Rock Mechanics

Government of India
Ministry of Mines
INDIAN BUREAU OF MINES
Application of
Rock Mechanics
in Surface and
Underground Mining
Issued by
Controller General
Indian Bureau of Mines
54/500/June 2014

Published by
C.S. Gundewar, Controller General

General Guidance
Formulation & Script Review
Drafting & Compilation
Technical Editing
Publication Review & Coordination
General Editing & Layout Design Control
Production & Printing
C.S. Gundewar, Controller General

Dr B.P. Sinha, Controller of Mines (TMP) (Rtd)
Dr A. Santharam, Regional Mining Geologist (Rtd)
S.R. Roy, Regional Controller of Mines
A.K. Singh, Chief Editor
M. Sumesh, Senior Editor
Indira S. Nair, Assistant Editor
A.A. Gawai, Senior Technical Assistant
P.L. Masram, Senior Technical Assistant
Anurag P. Mishra, Junior Technical Assistant
Conceptualised & Prepared by
Technical Consultancy, Mining Research

& Publication Division
Formatted & Produced at
Printed at
Publication Section, ME Division
IBM Press, Indian Bureau of Mines

Headquarters, Nagpur
First Published 2014

This Publication is available at < http://ibm.gov.in/>
For more information contact Indian Bureau of Mines, Indira Bhavan, Civil Lines,
Nagpur, Maharashtra, India
Preface
Rock Mechanics is a budding branch of Mining Engineering and Goesciences which
in todays context has been gaining wide attention, momentum and acceptance by
the Mining Fraternity. This Publication entitled Bulletin on Application of Rock
Mechanics in Surface and Underground Mining is an endeavour to comprehensively
assimilate the scope and reach of this emerging Engineering discipline. The design
of rock excavations is predominantly based on past experiences, engineering
judgments and empirical methods. Rock masses invariably are heterogeneous and
vary in their engineering properties and are intersected persistently by discontinuity
planes. It is, therefore, a challenge to create realistic simulations of excavation in
rock, which is not only unpredictable but also very complex as there are no simplistic
assumptions by which rock mass diversities could be explained.
The present scenario of rapidly expanding mining and civil engineering sectors
calls for scientific approach in formulating designs of opencast, underground and
civil excavations. Recent years have seen numerical modelling techniques and
softwares replacing the traditional methods of rock excavation design.
The major premise on which this Bulletin was conceptualised is to proffer an
exposition of academic and reference value to the Mineral Industry professionals.
Dealing profusely on topics related to application of rock mechanics in opencast and
underground mining operations, this Bulletin throws insights about the techniques
of rock mechanics and their utilisation in improving productivity and safety in mines.
Aimed at providing a holistic content about rock mechanics principles and their
applications in safe and systematic mining, mine economics and conservation of
minerals, this Bulletin attempts to elaborate not only on the fundamentals of Rock
Mechanics but also expatiates in detail the topics, such as, Rock Mass Classification,
Slope Stability, Numerical Methods in Rock Excavation & Designs and Application of
Rock Mechanics in Opencast & Underground Mines. The overall composition of the
subject literature oscillate from moderate to extensive and encompasses some
hypotheses and experimental results. The mathematical aspects have been intentionally
kept to minimum to engender lucidity to the text.
The discipline of Rock Mechanics has metamorphosed from rudimentary
form in its nascent years to an advanced branch of study. Keeping in tandem with
this tranformation, it is believed that this Bulletin will enable broadening the
understanding of excavation design, planning of opencast and underground mine
and the scientific principles that govern such concepts which would further engender
improved recovery of minerals with safety imperatives duly in place. Though intended
as ready reference handbook for academicians, researchers and field personnel
involved in mining operations, it is hoped that this Bulletin would serve the best
interest of all its readers.
Nagpur
Dated : 01 January 14
Controller General
Contents
Chapter 1
Background of Rock Mechanics
Chapter 2
Fundamentals of Rock Mechanics
Chapter 3
Site Investigation
24
Chapter 4
Rock Mass Classification
34
Chapter 5
Slope Stability
53
Chapter 6
Numerical Methods in Rock Excavation

& Design
74
Chapter 7
Rock Mechanics Applications in

Underground Mines
85
Chapter 8
Application of Rock Mechanics in Opencast &

Underground MinesCase Studies
115
List of Tables
Page No.
4.1
Rock Structure Rating
38
4.2
Rock Structure Rating of Parameter BJoint Pattern, Direction of Drive
39
4.3
Rock Structure Rating of Parameter CGroundwater, Joint Condition
39
4.4
Rock Mass Rating System (After Bieniawski 1989): ISRM
42
4.5
Guidelines for Excavation and Support of 10 m Span Rock Tunnels in

accordance with the RMR system (After Bieniawski 1989)
43
4.6
Classification of Individual Parameters Used in the

Tunnelling Quality Index Q
46
5.1
Instrument Types and Measurements
69
6.1
Computer Programmes for Blast Design and Analysis
83
6.2
Permissible Peak Particle Velocity (ppv) at the Foundation Level of

Structures in Mining Areas in mm/s
84
7.1
Suggested Support for Various Rock Conditions
110
8.1
Summary of Test Results
121
8.2
Rock Mass Classification of Adit No.1 and 2
122
8.3
SRK Geomechanics Classification: Slope Rock Mass Rating (SRMR)
128
8.4
SRMRStrength Correlation
130
8.5
Design Guidelines for Slope Angles based on SRMR System
130
8.6
Weighting Factors for Risk Analysis
131
List of Figures
Page/Plate No.
2.1 (a)
Concept of Scale as it Pertains to Rock Mass Properties in

Underground Excavation
2.1 (b)
Typical Joint Patterns
2.1 (c)
Example of the Type and Influence, the Number of Joints Sets

Exert on Rock Mass
2.2 (a)
Relation between Shear Stress, Normal Stress, Cohesion,

Angle of Friction
2.2 (b)
Calculation of Normal Stress, Shear Stress, Under Water Pressure
2.3 (a)
Strain Softening
2.3 (b)
Strain Hardening
2.4
TimeStrain Plot for Creep
2.5
Uniaxial Compressive Strength Test
10
2.6
Brazilian Test for Tensile Strength of Rock
11
2.7
Flexural Strength Test (Modulus of Rupture)
11
2.8 (a)
Single Shear Test
12
2.8 (b)
Double Shear Test
12
2.9 (a)
Punch Shear Test
12
2.9 (b)
Torsional Shear Test
12
2.10
Triaxial Compressive and Shear Strength
13
2.11
Mohrs Envelope
13
2.12
Relation Between Friction and Cohesion
16
2.13
Portable Shear Box
19
3.1
Plotting of Stereonets
31
3.2
Construction of a Great Circle and a Pole Representing a Plane
32-33
4.1
Procedure for Measurement and Calculation of RQD

(After Deere, 1989)
36
4.2
RSR Support Estimates for a 24 ft (7.3 m) Diameter Circular Tunnel.

Note that Rockbolts and Shotcrete are Generally Used Together.
(After Wickham et al. 1972)
40
4.3
Estimated Support Categories Based on the Tunnelling Quality

Index Q (After Grimstad and Barton, 1993, Reproduced from
Palmstrom and Broch, 2006)
50
4.4
Relation Between Unsupported Span, Standup Time and RMR Values
51
5.1
Simplified Illustrations of Most Common Slope Failure Modes
Plate-1
5.2
Plane Failure
Plate-1
5.3
Wedge Failure
Plate-2
List of Figures
Page/Plate No.
5.4
Toppling Failure
Plate-2
5.5
Circular Failure
56
5.6
Typical Pit Slope Geometry
58
5.7
Method of Slices
63
5.8
Slope Stability Analysis using SLIDE Software
Plate-3
5.9
Example of Finite Element Mesh
Plate-3
5.10 (a)
Invar wire Extensometer
Plate-4
5.10 (b)
Monitoring Slope with Invar Wire Extensometer
Plate-4
5.11
Multipoint Extensometer
Plate-5
5.12
Multipoint Borehole Piezometers
Plate-5
5.13
Instrumentation for Monitoring of Slope Face Stability along the Face
Plate-6
5.14
The Typical Pack Wall Constructed at Different Benches
73
6.1
Suitability of Different Methods for an Excavation in a Rock Mass
75
6.2
Hybrid Model for a Rock Mass Containing an Excavation Using

the DEM for the Near-field Region Close to the Excavation and
the BEM for the Far-field Region
76
6.3
Finite Element Model of the Shrinkage Stope with Post Pillar
Plate-7
6.4
Finite Element Model of the Shrinkage Stope without Post Pillar
Plate-7
7.1
Block Caving
Plate-8
7.2
Blasthole (Sublevel) Stoping
Plate-8
7.3
Shrinkage Stoping
Plate-9
7.4
Cut and Fill Stoping
Plate-9
7.5
Sublevel Caving
Plate-10
7.6
Room and Pillar Stoping
Plate-10
7.7
Vertical Stress Measurements from Mining and Civil Engineering

Projects Around the World (After Brown and Hoek 1978)
89
7.8
Ratio of Horizontal to Vertical Stress for Different Deformation

Moduli Based Upon Sheoreys Equation (After Sheorey 1994)
90
7.9
Methods of In situ Stress Determination in Underground Mines
Plate-11
7.10
2-Dimensional Rock Stress Measurements by Overcoring
Plate-12
7.11
3-Dimensional In situ Rock Stress Measurements by Overcoring
Plate-13
7.12
Time/Fluid Pressure Recording
91
7.13
Hydraulic Fracturing Equipment
Plate-14
7.14
Borehole Deformation Method by Overcoring Procedure
Plate-14
7.15
Determination of the Average Cancellation Pressure
93
List of Figures
Page/Plate No.
7.16
Specifications for Site Preparation
Plate-14
7.17
Schematic Diagram for Flat Jack Test
Plate-15
7.18
Flat Jack Installed at one of the Test Sites
Plate-15
7.19
Curve of E calc versus E true
96
7.20
Schematic Diagram for Double Packer Permeability Test
Plate-16
7.21
Site Preparation Specifications for Plate Load Testing
Plate-16
7.22
Schematic Diagram of Plate Load Testing Set-up
Plate-17
7.23
Erection of Plate Loading Equipment to Conduct Deformability Test
Plate-17
7.24
Plan and Section of Testing Site
103
7.25
Reading the Instruments
Plate-18
7.26
Section View of the Site Preparation Specifications for Conducting

Shear Test
Plate-18
7.27
Plan and Section View Indicating the Specifications of the Specimen for
Shear Testing
Plate-18
7.28
Schematic Diagram of Shear Testing Set-up
Plate-19
7.29
In situ Shear Testing at One of the Sites
Plate-19
7.30
Shear Testing Set-up Indicating Shear Jack Details at One of the Sites
Plate-20
7.31
In situ Shear Testing at One of the Sites (Showing Dial Gauges and LDVT)
Plate-20
7.32
Vibrating Wire Stress Meter Capsule
Plate-21
7.33
Convergence Indicator
109
7.34
Friction Anchor or Split Set
Plate-21
7.35
Grouted Cable Bolt
Plate-21
8.1
Stability of Tailing Dam by Bishop Method
118
8.2
Longitudinal Vertical Section of Underground Mine Showing Summary

of Rock Mechanics Instrumentation
120
8.3
Measurement of Convergence in Cut and Fill Stope
Plate-22
8.4
Installation of Load Cell and LVDT in Barrier Pillar Drive
Plate-22
8.5
Portal of Adit No. 1
Plate-22
8.6
Underground Blast Monitoring on the Surface of Hill
Plate-22
8.7
Gross Instability of Benches: Goa
Plate-22
8.8
Local Bench Failure
Plate-22
8.9
Plot Showing the Slope Failures in Goan Iron Ore Mines
Plate-23
8.10
Plot Showing the Effect of Limiting Equilibrium on Slope
Plate-23
8.11
Nomogram for SRMR Vs Factor of Safety
131
Chapter
1
1.0
INTRODUCTION
In 1951, the First International Convention on Rock Pressure and Ground Support was held in Liege,
Belgium and after this, several other national and international Symposia and Conventions were held
on the subject. In recent years, Numerical Methods are widely used to solve the problems related to
rock mechanics.
Initially, the International Society for Rock Mechanics organised its first Conference on Rock
Mechanics in 1966 at Lisbon. Definition of rock mechanics was described by the Committee on Rock
Mechanics of Geological Society of America in 1964 and this was followed by the Committee on Rock
Mechanics of National Academy of Sciences in 1966.
Rock Mechanics is the theoretical and applied science of behaviour of rock. It is that branch of
mechanics, which is concerned, with the response of rock to the field of its environment. These techniques
apply to surface excavation as well as underground. It has important role in mine planning and design viz.
selection of mining methods, optimum slope angle, design of support system, drilling and blasting parameters.
The International Society for Rock Mechanics (ISRM) brought out its Blue Book containing all
the ISRM Suggested Methods entitled The Complete ISRM Suggested Methods for Rock Mass
Characterisation, Testing and Monitoring (1974-2006) edited by R. Ulusay and J.A. Hudson in 2007.
Considerable works on Rock mechanics and its applications related to opencast, underground mining,
tunnelling, design of tailings dam and impoundments that were carried out on sound principles of rock
mechanics engineering world wide along with important aspects of rock mechanics in slope engineering for slope stability analysis, slope stabilisation, design and improving the productivity were encompassed in this compilation of Suggested Methods (SMs).
1.1
BLASTING
Rock Blasting is one of the key areas that directly influences the productivity of mines as large quantities of
well-fragmented ROM are required for the processing plants. It is desirable to minimise damage
desired to rock slope after excavation of materials. The production of well-fragmented rock facilitates
the post-excavation stages, such as, loading, transportation, handling and crushing. These requirements are
possible only if proper blasting techniques are adopted & applied so as to control rock fragmentation
and the consequent damages effected. Proper control of factors, such as, type, weight and distribution of
explosives, blast hole diameter, effective burden, effective spacing, blast hole inclination, stemming,
initiation sequence for detonation of explosives, delay between successive sequence hole or row firing
1
Application of Rock Mechanics in Surface and Underground Mining
etc. are essential for achieving optimum results. Rock Mechanics techniques that are based on rock
mass characterisation studies help in selection of blasting parameters for specific rock mass.
1.2
GROUND VIBRATION STUDY
The ground vibration studies are helpful in designing blasting parameters, in order to reduce the
distance of fly rocks and improved fragmentation. Blast induced vibrations are measured with the help
of blasting seismograph. Depending on the sites ground conditions, an equation may be established to
calculate a safe charge weight per delay and safe distance for measuring the ground vibration due to
blasting within the permissible safe limits so as to avoid possible damage to important surface structures,
such as, railway lines, crushers, buildings, archeological sites, temples and village localities. All
these would have to be in compliance with the various regulations of the Mining Act.
1.3
GROUND CONTROL / STRATA CONTROL
Many underground mines have problems of stope design, ground control and support systems. For the
purpose of analysis of the stability of existing pillars so as to avoid possible impending failure and to
achieve safer designs of future stopes and pillar, geotechnical study is required. By using various instruments
and close monitoring, stability of crown and rib pillars could be achieved.
1.4
SELECTION OF SUPPORT SYSTEMS
Geo-technical studies form an integral part for the assessment of ground conditions for support
requirement. The geomechanics classification of rock mass in drives, stopes on the basis of rock mass
classification, stand-up time for open stope, tunnel or without providing support can be studied. Type
of supports and its density can be calculated.
1.5
DESIGN OF STOPE & PILLAR
Rock mechanics investigations are helpful for a) design of different pillars in the stope, such as, rib
pillar, barrier pillars, pillars against waterlogged area; b) design of stopes; c) the stability of stopes and
various pillarsbarrier pillars, shaft pillars etc.; and d) problem on ground control and design of support
system. The major sources of instability of underground working are a) adverse geological structure;
b) excessively high rock stress while mining is at great depth; c) weathering or swelling of rock; d)
excessive ground water pressure. Feasibility study for selecting underground mining methods require
the rock mechanics data, such as, in situ stress, physio mechanical and elastic properties of rock and
rock mass strength. For this,
a)
The theoretical and experimental knowledge of stress distribution around the rock structure
may be useful for interpreting the early failure of rock. Based on these, remedial measures could
be taken which would enable saving in labour and cost. For planning and development of
new deposits, this process help providing rational approach for designing the underground
openings and supports.
b)
For new deposits, the pre-existing state of stress usually assumed to be due to weight of
overlaying rock would need to be assessed. Properties of subsurface rock can be obtained by
laboratory testing core.
c)
For underground design, an assessment of a small specimen of rocks that which would reveal the
mechanical defects, such as, joints, fractures, and faults, which affect the in situ mechanical
properties of the rock would be a valued input.
22
1.6
d)
The mine planning not only attaches significant importance to stability of underground structure
but also cost involved for sustenance of the mine during its projected lifetime.
e)
Rock mechanics instruments commonly used for the purpose of evaluating the stability of
working places, monitoring the ground movement, stress vibration etc. signal advance warning
of impending instability so that safety of men and machinery could be ensured. Installation of
such instruments is vital.
f)
Monitoring of crown and rib pillar stability using vibrating wire stress meter, extensometer, strain
and stress gauges; Determination of in situ stresses by using over coring technique, hydro
fracturing techniques; Measurement of deformation using borehole deformation gauges;
and Micro seismic network, are used for prediction of ground stability and seismic activity
in mines that are very deep.
g)
In order to analyse the stability of existing pillar so as to get a warning of possible failures and
to achieve safer design of future stope and pillars, there is need to measure the in situ rock
stresses at different levels in the mine together with mapping of joints and discontinuities for
the evaluation of rock mass quality. The most popular and accepted classification system for
rock mass strength is Q system. The value of the Q for a particular site is calculated from
rock quality designation (RQD based on drill core samples) and from the nature of joint and
stress reduction factors. It is helpful for deciding the support system at that particular site.
h)
For designing underground workings the important parameters are spacing of joints and bedding
planes, strike and dip of joints, continuity of joints and filling materials of joints. Core Orienters
for measuring of joints, seismograph for ground vibration measurements, roof stability tester
to evaluate the ground stability and continuous recording instruments should be installed.
i)
Numerical modelling techniques have developed as a powerful tool for simulation of excavation
and rock characteristics. This is very much helpful for designing of pillars, span of excavations
and sequence of mining etc.
j)
Unsupported roof over the underground openings may be massive or arched, laminated or
layered. The arched roof usually form in massive rock while flat laminated roof is usually
formed in sedimentary rocks. The degree of stress and strain in the roof, sidewall and floor of
the opening can be evaluated by the elastic theory or measured by in situ methods.
SLOPE STABILITY INVESTIGATIONS
Nowadays, the number of opencast mines are increasing as compared to underground mines due to
excessive demand for large volumes of ore and better ways available for waste handling, low gestation
period and quick return on investments. Slope stability analysis is being carried out at the start-up of
the project in order to avoid any further unexpected consequences. Design of ultimate pit slope
angles, working bench height, bench slope angles, blast design parameters, selection of proper excavation
and loading equipment invariably are dependent on the rock mass characterisation. The design of haul
roads, ramps, foundation for crusher site, site evaluation for creating waste dumps, tailings dam facilities
also require considerable amount of rock mechanics/soil mechanics investigations.
Slope support and stabilisation measures have been carried out to understand the behaviour of various
geotechnical rock properties under different natural climatic conditions. Recent developments in
numerical modelling techniques and monitoring instruments further proved helpful for the scientific
mine design for improved recovery of minerals with safety and environmental considerations.
Chapter
2
2.0
INTRODUCTION
Rock mechanics engineering is the branch of engineering concerned with mechanical properties of
rock and application of this knowledge in dealing with engineering problems of rock materials.
Underground structures in rock, i.e., any excavated or natural subsurface opening or system of openings that is virtually supported by wall pillar only and not by any support placed within the openings
need geotechnical study. For designing and stability evaluation a) the stresses and/or deformation in
the structure resulting from external or body load; b) the ability of structure to withstand the stress or
deformation, need to be determined.
The behavior of fractured media is a complex problem that raises important issues of scale. Figure
2.1 (a) illustrates a fundamental problem faced when representing a fractured medium. The joint
patterns, such as, blocky, irregular, tabular and columnar block shapes of rock mass are shown in Figure
2.1(b). Different types of joints sets are shown in Figure 2.1(c).
Underground
underground
Excavation
excavation
intact
rock
Intact Rock
single
discontinuity
Single Discontinuity
two
discontinuities
Two Discontinuities
Several Discontinuities
several
discontinuities
rock
mass
Rock Mass
Figure 2.1(a): Concept of Scale as it Pertains to Rock Mass Properties in Underground Excavation
a)
b)
d)
c)
Figure 2.1(b): Typical Joint Patterns
1
Three
Joint
Sets
One
Joint
Set
2
3
1
R
Figure 2.1(c): Example of the Type and Influence the Number of Joints Sets Exert on Rock Mass
The difficulties in designing a structure in rock are as follows:

a)
State of stress of subsurface rock is not known due to weight of overlaying rock and
tectonic forces.
b) The information on the mechanical properties of in situ rocks is not available before
underground excavation.
c)
The problem that arises in relation to calculating the stress and deformation in various
parts of the rock structure.
The factors to deal with while designing a structure in rock are:

a)
The design of the structure must be such that it holds up for a long span of time, all safety
factors should be kept high.
b) Design should be such that the structure could be made in a minimum time.
c)
In situ stress should be carried out at initial stage, so that modification at later stage could
be avoided.
d) For economics of mining it is necessary to exploit the entire deposit keeping size and number
of pillars, barriers to the minimum.
5
2.1
STRESS
There are two types of forces a) Body force and b) Surface force. Body force acts through out the
body and does not require physical contact with other body, i.e., gravitational, magnetic or inertial
forces. Surface force acts on the external surface of a body and result from physical contact with other
body. The term stress means force per unit area.
The rock specimen having geological discontinuity, such as, joints when under the loading system
causes sliding along the discontinuity. The shear stress required causing sliding increases with
increase of normal stress. The slope of the line relating to normal stress and shear stress defines the
angle of friction . If the discontinuity surface is cemented or it is rough, a finite value of shear stress
will be required to cause sliding when the normal stress is zero. This initial value of shear strength
defines the cohesive strength c of the surface. The relation between shear stress and calculation of
normal stress is shown in Figures 2.2 (a) & 2.2 (b).
Shear Displacement u
Shear Stress
Normal Stress
) Angle of Friction
Normal Stress
Shear Stress
Figure 2.2(a): Relation between Shear Stress, Normal Stress, Cohesion, Angle of Friction
Tension Crack
W Sin
T Bolt
W Cos
Figure 2.2 (b): Calculation of Normal Stress, Shear Stress, Under Water Pressure
When the block is on the slope, i.e., block having weight W, area A resting on the slope ground
surface inclined at angle then,
Normal stress
= (W cos ) /A
Shear stress
= c + [(W cos ) /A] x tan
Resisting force
R = A = cA+ W cos tan
Uplift force
U = uA, where, u = water pressure
Effect of water pressure Resisting force = (W cos - U) tan

When the tension crack is filled up with water, the water pressure increases linearly with depth.
Then the equilibrium for block
Wsin + V = cA + (W cos - U) tan
When bolting is used for stabilising the block sliding along the slope, bolt tension reduces the
disturbing forces acting down the plane and increases the normal force and the frictional resistance
between the base of the block and the plane. Then the factor of safety F defines the ratio of the total
force available to resist sliding to total force tending induce sliding.
F =
cA + (W cos - U ) + T cos tan

W sin + V - T cos
When the slope is stable, the resisting forces are greater than the disturbing forces and the value of
factor of safety will be greater than unity.
2.2
STRAIN AND YIELD
Formation of planes of separation in the rock result in fracture. Peak strength is the maximum stress
reached before failure. It is indicated by Point 2 in the Figure 2.3 (a). Beyond the peak strength, the rock
may still have some strength. The minimum or residual strength reached after post peak deformation is
indicated by Point 3 in the Figure 2.3 (a). Yield occurs when there is a departure from elastic behaviour,
i.e., when some of the deformation becomes irrecoverable at Point 1 in the Figure 2.3 (a). The yield
stress y in Figure 2.3 (a) is the stress at which permanent deformation first appears. Sudden loss of
strength that occurs across a plane following little or no permanent deformation (plastic deformation)
result in Brittle fracture as shown in Figure 2.3 (a). Ductile deformation occurs when rock may sustain
further permanent deformation without loosing load carrying capacity as shown in Figure 2.3 (b).
Stress
Stress
2
y
1
Strain
Strain
Figure 2.3(a): Strain Softening
Figure 2.3(b): Strain Hardening

7
2.3
CREEP
Creep is time dependant property of testing of rock. Creep theory is used in design of pillar, slow
deterioration or closure of mine working.
Creep deformation (or strain) is plotted against time and is shown in Figure 2.4. When constant
stress is applied to the rock material, instantaneous elastic strain appears and curve is concave downward,
creep in this region, i.e., (i) is called the primary or transient creep. The second region (ii), i.e., the
steady state creep, is characterised by a curve of approximately constant slope. It is also called secondary
creep. Finally, the curve as shown as (iii) becomes convex leading rapidly to fracture, this is called
tertiary or accelerating creep.
ii
iii
i
Transient Creep
ii
Steady State Creep
iii
Accelerating Creep
Time
Strain
Figure 2.4: Time-Strain Plot for Creep
2.4
ELASTICITY AND MATERIAL PROPERTIES
Elastic theory provides the solution to a large number of problems that have direct applications in
structure of rock mechanics. Many materials that are linearly elastic at low stress level deviate if they
are put under higher stress or at prolonged loading system. The deviation may indicate an incomplete
instantaneous recovery of strain upon removal of stress and variation in mechanical properties with
application of stress. The behaviour of raw materials beyond the elastic range is termed as inelastic. The
theory of elasticity can be used to make approximation of the stresses, strains and deformations in the
structure under the given loading condition and that various inelastic theories can be used to estimate
the ultimate loads that a given structure can support before there are occurrances of excessive deformation,
fracture or disintegration. Inelastic theories have been developed mainly to describe the mechanical
behaviour of ductile, plastic and viscous solids at high stress where creep and permanent deformation
occur in rocks.
Most ductile materials have a fairly long plastic range before fracture occurs whereas brittle materials,
such as, rocks have very limited plastic ranges, if any, for uniaxial tension or compression. However, for
triaxial loading conditions, most brittle material tends to show a plastic range where permanent
deformation occurs.
Theory of elasticity was developed by assuming that stress is directly proportional to strain. Various
mathematical and mechanical models have been proposed to describe the mechanical behaviour of a
real material. Some of the models are described below.
2.5
POISSION RATIO AND MODULUS OF ELASTICITY
Hooks law represents the relationship between stress and strain. Assume a rectangular parallel piped
with its size parallel to coordinate axes acted upon by a normal stress x uniformly distributed over two
opposite sides, the magnitude of normal strain x is given by
x =
x
E
where, E is the Modulus of Elasticity

Extension of the body in the x direction is accompanied by a lateral contraction in both the y and
z directions, thus
y = v
z = v
x
E
and
x
E
where v is a constant known as Poissons ratio.

Poissons ratio for many materials is between 0.15 and 0.35 and often assumed as equal to 0.25.
2.6
MECHANICAL PROPERTIES OF THE ROCK
For the purpose of design and to evaluate the stability of underground structure, mechanical properties
of the rock must be known. It provides the knowledge of material deform or fail, under the action of
applied force. The mechanical properties are tensile strength, compressive strength, shear strength,
creep or time properties and strain or deformation properties. The mechanical properties can be determined
by static testing which includes uniaxial (unconfined) compressive, tensile, shear and flexural strength,
triaxial compressive, shear strength etc. and also elastic constants, i.e., modulus of elasticity and Poissons
ratio obtained from uniaxial, triaxial stress-strain relationship.
2.6.1 Uniaxial Compressive Strength
The uniaxial compressive strength of rock is measured by loading a cylindrical specimen to its failure in
a compressive machine.
Cp
Co =
0.778 + 0.222D/L
where,
Co is the compressive strength of a specimen of the same material having 1:1 length to diameter ratio.
Cp is compressive strength of specimen for which 2 > (L/D) > (1/3).
D is diameter of cylindrical samples and side length in case of a cubical sample.
L is length or height of sample.
The factors, such as, flatness of bearing surface, a specimen size and shape, moisture content in the
specimen, the effect of friction between the bearing platens and the specimen, the alignment of swivel
head and rate of loading affect the test conducted for determining the compressive strength of a material.
The specimen generally must be cylindrical or cubical in shape. The cylindrical samples are cut to
the size by a diamond saw and surface irregularities are smoothened by surface polishing machine. The
length of the specimen is generally 2.5 times the diameter. The ends of the specimen should be parallel
to each other and normal to the axes of specimen.
In underground mining, pillars and columns support the roof rock. For the stability of pillars and
columns, the compressive strength of rock is a vital parameter.
9
The compressive strength of rock depends upon shape, surface quality of loading system, rock
specimen surface, porosity and moisture content of the rock, rate of loading and specimen size. The
compressive strength of the rock decreases with increase in its porosity. Water in rock pores reduces
the magnitude of internal friction of rock thereby reducing the rock strength. Usually, wet sample has
its strength 1/3 of that of a dry sample (Refer Figure 2.5).
P
> 0.7 D
Fracture Plane
c 24 Is
For D = 50 mm
Is = P2
D
Failure criteria for isotropic and fractured rock
For other diameters (Bieniawski) : c
(14 + 0.175 D)Is
D [mm]
Failure of isotropic rock
2c cos + 2 (1 + sin )
1 =
1 sin
Failure over pre-existing discontinuities
1 =
2c + 2 [sin 2 + tan (1 cos 2)]

sin 2 tan (1 + cos 2)
Figure 2.5: Uniaxial Compressive Strength Test
2.6.2 Tensile Strength of Rock

The tensile strength is measured by loading a cylindrical specimen in tension to its failure. The indirect
methods such as Brazilian test and flexural strength or bending test are also used to measure tensile strength.
a) Brazilian Test
The specimen is cut out of a cylindrical core by a diamond saw. The length to the diameter ratio is
usually 0.5. The periphery of the specimen should be smooth. The specimen is placed under compression
testing machine. Compressive load (normally 220 kgf/s) is applied slowly till failure take place
(Refer Figure 2.6).
10
To =
2F c
DL
Fc = applied failure load in kg along the length of the specimen

D = diameter of specimen in cm
L = length of the specimen in cm
To = uniform tensile strength in kg/cm2
Figure 2.6: Brazilian Test for Tensile Strength of Rock
b)
Flexural Strength or Bending Test (Modulus of Rupture)
The flexural strength or modulus of rupture is a measure of the outer fibre tensile strength of a material.
This can be determined by loading a cylindrical specimen in a three point loading device to fracture
(Refer Figure 2.7)
8F L
Ro = c
D 3
R0 is flexural strength of rock in kg/cm2

Fc is the applied compressive load at failure in kg
L is length between the bearing edges of the lower plate in cm
For a prismatic specimen of thickness d and width b
Ro =
8F c L
2 bd 2
Figure 2.7: Flexural Strength Test ( Modulus of Rupture)

11
2.7
UNCONFINED SHEAR STRENGTH
Indirect shear test is properly known as punch shear test. Usually, shear test are single shear test, double
shear test, punch shear test, torsion shear test [Refer Figures 2.8 (a), 2.8 (b) & 2.9 (a), 2.9 (b)].
Usually, the measured shear strength is not inversely proportional to the cross-sectional area.
1. For single shear test, the shear strength So is
Fc
A
Where Fc is the force in the direction of the plane A necessary to cause failure.
So =
A = cross-sectional area of specimen

