrete Members.
Design of Structures on Permeable Foundations of Finite
Depths
Manual on Ground Water and Tubewells (Reprinted 1978)
Life of Reservoir
Stdimentation Studies in Reservoirs.
Damping Characteristics of Soils.
Linear and Non-Linear Flow through Porous Media.
Some Statistical Studies on Initial Phases of Cavitation
Damage.
Strength Characteristics of Saturated Soft Sensitive
Marine Clays.
Correlation of Mechanical and Mineral Composition and
Clay Structures of Different Soils of India with their
Engineering Properties.
Literature Reviews (with Bibliography)
Air-entrainment in High Velocity Flow.
A Review of Studies on Turbulence.
A Review on the Mechanics of Cavitation and Cavitation
Damage.
Hydraulics of Stable Channels.
Review on Swelling Pressure in Clayey Soils.
Review and Bibliography on Effect of Remoulding Soils
on Shear Characteristics.
Review on Soil Stabilisation with Admixtures (Revised).
Review on Soil Stabilisation by Electro-chemical
Methods.
Review on Soil Stabilisation by Injection.
Density Currents in Estuaries and Tidal Rivers.
Review on Tubewells.
Review on Hydraulic Structures on Permeable Founda-
tioas
Review on Canal Lining.
Review on Seepage Control Measures in Earth and Rock-
fill Dams.
Review on Waterlogging and Drainage.
*Out of Stock
*16- ---
Review on Aauatic Weeds and their Control.
+17. Literature Re;iew on Principle of Mortar and Concrete
Mix Design.
'18. Review on Investigations relating to Strength of Masonry
at the 4.5 million Pound Test Bed at Hirakud.
19. Review and Bibliography on Bond between Reinforcing
Steel and Concrete.
*20. Review and Bibliography on Quality Control of Concrete
including Accelerated Tests.
*21. A Review of Studies on Vibration in Soils under Machine
Foundation.
*22. Utilisation of Isotopes for Sub-soil Investigations and Soil
Compaction Control.
*23. Review on Soil Compaction of Different Soils in Wet
Condition and Standing Water with Particular Reference
to Construction of Earth Dams.
*24. Review and Bibliography of Friction Losses in Fluid Flow
through Pipes, Gates, Valves, Screens, Open Channels and
Hydraulic Machines.
*25. Review and Bibliography on Development of Economic
Alternatives to Stone for River Protection Works.
*26. Review on Selection, Processing and Specification of
Aggregates.
*27. Literature Review on Rock Mechanics.
*28. Review Report on Non-destructive Methods of Testing
Concrete.
*29. Literature Review on Creep and Shrinkage Studies on
Concrete.
30. Review on Penetration Tests.
*31. Review with Bibliography on Experimental Stress Analysis
for River Valley Structures.
32. Correlation between Static and Dynamic Method of Test-
ing Rocks.
*33. Review on Study of Model Prototype Conformity for
Scour below Stilling Basins.
34. Local Scour-A Review.
D. Status Reports
1. Present Status of Critical Tractive Force Studies.
*2. Survey of Work done on Pozzolana in India.
3. Hydraulics of Alluvial Streams.
4. Scour at Bridge Piers.
E. Miscellaneous
*I. Proceedings-Seminar on Testing of Concrete and Con-
crete Materials.
*2. Instructions for Collection of Field Data for Measurement
of Discharge and Sediment in Canals.
3. Achievements-cum-Performance Report on the Work done
by various Research Stations.
4. Pamphlet on Collection of Prototype Data on Spillways.
*5. Irrigation Practices of Six Principal Crops of India.
6. Man-Made Lakes and its Effects on Ecosystems.
*7. Guide & Recommendations for accelerating and Retard-
ing Admixtures for use in Concrete and Large Dams.
*8. Haadout on Water Requirements of Crops.
F. Irrigation & Power Research Digest
Vol. I-March, May, July. September and November
1976 ; Vol. IT-January. March, May, July, September
and November 1977 and Vol. 111-January. April and
July and October 1978.
G . From Far and Near in Irnigation & Power
Vol. I-*August, October and December 1976 ; Vol. II-
February, April, June, A u ~ u s t , October and December
1977 and Vol. 111-February. April, June, August and
October 1978.
 LIST OF SELECTED PUBLICATIONS BROUGHT OUT BY THE CENTRAL
BOARD OF IRRIGATION AND POWER
SI. Name sf the Publieation
.
N Ne.
1. Hydraulic Diagrams in Metric Units (1976).
2. Manual en River khaviour, Coatrol and
Training-by Br. D.V Joglekar (1951),
Revised Editian (1972)
'3. Develspment of Irrigation in India (1966).