Fc
Fc
Fc /2
Fc
Fc /2
Figure 2.8 (b): Double Shear Test
Fc
Figure 2.8 (a): Single Shear Test
2. For Double Shear test, the shear strength So is
So =
Fc
2A
3. For Punch Shear test, the shear strength So is
So =
Fc
2 ra
Fc
where, a = thickness of the specimen and

r = radius of punch
Figure 2.9 (a): Punch Shear Test
4. For Torsional Shear test, the shear strength So is
So =
16 Mc
D 3
where, Mc = applied torque at the failure
D = Diameter of the cylinder
12
Figure 2.9 (b): Torsional Shear Test
2.8
TRIAXIAL COMPRESSIVE AND SHEAR STRENGTH
The triaxial compressive and shear strength is required for calculating the bearing capacity of foundation
rock for surface structure and in determining the strength of mine pillar and other parts of underground
structure (Refer Figure 2.10).
Hardened and Ground
Shell Spherical Spots
Clearance Gap
Mild Steel Cell Body
Rock Specimen
Oil Inlet
Strain Gauges
Rubber Sealing Sleeve
Figure 2.10: Triaxial Compressive and Shear Strength
In triaxial test, a constant hydraulic pressure p may be applied on the curved surface of cylindrical
specimen together with applying compressive axial load to the end of specimen till the specimen fails.
To prevent the penetration of hydraulic fluid into the pore space in specimen, rubber jacket may be
provided to specimen. If Fc is axial load at failure, the principal stresses in specimen at the failure are :
3 =
Fc
A
where, A is the end area of the specimen.
and 1 = - p
To determine the triaxial compressive strength of a given material, usually six specimens are tested
under the triaxial machine. The resulting different value of radial pressure 1 & 3 gives the functional
relationship 3 = f (1). For each 1 and 3 values, Mohrs circle can be constructed. Envelop curves tangent
to the circle 0 = f ( 0 ). The intercept of the envelop with the axis is the triaxial shear strength S0 of
the material (Refer Figure 2.11)
Mohrs Circle
= the angle internal friction formed by tangent
to the circle at p and the direction of the axis.
Q = Angle of failure plane with respect to axial direction
O
0
Figure 2.11: Mohrs Envelope
= the coefficient of internal friction can be calculated

from tan2Q = 1/
1 and 3 relationship is approximately linear for many rocks.
Q = + (So - Q tan)
Q and Q are the normal and shear stresses acting on
the failure plane.
So is the shear strength of the rock.
tan is the slope of the envelope curves.
A decrease in modulus of elasticity with increasing tensile stress is the characteristics of most rocks.
13
2.8.1 Effect of the Pore Pressure

The material in triaxial stress is subjected to a pore pressure p0 and principal stresses 3 and (2 = 1). The
pore pressure reduces the principal stresses so that effective principal stresses 1 , and3 , are
3 , = 3 p0
1 , = 1 p0
Stress difference (3 1) and slope of the envelope remain unchanged.
Q = So (Q pQ) tan
Presumably the drainage through joints, fractures, faults, parting and watercourses are such that
water pressure gradient may be increased slowly with the distance from the surface of openings, i.e.,
tunnel, adit, shaft, single openings may have larger gradient than the extensive mined area. Thus the
most likely condition in rock surrounding an underground opening is a moist or nearly saturated rock
with a comparatively small pressure gradient developing behind rock surface.
2.8.2 Void Ratio
Void ratio, in materials science, is related to porosity and defined as the ratio between
e =
VV
VS
VV
=
VT VV
1
and
VV
VT
VV
VS + VV
e
1+e
where e is void ratio, is porosity, VV is the volume of void-space (such as fluids), VS is the
volume of solids and V T is the total or bulk volume. This figure is relevant in composites,
in mining (particular with regard to the properties of tailings) and in soil science. In geotechnical
engineering, it is considered as one of the variables of soils state and is represented by the symbol e.
2.8.3 Bulk Density
Bulk density is a property of powders, granules and other divided solids, especially used in reference
to mineral components (soil, gravel), chemical substances (pharmaceutical) ingredients, foodstuff or any
other masses of corpuscular or particulate matter. It is defined as the mass of many particles of the
material divided by the total volume they occupy. The total volume includes particle volume,
inter-particle void volume and internal pore volume.
Bulk density is not an intrinsic property of a material. It can change depending on how the material is
handled. For example, a powder poured into a cylinder will have a particular bulk density, if the
cylinder is disturbed, the powder particles will move and usually settle closer together, resulting in a
higher bulk density. For this reason, the bulk density of powders is usually reported both as freely
settled (or poured density) and tapped density (where the tapped density refers to the bulk density
of the powder after a specified compaction process, usually involving vibration of the container).
2.8.4 Angle of Repose
The angle of repose or, more precisely, the critical angle of repose, of a granular material is the steepest
angle of descent or dip of the slope relative to the horizontal plane when material on the slope face is on
the verge of sliding. This angle is given by the number (0 90).
14
When bulk granular materials are poured onto a horizontal surface, a conical pile will form. The
internal angle between the surface of the pile and the horizontal surface is known as the angle of repose
and is related to the density, surface area & shapes of the particles and the coefficient of friction of the
material. Material with a low angle of repose forms flatter piles than material with a high angle of repose.
The term has a related usage in mechanics, where it refers to the maximum angle at which an
object can rest on an inclined plane without sliding down. This angle is equal to the arc-tangent of
the coefficient of static friction s between the surfaces.
2.8.5 Porosity or Void Fraction
Porosity or void fraction is a measure of the void (i.e., empty) spaces in a material, and is a fraction of
the volume of voids over the total volume, between 01, or as a percentage between 0100 %. The term
is used in multiple fields including pharmaceutics, ceramics, metallurgy, materials, manufacturing,
earth sciences and construction.
2.8.6 Permeability
Permeability in fluid mechanics and the earth sciences (commonly symbolised as or k) denotes the
measure of the ability of a porous material(such as, a rock or unconsolidated material) to allow fluids to
permeate through it.
2.8.7 Specific Storage
Specific storage (Ss ), storativity (S), specific yield (Sy ) and specific capacity are material physical properties
that characterise the capacity of an aquifer to release groundwater from storage in response to a decline
in hydraulic head. For that reason they are sometimes referred to as storage properties. In the field
of hydrogeology, these properties are often determined using some combination of field hydraulic tests
(e.g., aquifer tests) and laboratory tests on aquifer material samples.
The specific storage is the amount of water that a portion of an aquifer releases from storage per
unit mass or volume of aquifer per unit change in hydraulic head, while remaining fully saturated.
Mass specific storage is the mass of water that an aquifer releases from storage per mass of aquifer
per unit decline in hydraulic head:
1 dmw
(S s ) m =
m a dh
where, (Ss )m is the mass specific storage ([L-1]);
ma is the mass of that portion of the aquifer from which the water is released ([M]);
dmw is the mass of water released from storage ([M]); and
dh is the decline in hydraulic head ([L]).
2.8.8 Internal Friction and Cohesion
Angle of internal friction for a given soil is the angle in the graph (Mohrs circle) of the shear stresses at
which shear failure occurs. Angle of internal friction can be determined in the laboratory by Direct
Shear test or the Triaxial Stress Test (Refer Figure 2.12). Cohesion is the force that holds together
molecules or like particles in their soil. Cohesion c is usually determined in the laboratory using triaxial
test or the unconfined compressive strength test.
15
Coulomb criteria || = c + tan

Mohr-Coulomb Envelope
Uniaxial
Compression
1
t evp
Uniaxial
Tension
= /4+/2
c=
2 c cos
1 sin
t=
2 c cos
1 + sin
Figure 2.12: Relation Between Friction and Cohesion
2.8.9 Atterberg Limits

The Atterberg Limits are a basic measure of the nature of fine-grained soil. Depending on the water
content of the soil, it may appear in four states solid, semi-solid, plastic and liquid. In each state the
consistency and behaviour of a soil is different and so are its engineering properties. Thus, the boundary
between each state can be defined based on a change in the soils behaviour. The Atterberg Limits can
be used to distinguish between silt and clay, and it can distinguish between different types of silts and
clays. These Limits were created by Albert Atterberg, a Swedish chemist. They were later refined
by Arthur Casagrande. These distinctions in soil are used in picking the soils to build suitable structures.
These tests are mainly used on clayey or silty soils since these are the soils that expand and shrink due
to moisture content. Clays and silts react with the water and thus change sizes and have varying shear
strengths. Thus these tests are used widely in the preliminary stages of building any structure to insure
that the soil will have the correct amount of shear strength and not too much change in volume as it
expands and shrinks with different moisture contents.
2.8.10 Shrinkage Limit
The Shrinkage Limit (SL) is the water content where further loss of moisture will not result in any more
volume reduction. The test to determine the Shrinkage Limit is ASTM International D4943. The Shrinkage
Limit is much less commonly used than the liquid and plastic limits.
2.8.11 Plastic Limit
The Plastic Limit (PL) is the water content where soil transitions take place between brittle
and plastic behaviour. A thread of soil is at its plastic limit when it begins to crumble when rolled
to a diameter of 3 mm. To improve test result consistency, a 3 mm diameter rod is often used to gauge
the thickness of the thread when conducting the test. The Plastic Limit test is defined
by ASTM standard test method D 4318.
16
2.8.12 Liquid Limit

The liquid limit (LL) is the water content at which a soil changes from plastic to liquid behaviour. The
original liquid limit test of Atterbergs involved mixing a pat of clay in a round-bottomed porcelain
bowl of 1012 cm diameter. A groove was cut through the pat of clay with a spatula, and the bowl was
then struck many times against the palm of one hand. Casagrande, subsequently standardised the apparatus
and the procedures to make the measurement more repeatable. Soil is placed into the metal cup portion
of the device and a groove is made down its center with a standardised tool of 13.5 millimetres (0.53 in)
width. The cup is repeatedly dropped 10 mm onto a hard rubber base during which the groove closes up
gradually as a result of the impact. The number of blows for the groove to close is recorded. The moisture
content at which it takes 25 drops of the cup to cause the groove to close over a distance of 13.5 millimetres
(0.53 in) is defined as the liquid limit. The test is normally run at several moisture contents, and the
moisture content which requires 25 blows to close the groove is interpolated from the test results. The
Liquid Limit test is defined by ASTM standard test method D 4318. The test method also allows running the
test at one moisture content where 20 to 30 blows are required to close the groove; then a correction
factor is applied to obtain the liquid limit from the moisture content.
The following is when you should record the N in number of blows needed to close this 1/2-inch gap:
The materials needed to do a Liquid limit test are as follows:
*
Casagrande cup ( liquid limit device)
Grooving tool
Soil pat before test
Soil pat after test
Another method for measuring the liquid limit is the fall cone test. It is based on the measurement
of penetration into the soil of a standardised cone of specific mass. Despite the universal prevalence of
the Casagrande method, the fall cone test is often considered to be a more consistent alternative because
it minimises the possibility of human variations when carrying out the test.
The importance of the liquid limit test is to classify soils. Different soils have varying liquid limits.
Also to find the plasticity index of a soil you need to know the liquid limit and the plastic limit.
The values c and are found by testing a soil sample in the laboratory triaxial or shear box test.
Great care must be taken as c and can vary depending on:
a)
The stress range
b)
Sample preparation
c)
Sample orientation
d)
Sample size
e)
Rate of testing
f)
Softening
g)
Progressive failure
The change in c and as a result of these effect is discussed in Skempton and Hutchinson (1969)
state-of-the-art paper on natural slopes and embankment foundation.
17
2.8.13 Slake Durability Index Test

The test is intended to access the resistance offered by a rock sample to weakening and disintegration
when subjected to two standard cycles of drying and wetting.
The Slake Durability Index is calculated as the percentage ratio of final to initial dry sample masses
as follows:
Slake durability index Id2 =
(B C)/(A C)) x 100%.
where, A is mass of (drum + sample)
B is the mass of drum plus retained portion of the sample after cooling
C is the mass of drum
Index taken after three or more cycles of slaking and drying may be useful for evaluating rock
of higher durability. Slake durability index is used for waste dump, tailing dam design and coal mine
dumps or spoils.
2.8.14 California Bearing Ratio
The California Bearing Ratio (CBR) is a penetration test for evaluation of the mechanical
strength of road subgrades and base curves. It was developed by the California Department
of Transportation.
The test is performed by measuring the pressure required to penetrate a soil sample with a plunger
of standard area. The measured pressure is then divided by the pressure required to achieve an equal
penetration on a standard crushed rock material. The CBR test is described in ASTM Standards D1883-05
(for laboratory-prepared samples) and D4429 (for soils in place in field), and AASHTO T193. The CBR
test is fully described in BS 1377: Soils for civil engineering purposes: Part 4, Compaction related tests.
The CBR rating was developed for measuring the load-bearing capacity of soils used for building
roads. The CBR can also be used for measuring the load-bearing capacity of unimproved airstrips or for
soils under paved airstrips. The harder the surface, the higher the CBR rating. A CBR of 3 equates to
tilled farmland, a CBR of 4.75 equates to turf or moist clay, while moist sand may have a CBR of 10.
High quality crushed rock has a CBR over 80. The standard material for this test is crushed
California limestone which has a value of 100.
CBR =
P
Ps
100 CBR = CBR [ %]
P = measured pressure for site soils [N/mm]

Ps = pressure to achieve equal penetration on standard soil [N/mm]
2.8.15 Direct Shear Test
A direct shear test also known as shearbox test is a laboratory or field test used by geotechnical
engineers to measure the shear strength properties of soil or rock material, or of discontinuities in soil
or rock masses. The test is performed on three or four specimens from a relatively undisturbed soil
sample. A specimen is placed in a shear box which has two stacked rings to hold the sample; the contact
between the two rings is at approximately the mid-height of the sample. A confining stress is applied
vertically to the specimen, and the upper ring is pulled laterally until the sample fails, or through a
specified strain. The load applied and the strain induced is recorded at frequent intervals to determine
a stress-strain curve for the confining stress.
18
Direct Shear tests can be performed under several conditions. The sample is normally saturated
before the test is run, but can be run at the in situ moisture content. The rate of strain can be varied to
create a test of undrained or drained conditions, depending whether the strain is applied slowly enough
for water in the sample to prevent pore-water pressure buildup.
Several specimens are tested at varying confining stresses to determine the shear strength parameters,
the soil cohesion (c) and the angle of internal friction (commonly friction angle) (). The results of the
tests on each specimen are plotted on a graph with the peak (or residual) stress on the x-axis and the
confining stress on the y-axis. The y-intercept of the curve which fits the test results is the cohesion,
and the slope of the line or curve is the friction angle. The portable shear box is shown in Figure 2.13.
Rope Load Equaliser
Normal Load Jack

Concrete or Plaster
Cast Specimen Mount
Gauge for Measurement of
Shear Displacement
Shear Surface
Upper Shear Box
Shear Load Jack
Lower Shear Box
Figure 2.13: Portable Shear Box
2.8.16 Proctor Compaction Test

The Proctor compaction test is a laboratory method of experimentally determining the optimal moisture
content at which a given soil type will become most dense and achieve its maximum dry density. The
term Proctor is in honour of R.R. Proctor, who in 1933 showed that the dry density of a soil for a given
compactive effort depends on the amount of water the soil contains during soil compaction. Later on,
his test was updated to create the modified Proctor compaction test.
These laboratory tests generally consist of compacting soil at known moisture content into a
cylindrical mould of standard dimensions using a compactive effort of controlled magnitude. The soil is
usually compacted into the mould to a certain amount of equal layers, each receiving a number blows
from a standard weighted hammer at a specified height. This process is then repeated for various
moisture contents and the dry densities are determined for each. The graphical relationship of the dry
density to moisture content is then plotted to establish the compaction curve. The maximum dry
density is finally obtained from the peak point of the compaction curve and its corresponding moisture
content, also known as the optimal moisture content.
19
The testing described is generally consistent with the American Society for Testing and
Materials (ASTM) standards, and are similar to the American Association of State Highway and
Transportation Officials (AASHTO) standards. Currently, the procedures and equipment details for the
standard Proctor compaction test is designated by ASTM D698 and AASHTO T99. Also, the modified
Proctor compaction test is designated by ASTM D1557 and AASHTO T180.
2.9
EFFECT OF GROUNDWATER IN SLOPE ENGINEERING
The incidence of slope failure in working mines during or shortly after periods of intense rainfall indicates
the degree to which rainfall and subsequent movement of groundwater affect slope stability. A knowledge
of groundwater conditions is needed for the analysis and design of slopes. The groundwater regime is
often the only natural parameter that can be economically changed to increase the stability of slopes.
Water affects the stability of slopes in the following ways:
a)
By generating pore pressure, both positive and negative, which alter stress conditions;
b)
By changing the bulk density of the slope forming material;
c)
By both internal and external erosion; and
d)
By changing the material constituents of the slope forming material.
2.9.1 Water Balance and the Hydrological Cycle

Water, whether in the solid , liquid or gaseous (vapour) form, is continually in circulation by transformation
of its state and by its movement between land, sea and air. This continuous movement is called the
hydrological cycle.
In terms of the stability of slopes, the land-based portion of the hydrological cycle is most intense.
Inflow to the system arrives as rainfall which can be extremely intense. Water flow from the system can
be as run off, evapo-tanspiration, and subsurface underflow. Changes of storage within the system is
that part of the rainfall which becomes incorporated into the groundwater system as recharge. The
above elements form the basis of the water balance equation.
Rainfall = Evaporation + Runoff + Subsurface underflow + Change in soil moisture + Change in

groundwater storage
Changes in groundwater are critical to slope stability as it is these elements in the water balance
equation that effectively alter the degree of saturation of the ground above the water table and the
elevation of the water table itself.
Runoff is that proportion of rainfall that flows from a catchment into streams, lakes or the sea. It
consists of surface runoff and groundwater runoff, where groundwater runoff is derived from rainfall
that infiltrates into soil down to the water table and then percolates into stream channels. The amount
of runoff in any given catchment depends on variety of factors such as the condition and nature of the
soil and bedrock, the intensity and duration of rainfall, the slope angle, the surface of cover and the
antecedent conditions within the catchment. The amount or depth of runoff maybe calculated by gauging the flow in streams which drain the catchment. The runoff coefficient or runoff percentage is
defined as the proportion of rainfall that flows from a catchment as a percentage of the total depth of
rainfall over the catchment areas.
Infiltration is defined as the movement of water from the ground surface into the soil or rock
through the pores or interstices of the ground mass (i.e. the absorption of water by the soil). Infiltration
can be further divided into that part which contributes to the water content of the unsaturated zone,
20
and the part which recharges the saturated groundwater system. Some recharge to the saturated groundwater system may be lost as groundwater runoff, whilst recharge to the unsaturated zone may be lost by
transpiration or evaporation .When an unsaturated zone exists in a soil it is said to have a soil moisture
deficit. Recharge to this zone reduces the deficit until the soil becomes fully saturated, at which time
the soil moisture deficit is equal to zero.
2.9.2 Types of Groundwater Flow
Water flows through soil or rock in various ways depending on the nature of the ground. Watertransmitting soil or rock units are called aquifers. Different types of aquifer demonstrate different modes of
groundwater flow, such as, intergranular, fissure and conduit flow.
Intergranular flow is groundwater flow between the individual component grains that make up a
soil or rock. This type of flow must closely follow the Darcy Concept of flow through a homogeneous
isotropic medium of uniform grain size. In practice, however most water bearing strata exhibit
intergranular or homogenous flow and path-preferential flow through fissures or conduits within the
stratum. Joints within a soil/rock mass can have a significant effect on groundwater levels and hence
contribute towards slope in stability. An aquifer, therefore, can be simply defined as a permeable water
bearing stratum that transmits water under normal head or hydraulic gradient. An aquiclude is a
stratum that may contain pore water but is not permeable enough to transmit water even under
considerable hydraulic head. The term acquitter is used to indicate a stratum that shows limited
water-transmitting capabilities.
Groundwater in aquifers not only exhibits intergranular and path-preferential flow characteristics
related to the granular or fissured structure of the aquifer unit, but also exhibits confined or unconfined
flow characteristics. In the former, groundwater is normally confined at the top by an impermeable
stratum (aquiclude). The aquifer unit is therefore gets fully saturated, and the piezometric (hydraulic)
head is above the lower boundary of the confining medium. In unconfined flow situations, ground
water does not fully occupy the potential aquifer, and a free water surface (water table) exists within
the aquifer. Water table in aquifers can either be main table or perched water table. The main water
table in any aquifer is the surface of the zone of complete saturation where water flows laterally under
gravity, in the ground surface. Above the main water table, the soil or rock infiltration occurs through
the soil or rock above the phreatic surface, and usually discharges to streams or the sea.
Perched water table exist above the main water table where a localised reduction in basal
permeability occurs in conjunction with recharge from above. Perched water tables may be transient,
developing rapidly in response to heavy rainfall and dissipating quickly or permanently, responding to
seasonal variations in rainfall level.
2.9.3 Pore Pressures and Effective Stress
2.9.3.1 Pore Water in Soils
a) Water Under Static/Equilibrium Conditions: Water obeys laws of hydraulics and when at rest
exerts a pressure equivalent to the height/depth of water above any point. Water table is the level at
which pressure of water is atmospheric, i.e., pore water pressure = 0. Usually, water level tends to
follow ground profile although at a slightly flatter angle. Below the water table, the water pressure
increases with increasing depth, with positive pore pressure. Above the water table water may still
occur in substantial quantities and is maintained in place by capillary attraction and surface tension
negative pore pressure. This produces a soil suction, which increases the apparent cohesion. It is more
in fine soils as compared to coarse-grained materials.
21
A portion of capillary water exists as a very thin film of water surrounding individual grains and
is called Adsorbed water. Which tends to have different properties compared to ordinary water including,
greater viscosity, higher boiling point and cannot be removed by air drying at ordinary temperatures.
The amount of adsorbed water is usually considered as the difference in weight of sample dried at
105110 C and in air.
Subsurface water may be divided into zones of positive and negative pore pressure. The dividing
line is the groundwater table where the pressure is equal to atmospheric pressure. The groundwater
table or the phreatic surface is generally determined from the level of water in an open standpipe.
Atmospheric pressure is usually taken as the zero pressure datum and so a positive pore pressure zone
exists below the water table. If there is no groundwater flow, the pore pressure is hydrostatic and the
water level measured by a piezometer at any depth within the positive pore pressure zone will coincide
with the water table.
The negative pore pressure zone occurs above the water table, and the pressure in this zone is less
than atmospheric pressure. Water is retained in the soil mass above the water table by capillary action.
Immediately above the water table, the soil is saturated up to the level of the saturation capillary head
(i.e. the zone of continuous saturation). In this zone, the negative pore pressure is hydrostatic in the no
flow situation and variation with depth is linear. Above this zone, the soil is partially saturated and the
negative pore pressure does not necessarily vary linearly with depth. The uppermost zone in contact
with air is the hygroscopic zone where pore air is continuous and at atmospheric pressure. The height
of saturation capillary in soils (which may govern the magnitude of the largest negative pore pressure)
relates largely to grain size. With the exception of clays, the finer the soil particles, the larger the
saturation capillary head and the higher the negative pore pressure.
2.9.3.2 Effective stresses
The total pressure on a horizontal area within a soil mass is made up of two components, which is
transmitted by the solid particles, and that transmitted by the water in voids. When the soil is stressed,
as for example by cutting a slope, only the intergranular contacts induce any resistance to deformation
and failure. The water having zero shear resistance, is ineffective or neutral and the pore water pressure
u is called the neutral pressure. The intergranular pressure is known as the effective pressure and it is
effective in resisting deformation and volume changes. The effective pressure is therefore defined
as the difference between the total external pressure and the neutral pressure u.
=u
If we consider unit areas then these terms may be defined as in terms of stress.
The importance of this is that volume changes and deformations depend on changes in effective stresses.
V
= ( ) = ()
V
where,
= change in volume per unit volume of soil
V
= change in total stress
= change in pore pressure
= compressibility of the soil skeleton
22
This equation can be shown to be valid whatever be the contact area between particles.
This equation has two significant implications:
a) Long term settlement of structures founded on clay due to excess pore pressures set up
during construction and dissipating at a slow rate, causing changes in pore pressure and
therefore changes in V/V.
b) Additional settlement due to lowering of groundwater.
Effective stresses are also significant in terms of shear strength, which is largely determined by
frictional forces during slip along soil grain contacts this being a function of the normal stress carried
by the soil.
= c + n tan
where,
maximum shear resistance on any place
apparent cohesion
(n u)
tan =
effective friction angle
For slope stability analysis, it is therefore needed to determine values of c, tan and n. It
is relatively easy to get a value for the total stress n but it is quite difficult to obtain values of u, which
is an independent variable.
23
Chapter
3
3.1
Site Investigation
PRINCIPLES OF SITE INVESTIGATION
Site investigation should be regarded as an integral of the mine design process and should not be viewed
as an exercise only to be carried out after problems have occurred. The basic of this approach is the
information of an engieering model. Although this could be physical model more usually it is a numerical
one, describing accurately the mine site conditions. This model may then the tested to determine the
response to the various engineering problems, e.g. excavation of slopes, construction of foundations,
dewatering, etc. The value of any model is determined by its accuracy and representativeness of field
conditions, and is thus very dependent on both the quality and quantity of available site investigation data.
3.1.1 Aims of Site Investigation
The basic objectives of any Site investigation are:
a) to assess the suitability of a site for the proposed mine development;
b) to enable the preparation of an adequate and economic design;
c) to foresee and provide against geo-technicical problems during and after operation; and
d) to investigate any subsequent changes in conditions, or the possibility of any failures during operation.
However, underlying these aims is the restraint that the cost of site investigation must be minimised
and which in practice, tends to be less than one per cent of the total project cost for civil projects and is
significantly less for mining operations.
3.1.2 Organisation of Site Investigations
The usual pattern of any soils-site investigation comprises office and field studies as follows:
Phase I
Preliminary Investigation which involve desk study of available literature, maps,

reports and other data including satellite imageries, aerial photographic analysis
on a regional scale.
Phase II
Field Investigation which include drilling and boring, excavation of trial pits,
penetration testing, sampling, geophysical surveys and measurements of the
groundwater regime.
Phase III
Laboratory Testing and evolution of basic geological data.
Phase IV
Field Testing that include in situ tests prior to and during excavation and performance
tests on selected or critical structures/areas of the mine.
24
Site Investigation
The data obtained should be compiled into an engineering model and may be best represented by
geological cross-sections through the mine, site plans, three-dimensional projections and a variety of
other techniques. One real problem with large site investigations is how to handle the large volume of
data generated and perhaps more importantly, how to reduce this data to sensible engineering parameters.
All too often there is a gulf between geologists and engineers, with geologists recording the in
homogeneity of a deposit and engineers requiring single design parameters. Clearly, careful evolution
of site investigation data is essential and any engineering model must firstly be representative of the
actual soil conditions and secondly, be manageable in terms of engineering analysis. The value of data
banks and case histories cannot be over emphasised here.
One particular problem of site investigations for mining operations is their cost and a clear
understanding of the value of investigations, the range and local availability of particular techniques
should be additionally understood.
3.2
REVIEW OF SITE INVESTIGATION TECHNIQUES
Site investigation techniques may be considered in two categoriesDirect and Remote investigations.
Both these categories can contribute significant data to the engineering model and often are
complementary to each other. The following features show the context of various standard site
investigation techniques:
Geological Aspects
compilation of existing data
aerial photograph and satellite imagery analysis
field mapping and visual inspection
microscopic analysis of soil samples
sample description
Field Investigations
rotary borehole drilling
trail pit excavations
sampling (disturbed and undisturbed)
groundwater measurement (including automatic readouts)
cone penetration test
geophysical surveys seismic
electrical
magnetic
Standard penetration test
dynamic probing (mackintosh probe)
3.2.1 Field StudiesDirect Investigation Methods
Visual Inspection
One of the easiest and cheapest ways to investigate a site is a walk over survey by an Engineer/ Geologist.
The role of visual inspections, particularly in low cost investigations, should not be underestimated.
25
The inspection should be carried out by an experienced engineer or engineering geologist and field data
recorded. There are two recommended formats for recording field-data, either in sketch engineering
geological maps or on standard report forms.
The standard format allows the recording of basic field-data such as slope angles, slope heights,
location of groundwater seepages, material type, size & location of minor slips and perhaps more
importantly, the recording of change. Within a mine, changing faces, levels of extraction and field
boundaries are the features that make site investigations and slope design in mines very different to
normal civil engineering practice.
Boring and Drilling
The boring and drilling of boreholes for site investigation is very common practice and usually involves
the production of small diameter holes penetrating through the geological formation. Boreholes allow
direct access to the ground and samples (either distributed or undistributed) to be obtained.
Boring Methods tend only to be suitable for soft soils and rocks and result in disturbed samples.
However, cable percussion and rotary percussive boring are popular techniques. Holes are sunk by
using a clay cutter in dry cohesive soils or a shell in granular strata or below the water table. Casing can
be driven down to support the side wall of the borehole. The disturbed samples produced are suitable
for identification of the strata and for classification tests. If more sophisticated tests are carried out, the
extent of sample disturbance on measured parameters should be assessed.
Rotary Drilling for the recovery of cored samples is probably the commonest form of site
investigation. Holes are drilled either vertically or with an inclination up to 45o and a wide variety of rigs
and ancillary equipment are used for this purpose. Rotary drilling is usually carried out with a flushing
medium which can be water, air, air-foam or mud. The flushing medium has several uses, including the
removal of chips of broken material, lubrication and provision of support to the borehole walls.
It is important to select the correct type of core barrel for sampling as adoption of the wrong type
can cause disturbance or damage to cores.
a)
A single-tube core barrel rotates against the core which is not protected from the drilling
fluidcore recovery is seldom satisfactory and it should not be used for site investigation.
b)
A double-tube core barrel has an inner tube mounted on bearings so that it does not revolve
with the drill stringsit is normally used at sites that have fresh to moderately weathered rocks.
c)
Triple-tube core barrels may be used where other methods have been found ineffective and
good core recovery is required. Triple-tube barrels have detachable liners within an inner
barrel that pitiably protect the core from drilling fluid and from damage during extrusion and
subsequent transit.
Records of drilling and boring behavior are an important source of information about site conditions
and drillers should be trained to record factual data about:
The rate of drilling,
The nature of flushing medium, colour consistency, nature of fragments,
Loss or percentage return of flushing fluid during drilling,
Groundwater levels at start and end of drilling
Equipment used
26
Site Investigation
The major advantage of drilling and boring is that in situ tests can be carried out in the borehole.
Standard tests include field permeability testing (using raising, falling or constant head methods), and
down hole geophysics. In addition, during drilling, standard penetration tests (SPT) are a useful guide
to assess ground consistency. More specialised tests for soil deformation may also be carried out.
The main disadvantage of site investigation with boreholes is that the volume of ground investigated
is essentially very small compared to the total site. As boreholes samples are regarded as point samples
in plan and are vertically drawn, they do not always give a continuous profile. Vertical boreholes are
relatively easy to drill, and whilst they are ideal for horizontal strata, the use of inclined boreholes in
dipping strata can also be useful. The extrapolation of data from boreholes is therefore a difficult and
skilled operation, requiring careful interpretation and a knowledge of the limitation of the technique
used. The use of Trail Excavations and Larger Field Excavations particularly in operating mines often
allows the persistence of geological features to be better assessed. However, trail excavations tend to be
limited in depth, particularly in soft ground, and at times will require installation of temporary support.
Existing mine faces are an excellent source of information and borehole data should always be
correlated against field exposures.
3.2.2 Groundwater Measurements
Groundwater levels, and more specifically pore pressure measurements, are important measurements
taken in the field, having a significant influence on the engineering behaviour of soils, slopes and
related excavations.
The simplest measurements are in cased boreholes where the water level gives a direct indication
of the groundwater pressure at the base of the casing. For long term applications, piezometers are
installed in specified sealed horizons. In granular deposits an open standpipe is usually sufficient but in
clays and low permeability deposits closed system devices are required.
3.2.3 Sampling
The drilling of a borehole is really only the first stage in a site investigation and the production of
samples for testing is an important aspect of this technique.
Continuous sampling is the best method of defining the range and thickness of materials present.
However, interval sampling is more usually carried out, but significant horizons can be missed,
especially pre-existing slip surfaces.
When designing site investigations, it is important to specify the size of samples required in
relation to the nature of geotechnical laboratory tests that are to be carried out. There is no fixed size
requirement as the nature of the ground influences the size of sample required. In fine soils, smaller
samples will be required as compared to coarse granular materials.
The type of sample is another critical factor for deciding on the reliability of test data. Samples
may be defined as undisturbed or disturbed. The degree of disturbance depends to a large extent on the
quality of the drilling equipment, the nature of the ground and the experience of the drill crew. Even
so-called undisturbed samples can show signs of significant disturbance such as distortion of layers at
sample edge and compression of soft horizons. This disturbance does not preclude laboratory testing if
results are assessed against the knowledge of the extent of sample disruption.
It should also be borne in mind that the behaviour of a soil mass is often dictated by the presence
of corestones of less weathered material, weaknesses and discontinuitiesthe very things that tend to
result in poor or no samples. Thus it is possible to obtain an intact sample of the soil material which may
be unrepresentative of the entire soil mass.
27
Once the sample has been obtained, it is important that it is retained and protected in the state
that it was recovered from the ground. Of particular significance could be the in situ water content and
soil structure and it is common practice to wrap samples in aluminium foil and to coat them with a protective layer(s) of sealing wax.
Correct labelling of samples with their borehole designation, depth, inclination, is also important
and if not carried out, can result in valueless samples and meaningless data.
3.2.4 Standard Penetration Test (SPT)
This test is most commonly used to give a rough relative measure of the density of granular soils. The
procedure is described in BS 1377 (1975) and involves driving a tool with specified standard dimensions
into the ground with a standard hammer (usually 63.3 kg). The results can be significantly affected by
the testing technique, so while carrying out the test and interpreting the results, the following points
should be noted:
a) The borehole casing should be ahead of the borehole, and water balance should be maintained
if carrying out the test below the water table.
b) Large diameter rods (BW or equivalent) or smaller rods with rod supports should be used to
reduce energy dissipation.
c) An automatic trip hammer should be used to drive the sampler, the accuracy of a monkey and
slip wrench is too dependent on the skill of the operator.
The N value is defined as the number of blows required to drive a standard split spoon sampler to
a distance of 300 mm. The sampler is initially driven 150 mm to penetrate the disturbed material at the
bottom of the borehole before the test is carried out. The operator, having noted the number of blows
required for each 75 mm advance of the seating, then notes the number of blows required for each
75 mm advance of the test drive.
It should be noted that the empirical relationship developed for transported soils between N value
and foundation design indices, relative density and shear strength are not valid for weathered rocks and
residual soils. Corestones, for example, can give misleadingly high values that are unrepresentative of the mass.
Further problems may also occur in thinly bedded materials where it is not possible to sample 300
mm of the same material. In cohesive soils, the test is less reliable than in granular materials due to the
development of high pore pressures around the tip of the instrument. These problems are partially
overcome by providing a continuous test as discussed in the next Section.
3.2.5 Cone Penetration Testing (CPT)
This technique is one that has found much success in soft ground conditions, for both non-cohesive and
cohesive soils.
The principal reasons for this success reflect the accuracy and detailed nature of CPT data and the
relative speed and economy with which tests can be carried out, compared to conventional drilling and
boring. Another major advantage is that a continuous ground profile can be obtained, which, when
correlated with borehole data, can be used to compile a more comprehensive site model. The more
accurate knowledge of soil layering so obtained is essential to stability studies where thin layers that
might otherwise be missed, can influence slope behaviour significantly.
The principle of performing a cone test is essentially very simplea standardised probe, with a tip
area of 10 cm2, is pushed by hydraulic jacks into the ground at a constant rate of penetration, and the tip
28
Site Investigation
and side resistance measured. The ratio of these two parameters is used as an indicator of the soil type,
and empirical correlations established over many years allow direct calculation of engineering
parameters, such as, the undrained shear strength of cohesive soils.
There are two main cone typesmechanical cones, where penetration resistance is measured by
pressure in the hydraulic jacks and electric cones, where direct readings on the tip are measured by
means of strain gauges.
To enable testing to be carried out in a variety of soils (and soft rocks), additional tools and
techniques have been developed. These include:
a) Pore water pressure measurements (piezocone)
b) In situ permeability measurements using the piezocone
c) Soil temperature measurements
d) Inclusion of an inclinometer to check the verticality of the probe hole
e) Resistivity measurements to determine the in situ density of sand deposits.
3.2.6 Dynamic Probing
The Mackintosh Probe is a handprobe which can be used down to depths of 1015 m in soft ground.
The probe point is 3 mm in diameter. Blow counts for each 100 mm penetration are recorded and
plotted. For investigation of an existing slope, a large number of probes are put down initially to obtain
a general indication of the subsurface profile. This information is used to assist in the location of subsequent
trial pits and drillholes. The probe can also be used for indicating the state of compaction of buried fill
and the thickness of fill layers. A weight correction should be applied for depths greater than 5 m.
3.2.7 Remote Techniques
These techniques are essentially geophysical and depend on subjecting the soil to some form of disturbance
and measuring the ground response. These indirect tests have the advantage that a larger volume of
ground may be tested, but suffer from a number of limiting criteria. The interpretation of geophysical
data is very specialised which relys on the assessment of differences of measurable properties, to derive
by inference the changes in substratum conditions. Interpretation is best attempted with correlatory
boreholes or CPT profiles and by an experienced geophysicist. The emphasis in recent years on large
scale geophysical surveys for oil exploration has resulted in an abundance of geophysical correlations
and data, which have not always been fully utilised in the civil and mining engineering industries.
3.2.8 Seismic Testing
The use of seismic refraction tests is well-established in site investigation practice. The technique
depends on the assumption that seismic waves have a characteristic velocity dependent on the density
and elastic properties for different materials. Seismic refraction will only work for layers showing
increasing density with depth, and seismic waves are refracted across the boundary.
Waves are generated by either a percussion (hammer) source or an explosive source and comprise
a number of wave types. Compression P-waves are the commonest, and more significantly, the easiest
to recognise. However, beneath the water table they travel with the characteristic velocity of the
groundwater, resulting in less accurate measurements. Shear S-waves are particularly useful and are
sensitive to variations in the geological profile. Direct correlations with the shear modulus of the soil
are available and may be used to assess the degree of compaction of granular deposits.
29
The seismic refraction method relies upon the earliest time of arrival of seismic waves, refracted
at the interface between different strata, at a chain of geophones. These times are plotted against
distance from the seismic source, and a series of straight lines of varying gradient are thus obtained.
The gradients of the lines are used to determine the depth of each interface. Problems can arise when
weak layers are overlain by stronger material or when layers exist that are thin relative to the overall
depth being surveyed. Control boreholes can help to overcome some of these problems and a check
should be made to establish whether a seismic method can be used.
3.2.9 Electrical Methods
Of the various electrical methods of surveying (resistivity, self potential and induction) the resistivity
technique is the most popular and commonly used. The ground resistivity is a direct function of the
composition of the soil layers and any contained fluid (electrolyte). Changes in apparent resistivity are
determined by generating an electric field between two fixed points. Variations in the apparent resistivity
can be calculated and correlated with layer changes.
3.2.10 Summary
The economic aim of a site investigation is to obtain the maximum amount of good quality data AT
minimum cost. Mine operators must be familiar with the necessity for site investigation and the range
of techniques available in the region. Different techniques should be combined to give a range of results
that can be used as the basis for defining the site conditions. The limitations of each method are important
and the control on output of the quality (i.e., accuracy, reliability, repeatability and representativeness)
of the input data needs careful consideration.
3.3
LABORATORY AND FIELD TECHNIQUES FOR ROCK MASS

CHARACTERISATION
Whereas the ground investigations set up for the design of a highway cutting will be directly aimed
towards collection of relevant geological and geotechnical data, the open pit designer is seldom so
fortunate, and must often glean his design parameters from investigations more aimed towards orebody
proving and overburden assessments. But having accepted this, the collection of data is generally carried out
using the following techniques.
3.3.1 Fracture Mapping
Regional Geology
Assessment made from overall large-scale geological features derived from aerial photographs, satellite
imagery and topographical maps. Also detailed regional geological maps, and useful adjacent exposures,
such as mines, quarries, cuttings, river beds.
Structural Mapping
Slow and often tedious, but vitally important to the investigation. Tool used principally is the geological
compass, such as that made by Breithaupt or Zeiss. All structural mapping is subject to bias unless
carried out on three mutually perpendicular planes, a situation rarely possible in slope development.
Photogrammetric Structural Mapping
Subject to at least the same limitations as above, but does enable mapping of otherwise inaccessible areas.
30
Site Investigation
These three techniques serve to define the large-scale orientations, spacing and interrelation of
major structural features. Of considerable importance is the roughness of these joints, and this will later
be shown in its effect on the frictional resistance to shear of the joint.
The foregoing has dealt only with surface measurement the even more important aspects of
subsurface definition are dealt with using diamond core drilling. Here, too, there is often a conflict
between the contract and scientific requirements the core must be drilled carefully (= slowly) and
recovered gently. Double tube or triple tube core barrels are essential to recover good quality core, and
a split inner tube is desirable. Where good quality core is obtained, orientation devices can be used to
enable true orientation of the intersected structural features to be made.
3.3.2 Stereonets
A rock mass consists of blocks of intact material separated by discontinuities. In some rock masses,
these discontinuities tend to form in-sets or familiesin others, the discontinuities tend to be more
random in their orientation. Use of devices, such as, stereonets greatly aids the definition of sets (or the
proof of randomness).
Any plane can be uniquely defined in space by the use of two parametersdip, which is the
maximum inclination of the plane, and dip direction or dip asimuth, which is the bearing of the
horizontal trace of the dip, measured clockwise from North. This form of definition is preferred to that
involving strike, as only two numeric items provide the unique definition. There are two principal forms of
projectionthe equal area (or Lambert) projection is the one that is predominantly used.
Figure 3.1 below shows how the plane and sphere relate not only is the plane characterised by
a great circle trace on the surface of the hemisphere, but also by the pole of that plane, which can be
regarded as the intersection of the planes unit vector with the hemisphere surface.
The Figure on the right shows the mechanics of projecting any point on the hemispheres surface
onto a circular plane. The following three examples are reproduced directly from Rock Slope Engineering.
Plane
Reference Sphere
Lower Reference
Hemisphere
Dip
Pole
Great Circle
Strike
1234567890123
1234567890123
1234567890123
1234567890123
900
1234567890123
1234567890123
1234567890123
1234567890123
1234567890123
1234567890123
1234567890123
1234567890123
1234567890123
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
123456789012
Projection of Point A
Figure 3.1: Plotting of Stereonets
To analyse a set of orientation readings they first require plotting on the net. This initial plotting
may show some clustering if the mapping is that of a consistent and well-ordered rock mass, but
probably a random element will tend to obscure the joint sets, and it is quite likely that a result such as
this shown in the figure below, left, will be obtained. Only by use of statistical contouring will a clearer
pattern emerge, such as that on the right refer Figure 3.2.
31
130 0
Construction of a great circle and a pole representing a plane

Consider a plane dipping at 500 in a dip direction of 1300. The great
circle and the pole representing this plane are constructed as follows:
Step 1: With the tracing paper located over the stereonet by means of
the centre pin, trace the circumference of the net and mark the north
point. Measure off the dip direction of 1300 clockwise from north and
mark this position on the circumference of the net.
500
N
50 0
Step 2: Rotate the tracing about the centre pin until the dip direction
mark lies on the W-E axis of the net, i.e., the tracing is rotated through
400. Measure 500 from the outer circle of the net and trace the great
circle which corresponds to a plane dipping at this angle.
The position of the pole, which has a dip of (900500), is found by
measuring 500 from the centre of the net as shown or, alternatively,
400 from the outside of the net. The pole lies on the projection of the
dip direction line which, at this stage in the construction, is coincident
with W-E axis of the net.
Step 3: The tracing is now rotated back to its original position so that
the north mark on the tracing coincides with the north mark on the net.
The final appearance of the great circle and the pole representing a
plane dipping at 500 in a dip direction of 1300 is as illustrated.
X
Pole
Great
Circle
Determination of the line of intersection of two planes

Two planes, having dips of 500 and 300 and dip directions of 1300 and
2500 respectively, intersect. It is required to find the plunge and the
trend of the line of intersection.
Step1: One of these planes has already been described above and
the great circle defining the second plane is obtained by marking the
2500 direction on the circumference of the net, rotating the tracing until
this mark lies on the W-E axis and tracing the great circle corresponding to a dip of 300.
32
Site Investigation
20.50
N
Step 2: The tracing is now rotated until the intersection of the two
great circles lies along the W-E axis of the stereonet and the plunge of
the line of intersection is measured as 20.50.
Step 3: The tracing is now rotated until the north mark coincides with
the north point on the stereonet and the trend of the line of intersection
is found to be 200.50.
200.5 0
N
To determine the angle between two specific lines

Two lines in space, e.g., lines of intersection or normals to planes, are
specified by plunges of 54 0 and 400 and trends of 2400 and 1400
respectively. It is required to find the angle between these lines.
A
Step 1: The points A and B which defines these lines are marked on
the stereonet as described under procedure for locating the pole.
240
A
600
140
Step 2: The tracing is now rotated until these two points lie on the
same great circles on the stereonet and the angle between the lines is
determined by counting the small circle divisions between A and B,
along the great circles. This angle is found to be 640.
The great circle on which A and B lie defines the plane which contains
these two lines and the dip and dip directions of this plane are found to
be 600 and 2000 respectively.
N
5%
3%
6%
Fault
5%
123
123
1234 2% 7 Poles
1234 3% 10 Poles
1234
1234
1234 4% 14 Poles
1234
5% 17 Poles
6% 22 Poles
Figure 3.2: Construction of a Great Circle and a Pole Representing a Plane
For this course the floating circle technique is recommended, and is executed by roving around the
net with a circle 1% of net area, counting poles within the circle and plotting this value at the circle centre.
33
Chapter
4
4.0
INTRODUCTION
Rock mass classification is useful for empirical design approach that correlates the practical experiences
encountered at the previous site to the situation that could be expected at the proposed site. It is widely
used in rock engineering. It is used as systematic and practical basis for the design of complex excavations,
such as, adit, inclined, stope etc.
It was in 1946 that the Terzaghi rock load classification was introduced for the first time.
Since then many modifications took placeLauffer 1958; Rabceuicz, Pacher & Muller 1964; Deere
1967; Wideham et al. 1972; Bieniaswki 1973; Laubscher 1977; Ghosh & Raju 1981; Kendorski et al.
1983; Gonzales de Vallejo 1983; Unal 1983; Borton et al. 1974; Franklin 1975; International Society of
Rock Mechanics 1981.
Rock mass classification is a designed tool. It helps not only to identify the qualitative data for
design, those which influence the behaviour of rock mass and that which enable understanding of the
characteristics of each rock mass class but also enable recommendation of the support guidelines for
mines. The advantages of rock mass classification are (i) it gives minimum input data for improving the
quality of proposed site; (ii) it provides quantitative information for support system; and (iii) it enables
mining professionals in better understanding of the site.
4.1
ENGINEERING ROCK MASS CLASSIFICATION
Rock mass classification schemes have been in the process of evolvement and development for over
100 years. It was Ritter (1879) who attempted to formalise an empirical approach to tunnel design, for the
purpose of determining support requirements. While the classification schemes are appropriate for their
original application, especially when used within the bounds of the case histories from which they were
developed, considerable caution must be exercised in applying rock mass classifications to other rock
engineering problems.
Most of the multi-parameter classification schemes [Wickham et al. (1972), Bieniawski (1973,
1989) and Barton et al. (1974)] were developed from civil engineering case histories in which all of
the components of the engineering geological character of the rock mass were included. In underground hard rock mining especially at deep levels, rock mass weathering and the influence of water
usually are not significant and therefore are ignored. Different classification systems place different
emphases on the various parameters, and it is recommended that at least two methods be used at any
site during the early stages of a project.
34
4.1.1 Terzaghis Rock Mass Classification

The earliest reference to the use of rock mass classification for the design of tunnel support is in a paper
by Terzaghi (1946) in which the rock loads, carried by steel sets, are estimated on the basis of a descriptive
classification. While no useful purpose would be served by including details of Terzaghis classification
in the context of design of support, it would be, however, interesting to note the rock mass descriptions
included in his original paper, because Terzaghi has devoted focus on those characteristics that dominate
rock mass behaviour, particularly, in situations where gravity constitutes the dominant driving force.
The clear and concise definitions and the practical comments included in these descriptions are
good examples of the type of engineering geology information, which bear useful relevance & significance
to the discipline of engineering design.
Terzaghis descriptions (quoted directly from his paper) are:
Intact rock contains neither joints nor hair cracks. Hence, if it breaks, it breaks across sound
rock. On account of the injury to the rock due to blasting, spalls may drop off the roof several
hours or days after blasting. This is known as a spalling condition. Hard, intact rock may also
be encountered in the popping condition involving the spontaneous and violent detachment
of rock slabs from the sides or roof.
Stratified rock consists of individual strata with little or no resistance against separation along
the boundaries between the strata. The strata may or may not be weakened by transverse
joints. In such rock the spalling condition is quite common.
Moderately jointed rock contains joints and hair cracks, but the blocks between joints are
locally grown together or so intimately interlocked that vertical walls do not require lateral
support. In rocks of this type, both spalling and popping conditions may be encountered.
Blocky and seamy rock consists of chemically intact or almost intact rock fragments which
are entirely separated from each other and imperfectly interlocked. In such rock, vertical
walls may require lateral support.
Crushed but chemically intact rock has the character of crusher run. If most or all of the
fragments are as small as fine sand grains and no recementation has taken place, crushed rock
below the water table exhibits the properties of a water-bearing sand.
Squeezing rock slowly advances into the tunnel without perceptible volume increase. A
prerequisite for squeeze is a high percentage of microscopic and sub-microscopic particles of
micaceous minerals or clay minerals with a low swelling capacity.
Swelling rock advances into the tunnel chiefly on account of expansion. The capacity to swell
seems to be limited to those rocks that contain clay minerals, such as, montmorillonite, with
a high swelling capacity.
4.1.2 Classifications Involving Stand-up Time

Lauffer (1958) proposed that the stand-up time for an unsupported span is related to the quality of the rock
mass in which the span is excavated. In a tunnel, the unsupported span is defined as the span of the tunnel
or the distance between the face and the nearest support, if this is greater than the tunnel span. Lauffers
original classification has since been modified by a number of authors, notably Pacher et al. (1974), which
now has become a part of the general tunnelling approach known as the New Austrian Tunnelling Method.
The significance of the stand-up time concept is that an increase in the span of the tunnel leads to
a significant reduction in the time available for the installation of support. For example, a small pilot
tunnel may be successfully constructed with minimal support, while a larger span tunnel in the same
rock mass may not be stable without the immediate installation of substantial support.
35
The New Austrian Tunnelling Method includes a number of techniques for safe tunnelling in
rock conditions in which the stand-up time is limited before failure occurs.
These techniques include the use of smaller headings and benching or the use of multiple drifts to
form a reinforced ring inside which the bulk of the tunnel can be excavated.
These techniques are applicable in soft rocks, such as, shales, phyllites and mudstones in which
the squeezing and swelling problems, described by Terzaghi (see previous section), are likely to occur.
The techniques are also applicable when tunnelling in regions that have excessively broken rocks.
Tremendous care, however, need to be observed while attempting to apply these techniques for excavations
in hard rocks as different failure mechanisms could occur.
In designing support for hard rock excavations it is prudent to assume that the stability of the rock
mass surrounding the excavation is not time-dependent. Hence, if a structurally-defined wedge is
exposed in the roof of an excavation, it will fall as soon as the rock supporting it is removed. This can
occur at the time of the blast or during the subsequent scaling operation. If it is required to keep such a
wedge in place, or to enhance the margin of safety, it is essential that the support be installed as early as
possible, preferably before the rock supporting the full wedge is removed. On the other hand, in a
highly stressed rock, failure will generally be induced by some change in the stress field surrounding
the excavation. The failure may occur gradually and manifest itself as spalling or slabbing or it may
occur suddenly in the form of a rock burst. In either case, the support design must take into account the
change in the stress field rather than the stand-up time of the excavation.
4.2
ROCK QUALITY DESIGNATION INDEX (RQD)
The Rock Quality Designation Index (RQD) was developed by Deere (Deere et al. 1967) to provide a
quantitative estimate of rock mass quality from drill core logs. RQD is defined as the percentage of
intact core pieces longer than 100 mm (4 inches) in the total length of core. The core should be at least
NW size (54.7 mm or 2.15 inches in diameter) and should be drilled with a double-tube core barrel. The
correct procedures for measurement of the length of core pieces and the calculation of RQD are
summarised in Figure 4.1.
L = 38 cm
Total length of core run = 200 cm
L = 17 cm
RQD =
L=0
no pieces > 10 cm
Length of core pieces > 10 cm length

x 100
Total length of core run
RQD = 38 + 17 + 20 x 100 = 55 %
200
L = 20 cm
L = 35 cm
Drilling Break
L=0
no recovery
Figure 4.1: Procedure for Measurement and Calculation of RQD (After Deere, 1989)
36
It is used for core logging and tunnelling. Rock quality designation is related to percentage of core
recovery while drilling.
Quality of Rock
% of Core Recovery
25
Very poor
2550
Poor
5075
Fair
7590
Good
90100
Excellent
The advantage of RQD is that it enables in estimating the support requirement for rock tunnel.
The disadvantages, however, are (i) concerns regarding joint orientation, tightness and gauge infilling
material (ii) does not provide adequate description of rock mass (iii) it is limited to core quality.
Palmstrm (1982) suggested that, when no core is available but discontinuity traces are visible in
surface exposures or exploration adits, the RQD may be estimated from the number of discontinuities
per unit volume. The suggested relationship for clay-free rock masses is:
RQD = 115 - 3.3 Jv
(1)
where Jv is the sum of the number of joints per unit length for all joint (discontinuity) sets known
as the volumetric joint count.
RQD is a directionally dependent parameter and its value may change significantly, depending
upon the borehole orientation. The use of the volumetric joint count can be quite useful in reducing
this directional dependence.
RQD is intended to represent the in situ rock mass quality. When using diamond drill core, care
must be taken to ensure that fractures, which have been caused by handling or during the drilling
process, are identified and ignored when determining the value of RQD.
When using Palmstrms relationship for exposure mapping, blast induced fractures should not
be included when estimating Jv.
Deeres RQD was widely used, particularly in North America, after its introduction. Cording and
Deere (1972), Merritt (1972) and Deere and Deere (1988) attempted to relate RQD to Terzaghis rock
load factors and to rockbolt requirements in tunnels. In the context of this discussion, the most important
use of RQD is as a component of the RMR and Q rock mass classifications covered later in this Chapter.
4.2.1 Rock Structure Rating (RSR)
Wickham et al. (1972) expounded on a quantitative method for describing the quality of a rock mass and laid
emphasis on selecting appropriate support that is based on Rock Structure Rating (RSR) classification. Most
of the case histories, used in the development of this system, were for relatively small tunnels supported
by means of steel sets, although historically this system was the first to make reference to shotcrete
support. In spite of this limitation, it is worth examining the RSR system in some detail since it demonstrates
the logic involved in developing a quasi-quantitative rock mass classification system.
The significance of the RSR system, in the context of this discussion, is that it introduced the
concept of rating each of the components listed below, i.e., A, B & C to arrive at a numerical value of
RSR by finding the sum of A, B & C.
RSR = A + B + C
37
1. Parameter A Geology: General appraisal of geological structure on the basis of:

a)
Rock type origin (igneous, metamorphic, sedimentary)
b)
Rock hardness (hard, medium, soft, decomposed)
c)
Geologic structure (massive, slightly faulted/folded, moderately faulted/folded,

intensely faulted/folded)
2. Parameter B Geometry: Effect of discontinuity pattern with respect to the direction of the
tunnel drive on the basis of:
a)
Joint spacing
b)
Joint orientation (strike and dip)
c)
Direction of tunnel drive
3. Parameter C Effect of groundwater inflow and joint condition on the basis of:
a)
Overall rock mass quality on the basis of A and B combined.
b)
Joint condition (good, fair, poor).
c)
Amount of water inflow (in gallons per minute per 1000 feet of tunnel).
Note that the RSR classification used Imperial units and that these units have been retained
in this discussion.
Three tables from the paper of Wickham et al. (1972) are reproduced in Tables 4.1, 4.2 and 4.3.
These tables can be used to evaluate the rating of each of these parameters to arrive at the RSR value
(maximum RSR = 100).
Table 4.1: Rock Structure Rating
Average Joint Spacing
Both
Strike to Axis
Strike || to Axis
Direction of Drive
Direction of Drive
With Dip
Dip of Prominent Joints
Dip of Prominent Joints

Flat Dipping Vertical
1. Very closely jointed, < 2 in
Either Direction
Against Dip
Dipping
Vertical
Flat
Dipping
Vertical
11
13
10
12
2. Closely jointed, 26 in
13
16
19
15
17
14
14
11
3. Moderately jointed, 612 in
23
24
28
19
22
23
23
19
4. Moderate to blocky, 12 ft
30
32
36
25
28
30
28
24
5. Blocky to massive, 24 ft
36
38
40
33
35
36
24
28
6. Massive, > 4 ft
40
43
45
37
40
40
38
34
38
Table 4.2: Rock Structure Rating of Parameter B Joint Pattern, Direction of Drive
Basic Rock Type

Hard
Medium
soft
Decomposed
Igneous
Metamorphic
Sedimentary
Geological Structure
Massive
Slightly
Moderately
Intensively
Folded or
Faulted
Folded or
Faulted
Folded or
Faulted
Type 1
30
22
15
Type 2
27
20
13
Type 3
24
18
12
Type 4
19
15
10
Table 4.3: Rock Structure Rating of Parameter C Groundwater, Joint Condition
Sum of Parameters A +B
Anticipated Water
Inflow gpm/1000 ft
of tunnel
1344
4575
Joint Condition
Good
Fair
Poor
Good
Fair
Poor
None
22
18
12
25
22
18
Slight (< 200 gpm)
19
15
23
19
14
Moderate (2001000 gpm)
15
22
21
16
12
Heavy (>1000 gpm)
10
18
14
10
a) Dip flat: 00-200; dipping: 200-500; and vertical: 500-900

b) Joint condition good = tight or cemented; fair = slightly weathered or altered; poor = severely
weathered, altered or open joint.
For example, a hard metamorphic rock which is slightly folded or faulted has a rating of A = 22
(from Table 4.2). The rock mass is moderately jointed, with joints striking perpendicular to the tunnel
axis which is being driven east-west, and dipping at between 20 and 50.
A typical set of prediction curves for a 24-foot diameter tunnel is given in Figure 4.2 which shows
that, for the RSR value of 62 derived above, the predicted support would be 2 inches of shotcrete and 1
inch diameter rockbolts spaced at 5 foot centres. As indicated in the Figure, steel sets would be spaced
at more than 7 feet apart and would not be considered a practical solution for the support of this tunnel.
39
1 inch diameter
rockbolts
Shotcrete
70
6 H 20
Rock Mass Rating (RSR)
60
8 WF 31
50
8 WF 48
40
Practical Limit
30
for Bolt and Rib

Spacing
20
10
Steel Rib Spacing feet

Rockbolt Spacing feet
Shotcrete Thickness inches
Figure 4.2: RSR Support Estimates for a 24 ft (7.3 m) Diameter Circular Tunnel. Note that Rockbolts
and Shotcrete are Generally Used Together. (After Wickham et al. 1972)
For the same size tunnel in a rock mass with RSR = 30, the support could be provided by 8 WF 31
steel sets (8 inch deep wide flange I section weighing 31 lb per foot) spaced 3 feet apart, or by 5 inches
of shotcrete and 1 inch diameter rockbolts spaced at 2.5 feet centres. In this case, it is probable that the
steel set solution would be cheaper and more effective than the use of rockbolts and shotcrete.
Although the RSR classification system is not widely used today, the work of Wickham et al.
played a significant role in the development of the classification schemes discussed in the remaining
sections of this Chapter.
4.3
GEOMECHANICS CLASSIFICATION
Bieniawski (1976) published the details of a rock mass classification called the Geomechanics Classification
or the Rock Mass Rating (RMR) system. Over the years, this system has been successively refined
as more case records have been examined and the reader should be aware that Bieniawski has made
significant changes in the ratings assigned to different parameters. The discussion which follows is
based upon the 1989 version of the classification (Bieniawski, 1989). Both, this version and the 1976
version, deal with estimating the strength of rock masses. The following six parameters are used to
classify a rock mass using the RMR system:
a) Uniaxial compressive strength of rock material
b) Rock Quality Designation ( RQD )
c) Spacing of discontinuities
d) Condition of discontinuities
e) Groundwater conditions
f) Orientation of discontinuities
40
In applying this classification system, the rock mass is divided into a number of structural regions
and each region is classified separately. The boundaries of the structural regions usually coincide with
a major structural feature such as a fault or with a change in rock type. In some cases, significant
changes in discontinuity spacing or characteristics, within the same rock type, may necessitate the
division of the rock mass into a number of small structural regions.
The Rock Mass Rating system is presented in Table 4.4, giving the ratings for each of the six
parameters listed above. These ratings are summed to give a value of RMR. The following example
illustrates the use of these tables to arrive at an RMR value.
Bieniawski (1989) published a set of guidelines for the selection of support in tunnels in rock for
which the value of RMR has been determined. These guidelines are reproduced in Table 4.5. Note that
these guidelines have been published for a 10 m span horseshoe-shaped tunnel, constructed using drill
and blast methods, in a rock mass subjected to a vertical stress < 25 MPa (equivalent to a depth below
surface of <900 m). For the case considered earlier, with RMR = 59, Table 4.5 suggests that a tunnel
could be excavated by top heading and bench, with a 1.5 to 3 m advance in the top heading.
Support should be installed after each blast and the support should be placed at a maximum
distance of 10 m from the face. Systematic rock bolting, using 4 m long & 20 mm diameter fully grouted
bolts spaced at 1.5 to 2 m in the crown and walls, is recommended. Wire mesh, with 50 to 100 mm of
shotcrete for the crown and 30 mm of shotcrete for the walls, is recommended.
The value of RMR of 59 indicates that the rock mass is on the boundary between the Fair rock
and Good rock categories. In the initial stages of design and construction, it is advisable to utilise the
support suggested for fair rock. If the construction is progressing well with no stability problems, and
the support is performing very well, then it should be possible to gradually reduce the support requirements
to those indicated for a good rock mass. In addition, if the excavation is required to be stable for a short
amount of time, then it is advisable to try the less expensive and extensive support suggested for good
rock. However, if the rock mass surrounding the excavation is expected to undergo large mining
induced stress changes, then more substantial support appropriate for fair rock should be installed. This
example indicates that a great deal of judgement is needed in the application of rock mass classification
to support design.
The RMR value for the example under consideration is determined as follows:
Table
Item
Value
Rating
4: A.1
Point Load Index
8 MPa
12
4: A.2
RQD
70%
13
4: A.3
Spacing of Discontinuities
300 mm
10
4: E. 4
Conditions of Discontinuities
Note 1
22
4: A.5
Groundwater
Wet
4: B
Adjustment for Joint Orientation
Note 2
-5
Total
59
41
Table 4.4: Rock Mass Rating System (After Bieniawski 1989) : ISRM
A. CLASSIFICATION PARAMETERS AND THEIR RATINGS
Parameters
Point-load strength
Strength of
>10
410
index (MPa)
intact rock
1.
Uniaxial compressive
material
>250
100250
strength (MPa)
2.
3.
4.
Ranges of Values
24
12
For this low range, uniaxial

compressive test is preferred
50100
2550
525
15
<1
Rating
>15
12
Drill quality RQD (%)

Rating
Spacing of discontinuities
90100
20
>0.2 m
7590
17
0.060.2 m
5075
13
200600 mm
2550
8
200600 mm
Rating
Condition of discontinuities
20
15
5
10
8
Soft gouge > 5 mm
Very rough Slightly rough Slightly rough Slickensided
surfaces;
surfaces;
surfaces;
Surface or
thick or Separation >5
Not continuous.Separation <1 Separation <1 Gouge <5 mm
mm contours
No separation; mm; Slightly mm; Highly
thick or
Unweathered weathered weathered wall. Separation 15
wall rock.
wall.
mm contours
0
30
20
10
25
Rating
Inflow per 10 m tunnel
None
Groundwater
length (min.)
(Joint water Press)/
0
5.
(Measure principal )
General conditions Completely dry
Rating
15
<10
1025
25125
>125
<0.1
0.10.2
0.20.5
>0.5
Damp
10
Wet
7
Dripping
4
Flowing
0
Fair
Unfavourable
Very Unfavourable
-5
-7
-25
-10
-15
-50
-12
-25
-60
60-41
40-21
<20
III
Fair rock
IV
Poor rock
V
Very poor rock
B. RATING ADJUSTMENT FOR DISCONTINUITY ORIENTATIONS