*4. Administration and Financing of Irrigation
Werks in India-by Shri N. D. Gulhati (1966).
*5. Irrigation Research in India-by Dr. D. V.
Joglekar ( I 966).
6 Sediment Centre1 h Rivers and Canals-by
Dr. H. L. Uppal (1%7).
7. Ganesh lyer's Volute Siphons-by Prof. N. S.
Gevinda Rao (1966).
8. Symposium on "Manufacture of Power
Generating Equipment in India" (1968).
9. Symposium on "Canal Lining" (1968).
10. Symposium on "Efficiency of Water Distribu-
tion and Use a n the Land" ( 1961).
I I. Symposium on "Economics and Financing of
Irrigatien, Brainage and Flood Control
Works" ( 1968).
Symposium on "Single Wire Earth Return
System for Rural Electrification" (1969).
Manual on Capacity Survey of Reservoirs-
by Shri B. N. Murthy (1969).
Symposium e n "lrrigatisn Water Maaage-
ment " ( 1 972). c Measures for its Preventiem"-Vds.
Symposium on "Sediment Problems in Irri-
gation and Drainage Channels" (1972).
Symposium on "Management of Irrigation
Waters" (1970).
Sympesium e n "9ptimum Requirements and
Utilisation s f Water for Irrigated Crops"
(1971).
Specifications for Power and Distribution
Transformers-Revised in Sections.
Manual on Layout of Substations ( 1969).
Revised ( 1975).
Sympesium on "Precast Techniquas in
Irrigation and Pewer Structuresw- -1s.
r & r r (1968).
Symposium e n "Ferecasting the Future
Demands e f a Power Systemw-Vols. I & I1
( 1968).
Sympesium on "Simulation Techniques on
Prototype &haviour in Water Resources
System"-Vols. I & I1 (1969).
Symposium om "Load Despatch Techniques
and Integrated Operation of Power S y s
terns"-Vols. I & I1 (1969).
- -
*Out of Stsck.
SI. Name sf the Prblicatien
4
24. Pattern of Tariffs m d k o w e r Supply Cen&
tion in India (1969): -,-
Generator ~ r e t e c t i s n h e l a ~ i n g - A Survey
of the Relay Schemes e n Existing Generator
Units in India (1971).
Symposium on "Flood Ferecastiag. Centrol
and Flood Damage PrstectienW--Vols.I L
11 (1970).
Symposium on "Energy Loss- in Fewer
Systems"-Vols. I k I1 (1970).
Elimination of Continuous Aerial Ejrrthwire
on High Voltage Traasmissien Lines in Imdia
(1976).
Proceedings, Adoption s f 4W kV o r 58(9 kV
for Transmission Line in India (1971 ).
Report on Thermal Generating Equipmut
(1971).
*31. Symposium on "Integrated Bevelepmsmt of
Surface and Sub-surface Water Reseurces'*-
Vols. I k 11 (1972).
*32. Symposium on "Cheice s f Unit Sices for
Future Generating StatisnsW-Vels. 1 & I1
( 1972).
*33. Report on Economic D e i g n of Transmis-
sion Lines (1972).
*34. Report on HydreElectric Plants m d Equip-
ment ( 1973).
35. Sym+olsium e n "Waterlogging-Causes u d
I. I1 &
111 (1972).
*36. Symposium e n "Fuel
rating Stations"--Vols.' F
'
y for Power Geme-
& 11 (1972).
'37. Protactive Relay Schemes for High Voltage
Feeders 33 kV and absve Pswer Transfer-
mers Bus Zones (1973).
38. Symposium on "Management Prslblens in
Irrigation and Power Systems"-Vels. 1, I1
& 111 (1974).
39. Symposium sn "Special Problems Cennected
with Operation and Maintenance s f Thermal
Stati~ns"--Vols. I P I1 (1975). 124
40. Symposium am "Silting of Rescrvsirs with
Special Reference t o Estimating the Life ef
Reservairs and Measures t o Arrest the Rate
of Sedimentation"-VsIs. I k I1 (1977).
41. Symposium e n "Standardisrtien @f B.riga
and Layeut t o Speed up the Censtructisn s f
T h m a l and Hydel Power Statisas"-Vsls.
I, I1 & I11 (1977).
42. Symposium o a "Hydrolegy of Riven with
Small and Medium Catchments-Vols I, I1
& 111 (1978)
43. Symposium s n "Besign and Protectisa e f
400 kV Transmission Limos amd Subata-
tions -Velr. I. I1 & I11 (1978) 131
Pauls Pr.rs. B-258 Naraina, PhascI, New Wlhi
( 7 9Capier)