Strike and Dip Orientations of Discontinuities Very Favourable Favourable
Tunnels and Mines
0
-2
Rating
Foundations
0
-2
0
-5
Slopes
C. ROCK MASS CLASSES DETERMINED FROM TOTAL RATINGS
Rating
10081
8061
Class no.
Description
D. MEANING OF ROCK CLASSES
25
3
<60 mm
I
II
Very good rock Good rock
III
V
Class no.
I
II
IV
Average stand-up time
20yr for 15m span 1 yr for 10 m span 1wk for 5m span 10 h for 2.5m span 30 min for 1m span
>400
200300
100200
<100
Cohesion of the rock mass (kPa)
300400
Friction angle of the rock mass(deg)
>45
2535
<15
1525
3545
E. GUIDELINES FOR CLASSIFICATION OF DISCONTINUITY CONDITIONS
310 m
>20 m
<1 m
Discontinuity length (persistence)
1020 m
13 m
4
2
5
0
6
Rating
<0.1 mm
>5 mm
Separation (aperture)
15 mm
None
0.11.0 mm
5
0
4
1
6
Rating
Very rough
Slickensided
Rough
Smooth
Roughness
Slightly rough
Rating
6
5
1
0
3
None
Hand filling <5 mm Hand filling >5 mm Soft filling <5 mm
Soft filling >5 mm
Infilling (gauge)
2
Rating
2
6
4
0
Slightly
Moderately
Highly
Unweathered
Decomposed
Weathering
weathered
weathered
weathered
Rating
3
1
6
0
5
F. EFFECT OF DISCONTINUITY STRIKE AND DIP OREINTATION TUNNELLING**
Strike perpendicular to tunnel axis
Strike parallel to tunnel axis
Drive with dip Dip 20450
Dip 20450
Drive with dip Dip 45900
Dip 45900
Very favourable
Favourable
Fair
Very unfavourable
Drive against dip Dip 45900 Drive against dip Dip 20450
Dip 0200 irrespective of strike
Unfavourable
Fair
Fair
* Some conditions are mutually exclusive. For example, if infilling is present, the roughness of the surface will be overshadowed by the influence of the
gouge. In such cases use A.4 directly;
** Modified after Wickham et al. (1972)
42
Table 4.5: Guidelines for Excavation and Support of 10 m Span Rock Tunnels in accordance with the
RMR system (After Bieniawski 1989)
Rock Mass
Class
Excavation
I - Very good rock

RMR: 81100
Full face,
3 m advance
Rock Bolts
(20 mm diameter,
fully grouted)
Steel Sets
Shotcrete
Generally no support required

except spot bolting
II - Good rock
RMR: 6180
Locally, bolts in crown 3

Full face,
11.5 m advance. Complete support m long, spaced 2.5 m
with occasional wire
20 m from face
mesh
III - Fair rock

RMR: 4160
50100 mm in
Top heading and bench
Systematic bolts 4 m
1.53 m advance in top heading. long, spaced 1.52 m in crown and 30 mm
in sides
Commence support after each blast. crown and walls with
Complete support 10 m from face.
wire mesh in crown
None
IV - Poor rock
RMR: 2140
Top heading and bench

Systematic bolts 45 m 100150 mm in
1.01.5 m advance in top heading. long, spaced 11.5 m in crown and 100 mm
in sides
Install support concurrently with
crown and walls with
excavation, 10 m from face.
wire mesh.
Light to medium ribs

spaced 1.5 m where
required
V - Very poor rock

RMR: <20
Multiple drifts
Systematic bolts 56 m 100200 mm in
0.51.5 m advance in top heading. long, spaced 11.5 m in crown and 150 mm
Install support concurrently with
crown and walls with in sides and 50 mm
on face.
excavation. Shotcrete as soon as wire mesh. Bolt invert.
possible after blasting.
Medium to heavy ribs

spaced 0.75 m with steel
lagging and forepoling if
required. Close invert.
None
50 mm in crown
where required
It should be noted that Table 4.5 has not had a major revision since 1973. In many mining and
civil engineering applications, steel fibre reinforced shotcrete may be considered in place of wire mesh
and shotcrete.
4.4
MODIFICATIONS TO RMR FOR MINING APPLICATIONS
Bieniawskis Rock Mass Rating (RMR) system was originally based upon case histories drawn from
civil engineering. Consequently, the Mining Industry tended to regard the classification as tad conservative
and several modifications were proposed in order to make the classification more relevant to mining
applications. A comprehensive summary of these modifications was compiled by Bieniawski (1989).
Laubscher (1977, 1984), Laubscher and Taylor (1976) and Laubscher and Page (1990) have
described a Modified Rock Mass Rating system for mining. This MRMR system takes the basic RMR
value, as defined by Bieniawski, and adjusts it to account for in situ and induced stresses, stress changes
and the effects of blasting and weathering. A set of support recommendations is associated with the
resulting MRMR value. In using Laubschers MRMR system it should, however, be borne in mind that
many of the case histories upon which it is based are derived from caving operations. Originally, block
caving in asbestos mines in Africa formed the basis for the modifications but, subsequently, other case
histories from around the world were added to the database.
43
Cummings et al (1982) and Kendorski et al. (1983) have also modified Bieniawskis RMR classification
to produce the MBR (modified basic RMR) system for mining. This system was developed for block
caving operations in the USA. It involves the use of different ratings for the original parameters used to
determine the value of RMR and the subsequent adjustment of the resulting MBR value to allow for
blast damage, induced stresses, structural features, distance from the cave front and size of the caving block.
Support recommendations are presented for isolated or development drifts as well as for the final
support of intersections and drifts.
4.5
ROCK TUNNELLING QUALITY INDEX
On the basis of an evaluation of a large number of case histories of underground excavations,

Barton et al. (1974) of the Norwegian Geotechnical Institute proposed a Tunnelling Quality Index (Q )
for the determination of rock mass characteristics and tunnel support requirements. The numerical
value of the index Q varies on a logarithmic scale from 0.001 to a maximum of 1,000 and is defined by:
Q =
J
RQD
x r
J
Jn
a
Jw
SRF
(2)
where, RQD is the Rock Quality Designation
Jn is the joint set number

Jr is the joint roughness number
Ja is the joint alteration number
Jw is the joint water reduction factor
SRF is the stress reduction factor
In explaining the meaning of the parameters used to determine the value of Q, Barton et al. (1974)
offered the following comments:
The first quotient (RQD / J n ), representing the structure of the rock mass, is a crude measure of the
block or particle size, with the two extreme values (100/0.5 and 10/20) differing by a factor of 400. If the
quotient is interpreted in units of centimetres, the extreme particle sizes of 200 to 0.5 cm are seen to be
crude but fairly realistic approximations. Probably the largest blocks should be several times this size
and the smallest fragments less than half the size. (Clay particles are of course excluded).
The second quotient ( Jr /Ja ) represents the roughness and frictional characteristics of the joint
walls or filling materials. This quotient is weighted in favour of rough, unaltered joints in direct contact. It is
to be expected that such surfaces will be close to peak strength, that they will dilate strongly when
sheared, and they will therefore be especially favourable to tunnel stability.
When rock joints have thin clay mineral coatings and fillings, the strength is reduced significantly.
Nevertheless, rock wall contact after small shear displacements have occurred, may be a very important
factor for preserving the excavation from ultimate failure.
Where no rock wall contact exists, the conditions are extremely unfavourable to tunnel stability.
The friction angles (given in Table 4.6) are a little below the residual strength values for most clays,
and are possibly down-graded by the fact that these clay bands or fillings may tend to consolidate
during shear, at least if normal consolidation or if softening and swelling has occurred. The swelling
pressure of montmorillonite may also be a factor here.
44
The third quotient (Jw/SRF ) consists of two stress parameters. SRF is a measure of a) loosening
load in the case of an excavation through shear zones and clay bearing rock, b) rock stress in competent
rock and c) squeezing loads in plastic incompetent rocks. It can be regarded as a total stress parameter.
The parameter Jw is a measure of water pressure, which has an adverse effect on the shear strength of
joints due to a reduction in effective normal stress. Water may, in addition, cause softening and possible
outwash in the case of clay-filled joints. It has proved impossible to combine these two parameters in
terms of inter-block effective stress, because paradoxically a high value of effective normal stress may
sometimes signify less stable conditions than a low value, despite the higher shear strength. The quotient
(Jw /SRF ) is a complicated empirical factor describing the active stress.
It appears that the rock tunnelling quality Q can now be considered to be a function of only three
parameters which are crude measures of:
(i) Block size
(RQD/Jn)
(ii) Inter-block shear strength
(J r / J a )
(iii)Active stress
(Jw /SRF )
Undoubtedly, there are several other parameters which could be added to improve the accuracy
of the classification system. One of these would be the joint orientation. Although many case records
include the necessary information on structural orientation in relation to excavation axis, it was not
found to be the important general parameter that might be expected. Part of the reason for this may be
that the orientations of many types of excavations can be, and normally are, adjusted to avoid the
maximum effect of unfavourably oriented major joints. However, this choice is not available in the
case of tunnels, and more than half the case records were in this category. The parameters Jn, Jr and Ja
appear to play a more important role than orientation, because the number of joint sets determines the
degree of freedom for block movement (if any), and the frictional and dilational characteristics can vary
more than the down-dip gravitational component of unfavourably oriented joints. If joint orientations
had been included the classification would have been less general, and its essential simplicity lost.
Table 4.6 (After Barton et al. 1974) gives the classification of individual parameters used to obtain
the Tunnelling Quality Index Q for a rock mass. The use of Table 4.6 is illustrated in the following
example. A 15 m span crusher chamber for an underground mine is to be excavated in a norite at a
depth of 2,100 m below surface. The rock mass contains two sets of joints controlling stability. These
joints are undulating, rough and unweathered with very minor surface staining. RQD values range
from 85% to 95% and laboratory tests on core samples of intact rock give an average uniaxial compressive
strength of 170 MPa. The principal stress directions are approximately vertical and horizontal and the
magnitude of the horizontal principal stress is approximately 1.5 times that of the vertical principal
stress. The rock mass is locally damp but there is no evidence of flowing water.
The numerical value of RQD is used directly in the calculation of Q and, for this rock mass, an
average value of 90 will be used. Table 4.6 shows that, for two joint sets, the joint set number, Jn = 4. For
rough or irregular joints which are undulating, Table 4.6 gives a joint roughness number of Jr = 3. Table
4.6 gives the joint alteration number, Ja = 1.0, for unaltered joint walls with surface staining only. Table
4.6 shows that, for an excavation with minor inflow, the joint water reduction factor, Jw = 1.0. For a
depth below the surface of 2,100 m the overburden stress will be approximately 57 MPa and, in this
case, the major principal stress l = 85 MPa. Since the uniaxial compressive strength of the norite is
approximately 170 MPa, this gives a ratio of c /1 = 2. Table 4.6 shows that, for competent rock with
rock stress problems, this value of c /1 can be expected to produce heavy rock burst conditions and
that the value of SRF should lie between 10 and 20. A value of SRF = 15 will be assumed for this
calculation. Using these values gives:
45
Table 4.6 : Classification of Individual Parameters Used in the Tunnelling Quality Index Q
DESCRIPTION
VALUE
1.ROCK QUALITY DESIGNATION

A. Very poor
B. Poor
C. Fair
D. Good
E. Excellent
RQD
025
2550
5075
7590
90100
2. JOINT SET NUMBER

A. Massive, no or few joints
B. One joint set
C. One joint set plus random
D. Two joint sets
E. Two joint sets plus random
F. Three joint sets
G. Three joint sets plus random
H. Four or more joint sets, random,
heavily jointed, sugar cube, etc.
I. Crushed rock, earthlike
Jn
0.51.0
2
3
4
6
9
12
15
3. JOINT ROUGHNESS NUMBER

a) Rock wall contact
b) Rock wall contact before 10 cm shear
A. Discontinuous joints
B. Rough and irregular, undulating
C. Smooth undulating
D. Slickensided undulating
E. Rough or irregular, planar
F. Smooth Planar
G. Slickensided, planar
c) No rock wall contact when sheared
H. Zones containing clay minerals thick
enough to prevent rock wall contact
I. Sandy, gravely or crushed zone thick
enough to prevent rock wall contact
Jr
4.JOINT ALTERATION NUMBER
Ja
a) Rock wall contact

A. Tightly healed, hard, non-softening,
Impermeable filling
B. Unaltered joint walls, surface staining only
C. Slightly altered joint walls, non-softening
mineral coatings, sandy particles,
clay-free disintegrated rock, etc.
D. Silty, or sandy-clay coatings, small
clay fraction (non-softening)
E. Softening or low-friction clay
mineral coatings, i.e. kaolinite, mica.
Also chlorite, talc, gypsum and
graphite etc., and small quantities
of swelling clays. (Discontinuous
coatings, 12 mm or less)
NOTES
1. Where RQD is reported or measured as 10 (including 0),
a nominal value of 10 is used to evaluable Q.
2. RQD intervals of 5, i.e., 100, 95, 90 etc. are sufficiently
accurate.
1. For intersections use (3.0 x Jn)

2. For portals use (2.0 X Jn)
20
4
3
2
1.5
1.5
1.0
0.5
1. Add 1.0 if the mean spacing of the relevant joint

set is greater than 3 m.
1.0 (nominal)
2. Jr = 0.5 can be used for planar, slickensided joints having

lineations, provided that the lineations are oriented for
minimum strength.
1.0 (nominal)
r degrees (approx.)
0.75
1.0
2.0
25 35
2530
3.0
2025
4.0
816
46
1. Values of r, the residual

friction angle, are intended
as an approximate guide to
the mineralogical properties
of the alteration products,
if present.
contd...
VALUE
DESCRIPTION
NOTES
b) Rock wall contact before 10 cm shear
Ja
r degrees (approx.)
F. Sandy particles, clay-free, disintegrating

rock etc.
G. Strongly over-consolidated, non-softening
clay mineral fillings
(continuous < 5mm thick)
H. Medium or low over-consolidation,
softening clay mineral filling
(continuous < 5mm thick)
I. Swelling clay fillings, i.e., monthmorillonite,
(continuous < 5mm thick). Values of Ja
depend on percent of swelling clay-size
particles and access to water
4.0
2530
6.0
1624
8.0
1216
8.012.0
612
c. No rock wall contact when sheared

J. Zones or bands of disintegrated or crushed
K. rock and clay (see G,H and J for clay)
L. conditions)
M. Zones or bands of silty or sandy-clay,
small clay fraction, nonsoftening
N. Thick continuous zones or bands of clay
O. & R (see G.H. and J for clay conditions)
5.JOINT WATER REDUCTION
A. Dry excavation or minor inflow
i.e. <5 l/m locally
B. Medium inflow or pressure, occasional
outwash of joint fillings
C. Large inflow or high pressure in
competent rock with unfilled joints
D. Large inflow or high pressure
E. Exceptionally high inflow or pressure
at blasting , decaying with time
F. Exceptionally high inflow or pressure
6. STRESS REDUCING FACTOR
6.0
8.0
8.012.0
5.0
624
10.013.0
6.024.0
Jw
1.0
Apporx water pressure (kgf/cm2)

<1.0
0.66
1.02.5
0.5
2.510.0
0.33
0.20.1
2.510.0
>10
0.10.05
>10
1. Factors C to F are crude estimates;

increases Jw if drainage installed.
2. Special problems caused by ice
formation are not considered.
SRF
a) Weakness zones intersecting

excavation , which may cause
loosening of rock mass when tunnel
is excavated
A. Multiple occurrences of weakness zones
containing clay or chemically disintegrated
rock, very loose surrounding rock
any depth)
B. Single weakness zones containing clay,
or chemically disintegrated rock
(excavated depth <50 m)
C. Single weakness zones containing
clay, or chemically disintegrated rock
(excavation depth > 50 m)
10.0
1. Reduce these values of SRF by 25-50%

but only if the relevant shear zones
influence do not intersect the excavation
5.0
2.5
contd...
47
DESCRIPTION
VALUE
D. Multiple shear zones in competent rock

(clay free), loose surrounding rock
(any depth)
E. Single shear zone in competent rock
(clay free) ( depth of excavation > 50 m)
F. Single shear zone in competent rock
(clay free). (depth of excavation > 50m)
G. Loose open joints, heavily jointed or
sugar cube, (any depth)
NOTES
7.5
5.0
2.5
5.0
b) Competent rock, rock stress problems

c/1 t/1
H. Low stress, rear surface
>200 >13
I. Medium stress
20010 130.66
J. High stress, very tight structure
10-5
2.5
1.0
0.660.33 0.52
(usually favorable to stability, may

be unfavorable to wall stability)
K. Mild rockburst (massive rock)
52.5 0.330.16 510
L. Heavy rockburst (massive rock)
<2.5
<0.16
c) Squeezing rock, plastic flow of

incompetent rock under influence
of high rock pressure
M. Mild squeezing rock pressure
N. Heavy squeezing rock pressure
d) Swelling rock , chemical swelling
activity depending on presence of water
O. Mild swelling rock pressure
P. Heavy swelling rock pressure
1020
2. For strongly anisotropic virgin stress field

(if measured) : when 5 1/3 10, reduce
c to 0.8 c and t to 0.8 t. When 1/3 >
10, reduce c and t to 0.6 c and 0.6 t ,
where c = unconfined compressive
strength and t = tensile strength (point
load) and 1 and 3 are the major and minor
principal stresses.
3. Few case records available where depth
of crown below surface is less than span
width. Suggest SRF increases from 2.5 to 5
for such cases (see H).
510
1020
510
1015
ADDITIONAL NOTES ON THE USE OF THESE TABLES

When making estimates of the rock mass Quality (Q), the following guidelines should be followed in addition to the notes listed in the tables:
1. When borehole core is unavailable, RQD can be estimated from the number of joints per unit volume, in which the number of joints per metre for
each joint set are added. A simple relationship can be used to convert this number to RQD for the case of clay free rock masses: RQD = 115- 3.3 J v
(approx), where Jv = total number of joints per m3 (o < RQD < 100 for 35> Jv > 4.5).
2. The parameter Jn representing the number of joints sets will often be affected by foliation, schistosity, slaty cleavage or bedding etc. If strongly
developed, these parallel joints should obviously be counted as a complete joint set. However, if there are few joints visible , or if only occasional
breaks in the core are due to these features , then it will be more appropriate to count them as random joints when evaluating Jn.
3. The parameter Jr and Ja (representing shear strength) should be relevant to the weakest significant joint set or clay filled discontinuity in the given
zone. However, if the joint or discontinuity with the minimum value of JrIJa is favorably oriented for stability, then a second, less favorably oriented
joint set or discontinuity may sometimes be more significant and its higher value of JrIJ a should be used when evaluating Q. The value of J rIJ a should
in fact relate to the surface most likely to allow failure to initiate.
4. When a rock mass contains clay, the factor SRF appropriate to loosening loads should be evaluated. In such cases the strength of the intact rock is
of little interest. However when joining is minimal and clay is completely absent, the strength of the intact rock may become the weakest link and the
the stability will then depend on the ratio rock stress/rock-strength. A strongly anisotropic stress field is unfavorable for stability and is roughly
accounted for as in note 2 in the table for stress reduction factor evaluation.
5. The compressive and tensile strengths (c and t) of the intact rock should be evaluated in the saturated condition if this is appropriate to the
present and future in situ conditions. A very conservative estimate of the strength should be made for those rocks that deteriorate when exposed to
moist or saturated conditions.
48
3
1
90
= 4.5
x
x
(3)
1
15
4
In relating the value of the index Q to the stability and support requirements of underground
excavations, Barton et al. (1974) defined an additional parameter which they called the Equivalent
Dimension, De , of the excavation. This dimension is obtained by dividing the span, diameter or wall
height of the excavation by a quantity called the Excavation Support Ratio, ESR. Hence:
Q =
De = Excavation span, diameter or height (m) / Excavation Support Ratio ESR

The value of ESR is related to the intended use of the excavation and to the degree of security
which is demanded of the support system installed to maintain the stability of the excavation. Barton et al.
(1974) suggest the following values:
Excavation Category
ESR
Temporary mine openings
3-5
Permanent mine openings, water tunnels for hydro power (excluding high pressure
1.6
penstocks), pilot tunnels, drifts and headings for large excavations

C
Storage rooms, water treatment plants, minor road and railway tunnels, surge chambers,
1.3
access tunnels.
D
Power stations, major road and railway tunnels, civil defence chambers, portal intersections.
1.0
Underground nuclear power stations, railway stations, sports and public facilities, factories
0.8
Barton et al. (1980) provide additional information on rockbolt length, maximum unsupported
spans and roof support pressures to supplement the support recommendations published in the original
1974 paper. The Estimated support categories based Tunnelling Quality Index Q are shown in Figure
4.3.
The length L of rockbolts can be estimated from the excavation width B and the Excavation
Support Ratio ESR:
0.15B
L = 2 +
(4)
ESR
The maximum unsupported span can be estimated from:

Maximum span (unsupported) = 2ESR Q 0.4
(5)
Based upon analyses of case records, Grimstad and Barton (1993) suggest that the relationship
between the value of Q and the permanent roof support pressure Proof is estimated from:
-
P roof =
2 Jn Q
1
3
(6)
3Jr
49
ROCK CLASSES
D
Exceptionally
Poor
Extremely
Poor
Very
Poor
Poor
Fair
Good
100
20
2.1 m
11
1.3 m
1.0 m
5
20
8
4.0 m
cm
4c
m
15
3.0 m
5c
m
cm
9c
m
25
cm
10
12
Span or Height in m
ESR
Exc.
Good
2.0 m
1.6 m
1.3 m
Bo
lt
Sp
ng
aci
in
Un
sho
et
tcr
ed
Are
2.4
Bolt Length in m for ESR =1
S
B o lt
1.2 m
Area
e te d
1.7 m
h o tc r
in S
g
1.5 m
p a c in
Ext.
Good
2.5 m
2.3 m
50
Very
Good
1.5
1.0 m
1
0.001
0.004
0.01
0.04
0.1
0.4
Rock Mass Quality Q =
10
40
100
400
1000
J
RQD
Jw
x r x
Ja
Jn
SRF
REINFORCEMENT CATEGORY
1.
2.
3.
4.
5.
Unsupported
Spot Bolting
Systematic Bolting
Systematic Bolting (and unreinforced shotcrete, 410 cm)
Fibre Reinforced Shotcrete and Bolting, 59 cm
6. Fibre Reinforced Shotcrete and Bolting, 912 cm

7. Fibre Reinforced Shotcrete and Bolting, 1215 cm
8. Fibre Reinforced Shotcrete, > 15 cm,
Reinforced Ribs of Shotcrete and Bolting
9. Cost Concrete Lining
Figure 4.3: Estimated Support Categories Based on the Tunnelling Quality Index Q (After Grimstad and
Barton, 1993, Reproduced from Palmstrom and Broch, 2006)
4.6
USING ROCK MASS CLASSIFICATION SYSTEMS
The two most widely used rock mass classifications are Bieniawskis RMR (1976, 1989) and Q-system of
Barton et al. (1974). Both methods incorporate geological, geometric and design/engineering parameters in
arriving at a quantitative value of their rock mass quality. The similarities between RMR and Q-system
are the use of identical or very similar parameters in calculating the final rock mass quality rating. The
differences between the systems lie in the different weightings given to similar parameters and in the
use of distinct parameters in one or the other scheme.
RMR uses compressive strength directly while Q only considers strength as it relates to in situ
stress in competent rock. Both schemes deal with the geology and geometry of the rock mass, but in
slightly different ways. Both consider groundwater, and both include some component of rock material
strength. Some estimate of orientation can be incorporated into Q using a guideline presented by Barton et
al. (1974) the parameters Jr and Ja relate to the surface most likely to allow failure to initiate. The
greatest difference between the two systems is the lack of a stress parameter in the RMR system.
When using either of these methods, two approaches can be taken. One is to evaluate the rock
mass specifically for the parameters included in the classification methods; the other is to accurately
characterise the rock mass and then attribute parameter ratings at a later time. The latter method is
50
recommended since it gives a full and complete description of the rock mass which can easily be
translated into either classification index. If rating values alone had been recorded during mapping, it
would be almost impossible to carry out verification studies.
In many cases, it is appropriate to give a range of values to each parameter in a rock mass classification
and to evaluate the significance of the final result. The average value of Q can be used in choosing a
basic support system while the range gives an indication of the possible adjustments which will be
required to meet different conditions encountered during construction.
A further example of this approach is given in a paper by Barton et al. (1992) concerned with the
design of a 62 m span underground sports hall in jointed gneiss. Histograms of all the input parameters
for the Q-system are presented and analysed in order to determine the weighted average value of Q.
Carter (1992) has adopted a similar approach, but extended his analysis to include the derivation of a
probability distribution function and the calculation of a probability of failure in a discussion on the
stability of surface crown pillars in abandoned metal mines.
Throughout this chapter it has been suggested that the user of a rock mass classification scheme
should check that the latest version is being used. It is also worth repeating that the use of two rock
mass classification schemes side by side is advisable.
Geo-mechanics classification will provide the guidelines for selection of supports to ensure the
long stability of various rock classes. For Maximum RMR Value, Unsupported Span may be worked out
using Figure 4.4.
10 mm
1 hour
10 hours
1 day
1 week
1 month
5 to 20 years
1 year
90
70
60
80
40
70
30
60
Unsupported Span (m)
20
15
IMMEDIATE
COLLAPSE
10
9
8
7
6
50
40
85
75
30
65
4
3
55
20
45
U
VAL
MR
ES
SELF
SUPPORTING
35
25
1 hour
102
10
103
104
105
Standup Time (hours)
Figure 4.4: Relation Between Unsupported Span, Standup Time and RMR Values
51
4.7
MINING ROCK MASS RATING CLASSIFICATION ( MRMR)
Laubscher developed the Mining Rock Mass Rating (MRMR) system by modifying the Rock Mass
Rating (RMR) system of Bieniawski. In the MRMR system, the stability and support are determined
with the following equations:
RMR
IRS + RQD + spacing + condition
RMR
Laubschers Rock Mass Rating
IRS
Intact Rock Strength
RQD
Rock Quality Designation
spacing
expression for the spacing of discontinuities
condition
condition of discontinuities (parameter also dependent on ground

water presence, pressure, or quantity of groundwater inflow in the
underground excavation)
MRMR
RMR * adjustment factors
in which:
in which:
adjustment factors =
factors to compensate for the method of excavation, orientation

of discontinuities and excavation, induced stresses, and future
weathering
The parameters to calculate the RMR value are similar to those used in the RMR system of
Bieniawski. This may be confusing, as some of the parameters in the MRMR system are modified, such
as the condition parameter that includes groundwater presence and pressure in the MRMR system
whereas groundwater is a separate parameter in the RMR system of Bieniawski. The number of classes
for the parameters and the detail of the description of the parameters are also more extensive than in
the RMR system of Bieniawski.
The adjustment factors depend on future (susceptibility to) weathering, stress environment,
orientation, etc.
The combination of values of RMR and MRMR determines the so-called reinforcement potential.
A rock mass with a high RMR before the adjustment factors are applied has a high reinforcement
potential, and can be reinforced by, for example, rock bolts, whatever the MRMR value might be after
excavation. Contrariwise, rock bolts are not a suitable reinforcement for a rock mass with a low RMR
(i.e., has a low reinforcement potential).
Laubscher uses a graph for the spacing parameter. The parameter is dependent on a maximum of
three discontinuity sets that determine the size and the form of the rock blocks. The condition parameter
is determined by the discontinuity set with the most adverse influence on the stability.
The concept of adjustment factors for the rock mass before and after excavation is very attractive.
This allows for compensation of local variations, which may be present at the location of the rock
mass observed, but might not be present at the location of the proposed excavation or vice versa.
In addition, this allows for quantification of the influence of excavation and excavation induced
stresses, excavation methods, and the influence of past and future weathering of the rock mass.
52
Chapter
Slope Stability
5.0 DESIGN OF EXCAVATIONS OPENCAST PIT SLOPE DESIGN GUIDELINES

Slope stability has significant importance in open-pit excavation for the purpose of profitability. This
factor affects a) formation, contacts, structural factors of deposit; b) rock type, intrusive; c) joints and
discontinuities; d) existing slope design; and e) condition of the existing benches due to erosion.
To achieve optimum slope design, visual observation of the condition of benches followed by
engineering judgments, rock testing, geomechanic classification, stereo net analysis and numerical
analysis need to carry out.
Aim of Slope Stability
To understand the development and form of natural and man-made slopes and the processes
responsible for different features.
To assess the stability of slopes under short-term (often during construction) and long-term
conditions.
To assess the possibility of slope failure involving natural or existing engineered slopes.
To analyse slope stability and to understand failure mechanisms and the influence of
environmental factors.
To enable the redesign of failed slopes and the planning and design of preventive and remedial
measures, where necessary.
To study the effect of seismic loadings on slopes and embankments.
To evolve safe, properly designed, scientifically engineered slope.
To improve profitability of opencast mines.
To enable Design-engineer/scientist develop suitable designs.
As indicators that excessive steepening could lead to:

* Slope failure,
* Loss of production,
* extra stripping costs to remove failed material,
* closure of mine
Types of Rock Slope Failures

Failure in Earth and Rock mass
* Plane failure
* Wedge failure * Circular failure
53
* Toppling failure
* Rock fall
Failure in earth, rock fill and spoil dumps and embankments

* Circular
* Non-circular semi-infinite slope
* Multiple block plane wedge
* Log spiral (bearing capacity of foundations)
* Flow slides and Mud flow
* Cracking
* Slide or Slump
* Gulling
* Erosion
The various design parameters of rock mass classification, such as, rock mass rating (RMR), slope
mass rating (SMR) are used for pit slope design and support design.
The several modes of possible failures, such as, planar, wedge and circular failure have to be analysed.
Computer software programme Galena is predominantly used for analysis of different modes of failures
parameters, such as, slope angles and slope height are used to evolve safe and cost effective stripping
ratio and optimum exploitation mechanisms.
The dip and the strike of discontinuities can be measured using Brunton Compass along the benches
on the foot wall and hanging wall of the ore body. The orientation of the major plane of weakness with
respect to pit excavation is a critical factor, which determines the slope stability. As long as the
discontinuity planes are not mined out, there would be possibilities of sliding/failure to occur. The
shear resistance of joint planes and factor of safety against sliding for slope must be very high. The
factor of safety less than unity signifies a potential unstable zone. The stereo net analysis provides good
presentation of structural data generated during the field mapping. The data on the joint orientation
and the angle of internal friction is used as input for performing analysis.
In the majority of the cases, slope failure in rock mass are governed by joints that develop across
surface form by one or several sets of joints.
To determine the safe optimum slope angle and introduction of intensive of slope movements,
slope stability investigation need to be carried for stability analysis.
Factors that affect the stability of slopes are as below:
a) Properties of joint planes existing within the rock mass, i.e., orientation, continuity,
frequency, strength of filling material, etc.
b) Strength of rock material
c) Water pressure within the rock
d) In situ stresses
e) Mining methods, i.e., extraction with the help of blasting or mechanical equipment.
Potential failures like toppling, planar, wedge is applicable to the jointed rock masses. In highly
fractured or decompressed rock, circular failure may occur. Occurrences of any one fracture mode or
combination thereof is controlled by the relative orientation of quarry face/dominant joint face, dominant
joint sets, shear strength characteristics of joints, and their continuity/frequency. Ground water that
influences the stability of quarry is responsible for major slope failures. Piezometer can be installed to
measure the ground water pressure. The different types of failures are shown in Figure 5.1 (See Plate 1).
54
Slope Stability
5.1
TYPES OF SLOPE FAILURES
5.1.1 Plane Failure

Simple plane failure is the easiest form of rock slope failure to analyse. It occurs when a discontinuity
striking approximately parallel to the slope face and dipping at a lower angle intersects the slope face,
enabling the material above the discontinuity to slide.
Plane failure occurred along the prevalent or continuous joints dipping towards the slope with
strike near to parallel to the slope face. It occurs when a geological discontinuity such as bedding plane
strikes parallel to the slope face and dip into the excavation at an angle greater than the angle of friction.
It has been shown in Figure 5.2 (see Plate 1).
There are 2 unstable conditions that occur when critical joint dip is less than the slope and when
the mobilised shear strength in the joint is not enough to ensure stability. Plane failure depends on joint
continuity and also when the difference between dip direction of the slope and failed joints is less than 900.
5.1.2 Wedge Failure
Wedge failure occurs along two joints from different sets with intersecting dip towards slope. When
two discontinuities strike obliquely across the slope face and their line of interaction daylights in the slope
face, the wedge of rock resting on these discontinuities will slide down the line of interaction, provided
that the inclination of this line is significantly greater than the angle of friction. It is depicted in Figure
5.3 (see Plate 2). A wedge failure depends on the geometry, multiple the joint mobilize shear strength.
The size of the failure depends on the joint frequency and is usually minor as compared to plane failure.
5.1.3 Step-Path Failure
Step path failure is similar to plane shear failure, but the sliding is due to the combined mechanism of
multiple discontinuities or the tensile failure of the intact rock connecting members of the master joint set.
5.1.4 Raveling
Weathering of material and expansion and contraction associated with freeze-thaw cycles are principle
causes of raveling. This type of failure generally produces small rockfalls, not massive failures.
5.1.5 Toppling Failure
Toppling failure occurs along a prevalent and is continuous set of joint, which dip against the slope,
with strike near parallel to slope face. Joint slips between them and is frequently weathered. In
practice, two types of instability can exist, such as, minor toppling occur near the surface of the slope
and dip toppling which can produce both determinations. In both the cases failure develops slowly.
Surface toppling can cause rock falls but dip toppling seldom fail suddenly. The difference between the
dip direction value of the slope and joints is more than 900. The details of failure modes are illustrated
in Figure 5.4 (see Plate 2).
5.1.6 Circular Failure
Circular failures generally occur in weak rock or soil slopes.

Failures of this type do not necessarily occur along a purely circular arc, some form of curved
failure surface is normally apparent.
Circular shear failures are influenced by the size and mechanical properties of the particles in the
soil or rock mass.
55
When the material is very weak as in tailing dump, in soil slope or when the rock slope or when
the rock mass is very heavily jointed or broken, as in the waste rock dump, the failure is defined by a
single discontinuity surface but will tend to follow the circular failure (see Figure 5.5).
Face
Toe
Deep-Seated
Figure 5.5: Circular Failure
Circular failure is classified into three types depending on the area that is affected by the failure
surface. They are:
Slope Failure
In this type of failure, the arc of the rupture surface meets the slope above the toe of the slope. This
happens when the slope angle is very high and the soil close to the toe possess high strength.
Toe Failure
In this type of failure, the arc of the rupture surface meets the slope at the toe.
Base Failure
In this type of failure, the arc of the failure passes below the toe and in to base of the slope. This happens
when the slope angle is low and the soil below the base is softer and more plastic than the soil above the base.
5.2
GROUNDWATER FLOW
The incidence of slope failure in working mines during or shortly after periods of intense rainfall indicates
the degree to which rainfall and subsequent movement of groundwater affect slope stability. A knowledge
of groundwater conditions is needed for the analysis and design of slopes. The groundwater regime is
often the only natural parameter that can be economically changed to increase the stability of slopes.
Water affects the stability of slopes in the following ways:
a)
By generating pore pressure, both positive and negative, which alter stress conditions;
b) By changing the bulk density of the slope formimg material;

c)
By both internal and external erosion; and
d) By changing the material constituents of the slope forming material.
56
Slope Stability
5.2.1 Factors Affecting Slope Stability

Cohesion
It is the characteristic property of a rock or soil that measures how well it resists being deformed or
broken by forces, such as, gravity. In soils/rocks true cohesion is caused by electrostatic forces in stiff
over consolidated clays, cemented by Fe2O3, CaCO3, NaCl, etc. and root cohesion.
However the apparent cohesion is caused by negative capillary pressure and pore pressure
response during undrained loading. Slopes having rocks/soils with less cohesion tend to be less stable.
Angle of Internal Friction
Angle of internal friction is the angle (), measured between the normal force (N) and resultant force
(R), that is attained when failure just occurs in response to a shearing stress (S).
Its tangent (S/N) is the coefficient of sliding friction. It is a measure of the ability of a unit of rock
or soil to withstand a shear stress. This is affected by particle roundness and particle size. Lower roundness
or larger median particle size results in larger friction angle. It is also affected by quartz content.
Lithology
The rock materials forming a pit slope determines the rock mass strength modified by discontinuities,
faulting, folding, old workings and weathering.
Low rock mass strength is characterised by circular raveling and rock fall instability like the formation
of slope in massive sandstone restrict stability.
Pit slopes having alluvium or weathered rocks at the surface have low shearing strength and the
strength gets further reduced if water seepage takes place through them. These types of slopes must
be flatter.
Ground Water
It causes the following:
alters the cohesion and frictional parameters;
reduce the normal effective stress;
causes increased up thrust and driving water forces and has adverse effect on the stability of the
slopes. Physical and chemical effect of pure water pressure in joints filling material can thus alter
the cohesion and friction of the discontinuity surface.
physical and the chemical effect of the water pressure in the pores of the rock cause a decrease in
the compressive strength particularly where confining stress has been reduced.
Mining Method and Equipment
Generally there are four methods of advance in opencast mines. They are:
strike cut advancing down the dip
strike cut advancing up the dip
dip cut along the strike
open-pit working
57
The use of dip cuts with advance on the strike reduces the length and time that a face is
exposed during excavation. Dip cuts with advance oblique to strike may often be used to
reduce the strata
Dip cut generally offers the most stable method of working but suffer from restricted
production potential.
Open-pit method are used in steeply dipping seams, due to the increased slope height are
more prone to large slab/buckling modes of failure.
Mining equipment which piles on the benches of the open-pit mine gives rise to the increase
in surcharge which in turn increases the force which tends to pull the slope face downward
and thus causing instability. Cases of circular failure in spoil dumps are more pronounced.
Slope Geometry
The factors effecting the slope geometry are given in Figure 5.6.
The basic geometrical slope design parameters are height, overall slope angle and area of
failure surface.
With increase in height the slope stability decreases.
The overall angle increases the possible extent of development of any failure to the rear of
the crests and it should be considered so that the ground deformation at the mine peripheral
area can be avoided.
Generally overall slope angle of 45 is considered to be safe by Directorate General of Mines

Safety (DGMS).
Steeper and higher the height of slope less is the stability.
Haul Road
Interramp Angle
Bench Width
Bench Height
Overall Angle
Interramp Angle
Bench-face Angle
Figure 5.6: Typical Pit Slope Geometry
5.2.2 Water Balance and the Hydrological Cycle

Water, whether in the solid , liquid or gaseous (vapour) form, is continuously in a state of circulation
and transforms from one state to other by its movement between land, sea and air. This continuous
movement is called the hydrological cycle.
58
Slope Stability
In terms of the stability of slopes, the land-based portion of the hydrological cycle is most intense.
Inflow to the system arrives as rainfall which can be extremely intense. Water flow from the system can
be as run-off, evapotranspiration and subsurface underflow. Changes of storage within the system is
that part of the rainfall which becomes incorporated into the groundwater system as recharge. The
above elements form the basis of the water balance equation.
Rainfall = Evaporation + Run-off + Subsurface underflow + Change in soil moisture + Change in
groundwater storage.
Changes in groundwater are critical to slope stability as it is these elements in the water balance
equation that effectively alter the degree of saturation of the ground above the water table and the
elevation of the water table itself.
Run-off is that proportion of rainfall that flows from a catchment into streams, lakes or the sea. It
consists of surface run-off and groundwater run-off, where groundwater run-off is derived from rainfall
that infiltrates into soil down to the water table and then percolates into stream channels. The amount
of run-off in any given catchment depends on variety of factors, such as, the condition and nature of the
soil and bedrock, the intensity and duration of rainfall, the slope angle, the surface of cover and the
antecedent conditions within the catchment. The amount or depth of run-off maybe calculated by
gauging the flow in streams which drain the catchment. The run-off coefficient or run-off percentage is
defined as the proportion of rainfall that flows from a catchment as a percentage of the total depth of
rainfall over the catchment area. Infiltration is defined as the movement of water from the ground
surface into the soil or rock with the pores or interstices of the ground mass (i.e., the absorption of
water by the soil).
Infiltration can be further divided into that part which contributes to the water content of the
unsaturated zone, and the part which recharges the saturated groundwater system. Some recharge to
the saturated groundwater system may be lost as groundwater run-off, whilst recharge to the unsaturated
zone may be lost by transpiration or evaporation .When an unsaturated zone exists in a soil it is said to
have a soil moisture deficit.
Recharge to this zone reduces the deficit until the soil becomes fully saturated, at which time the
soil moisture deficit is equal to zero.
5.2.3 Types of Groundwater Flow
Water flows through soil or rock in various ways depending on the nature of the ground. Watertransmitting soil or rock units are called aquifers. Different types of aquifer demonstrate different modes of
groundwater flow, such as, intergranular, fissure and conduit flow.
Intergranular flow is groundwater flow between the individual component grains that make up a
soil or rock. This type of flow must closely follow the Darcy Concept of flow through an homogeneous
isotropic medium of uniform grain size. In practice,however, most water-bearing strata exhibit
intergranular or homogenous flow and path-preferential flow through fissures or conduits within the
stratum. Joints within a soil/rock mass can have a significant effect on groundwater levels and hence
contribute towards slope in stability.
An aquifer, therefore, can be simply defined as a permeable water-bearing stratum that transmits
water under normal head or hydraulic gradient. An aquiclude is a stratum that may contain pore water
but is not permeable enough to transmit water even under considerable hydraulic head. The term
aquitard is used to indicate a stratum that shows limited water-transmitting capabilities.
59
Groundwater in aquifers not only exhibits intergranular and path-preferential flow characteristics
related to the granular or fissured structure of the aquifer unit, but also exhibits confined or unconfined
flow characterstics. In the former, groundwater is normally confined at the top by an impermeable
stratum (aquiclude). The aquifer unit, therefore, gets fully saturated, and the piezometric (hydraulic)
head is above the lower boundary of the confining medium. In unconfined flow situations, groundwater
does not fully occupy the potential aquifer, and a free water surface (water table) exists within the aquifer.
Water table in aquifers can either be main table or perched water table. The main water table in
any aquifer is the surface of the zone of complete saturation where water flows laterally under gravity,
in the ground surface. Above the main water table, the soil or rock infiltration occurs through the soil
or rock above the phreatic surface, and usually discharges to streams or the sea.
Perched water tables exist above the main water table where a localised reduction in basal permeability occurs in conjunction with recharge from above. Perched water tables may be transient,
developing rapidly in response to heavy rainfall and dissipating quickly, or permanent, responding to
seasonal variations in rainfall level.
5.3
NUMERICAL MODELLING
Numerical modelling techniques are practical and useful tool for maximising ore extraction. The most
important aspect of this approach is to concert the model with observed and measured conditions
based on the instrumentation. Geomechanical properties, such as, shear modulus, bulk modulus, density,
cohesion of rock, friction of rock, cohesion of joints, joint friction angle, joint tensile strength are
required for numerical modelling. Yield may occur in either solid or along the weak plane. The joint
tensile strength along the joints may be assumed to be 0.01 MPa from engineering judgments. Modelling is
conducted using two-dimensional microcomputer programme, FLAC (Fast Lagrangian Analysis of
Continua). The result obtained by FLAC has to be checked by limit equilibrium method of analysis.
FLAC is an explicit finite difference code to simulate the behaviour of rock and rock slope which may
undergo plastic flow when their yield limit is reached. Finite difference technique is a complex computer
technique for modelling a slope using small computerised geometric elements to which various material
properties can be assigned. This method is capable of analysing the deformation and safety by computing
stresses and strength of the slope. FLAC is particularly useful because it enables displacement to be
modelled with time as excavation proceeds.
SNAP Computer Programme is used for the statistical analysis of the orientation data . It uses the
lower hemisphere of polar equal area projection. SNAP is used to prepare density plot to delineate
different joint sets present in the rock mass of the pits slope. Mean orientation of data, i.e., joint sets, dip
direction, dip amount can be generated by this programme.
Limit equilibrium method can be used to verify the result obtained by FLAC. Plane failure, wedge
failure, toppler failure, circular failure can be plotted on the hemisphere. Factor of safety for slope with
water up to half of the depth of tension crack, factor of safety for drain slope with tension crack, factor
of safety for drain slope without tension crack, factor of safety for slope with water up to half of the
depth of slope but without tension crack could be represented. On the basis of different factors of safety
for different conditions, one can judge optimum slope angle keeping in view the desired factor of safety.
60
Slope Stability
5.3.1 Factor of Safety

Factor of safety (FOS) is an important tool to define the slope stability. Generally, the FOS is not
constant but it is likely to be subjected to cyclic changes due to variations in water pressure, weathering
and erosion of slope forming material. Further, factor of safety tends to decrease with time because of
swelling of slope forming materials, effects of weathering, alterations in slope geometry etc. However,
factor of safety can be enhanced by using different best practices during the mining operations. These
practices include improvement in proper dewatering system to minimise the in situ moisture contacts
of slope forming material which would consequently enhance the shear strength properties. In order to
maintain safer slope, it is desirable to adopt slope-monitoring techniques.
5.3.2 Slope Monitoring
For the purpose of slope monitoring , the monitoring station can be located at the crest of the benches
and by an electronic distance meter the precise level of any movement in and around the open pit
could be determined.
5.3.3 Computer Programming
GALENA slope stability analysis programme can be used for modelling of slope stability. The input data
include definition of axis limit, slope profile, material profile, pheratic and piezometric surface and
method of analysis. The programme utilises limit equilibrium method of analysis to access factor of
safety associated with slope with various configuration. The overall geology is itself in the definition of the
model including the material properties. The slope profile can then cut through this model, as a slope would
be excavated in real situation. Material above the slope profile is ignored since these will be mined out. In
this way GALENA enables large number of analysis to be undertaken without redefining model each time.
While generating several models output fines from GALENA software, Bishops Circular Method of
analysis can be performed. The selection of material properties for each rock type is an important input
parameter. To define optimum pit slope angle, different sections of the hanging wall and footwall would
need to be analysed .
The water level during the rainy season is also considered for the purpose of defining the pheratic
surface. At certain reduced level, the pheratic surface modelling can be prepared. It is generally
assumed that after certain reduced level, the saturated condition is likely to have its influence depending
on the weathering of rock. Factor of safety should be computed from different sections. It may vary
from 1 to 1.5 with certain slope angle and with increasing depth.
Sensitivity analysis could also be carried out to study the effect of factor of safety with respect to
optimum slope angle and its corresponding stripping ratio. Based on the analysis, the proper slope angle
could be achieved by considering favourable stripping ratio through proper mine planning, excavation
sequencing by ground monitoring and proper support measures.
5.4
SLOPE STABILITY
The field of slope stability encompasses the analysis of static and dynamic stability of slopes of earth and
rock-fill dams, slopes of other types of embankments, excavated slopes, and natural slopes in soil and
soft rock. Slope stability investigation, analysis (including modelling) and design mitigation are typically
completed by geologists, engineering geologists, or geotechnical engineers. Geologists and engineering
geologists can also use their knowledge of earth process and their ability to interpret
surficial geomorphology to determine relative slope stability based simply on site observations.
61
As seen in Figure 5.1 (see Plate 1), earthen slopes can develop a cut-spherical weakness area. The
probability of this happening can be calculated in advance using a simple 2-D circular analysis package. A
primary difficulty with analysis is locating the most-probable slip plane for any given situation. Many
landslides have only been analysed after the fact. More recently slope stability radar technology
has been employed, particularly in the Mining Industry, to gather real time data and assist in proactively determining the likelihood of slope failure.
5.4.1 Slope Stability Analyses
The slope stability analyses are performed to assess the safety of economic design of a human-made or
natural slopes (e.g. embankments, road cuts, open-pit mining, excavations, landfills etc.) and the
equilibrium conditions. The term slope stability may be defined as the resistance of inclined surface
to failure by sliding or collapsing. The main objectives of slope stability analysis are finding endangered
areas, investigation of potential failure mechanisms, determination of the slope sensitivity to different
triggering mechanisms, designing of optimal slopes with regard to safety, reliability and economics,
designing possible remedial measures, e.g. barriers and stabilisation mechanisms.
For successful design of slope knowledge in respect of geological information and site characteristics,
e.g. properties of soil/rock mass, slope geometry, groundwater conditions, alternation of materials
by faulting, joint or discontinuity systems, movements and tension in joints, earthquake activity
etc. is vital. Choice of correct analysis technique depends on both site conditions and the potential
mode of failure, with careful consideration being given to the varying strengths, weaknesses and
limitations inherent in each methodology.
Before the computer age, stability analysis was performed graphically by using hand-held calculator.
Today, engineers have a lot of possibilities to use analysis software that ranges from simple limit
equilibrium techniques through computational limit analysis approaches (e.g. Finite element limit
analysis, Discontinuity layout optimisation) to complex and sophisticated numerical solutions (finite-/
distinct-element codes). It is must for an engineer to fully understand the limitations of each
technique. For example, limit equilibrium is most commonly used and is a simple solution method, but
it can become inadequate if the slope fails by complex mechanisms (e.g. internal deformation and brittle
fracture, progressive creep, liquefaction of weaker soil layers, etc.). In these cases more
sophisticated numerical modelling techniques should be utilised. In addition, the use of the risk
assessment concept is increasing today. Risk assessment is concerned with both the consequence of slope
failure and the probability of failure (both require an understanding of the failure mechanism).
In the last decade, development of Slope Stability Radar has enabled the engineers to remotely
scan a rock slope to monitor the spatial deformation of the face. Small movements of a rough wall can
be detected with sub-millimeter accuracy by using interferometry techniques.
5.4.2 Limit Equilibrium Analysis
The conventional limit equilibrium methods investigate the equilibrium of the soil mass tending to
slide down under the influence of gravity. Transitional or rotational movement is considered on
assumed or known potential slip surface below the soil or rock mass. In rock slope engineering, methods
are highly significant for detection of simple block failure along distinct discontinuities. All methods
are based on comparison of forces (moments or stresses) resisting instability of the mass and those that
cause instability (disturbing forces). Two-dimensional sections are analysed assuming
plain strain conditions. These methods assume that the shear strengths of the materials along the
potential failure surface are governed by linear (Mohr-Coulomb) or non-linear relationships between
62
Slope Stability
shear strength and the normal stress on the failure surface analysis provides a factor of safety, defined as
a ratio of available shear resistance (capacity) to that required for equilibrium. If the value of factor of
safety is less than 1.0, slope is unstable. The most common limit equilibrium techniques are methods of
slices where soil mass is discretised into vertical slices (Figure 5.7). Results (factor of safety) of particular
methods can vary because methods differ in assumptions and satisfied equilibrium conditions.
O
R
bi
Wi
Ei
Ei +1
Xi +1
Xi
Ti
li
Ni
Figure 5.7: Method of Slices
Functional slope design considers calculation with the critical slip surface where there is the lowest
value of factor of safety. Locating failure surface can be made with the help of computer programmes using
search optimisation techniques. Wide variety of slope stability software using limit equilibrium concept is
available including search of critical slip surface. The programme analyses the stability of generally layered
soil slopes, mainly embankments, earth-cuts and anchored sheeting structures. Fast optimisation
of circular and polygonal slip surfaces provide the lowest factor of safety. Earthquake effects,
external loading, groundwater conditions, stabilisation forces (i.e., anchors, georeinforcements etc.) can
also be included. The software uses solution according to various methods of slices (Fig. 5.7), such
as, Bishop simplified , Ordinary method of slices ( Swedish circle method/Petterson/
Fellenius), Spencer, Sarma etc.
Sarma and Spencer are called as rigorous methods because they satisfy all three conditions of
equilibriumforce equilibrium in horizontal and vertical direction and moment equilibrium condition.
Rigorous methods can provide more accurate results than non-rigorous methods. Bishop simplified or
Fellenius are non-rigorous methods satisfying only some of the equilibrium conditions and making
some simplifying assumptions.
Another limit equilibrium programme, SLIDE, provides 2D stability calculations in rocks or soils
using these rigorous analysis methodsSpencer, Morgenstern-Price/General limit equilibrium; and
non-rigorous methodsBishop simplified, Corps of Engineers, Janbu simplified/corrected, LoweKarafiath and Ordinary/Fellenius. Searching of the critical slip surface is realised with the help of
a grid or as a slope search in user-defined area. The Programme also includes probabilistic
63
analysis using Monte Carlo or Latin Hypercube simulation techniques where any input parameter can
be defined as a random variable. Probabilistic analysis determine the probability of failure
and reliability index, which gives better representation of the level of safety. Back analysis serves for
calculation of a reinforcement load with a given required factor of safety. The Programme also
enables finite element groundwater seepage analysis.
The Program, SLOPE/W, is formulated in terms of moment and force equilibrium factor of safety
equations. Limit equilibrium methods include Morgenstern-Price, General limit equilibrium, Spencer,
Bishop, Ordinary, Janbu etc. This programme allows integration with other applications. For
example, finite element computed stresses from SIGMA/W or QUAKE/W can be used to calculate stability
factor by computing total shear resistance and mobilised shear stress along the entire slip surface. Then
a local stability factor for each slice is obtained. Using aMonte Carlo approach, the programme
computes the probability of failure in addition to the conventional factor of safety.
STABL WV is a limit equilibrium-based, Windows software based on the stable family of
algorithms. It allows analysis using Bishops, Spencers and Janbus method. Regular slopes as well as
slopes with various types of inclusions could be analysed.
SV Slope is formulated in terms of moment and force equilibrium factor of safety equations. Limit
equilibrium methods include Morgenstern-Price, General limit equilibrium, Spencer, Bishop, Ordinary,
Kulhawy and others. This programme allows integration with other applications in the geotechnical
software suite. For example, finite element computed stresses from SV Solid or pore-water pressures
from SV Flux can be used to calculate the factor of safety by computing total shear resistance and
mobilised shear stress along the entire slip surface. The software also utilises Monte Carlo, Latin
Hypercube and the APEM probabilistic approaches. Spatial variability through random fields computation
could also be included in the analysis.
Other programmes based on limit equilibrium concept are as follows:
GALENA includes stability analysis, back analysis, and probability analysis, using the Bishop,
Spencer-Wright and Sarma methods.
GALENA is a simple, user-friendly yet very powerful slope stability software system that can
simulate complex geological, groundwater and external force conditions without wrestling
with frustrating computer instructions. GALENA has been developed by geotechnical
engineers for practical use in the field. It was tested on a wide variety of earth and rock
slopes, dams and cuttings. GALENA incorporates three methods of slope stability analysis
which enable assessment of a wide range of ground stability problems in both soils and rocks.
The BISHOP Simplified method determines the stability of circular failure surfaces.
The SPENCER-WRIGHT method is used for either circular or non-circular failure surfaces.
The SARMA method for problems where non-vertical slices are required or for more complex
stability problems.
With all three methods available in one package, you can tackle any problem in a variety of ways
without stopping to load a new programme.
GSLOPE provides limit equilibrium slope stability analysis of existing natural slopes,
unreinforced man-made slopes, or slopes with soil reinforcement, using Bishops Modified
method and Janbus Simplified method applied to circular, composite or non-circular surfaces.
64
Slope Stability
CLARA-W
CLARA-W, a three-dimensional slope stability programme includes calculation with the help
of methods, such as, Bishop simplified, Janbu simplified, Spencer and Morgenstern-Price.
Problem configurations can involve rotational or non-rotational sliding surfaces, ellipsoids,
wedges, compound surfaces, fully specified surfaces and searches.
TSLOPE3
TSLOPE3, a two- or three-dimensional programme analyses soil and rock slopes using
Spencer method.
SLIDE
LIDE, is a slope stability programme developed by ROCSIENCE, Canada. An example of
slope stability programme output in shown in Figure 5.8 (See Plate 3).
For Rock slope stability analysis based on limit equilibrium techniques, the following modes of
failure need to be considered:
Planar failure case of rock mass sliding on a single surface (special case of general wedge type
of failure); two-dimensional analysis may be used according to the concept of a block resisting on
an inclined plane at limit equilibrium.
Polygonal failure sliding of a nature rock usually takes place on polygonally-shaped surfaces;
calculation is based on a certain assumptions (e.g. sliding on a polygonal surface which is
composed from N parts is kinematically possible only in case of development at least (N - 1)
internal shear surfaces; rock mass is divided into blocks by internal shear surfaces; blocks are
considered to be rigid; no tensile strength is permitted etc.)
Wedge failure three-dimensional analysis enables modelling of the wedge sliding on two
planes in a direction along the line of intersection.
Toppling failure long thin rock columns formed by the steeply dipping discontinuities
may rotate about a pivot point located at the lowest corner of the block; the sum of the
moments causing toppling of a block (i.e. horizontal weight component of the block and the
sum of the driving forces from adjacent blocks behind the block under consideration) is
compared to the sum of the moments resisting toppling (i.e. vertical weight component of
the block and the sum of the resisting forces from adjacent blocks in front of the block under
consideration); toppling occur if driving moments exceed resisting moments.
5.4.3 Stereographic and Kinematic Analysis

Kinematic analysis examines which modes of failure can possibly occur in the rock mass. Analysis
requires the detailed evaluation of rock mass structure and the geometry of existing discontinuities
contributing to block instability. Stereographic representation (stereonets) of the planes and lines is
used. Stereonets are useful for analysing discontinuous rock blocks. The Programme, DIPS , allows for
visualisation structural data using stereonets, determination of the kinematic feasibility of rock mass
and statistical analysis of the discontinuity properties. The Programme DIPS is available with ROC
SCIENCE, Canada.
5.5
DETAILS OF ROCKFALL PROGRAMMES
5.5.1 Rockfall Simulators

Rock slope stability analysis may design protective measures near or around structures endangered by
the falling blocks. Rockfall simulators determine travel paths and trajectories of unstable blocks
separated from a rock slope face. Analytical solution method described by Hungr & Evans assumes rock
block as a point with mass and velocity moving on a ballistic trajectory with regard to potential contact
with slope surface. Calculation requires two restitution coefficients that depend on fragment shape,
65
slope surface roughness, momentum and deformational properties and on the chance of certain
conditions in a given impact.
The Programme, ROCFALL, provides a statistical analysis of trajectory of falling blocks. Method
rely on velocity changes as a rock blocks roll, slide or bounce on various materials. Energy, velocity,
bounce height and location of rock endpoints are determined and cuold be analysed statistically. The
programme can assist in determining remedial measures by computing kinetic energy and location of
impact on a barrier. This can help determine the capacity, size and location of barriers.
Various rock mass classification systems exist for the design of slopes and to assess the stability of
slopes. The systems are based on empirical relations between rock mass parameters and various slope
parameters, such as, height and slope dip.
5.5.2 Numerical Modelling
Numerical modelling techniques provide an approximate solution to problems which otherwise cannot
be solved by conventional methods, e.g. complex geometry, material anisotropy, non-linear behaviour,
in situ stresses. Numerical analysis allows for material deformation and failure, modelling of pore
pressures, creep deformation, dynamic loading, assessing effects of parameter variations etc. However,
numerical modelling is restricted by some limitations. For example, input parameters are not usually
measured and availability of these data is generally poor. Analysis must be executed by well-trained
user with good modelling practise. User also should be aware of boundary effects, meshing errors,
hardware memory and time restrictions. Numerical methods used for slope stability analysis can be
divided into three main groupscontinuum, discontinuum and hybrid modelling.
5.5.3 Continuum Modelling
Modelling of the continuum is suitable for the analysis of soil slopes, massive intact rock or heavily
jointed rock masses. This approach includes the finite-difference and finite element methods
that discretise the whole mass to finite number of elements with the help of generated mesh (Figure 5.9
See Plate 3). In finite-difference method (FDM), differential equilibrium equations (i.e., straindisplacement and stress-strain relations) are solved. Whereas finite element method (FEM)
uses the approximations to the connectivity of elements, continuity of displacements and stresses
between elements. Most of numerical codes allows modelling of discrete fractures, e.g. bedding
planes, faults etc. Several constitutive models are usually available, e.g. elasticity, elasto-plasticity,
strain-softening, elasto-viscoplasticity etc.
5.5.4 Discontinuum Modelling
Discontinuum approach is useful for rock slopes controlled by discontinuity behaviour. Rock mass is
considered as an aggregation of distinct, interacting blocks subjected to external loads and assumed to
undergo motion with time. This methodology is collectively called thediscrete-element method (DEM).
Discontinuum modelling allows for sliding between the blocks or particles. The DEM is based on
solution of dynamic equation of equilibrium for each block repeatedly until the boundary conditions
and laws of contact and motion are satisfied. Discontinuum modelling belongs to the most commonly
applied numerical approach to rock slope analysis and the following variations of the DEM exist:
distinct-element method
discontinuous deformation analysis (DDA)
particle flow codes
66
Slope Stability
The distinct-element approach describes mechanical behaviour of both, the discontinuities and
the solid material. This methodology is based on a force-displacement law (specifying the interaction
between the deformable rock blocks) and a law of motion (determining displacements caused in the
blocks by out-of-balance forces). Joints are treated as boundary conditions. Deformable blocks are
discretised into internal constant-strain elements.
Discontinuum programme UDEC (Universal distinct element code) is suitable for high jointed rock
slopes subjected to static or dynamic loading. Two-dimensional analysis of translational failure mechanism
allows for simulating large displacements, modelling deformation or material yielding. Three-dimensional
discontinuum code 3DEC contains modelling of multiple intersecting discontinuities and therefore it is
suitable for analysis of wedge instabilities or influence of rock support (e.g. rockbolts, cables).
In discontinuous deformation analysis (DDA) displacements are unknowns and equilibrium
equations are then solved analogous to finite element method. Each unit of finite element type mesh
represents an isolated block bounded by discontinuities. Advantage of this methodology is possibility to
model large deformations, rigid body movements, coupling or failure states between rock blocks.
Discontinuous rock mass can be modelled with the help of distinct-element methodology in the form
of particle flow code, e.g. Programme PFC2D/3D. Spherical particles interact through frictional sliding
contacts. Simulation of joint bounded blocks may be realised through specified bond strengths. Law of
motion is repeatedly applied to each particle and force-displacement law to each contact. Particle flow
methodology enables modelling of granular flow, fracture of intact rock, transitional block movements,
dynamic response to blasting or seismicity, deformation between particles caused by shear or tensile forces.
These codes also allow to model subsequent failure processes of rock slope, e.g. simulation of rock.
5.5.5 Hybrid/Coupled Modelling
Hybrid codes involve the coupling of various methodologies to maximise their key advantages, e.g. limit
equilibrium analysis combined withfinite element groundwater flow and stress analysis adopted in
the SVOFFICE or GEO-STUDIO suites of software; coupled particle flow and finite-difference analyses
used in PF3D and FLAC3D. Hybrid techniques allows investigation of piping slope failures and the
influence of high groundwater pressures on the failure of weak rock slope. Coupled finite-/distinctelement codes, e.g. ELFEN, provide for the modelling of both intact rock behaviour and the development
and behaviour of fractures.
5.6
TYPES OF INSTRUMENTS FOR MONITORING
Geo-technical instrumentation and monitoring plays an integral role in deriving meaningful conclusions
related to strata behaviour in advance of mining or during mining operations. Geo-technical
instrumentation is required for on-site observation and surveillance. Not all instruments are installed to
monitor safety of a structure or construction operation or to confirm design assumptions but also to
determine initial or background conditions.
Usually geo-technical instrumentation is carried out for taking measurements of strata behaviour
and every measurement involves certain degree of error and uncertainty. Some instruments can have
inherent defective designs, poor quality craftsmanship and materials to make the cost affordable. It is
the experience and judgement that is important for tackling the shortcomings or gaps, which might
influence the performance of the project.
Full benefit can be achieved only if every step in the instrumentation planning and execution
phase is taken into consideration. Instrumentation schemes are normally adopted to serve one or more
of the following purposes:
67
1. To determine the stability condition of mine structures

2. To check data assumptions
3. To generate data for future assumptions
4. To develop and evaluate new theories, concepts and guidelines
5. To settle legal disputes
Depending on the site conditions, the required number of types, capacity and least count of the
instrument used should be decided. The range should be decided on the basis of the predicted behaviour
of rock mass.
5.6.1 Instrumentation Types
Most geo-technical instruments consist of a transducer ( a device that converts a physical change into a
corresponding output signal), a data acquisition system and a communication system between these
two. The basic instruments include Mechanical, Hydraulic, Pneumatic, Electrical and Electronic types.
Sometimes, a combination of these basic types are also available depending on the application areas.
1.
Mechanical Instruments
Dial indicators are used to convert the linear movement of a spring-loaded plunger to larger and more
visible movement of a pointer that rotates above a dial. Dial indicator are more common, which can
be used in mechanical crack gages, convergence gages, and mechanical tilt meters, fixed borehole
extensometers, mechanical strain gages and mechanical load cells.
In the micrometer, rotation of finely threaded plunger causes the plunger to travel in or out of
housing. Longitudinal movement of the plunger is measured, using a scale on the housing to indicate
the number of revolutions of the plunger, frictional revolutions are determined using graduations
marked around the plunger and a vernier on the housing.
2.
Hydraulic Instruments
The two devices most frequently used to measure liquid pressure are Bourdon tube pressure gages and
manometers. Bourdon tube pressure gages are more common and are used with hydraulic piezometers,
hydraulic load cells, and borehole pressure cells and in some readout units for pneumatic transducers.
Manometers are sometimes used with twin tube hydraulic piezometers and liquid levels settlement gages.
3.
Pneumatic Instruments
Pneumatic transducers and data acquisition systems are used for pneumatic piezometers, earth pressure
cells, load cells and liquid level settlement gages.
4.
Electrical Instruments
Electrical resistance strain gages are used in many electrical instruments. Linear Variable Differential
Transformer (LVDT) is used in fixed borehole extensometers and in other instruments for measurements of
deformation. Director Current Differential Transformer (DCDT) has similar applications to LVDT and
is usually preferred for geo-technical purposes. Linear potentiometers are an alternative to LVDT
and DCDT for remote measurement of linear deformation. Rotary potentiometers are used for
measurement of rotational deformation and where linear deformation can readily be converted to
rotational deformation.
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Slope Stability
Variable Reluctance Transducers (VRT) are used in electrical crack gages and fixed embankments
extensometers to measure linear deformation. Vibrating wire transducers are used in pressure sensors
for piezometers, earth pressure cells and liquid level settlement gages, in numerous deformation gages,
in load cells and directly as surface and embedded strain gages.
Force Balance Accelerometer is used as tilt sensors in tilt meters, inclinometers and in-place
inclinometers. Similarly, magnet switch system is used in probe extensometers. Table 5.1 below
illustrates general instrumentation types and their purpose of measurements.
Table 5.1: Instrument Types and Measurements
Measurements
Instruments
1.
Piezometers
Pore water pressure and joint water pressure
2.
Earth pressure cells, Soil stress cell and Soil pressure cells
Total stress in soil
3.
Borehole pressure cell, Biaxial and Triaxial strain cells,
Stress change in rock
Stress meters
4.
Surveying methods, Extensometers, Inclinometers,
Deformation
Transverse deformation gages

5.
Load cells and strain gages
Load and strain in structural members
6.
Thermometer,Thermister, Thermocouple
Temperature
7. Invar-wire extensometers, Borehole extensometer
displacement
reading, multipoint borehole extensometer
Invar-wire extensometer as depicted in Figure 5.10 (a) & (b) [see Plate 4] is used for measuring the
gross instability of benches. Multipoint borehole extensometer is used for measuring the displacement
in strata during steepening process. The purpose of installation of extensometers is that it functions as a
guide in respect of deducting the slope movements in advance of both steepening and providing cautions
regarding the rock mass disturbances. Vibrating wire piezometers installed records the water level
fluctuations in the strata. Similarly, multipoint borehole extensometers can be used for monitoring pit
slopes as shown in Figure 5.11 (see Plate 5). Multipoint piezometers are used in boreholes for measuring
water pressure and water level fluctuations as shown in Figure 5.12 (see Plate 5).
Borehole extensometer is used for monitoring the extent of movement inside the roof at different
horizons. The instrument consists of spring anchors suitable for 43 mm diameter holes, steel wires and
a reference collar. The anchors are made of spring steel and are fixed inside the borehole at desired
depths. Stainless steel wire of 1 to 2 mm diameter is attached to each of the anchors. The free end of the
steel wire is passed through a brass grip (button and screw arrangement), having identification
numbers of the specific anchor . The collar station is a steel pipe provided with two screws or a male
threading to facilitate the attachment of a portable readout unit. The steel wires from the individual
anchors pass through the collar station and hang freely out of the borehole. The readout unit consists
of a micrometer head and a dial gauge that serve both as tensioning and measuring device with
accuracy close to 0.01 mm.
The displacement of the rock mass is regularly monitored by measuring the movement of the
collar station with respect to each anchor. The instrument can have up to five anchors in a hole, and to
a depth of 5 m and beyond. In case of bolted roof (ball length up to 1.8 m), the anchors could be
installed in the roofone within the bolted horizon and the second beyond the bolted horizon.
69
5.6.2 Site Selection

The instrument should be well-defined before taking up choice and type of instrumentation prior to
installation at the site. The selection of instrument locations in the site should reflect predicted behaviour
and be compatible with the method of analysis that will later be used when interpreting the data.
Finite Element Analysis ( EEA) is often used in identifying critical locations preferred instrument
orientations and support measures. A practical approach for selecting instrument location involves the
following considerations.
When selecting locations for monitoring, survivability of instruments should be considered and
additional quantities should be selected to replace instruments that may become inoperative. Such
locations should be selected so that data can be obtained as early as possible. There are several
instruments available in the market but their selection is solely based on the type of data acquisition for
which it is intended.
5.6.3 Geotechnical Instrumentation
During the slope steepening process, geo-technical instrumentation forms an integral part of the monitoring
activity, which is essential for observing the behaviour of strata conditions. The slope-monitoring
programme includes the following instrumentation.
a)
Installation of multipoint borehole extensometer at different locations, in order to measure

displacement in the strata during slope steepening process.
b) Installation of invar-wire extensometer/rock spy at related locations of the benches in order

to measure the gross instability of the benches. The purpose of the installation of extensometers is
to broadly guide the slope movements in advance of bench steepening and enable to forewarn
the rock mass disturbance.
c)
Multipoint borehole extensometers may be installed at selected locations to measure the

relative displacement of the strata. For this purpose boreholes will be drilled and the anchors
will be grouted at different depths. The relative movement of anchors is recorded with reference
to standard reference point using LVDT and read-out unit.
The multipoint borehole extensometer consists of:

a)
Head assembly used as reference point.
b) Standpipe to guide the extension rods.

c)
Extension rods made of special alloy steel (8 mm).
d) Protective PVC rods for protection/isolation and free movement of extension rods.
e)
Grouting anchors installed in drill hole in different depths for measuring relative displacement
of strata enable measuring of displacement at three places, i.e., up to 6 m, 9 m and 12 m depths
three grouting anchors are placed within the borehole for the purpose.
f)
Surface grouting pipe and air vent pipe.
70
Slope Stability
5.6.4 Monitoring Schedule

The installation and monitoring of extensometers will be carried out during all stages of slope steepening
work.
a)
Multipoint extensometers in the vertical boreholes drilled up to desired length. The purpose of
these borehole extensometers is to measure the vertical displacement within the benches/strata.
b)
Invar-wire extensometers may be installed at selected locations along the profile of the
benches to measure the horizontal displacements, if any. This instrumentation also provides
information on gross instability of slopes during slope steepening.
c)
Rocks spy may be installed after observing the readings from multipoint borehole/invar-wire
extensometers at a later stage, if required. Figure 5.13 (see Plate 6) indicates the instrumentation
for monitoring of slope stability along the face.
5.6.5 Data Collection Procedures from Instrumentation Sites

The data collection from these instrument will be in the form of standard formats for each type of
instrument. The limit for safe and unsafe conditions can be evolved after fixing the threshold limits
based on field experience and engineering judgment. Apart from data analysis from instrumentation, it
is recommended to have periodic site inspections by the mine personnel to observe any changes in the
benches/strata.
5.7
SLOPE SUPPORT/STABILISATION
Bench support plan can be prepared based on the existing bench condition and geotechnical data
generated. The types of supports were initially identified as
a)
Systematic rock bolting/cable bolting with welded wire mesh
b)
Cement grouting/shotcrete along with rock bolting
c)
Constructional pack wall or buttresses
5.7.1 Mechanically Anchored Rock Bolts

The expansion shell anchored rock bolts of standard or bail type is the most common form of mechanical
support. The expansion shell anchors operate basically in the same manner whether it is standard or
bail type. A wedge attached to the bolt shank is pulled into conical expansion shell as the bolt is rotated.
This forces the shell to expand against and into the wall of the boreholes. Borehole diameter is critical
for installation of expansion shell rock bolts. To install the bolt, it is pushed into the hole until the preset
torque is reached.
5.7.2 Grouted Rock Bolts
The commonly used grouted rebar or threaded bar is made up steel. Cement is used as grouting agent.
The installation procedure is similar to mechanical type. The grout can be placed in the borehole either
by pumping or by using cartridge. When the grout is pumped into the borehole the common practice is
to push the grout tube into the bottom of the hole as tube is retrieved. It is important to ensure that the
tube is in full contact with cement on it is retrieved to prevent the formation of air packets. When the
hole is filled, the bolt is pushed into the hole through grout until it hit the length of hole or full contact
is made between face plates and rock surface.
71
5.7.3 Rock Bolting with Grouting and Welded Wire Mesh

Before drilling, the bench face is to be dressed properly. Drilling should be carried out with the help of
Jack hammer drill (21 mm) across the bench face. The hole should be drilled up to 3 m length. After
drilling the hole either cable (standard wire rope, new or old) or torque steel rods (20 mm diameter) is
inserted gently into the drill hole. Cement grout is then pumped into the hole with the help of grout
pump. After setting of the mouth of the hole, face plate is tightened with the help of bolts. Welded wire
mesh of 4 mm size with an aperture of 50 mm is generally used and the same will have to be tightened
along with the grouted bolts.
5.7.4 Shotcreting
Shotcreting often in combinations with the bolting or anchoring is an effective method for preventing
slaking and ravelling . It can be used for a wide range of strata conditions. It binds together loose blocks
into coherent skin coal & seals each face to prevent wetting or drying. Before shotcreting the slope
should be scaled to remove the loose bricks. There are two types of shotcretes, the dry-mix and
the wet-mix. In dry-mix, water is added at the nozzle. Wet-mix shotcrete, basically contains the
components of dry-mix along with water already added to the mixture. Dry shotcrete is widely
used. The typical mix contains the following percentage of dry components by weightcement
15-20%, Coarse aggregate 30-40%, Fine aggregates 40-50% and Accelerators 2.5%. The water to
cement ratio (by weight) for dry-mix shotcrete lies in the range at 0.3 to 0.5 and can be adjusted as
per site conditions. While applying the shotcretes, the nozzle should be placed as nearly perpendicular
to the rock surface as possible and at a constant distance of about 1 m. Weep holes are drilled to
relieve water pressure and horizontal pipes is installed behind the shotcrete to drain water from
the permeable strata.
5.7.5 Rock Retention System (Pack Wall/Buttress)
Rock wall can be constructed as passive support measures. The construction includes providing proper
foundation from the toe of the bench with the help of good quality concrete and raising the wall up to
1.5 m height. The void in between the benches and the wall should be packed with good quality material,
such as, hard stone or rubble. This will arrest any damage to the concrete pillars up to a height of 1.2 m
at regular intervals. The pillars can be connected with the help of three to four rows of connecting rods
either welded or threaded. In between the bench face and the pillar it can be filled with waste rock or
rubble which can act as a pack wall.
5.7.6 Support Design by Rock Wall
The main objective of the support design is to help the rock mass support itself. Pack wall with cement
is constructed from the toe of the respective boreholes for providing support at weak/fractured/fragile
zones. The construction of proper foundation at the toe of bench using good quality concrete and
raising the wall up to 1.5 m height in stages till the entire bench height is reached is the method
adopted for constructing pack wall. The void between the benches and the wall is packed with
good quality hard stones or rubbles and weep holes are provided for proper drainage during rainy
season in order to stabilise the upper boreholes. Figure 5.14 shows the typical pack wall constructed at
different benches .
72
Slope Stability
657
655
650
645
649.3
Cemented Wall
639.6
640
635
637.7
630
627.41
625
620.9
620
615
(m)
Figure 5.14 : The Typical Pack Wall Constructed at Different Benches
73
Chapter
Numerical Methods in
Rock Excavation & Design
6
6.0
INTRODUCTION TO NUMERICAL METHODS IN ROCK MECHANICS
Several constitutive models have been included in the finite element method to describe different kinds
of rock materials. In certain cases, the displacement models have also been adjusted to simulate the field
conditions. New types of elements have been added to the basic codes to simulate joints and interfaces.
Discrete element methods can also be developed to include non-linear behaviour by introducing piecewise time-outing and the spring differences could be adjusted according to the applied loads.
In the boundary element methods, especially in displacement discontinuity analysis, various types
of seam elements have been incorporated. The stress and strain behaviour of the seam elements can also
be entered in digital fashion. However, the basic formulation still assumes a linear elastic homogeneous
medium in which the rock is situated.
Recent advances in the field of numerical modelling have been the couplings of the different
methods. Programmes which allow coupling enable better modelling of the field problems as they can
consider both the infinite rock mass and the behaviour of the rock surrounding the location without
losing accuracy or increasing the computational effort.
It is important to note that these methods yield qualitative results and trends and have to be
interpreted in conjunction with field observation and instrumentation. The results are useful as guides
and for evaluating options and for initial design in the case of complex problems.
6.1
NUMERICAL MODELLING
The representation of a problem in the form of mathematical equations and the solution of these
equations to yield useful results is a broad definition of numerical modelling. With the advent of highspeed, low cost computers, the scope for the application of numerical modelling methods in engineering
problems has increased thereby allowing it to almost replace empirical methods and thumb rules. The
greater flexibility allowable due to the possible inclusion of a variety of influencing factors in the design
process has made these methods popular. However, in most cases numerical modelling only helps in
qualitative rather than quantitative analysis. This is especially true in the case of soil and rock mechanics
as the geometry material properties and boundary conditions are not precisely known.
Several techniques have been developed for aiding the solution of ill-defined problems, such as,
those encountered in soil and rock mechanics. Though they all have their origins in solid mechanics,
modifications and additions through experience over time have led to the applicability of these
techniques to design problems in mining and civil engineering.
74
Numerical Methods in Rock Excavation & Design
6.1.1 Modelling Techniques

The analysis of stresses around mine openings is essentially a boundary value problem. Various techniques
are available for the solution of these boundary value problems and they can be classed into two types
1. Methods requiring the discretisation of the entire problem region.
2. Methods requiring the discretisation of the boundaries of the problem.
The effectiveness of mathematical modelling in rock mechanics depends on the diligence of the
input data and on the degree to which the formulation is able to reflect the reality. In each of the above
types of methods, the main procedure is as follows:
1. Define the geometry of the problem including all excavation and boundaries (natural and
geological) that are expected to influence the problem.
2. Assign material properties to the different zones.
3. Define boundary conditions for the problem based on field observation/assumptions.
4. Apply the loading condition (either positive loading or excavation loading).
5. Determine the displacements due to the applied loads.
6. Determine the stresses resulting from these displacements.
The choice of continuum or discrete methods depends on many problem-specific factors, but
mainly on the problem scale and fracture system geometry. Fig.6.1 (a-d) illustrates the alternative choices
for different fracture circumstances in rock mechanics problems. Continuum approaches should be
used for rock masses with no fractures or with many fractures, the behaviour of the latter should
be established through equivalent properties established by a homogenisation process (Fig. 6.1a and d).
The continuum approach can be used if only a few fractures are present and no fracture opening and no
complete block detachment is possible (Fig. 6.1b). The discrete approach is most suitable for moderately
fractured rock masses where the number of fractures are too large for continuum-with-fracture-elements
approach, or where large-scale displacements of individual blocks are possible (Figure 6.1c).
a) Continuum Method
b) Either Continuum with Fracture Elements or Discrete Methods
Persistent
Discontinuities
CONTINUUM
CONTINUUM
Sets of Discontinuities
Sets of Discontinuities
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
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12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
12345678901234567890123456789012
c) Discrete Method
d) Continuum Method with Equivalent Properties
Figure 6.1: Suitability of Different Methods for Excavation in a Rock Mass

75
Modelling fractured rocks demands high performance numerical methods and computer codes,
especially regarding fracture representations, material heterogeneity and non-linearity, coupling with
fluid flow and heat transfer and scale effects. It is often unnecessarily restrictive to use only one method,
even less one code, to provide adequate representations for the most significant features and processes
hybrid models or multiple process codes are often used in combination in practice.
There are no absolute advantages of one method over another. However, some of the disadvantages
inherent in one type can be avoided by combined continuum discrete models, termed hybrid models.
In 1984, Lorig and Brady presented an early computational scheme in which the far-field rock is
modelled as a transversely isotropic continuum using the BEM and the near-field rock as a set of
discrete element blocks defined by rock fractures. This type of hybrid BED-DEM is shown in Figure
6.2. The complex rock mass behaviour caused by fractures and matrix, non-linearity in the near field of
the excavation can be efficiently handled by the DEM or FEM, surrounded by a BEM representation of
the far-field region with linear material behaviour without fractures.
CONTINUUM FOR THE FAR-FIELD
Discontinuum
for the Near Field
EXCAVATION
Boundary Elements
on the Outer Boundary
Boundary Elements
on the Interface
Figure 6.2: Hybrid Model for a Rock Mass Containing an Excavation Using the DEM for the Near-field
Region Close to the Excavation and the BEM for the Far-field Region
6.2
FINITE ELEMENT METHODS (FEM)
Finite element method is a tool for engineering analysis and offers a scope for application to a wide
range of problems related to mining, mechanical, civil and other engineering disciplines. This method
is now adopted in solving problems where complex structures, fluid dynamics, mine and tunnel structures
and similar problems are to be addressed. Its application in mining engineering is now wide spread
comprising of rock-support interaction, rock/dump slope stability analysis, tunnel and mine stability,
drill bit with rock interaction, ventilation and others.
The basic concept in this approach is that a body or structure can be divided into a finite number
of smaller units of finite dimensions called elements. The original body or structure is then considered
as an assemblage of these elements connected at finite number of joints called nodes or nodal points.
The properties of these elements are formulated and combined to obtain the solution for the entire
body or structure.
For structural analysis problems, the equations of equilibrium for the entire structure or body are
obtained by combining the equilibrium equations of each element such that the continuity of the
displacement is ensured at each node where the elements are connected. The necessary boundary
76
conditions are then imposed and the equations of equilibrium are solved for the nodal displacement.
Using these values of displacements at the nodes of each element, the strains and stresses are evaluated
for each element using their properties.
Figures 6.3 and 6.4 ( See Plate 7) show the division of two-dimensional meshed models, in which
the modelled areas are divided into small triangular areas. This triangular area is called the element.
The type of these elements varies depending upon the complexities of the problem, shape of the model
area and solution requirements. In these figures the area is divided by 6-noded triangular element, which is
mathematically stable and provides accurate results than other elements.
The finite element analysis has developed as an important and popular numerical method for
engineering analysis and has undergone several modifications to suit the needs of the industries. It is
applicable to a wide range of boundary value problems in engineering.
The following six steps summarise the finite element analysis procedure:
1. Discretisation of the Continuum
The continuum is the physical body, structure, or solid that is taken for analysis. Discretisation is the
process in which the given body is subdivided into an equivalent system of finite elements. The finite
elements may be triangles or quadrilaterals for a two-dimensional continuum, or tetrahedral,
rectangular prisms or hexahedra in three-dimensional analysis. Although some efforts have been made
to automate the process of subdivision, it is essentially a judgmental process to decide what number,
size and arrangement of finite elements will give an effective representation of the given continuum.
2. Selection of Displacement Models
The assumed displacement functions or models represent only approximately the actual or exact
distribution of the displacements. This is a basic approximation in the finite element method. The
simplest displacement models are linear polynomials.
3. Derivation of the Element
Element Stiffness Matrix
The stiffness matrix consists of the coefficients of the equilibrium equations derived from the
material and geometric properties of an element and obtained by the use of the principle of
minimum potential energy. The stiffness relates the displacements at the nodal points to the
applied nodal forces. The distributed forces applied to the structure are converted into equivalent
concentrated forces at the node points. The equilibrium relation between the stiffness matrix (k),
the nodal displacement vector (q) and the nodal force vector (Q) is expressed as a set of simultaneous
linear algebraic equations.
(k) (q) = (Q)
The stiffness of a structure is an influence coefficient that gives the force at one point of the
structure associated with a unit displacement of the same or a different point. The element of the
stiffness matrix is called influence coefficients.
4. Assembly of the Algebraic Equations
The process includes the assembly of the overall or global stiffness matrix for the entire body from
the individual element nodal force vectors by the direct stiffness method.
5. Solutions for the Unknown Displacement
The algebraic equations assembled in Step 4 are solved for the known displacements. In linear
equilibrium problems, this is a relatively straightforward application of matrix algebra techniques.
However, for nonlinear problems, the desired solutions are obtained by a sequence of steps, each
step involving the modification of the stiffness matrix and/or load vector.
77
6. Computation of the Element Stress

Stress and Strains
In certain cases the magnitudes of the primary unknowns, that is, the nodal displacements will be
all that are required for an engineering solution. More often, however, other quantities derived
from the primary unknowns, such as, strains and/or stresses, must be computed.
6.3
DISCRETE ELEMENT METHODS (DEM)
The discrete element methods allow finite displacements and rotations of discrete bodies, including
complete detachment, and recognise new contacts between discontinuous objects (such as, rock blocks)
automatically the calculation progresses. Of the various methods under this class, the distinct element
method has been widely used in the analysis of jointed rocks.
The distinct element method is similar to the finite element method where the region of interest
is divided into a system of solid elements. The method provides the capability of modelling jointed
rock behaviour. This method is a relatively new technique that extends analysis capability beyond the
finite element method. It is a computational technique developed specifically to model jointed rock
mass behaviour. Originally it was developed to model jointed rock behaviour under low-stress
situations where displacements due to joint movement far exceeded those of the intact rock. The method
has now been extended to include highly deformable elements, with improved element-to-element
contact laws and new contact detection logic. Also introduced were pore pressure effects and the
ability of elements to break into two or more separate elements under certain combinations of contact
loads and internal stresses.
The DEM is an explicit (time-marching) code that models an assembly of distinct elements of
arbitrary shape. It employs a book-keeping scheme to store in memory movements and deformations of
each element in an efficient manner and allows any element to interact with any other element in an
arbitrary way. Elements may develop or break contact with other elements in any time step. This
capability offers tremendous potential for simulating such failure modes as progressive vertical crack
propagation associated with cutter roof failure, blocky roof failure, floor heave problems, caving behind
a long wall face and subsidence.
The algorithm is based on a force displacement law and a law specifying the motion of each block
due to unbalanced forces acting on it. In determining the forces mobilised by contact between blocks, a
notional overlap, n, is assumed to develop at block boundaries. In the present formulation, the normal
force, Fn is computed using a linear force displacement law.
Fn = Kn n, where Kn is the joint normal stiffness
The shear contact force depends on the deformation path to which the contact has been
subjected. For an increment of shear displacement s, the increment of shear force is given by
Fs = Ks s, where Ks is the joint shear stiffness
Plastic shear failure or slip occurs when
(Fs) > Fn, where is the coefficient of friction
Shear and normal forces between the two blocks are set to zero when tension would occur.
The motion of an individual block is determined by the magnitude and direction of the resultant
out-of-balance forces acting on each block. Numerical integration of the Newtons Second Law of Motion is
used to determine the translation of the block centroid and the rotation of the block about the centroid.
78
Due to the explicit nature of the formulation, more complex constitutive joint behaviour can be
simulated with little increase in the computational effort. The DEM is suited to model reinforced rock
openings and to calculate their behaviour as the face is excavated. Rock bolts can be readily incorporated
in the analysis. Progressive failure due to face advance and bolt reinforcement can be added as the
excavation develops.
6.3.1 Boundary Discretisation Methods
In the above methods it has been seen that the whole region of the problem needs to be discretised. For
the large problems encountered in rock mechanics, the computational effort required to obtain useful
solutions will be very large. Boundary discretisation methods, which require less computation albeit
with simplifying assumptions of a linear isotropic, homogenous and continuous elastic medium, have
thus become quite popular for the solution of problems in rock and soil mechanics.
6.3.2 Boundary Element Method (BEM)
The boundary element method requires that only the boundary is discretised into elements. This method
significantly reduces the programme input required compared with that for a finite element model of a
similar problem. Thus the system of equations to be solved is much smaller.
6.4
APPLICATION OF NUMERICAL METHODS IN ROCK MECHANICS
There is no ideal numerical model for mining applications. The basic inputs and outputs from a numerical
modelling procedure and their applications to rock mechanics are discussed below.
1. Numerical Models
A numerical model for mining application must accommodate the following:
three dimensions
failure of both plastic and time dependent nature
any excavation shape
structural discontinuities
a variety of material types
multiple excavation stages
The preparation of the input data and interpretation of outputs thus play a major role in the use
of numerical methods in mining applications. Finite element formulations are generally more cumbersome
and difficult to prepare and analyse. Boundary element methods are more popular due to ease of
preparation of model. Discrete element methods are limited applications. Mixed formulations may
provide a method to link up the various methods increasing the application of numerical methods to
practical mine design.
Input data
The basic input data required by numerical modelling programme are
The elastic properties of the rock mass
The initial in situ stress state
Rock mass strength properties
Excavation shape
The requisite boundary conditions
The location of points in the rock mass where it is necessary to evaluate the stresses and displacements
Different programmes accept the above data in different format.
79
Elastic Properties of the Rock Mass

The programmes needs the values of the modulus of elasticity and the Poissons ratio. In case of the
non-linear elastic modelling problems, incremental values of the modulus of elasticity are required.
These material properties will be required for all litho units. However, if the difference in the
properties is small or width of the litho unit negligible in comparison to a major litho unit, weighted
average value can be assumed to reduce the number of material types. In the case of boundary
element method, the rock medium is in any case assumed to be linear and elastic. In case the rock
behaviour is time-dependent in nature, this must also be included in the equations that model the rock.
2. In situ State of Stress
In most cases, this information has not been determined in the field and simplified assumptions
are used regarding the magnitude and direction of the in-situ stresses. The vertical stress and the
horizontal stresses are assumed to be directly proportional to the depth below the surface.
3. Rock Mass Strength and Failure Criteria
Intact rock strengths are easily determined in the laboratory. The use of these values in modelling
may lead to erroneous results, as the rock mass strengths may be considerably lower due to the
presence of structural features, such as, joints, shears and faults. Rock mass strength is determined
through large-scale field-testing, field evaluation or the application of the correction factors based on
rock characterisation to the intact rock strength. Discrete element method requires information about
the nature and orientation of joints, shears and faults for development of moving wedges.
The failure criteria define the relationship between the normal stress and the shear stress at
failure. In many of the numerical methods, the rock can be defined as a no tension material and is
assumed to have failed if the element is under tension. In case of shear failure, the modulus of the
rock may change. The failure criterion is of importance in those methods where the evaluation is
incremental and the model behaviour is affected in the next iteration due to the failure of some
elements. In other cases, the model will show the nature of failure expected at critical location.
4. Excavation Shapes
Mine excavations are irregular in shape. For the purpose of modelling, the general shape of the
excavation rather than the minor detail is of significance. Simplifying the assumptions about the
shape can result in an easier and faster computation.
5. Boundary Conditions
As numerical modelling is essentially the solution of a boundary value problem, the selection of
the requisite boundary conditions is an important part of the modelling process. Boundary conditions
can be either stresses or displacements or both. It can be assumed that there will be no effect of the
excavation on the displacements at a distance of three times the largest dimension of excavation.
However, it is better to run several models including structural features and mine excavations at
various distances to determine whether they have any influence on the displacements and stresses
in the region of interest.
6. Location of the Field Points
The formulation should yield results, which are relevant to the problem being modelled and at
points, which can be verified through field observations/measurements. The simplest measurement in
the field is the measurement closure of the excavations and this can be easily related to the output
from numerical modelling.
80
6.5
OUTPUT DATA
The output information is in the form of stresses and displacements at various points in the problem
regime as desired by the user. This information is used initially to determine the validity of the model
by crosschecking the results with field observations and instrumentation readings. The parameters of
the model can be adjusted in such a way that the field observations are reflected in the model.
6.5.1 Sensitivity of the Model
The numerical modelling methods are useful mostly for qualitative analysis of field problems and
attempts to relate the results to numerical values of strengths and instrument readings can be misleading.
The purpose of such techniques is not to replace engineering judgment but to assist it in the evaluation
of several options in the face of various influencing parameters. It is especially true as the input data
used for the analysis are but idealisations of the actual field conditions.
6.5.2 Software for Numerical Modelling
Some of the numerical models for rock mechanics have been packaged and are commercially available to
design-planning engineers. This software is mostly user-friendly and have preprocessor to make the preparation
of input data easy. Powerful graphics post processor is used to display the results in a useful fashion.
1. BESOL Suite of Programmes
It is developed by M/s Geologic Research Inc., USA. BESOL is a versatile, easy-to-use system of computer
programmes for solving rock mechanics problems in mining & geotechnical engineering. They are
available in 2D and pseudo-3D suites and are based on the fictitious stress method and the displacement
discontinuity methods developed by Dr SL Crouch and AM Starfield. They are available with powerful pre- and post-processors and can run on desktop computers.
2. UDEC and 3DEC
These are design-and-analysis numerical programmes that enable studying the behaviour of jointed rock
mass. Both are based on the distinct element method developed by Dr Peter Cundall and are available
through M/s Itasca Consulting Group Inc., USA. They allow the far-field rock to be modelled with
boundary elements and can model transient heat flow and thermally induced stress as well. The
programmes are user-friendly and have powerful graphics post-processors and can be run on desktop computers.
3. FLAC
This is a powerful microcomputer programme that enable modelling of soil and rock behaviour. The
programme is based on the finite difference method and can handle large distortion and non-linear
materials. A large number of constitutive models are also available for modelling the rock behaviour. It
is available through M/s Itasca Consulting Group Inc., USA.
4. BMINES
Programme BMINES is a static, two- and three-dimensional finite element computer programme used
for the analysis of structural and geological systems. It is designed specifically for application to mining
problems involving the simulation of excavation and construction sequences. The programme has both
linear and nonlinear analysis capability. It also incorporates joint elements as well as rock bolt elements
and it allows for prestressing of the structure prior to excavation. The programme also has mesh-generating
facility. It is available from the US Bureau of Mines and can be run on Unix-based systems.
81
5. ADINA
The programme ADINA (Automatic Dynamic Incremental Non-linear Analysis) is a general purpose
finite element programme used for static and dynamic displacement and stress analysis of structures
with solids as well as fluids. It can perform linear and non-linear analysis in two and three dimensions.
It has pre- and post-processing graphics facilities and is compatible with most mainframes and some
mini-computers. It is available from the US Bureau of Mines.
6. NFOLD
The NFOLD programmes are displacement, discontinuity-based stress analysis programmes with
extensive pre- and post-processing graphics facilities. The NFOLD suite has been developed from the basic
algorithm of Dr SL Crouch with important modifications to include scaling and off-seam solutions. The
programme is available from M/s Golder Associates (UK) Ltd, UK.
6.5.3 Determination of Optimal Orientation of Underground Mine Openings and
Devising a Suitable Support System through Numerical Modelling
Software to be Utilised
The mine workings could be simulated by UDEC (Universal Distinct Element Code) developed by
ITASCA, USA, UDEC is a two-dimensional numerical programme based on the distinct element method
for discontinuum modelling. This software simulates the response of discontinuous media (such as, a
jointed rock mass) subjected to either static or dynamic loading. The discontinuous medium is represented
as an assemblage of discrete blocks. The discontinuities are treated as boundary conditions between
blocks and large displacements along discontinuities and rotations of blocks are allowed. Individual
blocks behave as either rigid or deformable material. Deformable blocks are subdivided into a mesh of
finitely different elements, and each element responds according to a prescribed linear or non-linear
stress-strain law. Linear or non-linear force-displacement relations for movement in both the normal
and shear directions also govern the relative motion of the discontinuities. UDEC has several built-in
material behaviour models, for both the intact blocks and the discontinuities, which permit the simulation
of response representative of discontinuous geologic, or similar materials.
UDEC is based on a Lagrangian calculation scheme that is well-suited to model the large movements
and deformations of a blocky system.
Input Parameters
The boundary conditions for modelling will be based on the measured in situ stresses of the particular deposit. The
physical properties of coal and coal-measure rocks, viz., density, bulk modulus, shear modulus, cohesion &
friction angle, tensile strength & compressive strength and joint properties will be taken into account.
Modus Operandi & Expected Results
Utilising the powerful software UDEC, the optimum direction of maximum principal stress can be
decided. The choice of the optimal direction will be based on the minimum impact of adverse conditions,
viz., stress around the opening & closure of the openings. The measurement of in situ stresses is not
sufficient for design of an underground excavation. The effect of geological discontinuities (faults,
dykes) creates perturbation in the stress. The optional direction of the excavation near the geological
discontinuity may be different to the orientation of excavation in region far away from the discontinuity.
Hence modelling will also be taken to analyse the effect of the geological discontinuities in the seam.
Support systems will be designed to minimise the closure of the underground openings.
82
6.5.4 Computer Modelling and Software for Blast Design

Computer modelling of rock blasting continues to be an active research area. It holds the promise of
predicting the results of a blast before it occurs, thus allowing blast to be simulated first on a computer
before an expensive blast is attempted. The object of computer blast modelling is to apply the principles
of physics and mechanics to a model geometry that represents the real geometry to be blasted. The
application of mechanics makes the model dependent on measurable material properties. The models
are developed with frequent comparison of computer simulations and field data. Some of the models are
listed in Table 6.1. Use of these models on many real problems has shown many strengths and weaknesses.
Table 6.1: Computer Programmes for Blast Design and Analysis
Developed by
Programmes
3x3o PRO
JKMRC, Australia ( Cameron et at. 1991)
SABREX
ICI Explosives Group ( Kirby et al. 1987)
BLASPA
Favreau ( 1980)
DMC
Sandia National Laboratory, USA (Taylor and Precce, 1989)
SOROBLAST
Lulea University, Sweden ( Kou and Rustan, 1983)
DYNOVIEW & BLASTEC
Dyno Nobel, Inc. ( Hopler, 1994)
Among these computer models, SABREX has been used in India ( Bhushan and Srihari, 1990).
This model requires rock properties, such as, density, compressive strength, tensile strength, Youngs
modulus, Poissons Ratio, P- and S-wave velocities, crack attenuation factor and rock quality factor.
Blast geometry is defined by blasthole diameter, bench height, hole depth, burden, spacing, drilling
pattern and delay hook up. Explosive properties are calculated by a companion program called CPEX, a
non-ideal detonation code. Given the chemical composition of the explosive, its density and detonation
velocity at three different charge diameters, CPEX calculate explosives performance at any diameter
and confinement. The essential properties of explosives used are density, detonation velocity, detonation
pressure, explosion pressure, shock energy and three coefficients of pressure-volume curve. CPEX
creates a file on calculated explosive, which can be directly assessed by SABREX.
A reference blast is first defined and all comparisons are made with respect to the blast. The cost is
calculated on the basis of input geometry, unit cost of explosives, accessories and drilling. Two types of
fragmentation calculations are carried out by SABREXabsolute and relative. Absolute fragmentation
is in terms of size distribution of broken rock. Fragmentation at the toe level, along the charge column
and in the stemming region is given in relative terms.
For relative comparison, a value of 100 is given for the reference blast. Any changes in fragmentation
due to changes in geometry or charges are then calculated as relative number compared to the reference
blast. A value less than 100 indicate poor breakage, and more than 100 means improved fragmentation.
Similar to fragmentation, throw is calculated in absolute and relative terms. For absolute
prediction of throw, it requires additional inputs like angle of repose of the broken rock, number of
rows blasted and delay between the rows. Given these inputs, velocity of rock movement is calculated.
Fly rock prediction is only in relative terms. If the measured fragmentation and velocity of rock movement
is available, the model can be calibrated and used as a tool for blast optimisation. The predicted results
are displayed in colour graphs and in tables. Due to complexity of rock structure, difficulty in collecting
data and a lack of understanding of the dynamic response of rock to the explosive loading, any predictions
made by the model should be treated as guideline instead of an accurate prediction.
83
6.5.5 Blasting and Ground Vibration Study

When an explosive is detonated in the blasthole, it vibrates ground/ soil, particles with certain velocity
and impart it into an acceleration. The most widely accepted measurement of ground vibration is peak
particle velocity ( ppv). The peak particle velocity is defined as the speed at which a particle of ground/
soil vibrates as the wave passes through a particular section.
Blast vibration study can be carried out with a view to establish the site specific propagation
equation to know the maximum charge/delay in a round of blast to contain the vibrations within the
permissible limits for known distances. Number of rounds of blast can be arranged . The vibrations can
be measured at different structures, such as, temple, residential hutments, school, locosheds, explosives
magazines etc. The distance from the place of blast can be measured. Explosive charge per round,
diameter & depth of drill hole, type of explosives , number of detonators can be recorded. The site
specific propagation equation is as below.
V=
( )
D
0.5
where,
ground vibration (mm/s)
Distance from blasting site (m)
Quantity of explosive (kg) fired instantaneously
, =
constants determined based on data analysed
Ground vibration in terms of peak particle velocity for the structures in good condition and structures
with visible damage should not exceed 10 mm/s and 5 mm/s. Accordingly, quantity of the explosive
should be fired using above equation.
Such kind of study can also be utilised for calculating the percentage of fines produced during the
blasting. Fragmented rock mass of each blast can be analysed using a screen of various mesh sizes.
With different blasting parameters, quantity of the explosives to be used can be determined for desired
fragmentation of the rock mass. Noise or air pressure can also be controlled using above pressure.
As per Director General of Mines Safety (DGMS), Indias Technical Circular No.7 of 1997, the
recommended permissible peak particle velocity (ppv) at the foundation level of structures in mining
areas in mm/s is given in Table 6.2.
Table 6.2: Permissible Peak Particle Velocity (ppv) at the Foundation Level of Structures in Mining Areas in mm/s
No.
Dominant Excitation Frequency Hz

<8
825
> 25 Hz
Type of Structure
(A)
Building/Structures not belong to the owner
(i)
Domestic houses/structures (Kuchha, brick and cement)
(ii)
Industrial buildings (RCC and framed structures)
(iii)
Objects of historical importance and sensitive structures
(B)
Buildings belonging to owner with limited span of life
(i)
(ii)
10
15
10
20
25
10
Domestic houses/structures (Kuchha, brick and cement)
10
15
25
Industrial buildings (RCC and framed structures)
15
25
50
84
Chapter
7
7.0
Rock Mechanics Applications

in Underground Mines
INTRODUCTION
One of the most important decisions facing a mine planner is the selection of a suitable mining
method. Often the decision is made without a thorough knowledge of the ground conditions.
Ignoring facts regarding ground conditions before endeavouring into any mining activity could
lead to adverse situations.
It is a must that ground conditions be of requisite standards before undertaking open stoping or
minimum support methods, such as, shrinkage stoping. On the other hand, poor quality ground is a
necessity for block caving. The application of sublevel caving usually requires competent ore and
incompetent easily caved host rock. The consequences of implementing block caving in competent,
high strength rock with little or no fracturing are extremely coarse fragmentation, excessive drawpoint
wear, high secondary blasting costs and, in general, unacceptable production costs. Conversely, the
consequences of attempting sublevel caving of weak, highly fractured ground are poor brow control,
ore loss, excess dilution, unnecessary blasting and, again, unacceptable production costs.
The choice of an underground mining method must be tailored to the ground conditions if the
mining operation is to be successful. The emphasis should be put upon objectively assessing suitable
mining methods and choosing the method most compatible with ground conditions.
7.1
BLOCK CAVING
Block caving is historically one of the lowest cost bulk underground mining methods. It is because
of this, a detailed rock mechanics assessment of the ore body must be completed to determine its
suitability.
The principal considerations in determining whether or not an ore body is suitable for block
caving arelocal geology, rock strength, hydrology, pre mine rock stress, ore body geometry and
characteristics of the capping rock.
Depending upon the project scope and time constraints, a qualified mine engineer should be
involved in order to gather and interpret the data used in making the final decision regarding the
cavability of an ore body. Mine planning efforts for block caving projects should involve
engineers with practical experience in the parameters that are under consideration for each particular
project. Extensive experience in evaluating cut-off grades and ore reserves for potential block
caving deposits along with level placement, type of caving most applicable, (i.e., gravity draw,
slusher extraction or loader extraction) equipment, manpower, and cost estimation is required
(refer Figure 7.1Plate 8)
85
7.2
BLASTHOLE (SUBLEVEL) STOPING
This stoping method, along with its variations of sublevel stoping, vertical crater retreat (VCR) or end
slicing, is especially suitable for ore bodies with the following characteristics:
a) The rock in the ore bodies and in the host ground is reasonably competent.
b) The ore zones have relatively large horizontal and vertical dimensions.
c) The number and size of barren or waste zones within the ore body is minimal.
When conditions are favourable for blasthole stoping, this method will produce reasonably low
mining costs because it can be highly mechanised and result in good productivity per employee.
Large diameter blastholes combined with modern diesel-powered load hauldump (LHD) equipment
can usually be used to good advantage when this stoping method is employed. However, close
supervision is required and an effective preventative maintenance programme must be enforced (refer
Figure 7.2Plate 8).
7.3
SHRINKAGE STOPING
Shrinkage stoping is the preferred method for mining steeply dipping relatively narrow vein deposits
that have competent rock for the hanging wall and footwall. This method does, however, require that
60 to 70 percent of the broken ore be left in the stope until mining of the stope is completed, since the
broken ore pile serves as the work platform for the miners. Consequently, the total revenue from the
broken ore is delayed until sometime after each stope is completed. Also, ores that are susceptible to
rapid oxidation upon exposure to air are generally not considered for shrinkage stoping.
Drilling and blasting is difficult to mechanise in shrinkage stopes because of the inherently
uneven floors and generally limited working space. Drawing of the broken ore from the stopes can be
mechanised using slushers or LHD equipment loading from drawpoints, or it may be done conventionally
with chute loading of train cars or mine trucks. In general, shrinkage stoping is labor intensive and its
use is limited to relatively small producers of higher grade ores (refer Figure 7.3Plate 9).
7.4
CUT AND FILL STOPING
Cut and fill stoping (refer Figure 7.4Plate 9) is an extremely versatile mining method that can be
applied to both flat dipping and steeply dipping deposits under almost all types of ground conditions. It
permits the mining of erratically-shaped ore bodies with a minimum of dilution, and a high degree of
selectivity. Where ground conditions are reasonably good, an overhand extraction system is employed
in which slices of ore are removed from a stope by starting at the bottom and advancing upward.
Backfill is placed in the stope upon completion of each slice and serves as a working floor for extracting
the succeeding slice. Where ground conditions are extremely poor in the ore body, an underhand
extraction system is used in which work advances from the top of the orebody to bottom. In this case
cement is added to the backfill material to stabilise it and provide a safe roof to work under.
Cut and fill stopes can often be highly mechanised so that employee productivity is good, but ore
production from each stope must be periodically interrupted to allow for placement of backfill materials.
A sufficient number of stopes must be made available so that mine production does not suffer because
of the backfilling operations. The backfill material usually consists of deslimed concentrator tailings,
and may be augmented by waste muck from mine development or by surface sand and gravel. Cement
is commonly added to the backfill material to help stabilise it, either to provide a sound working floor
86
Rock Mechanics Applications in Underground Mines
or to make a safe roof for underhand stoping. Hydraulic placement of the fill is the most common
practice, with the material prepared in a surface plant and transported underground through pipelines.
7.5
OPEN STOPING
Open stoping is a mining method for extracting small, erratic ore deposits encountered as veins, sills or
mantos in relatively competent rock. The method does not require a large investment in expensive
mining equipment and can be used to effectively follow ore shoots on a blast round to blast round
basis. In flat lying ore zones, the footwall of the deposit is used as a working floor, while in steeply
dipping deposits timber staging is commonly used to work from or pillars of low-grade material may be
advantageously used as a working base.
Transport of the broken rock down to the haulage level may be by gravity alone, or by utilising
slushers where the dip of the ore zones is too flat to permit 100 percent gravity movement of the
blasted ore. Open stoping of small deposits permits high selectivity of the material to be mined, but
daily production is generally very limited at mines employing it as the principal method of extraction.
It is commonly used as a scavenging method for recovering ore that might otherwise be lost at larger
mines where the principal production methods are based on blasthole or shrinkage stoping systems. It
is a mining system commonly employed at smaller precious metal mines where ground conditions are
good, and the orebody consists of small ore shoots. It is especially prevalent in many lesser developed
nations where mining regulations are less stringent, labour costs lower and mining equipment is relatively
high priced.
7.5.1 Sublevel Caving
Sublevel caving can be applied to those large ore deposits in which the ore itself is relatively strong, but
the host rock is weak enough to cave when the ore is removed. The geometry of the ore deposit
influences the selection of this stoping method. A steeply dipping deposit is more satisfactory for its
application than a relatively flat deposit, unless the latter has considerable thickness. Sublevel caving
can often be used to extract ore bodies whose limited size or rock competency precludes extraction by
the block caving system, and is flexible enough to be applied to irregular ore bodies of varying widths.
The principal disadvantages of sublevel caving is the resulting high dilution of the ore caused by
caving of waste material from the walls and the relatively high development cost to bring the mine into
production. Since sublevel caving induces failure of the wall rock and overburden, surface subsidence
results in locating all permanent structures outside of the area of influence.
Sublevel caving mines lend themselves to mechanisation and mining activities can be specialised
with training imparted to underground personnel. Mining activities on each level are similar, i.e.,
development of the levels, production drilling on the intermediate levels and production blasting with
ore extraction on the upper levels. Consequently, the supervision of the activities also gets simplified as
interference between the activities gets minimised (refer Figure 7.5Plate 10).
7.5.2 Room and Pillar Stoping
Tabular, flat dipping ore deposits in competent rock are usually mined by room and pillar stoping
methods. If the ore zone is continuous over long distances, a regular pattern of support pillars can be
laid out to yield maximum recovery of the ore and at the same time provide sufficient support for the
hanging wall or roof. If the ore zones are erratic, random support pillars can be left in areas of waste or
low-grade material. The principal advantage of room and pillar stoping is that it is readily adaptable to
87
mechanised mining equipment, which results in high productivity at relatively low cost per ton of
material extracted. For large ore bodies, a large number of working places can be easily developed so
that high daily rates of production can be counted upon. Most of the mine development work is in ore
so waste extraction is kept to a minimum. The main disadvantage of room and pillar mining is that a
large area of roof is continuously exposed where work activities or movement of men and supplies are
carried out. Consequently, roof soundness is a primary concern for the safety of personnel and ground
support is generally a major concern, especially in rooms with high backs. Also, recirculation of
ventilating air can be difficult to minimise in room and pillar mines (refer Figure 7.6Plate 10).
7.6
MISCELLANEOUS STOPING METHODS
Three stoping systems that were commonly used in the past, but because of their labour intensive
characteristics are no longer favoured are the square set, top slicing and resuing methods. The square set
and top slicing methods are used in extremely poor ground where other extraction methods are not
practical. Both methods require large amounts of timber and an experienced work force to be successfully
implemented. Because of the large amount of timber used, both methods present a definite fire hazard
for the entire mine. The characteristics of top slicing and square setting preclude mechanisation of their
operations, so their application is limited to very high-grade ore bodies. Resuing is a method of stoping
in which the ore is broken and removed first followed by the blasting of the waste or vice versa. Usually
the material which breaks easier is blasted first. The broken waste is left in the stope as filling and a
plank floor laid on the fill to prevent mixing of ore and waste. Resuing is applicable where the ore is not
frozen to the stope walls and works best if there is a considerable difference between the hardness of
the ore and the wall rocks. The method is labour intensive and is rarely practiced anymore, except in
very high-grade, narrow vein, gold and silver deposits.
7.6.1 In situ and Induced Stresses
Rock at depth is subjected to stresses resulting from the weight of the overlying strata and from
locked-in stresses of tectonic origin. When an opening is excavated in this rock, the stress field is
locally disrupted and a new set of stresses are induced in the rock surrounding the opening. Knowledge
of the magnitudes and directions of these in situ and induced stresses is an essential component of
underground excavation design since, in many cases, when the strength of the rock is exceeded, the
resulting instability have serious consequences on the behaviour of the excavations. This Chapter deals
with the question of in situ stresses and also with the stress changes that are induced when tunnels or
caverns are excavated in stressed rock. Problems, associated with failure of the rock around underground
openings and with the design of support for these openings, will be dealt with in later chapters. The
presentation, which follows, is intended to cover only those topics which are essential for the reader to
know about when dealing with the analysis of stress induced instability and the design of support to
stabilise the rock under these conditions.
In situ Stresses
Consider an element of rock at a depth of 1,000 m below the surface. The weight of the vertical column
of rock resting on this element is the product of the depth and the unit weight of the overlying rock
mass (typically about 2.7 tonnes/m3 or 0.027 MN/m3). Hence the vertical stress on the element is 2,700
tonnes/m2 or 27 MPa. This stress is estimated from the simple relationship:
88
through the crust and mantle. A detailed discussion on Sheoreys model is beyond the scope of this
chapter, but he did provide a simplified equation which can be used for estimating the horizontal to
vertical stress ratio k. This equation is:
k = 0.25 + 7 Eh 0.001 + 1
z
(3)
where z (m) is the depth below surface and Eh (GPa) is the average deformation modulus of the
upper part of the earths crust measured in a horizontal direction. This direction of measurement is
important particularly in layered sedimentary rocks, in which the deformation modulus may be
significantly different in different directions. A plot of this equation is given in Figure 7.8 for a range of
deformation moduli. The curves relating k with depth below surface z are similar to those published
by Brown and Hoek (1978), Herget (1988) and others for measured in situ stresses. Hence, Equation 3 is
considered to provide a reasonable basis for estimating the value of k.
k = Horizontal Stress / Vertical Stress

2
3
1
Depth Below Surface z (m)
1000
Eh (GPa)
10
25
50
2000
75
100
3000
Figure 7.8:
Ratio of Horizontal to Vertical Stress for Different Deformation Moduli

Based Upon Sheoreys Equation (After Sheorey 1994)
As pointed out by Sheorey, his work does not explain the occurrence of measured vertical stresses
that are higher than the calculated overburden pressure, the presence of very high horizontal stresses
at some locations or why the two horizontal stresses are seldom equal. These differences are probably
due to local topographic and geological features that cannot be taken into account in a large scale
model such as that proposed by Sheorey.
Where sensitivity studies have shown that the in situ stresses are likely to have a significant
influence on the behaviour of underground openings, it is recommended that the in situ stresses
should be measured. Suggestions for setting up a stress measuring programme are discussed later
in this chapter.
90
7.6.2 In situ Rock Testing Methods

There are several methods for measuring the in situ stress in underground mines. The details of various
methods deployed are given in Figure 7.9 (See Plate 11).
Specimen testing at the laboratory scale does not represent properties of in situ rock due to
geological factors, such as, bedding, factures, joints, faults, folding and microscopic and megascopic in
homogenities. This problem can be solved by using in situ measurements to know properties of in situ
rocks. To solve the problem of stability of the structure in rocks, the accuracy of stress and strain
determination must be consistent with in situ rock. Sample collected from uniform and massive rocks,
compressive and tensile strength measured at the laboratory scale should not vary much from
specimen to specimen. In mining, adjacent area always affects rock strength. Therefore, changes in
stresses have to be measured with high accuracy.
The rock stress measurements are quite often only part of larger projects, and SINTEF is one such
research organisation that offers and provides rock deformation measurements (Borehole extensometer
and tunnel convergence measurements), rock bolt testing, numerical modelling, and civil and mining
engineering solutions in general. A number of state-of-the-art 2D and 3D numerical modelling codes
are available. The 2-dimensional Rock Stress Measurements by Overcoring method are shown in
Figure 7.10 (See Plate 12) & 3-D In situ Rock Stress Measurements by Overcoring method are shown in
Figure 7.11 (See Plate 13).
7.6.3 Hydraulic Fracturing for Rock Stress Determination
The hydraulic fracturing technique is used for determining the in situ rock stress in a plane
perpendicular to borehole. This is done by application of fluid pressure (normally water) in a test
section in a borehole isolated by packers until the rock fails in tension. The fluid pressures required to
generate, propagate, sustain and reopen tensile fractures in the rock are recorded as function of time,
and these may be related to magnitude of the existing stress field. Directions of measured stress are
normally achieved by observing and measuring the orientation of the hydraulically induced fracture
plane by the use of a so-called impression packer. The induced hydro fracture is oriented parallel with
the major secondary principal stress H in a plane perpendicular to the borehole. The time/fluid
pressure recording data is presented in Figure 7.12 & hydraulic fracturing equipment is shown in
Figure 7.13 (See Plate 14).
Pressure (MPa)
25
Breakdown Pressure (Pb)
20
15
Reopening Pressure (Pro)
10
5
Shut-in Pressure
5
10
15
20
25
Time (min.)
30
35
40
Figure 7.12: Time/Fluid Pressure Recording

91
45
50
Hydraulic fracturing is usually carried out in vertical holes drilled from the surface or underground in
holes drilled from tunnels (vertical, inclined or horizontal). It could be combined with overcoring from
tunnels, i.e. hydraulic fracturing could be carried out after overcoring in the same hole.
Maximum borehole length: 250 m
Borehole diameter: 4676 mm
Computerised logging equipment may be used in combination with overcoring in holes drilled
from tunnels
Equipment units may be shipped by normal air freight
7.6.4 Determination of Absolute Stress
The flatjack method involves the placement of two pins fixed into the wall of an excavation. The
distance, d, is then measured accurately. A slot is cut into the rock between the pins. If the normal stress
is compressive, the pins will move together as the slot is cut. The flatjack is then placed and grouted into
the slot. The borehole deformation method, flatjack method, propagation method have been employed
by several investigators to determine the absolute stress in rock (refer Figure 7.14Plate 14).
a)
A small diameter hole approximately 1" is drilled in to an underground rock surface. The
borehole deformation gauge is then inserted into the hole, radially oriented and an initial
reading is recorded.
b) The section of core containing the gauge is concentrically overcored with a larger diameter bit,
thereby relieving the stress from the core-containing gauge. A second gauge reading recorded.
c)
The difference between first and second gauge reading is the borehole deformation.
d) The gauge is moved to a point further in the gauge hole, oriented at 60o from the original
position and overcoring procedure is repeated. Thus, the procedure is cyclically continued for
the 60o rosette position till the desired range of depth has been investigated. The magnitude
and direction of the maximum and minimum stress in the plain normal to the axis of the
gauge hole can be calculated as follows:
P = ( E/6d) x {(U1+U2+U3)+(20.5/2)[(U1-U2)2+(U2-U3)2+(U3-U1)2 ] 0.5}
Q = ( E/6d) x {(U1+U2+U3)-(20.5/2)[(U1-U2)2+(U2-U3)2+(U3-U1)2 ] 0.5}
Qpq = 0.5 tan -1 [3(U2-U3)/(2U1-U2-U3)]
where, P = Maximum Principal Stress
Q = Minimum Principal Stress
Qpq = Angle measured from U1 to P in counter clockwise direction or
magnitude of applied stress
d = diameter of borehole
U1, U2, U3 = Set of three diametral measurements.
E = Modulus of elasticity of the rock
In some modified procedure, surface mounted strain gauges are replaced with copper foil jacketed
resistance-strain gauges grouted in the slot cut above and below the intended flat jack slot. These gauges
are placed directly over and under the centre of the flat jack and oriented so that they will measure
strain in the direction normal to the flat jack. In some modified procedure, resistance strain gauges
are replaced by the hydraulic cells.
92
Flatjack method does not require the elastic properties of rock. Hence it is considered the true
stress measuring method. Due to difficulty in cutting deep flatjack slot, the method is restricted to near
surface measurements. The method is also used in inelastic rock.
7.6.5 Determination of In situ Stresses by Flatjack Method
The method is intended for the determination of rock stress parallel to and near the exposed rock
surface in an excavation. Each measurement determines stress in one direction only and therefore
a minimum of six measurements in independent directions are required to determine the rock
stress tensor.
The method involves the observation of the movements of pairs of measuring pins located on
each side of a slot when the slot is cut and subsequently when pressure is applied to the internal surface
of the slot.
Typical application of flatjack tests include:
In tunnels
actual loads on tunnel linings
In situ stress
determination of excavation induced stress
In buildings
actual loads on pillars and footings
In dam abutments :
In situ rock stresses often carried out as part of large flatjack testing
The stress determination with flatjacks results in determination of the disturbed stress components in
the immediate vicinity of the opening. This information can be extrapolated from the opening
outward to the undisturbed virgin stress by application of the theory of elasticity or by numerical
modelling techniques.
The slot closure and opening values are calculated for each pair of pins and for each pressurisation
increment by subtracting initial from subsequent readings. The closure and opening for each pair of
pins are plotted against applied pressure to determine the average cancellation pressure (see Figure 7.15).
do
Pressurisation
Flatjack Pressure
Excavation Time
Figure 7.15: Determination of Average Cancellation Pressure

93
Po
This cancellation pressure gives the normal stress across the slot. The orientation of the slot and
magnitude of normal stress across each slot are measured. Readings from six such tests located in
independent directions are taken for the determination of stress tensor at the particular site.
Limitations
a) The stress relief is assumed to be an elastic, reversible process. In non-homogeneous or highly
fractured materials, this may not be completely true.
b) The flatjack is assumed to be 100% efficient.
c) The jack is assumed to be aligned with the principal stresses on the surface of the opening.
Shear stresses are not cancelled by jack pressure.
d) The flatjack test measures stresses only at the surface of the test chamber. Undisturbed stress
levels must be determined by theoretical interpretations of these data.
Site Preparation
At the selected site all the slacked rocks are removed and the surface of tight rock is rimmed to
nearly flat and horizontal. Tight rock surfaces are washed and cleaned. The locations of the slots
are marked on the wall and the pairs of measuring pins are installed across the marks by drilling
holes by a masonry drill machine and grouted. LVDTs are installed across the proposed slots by
fixing the body and the piston of the LVDT against the grouted pins by appropriate clamps.
Specifications for site preparation are shown in Figure 7.16 (See Plate 14).
7.7
EQUIPMENT
Measurement
Pins-groutable Type
LVDTs
Flatjack
a) Width: 350 mm
a) Diameter = 20 mm
12 mm diameter and
b) Length= 400 mm
150 mm length with holders
c) Thickness= 6 mm (deflated)
b) Reading Accuracy =
0.002 mm
d) Pressure range = 020 MPa
c) Voltage Output = 010 V
Hydraulic Pump
Pressure range: 070 MPa
for holding the

potentiometers
7.7.1 Test Procedures

After setting of the LVDTs across the marked slot position, readings are taken for initial separation of
the pins. The slot is then cut by drilling a series of 42 mm holes along the slot up to a depth slightly
more than the flatjack width. Direction of the slot is then measured using a magnetic compass. Further
sets of displacement readings are taken after cutting the slot to record the amount of slot closure. The
flatjack is then inserted fully and grouted.
After the grout is set, a hydraulic pump increases the pressure in the flat jack. Pressure is
increased gradually and reading for each increment of pressure is noted. Pressure is increased until the
separation of pins is the same as before the slot was cut. The pressure at which it is achieved is termed
as cancellation pressure. After achieving the cancellation pressure the whole set up is then moved to
the next slot position and the whole procedure is repeated. It is recommended to carry out six numbers
of flatjack test at a site to know the state of stress at the site. Flatjack installed at one of the test sites is
shown in Figures 7.17 & 7.18 (See Plate 15).
94
7.7.2 Stress Evaluation Procedure and Results

The analysis programme GENSIM is used to calculate the magnitude and the direction of principal
stresses on the basis of the following equation:
h = (P - n2. V) / (m2 + l2. H/h)
where, l, m & n are the cosines of the direction of the induced fracture plane related to the
principal stress axis. The calculations of stress for each site are done by using all cancellation pressure
data and varying the ratio H/h and the strike direction of H in the horizontal plane.
7.8
DETERMINATION OF IN SITU DEFORMABILITY OF ROCK BY GOODMAN

JACK TEST
The Goodman Jack is a borehole probe with moveable rigid bearing plates for the measurement of wall
deformation as a function of applied stress. Data obtained from the load-deformation measurements
gives the moduli of rock directly. The probe is designed to be used in a NX (76 mm) borehole.
Hydraulic pressure is transmitted to the rock through the moveable plates. Two LVDT displacement
transducers are mounted within the jack at each end of the moveable plates.
7.8.1 Application of Goodman Jack Test
Goodman Jack tests find the following applications:
a)
These tests are required during the design of large underground excavations since such tests
provide the rock mass deformability.
b) Estimation of the grouting efficiency

c)
Estimation of rock anisotropy.
d) Estimation of rock behaviour during frequent loading and unloading process.

The result of Goodman Jack testing in a borehole of diameter d is a graphical plot of applied
pressure QH versus diametric deformation ud. Youngs modulus will be computed as the tangent
modulus along the slope of linear portion of this plot of the field data.
E = 0.86 K(v) {Q/( ud /d)}
where,
= incremental change in plate pressure (MPa)
ud
= incremental change in displacement, in mm
= borehole diameter in mm
K(v)
= jack constant, depending upon Poissons ratio for the material being tested.
For a jack efficiency of 93%, the applied hydraulic pressure, QH , is greater than the plate pressure.
For the Goodman Jack (Model 52101)
Q = 0.93 QH
K(v) is a factor dependent on the Poissons ratio for the rock being tested. But the term T is
adopted instead of K(v) for the full contact of the jack and are tabulated in the following table (Ref.
Goodman. Van and Heuze, 1968).
95
T * for full contact

Poissons 0.1
ratio (v )
T*
0.2
10
E calc (GPa)
20
15
25
16
0.25 0.3
0.33
0.4
100
0.5
3-D Finite Element

(Heuze, Salom)
Experimental
(Mayer, Mc Very)
1.519 1.474 1.438 1.397 1.366 1.289 1.151
80
= 0.80 (d) * { Q H/ ud} * T

After calculating Ecalc the same is converted
in E true from the plot given in Figure 7.19. This
curve is not sensitive to variations in v. For E calc
less than 7 GPa the correction from E calc to E true is
negligible and E calc can be taken as equal to E true.
60
7
E true (GPa)
Also, the formula in the above table should

be altered to be an expression for the calculated
apparent modulus of deformation, E calc as follows:
E true (106 psi)
10
40
E calc
4
20
1
0.88
1
2.20 2.89 3.35 3.86

2
3
E calc (106 psi)
Figure 7.19: Curve of E calc versus E true
7.8.2 Site Preparations

The jack is designed to be used in NX size boreholes which have a nominal diameter of 76.2 mm. The
borehole must be core drilled so that proper zones can be selected by inspecting the cores.
Specifications of Goodman Jack
Effective Jack Force: The area of T the operating pistons in the jack is such that the maximum
hydraulic pressure of 68.95 MPa produce the following forces uni-directionally against the rock.
Bearing plate pressure = 64.12 MPa and Total Force against rock = 702.8 kN.
LVDTs: The two linear variable differential transformer (LVDT) displacement transducers are
mounted within the jack. These are Trans-Tek Model 241-000, which have a linear range of 2.54
mm. The linearity over this range is within 0.5% of the full scale linear range. The maximum
usable displacement range of this LVDT is 0.15% (3.81 mm).
Displacement Indicator: The portable instrument, Model 52127, operates on internal, rechargeable
battery or on 110 volt AC. The displacement of the pressure plate is indicated by two illuminate
digital displays, one for each LVDT. These displays give the deviation of the plate from the nominal
borehole diameter of 76.2 mm with a sensitivity of 0.01 mm.
Jack: The Goodman Jack consists of two movable rigid bearing-plates. The total displacement or
extension of the jack is 11.4 mm. When the jack is fully closed, the diametrical distance between
the outside surfaces of the two pressure plates is 69.9 mm. When the jack is fully open, the
diametrical distance is 81.2 mm. The jack and the hydraulic components are designed for a 68.95
MPa maximum working pressure. The hydraulic pump (Enerpac P-84) produces a maximum
output pressure of 68.95 MPa.
96
Pressure Gauge: The pressure gauge (Marsh Type 200) has a bourdon tube sensing element. The
accuracy of this gauge is 0.25% of full scale. The full scale pressure is 70 MPa. The smallest
division of the scale is equal to 0.5 MPa.
7.8.3 Test Procedure
The Goodman jack is inserted into the borehole to the desired test depth. The indicator power is
switched to the ON position and the pump valve is set in extended position. The pressure is then
applied until the jack expands against the sides of the borehole. The meter reading is observed while the
jack pressure plate is being extended up to zero reading. When the contact with the side of the jack is
made, the pressure is increased until the pressure gauge indicate a value equal to the first increment.
Ten such increments are made. The meter reading for both the LVDTs are noted. The pressure is kept
constant with the pump handle recording the meter reading every minute. This is continued until the
displacement became constant.
The peak pressure is reached in three cycles (approximately 30, 60 and 100% of the maximum).
During each cycle the pressure is varied in at least ten equal increments and decrement. At the end of
each cycle the pressure is returned to the initial seating pressure. The tests can be conducted in different
directions to determine the anisotropism of the rock.
7.9
DETERMINATION OF IN SITU PERMEABILITY OF ROCK BY DOUBLE

PACKER PERMEABILITY TEST
The permeability of the rock mass is an important feature in the assessment of groundwater inflow into
underground workings. Besides that the method is used for assessing the need for foundation grouting.
It comprises calculations of lugeon values for each of the five test runs at increasing and then decreasing
pressures followed by interpretation of the pattern of results, and hence selection of an appropriate
representative permeability.
7.9.1 Application of Permeability Test
Typical applications include for the assessment of foundation to decide when grouting is warranted.
Estimation of ground water flow into the underground workings.
a) Five consecutive water (pump-in) tests are done, each of ten minutes duration.
1st 10 minutes is at low pressure
(pressure a)
2nd 10 minutes run is at medium pressure
(pressure b)
3rd 10 minutes run is at a peak pressure
(pressure c)
4th 10 minutes is at a medium pressure
(pressure b again)
5th 10 minutes run is at low pressure
(pressure a again)
b) A single lugeon value is then calculated for each one of these five tests, using the formula:
Lugeon value = water taken in test (litres/meter/minute) X 10 (bars) (test pressure(bars)
c) Having calculated the five lugeon values, they are inspected and compared and an appropriate
decision can then be made as to which of the five values is accepted as the permeability reported from
the test.
97
Lugeon (1933) in his standard test, specified a pressure of 10 bars (1000 KPa). The modified test
usually uses lower pressure than this because:
(i)
a range of pressures (rather than a single pressure) is desirable.
(ii)
use of a pressure as high as 10 bars is not always advisable, particularly at shallow depths in
the weaker rocks.
(iii) satisfactory results can be obtained with lower pressures.

When using the modified test, it is necessary to convert the results into values which would
have been (supposedly) obtained if the definition pressure (10 bars) had been used. Lugeon values
then result from this conversion.
7.9.2 Site Preparation
The Double Packer System is designed to be used in NX size boreholes which have a nominal diameter
of 76.2 mm. The borehole must be core drilled so that proper zones can be selected by inspecting the cores.
7.9.3 Equipment to be Deployed
The double packer permeability testing equipment is meant for fast and reliable permeability tests in
boreholes. The tests are conducted in the zone between the two packers by regulating the flow of water
from the surface and collecting the data by a online data acquisition system. The different components
of the system are as follows:
a) Double Packer System: The packer is comprised of the inflatable gland and an inner core pipe,
which runs the entire length of the packer and on which two sealing heads are mounted. The
deflated and inflated diameters of the packers range from 72 mm to 160 mm.
b) Perforated Spacer Pipes: These pipes are required to transmit water from the pump to the
formation whose permeability is required to be determined. The pipes are typically of 3 m each
and are attached to one another to have the desired length.
c) Pressure Transducer: The transducer is submersible type encased in water proof casing. The
pressure range is 1000 kPa 0.1%. This transducer monitors the pressure at the formation
downhole.
d) Water Pump: The water pump is having a maximum capacity of 151 l/min, attached with
regulating valve and liquid-filled pressure gauge. The pump is attached to a 30 HP 3-phase electrical
motor operating on 360 VAC to 440 VAC, 50 Hz.
e) Injection Line: 100 m length 31.75 mm aluminium quick connect insertion/ injection rods.
f) Inflation Line: Nylon dia up to a depth of 110 m. The line is used to inflate the packer
systems by nitrogen gas.
The schematic diagram of the double packer permeability system is shown in Figure 7.20 (See Plate 16).
98

The cores for the testing are logged and suitable depths for the permeability testing are selected. The
test interval (1m perforated pipe) with the double packer assembly is lowered at the desired depth and
both the packers are inflated using nitrogen gas. The desirable peak pressure is achieved at each test
interval going through low and medium pressure stages. The flow rate is manipulated to keep the
pressure constant for 10 minutes at the desired pressure. The pressure is then lowered in two stages to zero.
The pressure-time curve is continuously plotted on analog strip chart recorder.
The pressures used for the results vary with depth and are taken from the relationship:
a) Low pressure a in p.s.i.
0.4
depth in ft (max. = 50 psi)
b) Medium pressure b in p.s.i.
0.7
c) Peak pressure c in psi
1.0
7.10 DETERMINATION OF DEFORMBILITY OF ROCK BY PLATE LOAD TEST

Rock masses are heterogeneous and usually discontinuous assemblages of material. As a result the scale
of an experiment to some extent determines the validity of the experiment. Comparisons of in situ field
tests with laboratory tests results on the same rock show that laboratory tests without fail overestimates
the deformability behaviour of the rock masses to a factor of 5 to 15.
The main reasons for this discrepancy are as follows:
a) Presence of joints and bedding,
b) Micro cracks in apparently massive rock, and
c) Localised altered or weathered zones inside the rock masses.
Laboratory specimens are generally taken from rock of good quality without any discontinuities.
There is no reliable method of predicting in advance the overall deformation behaviour of the rock
mass from the results of laboratory tests. Therefore in-situ field tests for an economical and safe structural
design of large and heavy construction are necessary.
The plate-bearing test is one of the most common methods to determine the deformability of rock
mass in situ. In this method, a load is applied to a specially prepared flat surface by means of a rigid or
semi-rigid finite plate and measuring the deformation at any convenient point within the rock mass.
Thus rock modulus can be calculated using the relationships developed depending on the shape of the
loading plate and nature of the rock.
Although rock is neither homogeneous nor elastic, it is customary to interpret test results on the
basis of the theory of elasticity. Justification of such a procedure rests on the fact that at moderate load
rates the stress-strain relations are roughly linear. The accuracy of the determination of the elastic
recovery qualities of the rock mass is dependent on the duration of the recovery period in each test.
Data gathered during the test are plotted to provide various cross plots between deformation
versus time, pressure and depth of measurements. These plots are used to analyse elastic rebound and
permanent set characteristics of the rock.
99
7.10.1 Application of Plate Load Test

Plate load tests find the following applications
a) These tests are required during the design of large underground excavations since such tests
provide the rock mass deformability.
b) Estimation of the grouting efficiency
c) Estimation of rock anisotropy.
d) Estimation of rock behaviour during frequent loading and unloading process.
Both modulus of elasticity and modulus of deformation can be calculated with the same formula
as follows:
E or D = (1- u2 ) * F / S
where,
E: Modulus of elasticity (kgf /cm2 )
D: Modulus of deformation (kgf /cm2 )
u = Poissons ratio (0.2 for hard rock and 0.25 to 0.3 for soft rock)
F = increased load in a section of load-displacement curve (Kgf = ton/1000)
S = increased displacement for the same section as above (cm)
If a gradient of a tangential line of stress-displacement curve for the peak load is placed in the
place of F / S, the formula will give a modulus of elasticity. If a gradient of a line enveloping the
stress-displacement curves of the initial loadings is used for
F / S, it will give a deformation modulus.
7.10.2 Site Preparations
The areas for testing are carefully selected and all the loose rocks are removed using chipping hammers
and drills. An area with diameter of 1.50 m (slightly larger than 2 times the diameter of the test pad,
which is 55 cm) is prepared at each site to reduce the restraining influence of adjoining rock. Two
instrumentation holes of diameter 76 mm each are core drilled into the prepared test surface keeping
the up hole as coaxial as possible with the down hole.
Two concrete pads (one each at top and bottom) having diameter of 55 cm and thickness of 12.70
cm are prepared at each site with reach mix of quick setting cement and aggregate and allowed to cure
for twenty eight days. The pads are made flat and parallel to each other.
Site preparation specifications for Plate Load Testing are depicted in Figure 7.21 (see Plate 16).
a) Normal Loading Equipment
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
Bearing Plate
Ram Jack Base Plate
Ram Jack Buttons
Extension Columns
Ram Jacks
Hydraulic Pump
Hoses with manifold
:
:
:
:
:
:
:
505 mm Dia.
618 mm
3 Nos
to suit 1.5 to 3.0 m tunnel height
Capacity 100 tonnes
10,000 psi operation
20 m length
100
b) Deformation Measuring Equipment
(i)
LVDTs
2 Nos with 12V DC input
(ii)
BOF-EX
4 Nos
c) Data Acquisition System (PCMCIA Card)
(i)
(ii)
(iii)
(iv)
(v)
Digital Channels
Analog Outputs
Digital I/O
Resolution
Sampling Rate
:
:
:
:
:
16 single-ended or 8 differential
4 Channels
8 Channels
12- bit
5 kS/s to 500 kS/s
d) Extensometer Installation
The model BOF-EX borehole extensometer system is modular in design and comprises the following
basic elements:
(i)
transducer module
(ii)
mechanical anchor
(iii) extension tube

(iv)
centralisers, and
(v)
setting tool and rods
The anchor is composed of a disk supporting three pads spaced at 120o and a central cylinder
housing a jacking screw. The anchor is designed to fit boreholes with a nominal diameter of 76 mm.
One end of the anchor is terminated with a bayonet connector and a screw with a hexagonal head. The
anchor is expanded in the hole using a string of concentric setting rods. The inner rod with the hexagonal head is turned clockwise to actuate the screw jack. The other end of the anchor has a short threaded
cylinder to attach the extension tubes or transducer module. The transducer module is attached to one
or more extension tubes in order to span the required distance between anchors. The centraliser is used
to centre and support the transducer modules and extension rods.
After determining the depth of the deepest anchor the bayonet head is connected on the installing
tool to the anchor. The outer installing tube is then connected to the anchor installation tool and the
whole assembly is inserted into the borehole. The anchor is then expanded and installed with the help
of inner rods. Once anchor is installed to its desired depth the inner and the outer assemblies are
withdrawn. The transducer module is then Installed. The other anchors and transducer assemblies are
installed likewise.
Installation of the Plate Loading Equipment
After installation of all the extensometers, a particle board of 55 cm diameter with a hole at the centre
is placed on the lower concrete pad (for horizontal testing on one of the concrete pads). On the particle
board the load distribution plate 50.50 cm diameter is placed with ram jack base plate. Three numbers
of ram jacks each of 100 tons capacity are placed above the ram jack base plate with the spherical seats.
The extension columns are placed above another up to the top concrete pad leaving enough space to
accommodate a bearing plate, a load distribution plate of the same diameter as the bottom one and a
particle board.
101
All the extensometer cables and the electric pumps interface are connected to the PCMCIA card
(digital and analog inputs) which in turn is hooked to the Pentium computer. Support software Genie
is used for data acquisition, process and real time multiple tasking. The electric pumps manifold with
hoses are then connected to the three jacks. Schematic diagram of Plate load testing set-up and
Erection of Plate loading equipment to conduct Deformability test are shown in Figures 7.22 & 7.23
(See Plate 17).
Testing Programme
After installation of all the components and checking all the mechanical and electronic components,
zero readings of all the extensometers are taken at zero pressure. The pressure is raised step by step by
the electric pump and same is transmitted by the loading plate of 50.50 cm diameter to the rock through
55 cm diameter concrete pad of 12.70 cm thickness. The pressures at each stage is maintained using a
controller valve. The pressure and deformation readings are automatically recorded on the hard disk of
the computer continuously. The data after every test are stored into floppy for analysis purpose.
The Plate loading test is conducted by applying and changing vertical pressure on the steel loading
plate at the bottom, and recording vertical displacement of the plate by four dial gauges, in the way as
described below:
The pressure is raised by four steps, that is 14 kgf/cm2, 28 kgf/cm2, 42 kgf/cm2 and 56 kgf/cm2.
(i)Firstly the pressure is raised up to 14 kgf/cm2 at the rate of 2.8 kgf/cm2 every minute. Displacements
are read by the LVDT at every 2.8 kgf/ cm2 of rise of the pressure, viz., 0 kgf/cm2, 2.8 kgf/cm2, 5.6
kgf/cm2, 8.4 kgf/cm2 11.2 kgf/cm2 and 14 kgf/ cm2. The peak pressure of 14 kgf/ cm2 is maintained
for 10 minutes, reading the dial gauge every two minutes. Then the pressure is lowered gradually
to zero at the rate of 7 kgf/cm2 every minute, recording the displacement for every 7 kgf/cm2 of
load decrease. The zero load is maintained for 10 minutes, with the dial gauge being read every
two minutes.
(ii) After the elapse of 10 minutes of zero pressure, the pressure is raised up to 28 kgf/cm2 with the
same rate of pressure increment and the LVDT reading for every 2.8 kgf/cm2 of raise in the pressure is read. The pressure is maintained at 28 kgf/cm2 for 10 minutes, and is lowered to zero at the
rate of 7 kgf/cm2 every minute, where the displacement is recorded every 7 kgf/cm2 of descent.
Then, the zero pressure is maintained again for 10 minutes. When the pressure is kept constant,
the LVDT readings are read every two minutes. All procedures are repeated to the case of the
peak of 14 kgf/cm2 except that the peak pressure is different.
(iii) Next, the pressure is raised to the peak of 42 kgf/cm2 and lowered back to zero in the
same manner.
(iv) In the fourth cycle of increasing and decreasing the pressure, the peak is 56 kgf/cm2 and the
tests are advanced following the same method as above.
Data Acquisition System (PCMCIA Card)
(i)
(ii)
(iii)
(iv)
(v)
Digital Channels
Analog Outputs
Digital I/O
Resolution
Sampling Rate
:
:
:
:
:
16 single ended or 8 differential

4 Channels
8 Channels
12- bit
5 kS/s to 500 kS/s
102
7.11 DETERMINATION OF DISPLACEMENT BY TAPE EXTENSOMETER

The tape extensometer quickly and accurately measures changes in distance between two reference
points in any direction. Typical applications are the measurement of:
Mine roof sag and tunnel closure
Displacement of unstable slopes and structures
Magnitude of behaviour in ground during excavation
Radial movement and convergence of tunnels, shaft linings and caverns, support deformation
of excavations. The procedure of using tape extensometer is shown in Figure 7.24.
Plan of the Testing Site

H4
T1
End of Drill
Face
Slide 2
H6
T2
T2
Section of the Testing Site

D2
H5
Reference points
drill in rock
4.0 m
T1
H3
T1
T1
Index
H1,H2, H4, H5 = Horizontal Holes
H3 & H6 = Vertical Down Holes
D1, D2 = Deformability Sites
= Shear Test Site Rock to Concrete
= Shear Test Site Rock to Rock
T1/T2 = Tape Extensometer Points
D1
H1
H2
Figure 7.24 Plan and Section of Testing Site
Steel Tape : A steel gauging tape is used to span the distance between the two reference points.
The tape is graduated in English or metric units and is perforated at 2-inch or 50 mm intervals.
Hooks : The free end of the tape has a snap hook, which is attached to one reference point. The
tape is then unreeled until the operator can attach the hook on the instrument body to a second
reference point.
Nose & Pin : The instrument nose has a slot for the tape. The operator slips the tape into the slot
and engages a pin in the nearest hole in the tape. The pin provides a positive hold on the tape so it
can be tensioned.
Tension Collar & Index Marks : The tension collar is rotated to apply tension to the tape. When
the index marks are aligned, the tape is correctly tensioned.
Sliding Scale and Dial : A tape extensometer measurement is actually the sum of three readings:
the reading from the tape, the reading from the sliding scale and the reading from the dial.
7.11.1 Features
Lightweight and rugged design
Rapid measurement and one-man operation

Optimised design to protect steel tape from damage
Complete steel version available on request

103
Tape extensometer is a portable instrument to measure the displacement between pairs of reference
studs grouted into shallow drill holes in the structure of excavation. The studs are permanently fixed to
provide a precise fixing point at the surface of the structure. Demountable extension studs are available
for fixing in location where, for instance, additional shotcrete is applied to the surface to be monitored.
The tape extensometer basically consists of a steel survey tape with punched hole loaded on a reel
fixed to the body of the instrument. It incorporates a tensioning mechanism for the tape as well as dial
/digital indicator-based distance measuring system. Two hooks are providedone at the movable
extremity on the tape and the other on the reel frame. Tensioning of the tape to a predetermined load
is easily done by rotating large knurled collar until two reference lines are precisely aligned.
7.11.2 Installing Reference Points
Reference points are stainless steel eyebolts that are threaded into groutable or expansion anchors.
Reference points may also be bolted to the structure. Reference points are positioned to reveal the
magnitude and direction of movements. The drawings below shows typical locations for reference
points. Since each site has unique conditions, the pattern of your reference points may not resemble
those illustrated.
The hook & eye bolt system can accommodate almost any angle of the tape. However, it is important to protect the points once they have been installed, since any change in the position or the condition of the points will affect the repeatability of the system.
Using Groutable Rebar Anchors in Rock or Concrete
Parts Required
Eyebolts (1/4-20 thread). Be sure to have a spare eyebolt for installation and testing of the anchor.
7/16 inch lock nuts (1/4-20 thread).
Stud (1/4-20 thread).
- Rebar anchor (length depends on competence of rock/concrete).
- Non-shrinking grout. Or see next page for use of epoxy cartridges.
Tools Required
Rock drill and bit capable of drilling 3/4" or 1" diameter holes slightly deeper than the length of
the rebar anchor.
- Compressed air to clean hole
- 7/16" open-end wrench
- Adjustable wrench
Instructions
Select and mark locations for reference points.
Drill 3/4" or 1" hole to depth approximately 1/2-inch deeper than length of anchor. Clean debris
from hole with compressed air.
Grout anchor in hole using a suitable mixture of non-shrinking, underwater grout. If necessary,
pack the hole to prevent grout seepage.
When the grout is hard, thread a spare eyebolt into the anchor and pull test the anchor to 30 lbf
(max). If there is no measurable movement, the anchor is installed satisfactorily. Remove the
spare eyebolt.
104
Thread a lock nut onto the eyebolt, and then thread the eyebolt into the anchor. If it is difficult
to turn the eyebolt, use an adjustable wrench (closed across the circle of the eyebolt) for
additional leverage. Important: Do not use a screw driver for additional leverage, since any implement
inserted through the eyebolt may deform the eyebolt and make it difficult to obtain repeatable
readings in the future. Hold the eyebolt in position with the adjustable wrench (closed across the
eyebolt circle) and tighten the lock nut with the 7/16" open-end wrench.
7.11.3 Taking Readings
A. Allow sufficient time for the instrument to adjust to the ambient temperature at the measurement station.
B. Disengage the tape from the pin and slide it out of the nose slot. Check that the tape crank is ready
and that the tape can be unreeled.
C. Rotate the tension collar until the sliding scale reads 1" or 25 mm. To measure only convergence, the
collar would need to be rotated until the sliding scale reads 2" or 50 mm. Do not rotate the collar
further or the dial may be damaged.
Hook onto Reference Points

1.
Attach the snap hook to a reference point.
2.
Carry the instrument towards the second reference point, allowing the tape to unreel as as it is moved.
3.
Hook the instrument body onto another second reference point.
4.
Wind up the slack in the tape.
5.
Slide the tape into the instrument nose.
6.
Pull back the spring clip and fit the pin into the nearest hole. Try to choose the hole that
makes the tape as tight as possible. With tape spans greater than 15 ft or 5 meters, it must be
pulled to cause tension till the appropriate hole is found.
7.
Unwind a little tape from the reel so as to facilitate free access to the tension collar.
Tension the Tape

The tape must be tensioned properly so that repeatable measurements could be obtained. Rotate
the tension collar to adjust the tension.
1. Support the instrument with one hand and point the nose of the instrument directly at the
opposite reference point.
2. Rotate the tension collar to adjust the tension. Look at the pointer on the dial to determine
which direction to rotate the collar. The pointer moves counter-clockwise when you increase the
tension; clockwise when you decrease the tension.
3. As you make fine adjustments to the tension, move the nose of the instrument up and down.
When the nose is not pointing directly at the reference point, the index marks should show
over-tension.
The index marks must not show under-tension in any position. After the index marks are aligned,
you can let the instrument could be allowed to hang unsupported.
Do not allow the tension collar to move. The instrument is now ready to be read.
Reading the Instrument

A tape extensometer reading is actually the sum of three readingsthe reading from the tape, the
sliding scale, and the dial (see Figure 7.25Plate 18).
105
7.11.4 Specifications
Measuring range
Resolution
Repeatability
Material
up to 30 m
0.05 mm
+ / - 0.1 mm
Anodising Aluminium
7.12 DETERMINATION OF IN SITU SHEAR STRENGTH OF ROCK BY DIRECT

SHEAR TEST
The shear strength of rock mass is one of the most important parameters used in design. The shear
strength parameters cannot be predicted on the basis of case histories and on any classification system.
Therefore, the feasibility of conducting in situ shear tests cannot be avoided due to variation of rock
mass properties at different sites.
The best way of evaluating shear strength parameters is by conducting in situ shear test. The
procedure of conducting the in situ shear tests is described in ISRM ( 1974) and IS 7746-(1975). The
shear strength of concrete to rock depends upon number of factors, such as, strength of concrete, strength
of rock, saturation, rate of loading, rate of shearing etc.
7.12.1 Application of In situ Shear Test
Typical applications include
Shear strength of foundation rock of dams
Shear strength of rock to concrete interface for Dam foundations
Design of underground excavations
This test measures peak and residual direct shear strength as a function of stress normal to the
sheared plane.
Peak direct shear strength - the maximum shear stress in the shear stress versus displacement curve.
Residual shear strength the shear stress at which no further rise or fall in shear strength is
observed with increasing shear displacement.
Shear strength determination of rock mass should preferably comprise at least five tests on the
same test horizon with each specimen tested at a different but constant normal stress.
Displacement readings are averaged to obtain values of mean shear and normal displacement s
and n. Lateral displacements are recorded only to evaluate specimen behaviour during the test.
For the evaluation and interpretation of the shear testing data, shear and normal stress are computed
as follows: ( Ref: Suggested methods for determining Shear Strength, ISRM Standard)
Shear stress = = Ps /A = (Psa cos )/A
Normal stress = n = Pn/a = (Pna + sin )/A
where, Ps = total shear force
Pna = total normal force
Psa = applied shear force
P = applied normal force
= inclination of the applied shear force to the shear plane
(if, = 0, cos = 1 and sin = 0)
A = area of the shear surface overlap
106
(1)
(2)
7.12.2 Site Preparation

The sites are selected inside the test drift. All the slacked rocks are removed and the surface on tight
rock is trimmed to nearly flat and horizontal. Tight rock surfaces are exposed and cleaned. Three blocks
of concrete of the sizes 700 mm x 700 mm x 350 mm are made over the specially made and cleaned rock
surface. The part of inclined surface of concrete block, protruding to one side is only meant for convenience
of loading for shear. Thus the bottom of this inclined part of the block is prevented from contact with
the rock surface by laying sand when concrete is placed.
A channel approximately 20 mm deep by 80 mm wide is cut around the base of the block to allow
freedom of shear and lateral displacements. The site preparation specifications, which are necessary to
conduct in situ shear test as well as the plan and section view indicating the specifications of the specimen
for shear testing are depicted in the Figures 7.26 & 7.27 (See Plate 18).
a)
b)
Normal Loading Equipment

(i)
Steel plate
700 mm x 700 mm x 350 mm
(ii)
Steel Roller
500 mm x 500 mm
(iii)
Ram Jack Base Plate
505 mm dia
(iv)
Ram Jack Buttons
3 Nos.
(v)
Extension Columns
to suit 1.5 to 3.0 m tunnel height
(vi)
Ram Jacks
Capacity 100 tonnes
(vii)
Bearing Plate
505 mm dia
(viii)
Hydraulic Pump
(ix)
Hoses with manifold
20 m Length
Shear Loading Equipment

(i)
c)
d)
Shear Loading Jack
300 Ton Capacity
(ii) Load Cell
300 Ton Capacity
(iii) Hydraulic Pump
(iv) Hose
20 Mts
Deformation Measuring Equipment.

(i) Dial Guages
0.01 mm LC
(ii) LVDTs
With 12 V DC input
Data Acquisition System ( PCMCIA Card )

(i)
Digital Channels :
16 single ended or 8 differential
(ii) Analog Outputs
4 Channels
(iii) Digital I/O
8 Channels
(iv) Resolution
12-bit
(v)
5 Ks/s to 500 Ks/s
Sampling Rate
107

a) Installation of the Normal Loading Equipment
A plate of size 700 mm x 700 mm x 350 mm is placed on the concrete block. A roller system is then
placed on the top part of the plate. A plate with one side square and the other part circular of 50.50 cm
diameter is then placed over the roller bearing system with ram jack base plate. Three numbers of ram jacks
each of 100 tons capacity are placed above the ram jack base plate with the spherical seats. The extension
columns are placed one above another up to the top leaving enough space to accommodate a bearing plate,
a load distribution plate of the same diameter as the bottom one and a particleboard. All the jacks are
connected with an electrical pump with a toggle switch for producing a constant normal load. A pressure
transducer attached to the electric pump is connected with the online data acquisition system.
b) Installation of the Shear Loading Equipment
A 300 tons jack is placed inclined to the shear surface of the concrete (concrete-rock interface) block.
The other side of the jack is placed against concrete pad especially made against the wall of the drift to
receive the reaction from the wall. A 300 tons load cell is installed in between the rock block and the
jack meant for shear loading. The shear loading is produced by a hand pump system
c) Installation of the Deformation Measuring Equipment
A measuring frame with four dial gauges serve to measure the settlement of the test body by the normal
load. The four dial gauges that are mounted on the frame, measure the shear displacement of the test block
caused due to shearing force applied. Four more dial gauges are mounted on the frame which monitor the
lateral displacement of the block during shearing. The measuring frame is made of rigid galvanised steel
pipes, which are anchored in the rock formation at an appropriate distance from the test location.
Schematic diagram of shear testing set-up is shown in Figure 7.28 (see Plate 19). In situ shear
testing at one of the sites is shown in Figure 7.29 (see Plate 19). Shear testing set up indicating Shear Jack
details at one of the sites is shown in Figure 7.30 (see Plate 20). In situ shear testing at one of the sites
(showing Dial gauges and LVDT) is shown in Figure 7.31 (see Plate 20).
d) Loading Pattern for Shear Test
After setting up of the equipment, the following loading pattern would need to be followed:
Loading for the shear test by jacks consists of vertical loading and inclined loading. For each
test block, the vertical load by a jack will be kept constant for all the course of the test and the
inclined load on the inclined face of the block will be increased by step until the rock at the
bottom is sheared. Shearing of three blocks on the same condition of rock will be made one set of
shear test, where three different levels of the constant vertical load will be used for those three
blocks, that is 24.5 tons ( 5 kg/cm2), 29.25 tons ( 7.5 kgf/cm2) and 49 tons ( 10 kgf/cm 2). A block
will be sheared under a constant vertical load of 24.5 tons, and another is under a constant vertical
load of 29.25 tons, and so on.
e) Preliminary Vertical Loading
Preliminary vertical loading will be made initially for contact adjustment of the equipment with the
test block. Preliminary vertical load will be raised up to 24.5 tons ( 5 kg/cm2) by the rate of 12.25 tons/min
108
(2.5 kgf/cm2/min) and the LVDTs at every rise of 12.25 tons in 3 minutes are read. The load is suspended
for 5 minutes at 24.5 tons, and the displacements are noted at the beginning and at the end of 5 minutes.
The load is reduced to zero in the same rate as in the raising course and the displacements are read at 9
tons and zero. The same pattern of loading and unloading is repeated once again before a constant
vertical load is achieved, whatever the constant load might be.
f) Inclined Loading for Shear
Maintaining the vertical load constant, the inclined load on the inclined surface of the test block will
be increased by step of 6.8 tons (1.39 kgf/cm2), by the rate of 6.8 tons in 3 minutes. The displacement
in every step is observed with the ten dial gauges installed, during the time of 5 minutes to keep the
shear load constant.
The inclined load will be increased in this way until the rock at the bottom of the test block is
sheared. Occurrence of the shear is known by sudden increase of the horizontal movement and sudden
fall of the load. The normal and shearing forces along with vertical and horizontal displacements will be
recorded during the shearing. The observations will be continued after the failure of the block for
studying the residual shear strength parameters.
Measurement of Change in Stress
For measuring the change in stress in the underground openings vibrating wire stress meters are used.
The stress meter measures the change in stress within the rock. It can be used for monitoring
underground excavation including shaft, tunnels and in the stopes. For installing stress meter NX borehole
is to be drilled in to the rock and after taking the core. The stress meter is installed at a convenient depth
(6m, 8m & 10m) depending upon the site conditions. The Figure 7.32 (see Plate 21) illustrates the
vibrating wire stress meter capsule.
The stress meter consists essentially of a high strength steel that provide a ring wedge tightly
across one diameter of a borehole drilled into the rock. The distortion of the providing ring, caused by
changing rock stresses, is measured by means of a vibrating wire. Change in rock stress caused changes
in the resonant frequency of vibration of the tensioned wire, and the two are related by means of
calibration data supplied with each stress meter.
Roof
The stress meter behaves as a rigid inclusionthe
calibration varies by a factor of two only if the rock
modules varies by a factor of ten.
7.13 CONVERGENCE INDICATOR

Strata monitoring is essential to evaluate the performance
of the cable bolted roof. For this, convergence indicator,
extensometer and instrumented cables are used.
Convergence indicator is a simple instrument consisting
of a graduated rod fitted in a pipe. It has a least count of
0.5 to 1 mm, and the telescopic movement is for a length
of 2 to 4 m. The measuring points reference (stations)
are metal rods grouted in the roof and floor. Measurements
are taken by simply stretching the telescopic rod between
the reference points, and reading the graduations on the
rod (Figure 7.33).
109
Floor
Figure 7.33: Convergence Indicator
7.14 ROCK SUPPORT

The primary objective of a support system is to mobilise and conserve the inherent strength of the rock
mass so that it becomes self-supporting. Rock support generally combines the effects of reinforcement,
by such elements as dowels, tensioned rock bolts & cables and support with shotcrete, mesh & steel sets
which carry loads from individual rock blocks isolated by structural discontinuities or zones of
loosened rock. These notes are intended to assist the underground support engineer in choosing the
most appropriate and the one that is easiest to install which would impart both reinforcement and
support. If possible, the installation of rock support should be carried out as an integral part of the
excavation cycle to enhance the self-supporting aspects of rockmass improvement.
The choice of the type of support to be installed in underground excavation depends upon the
extent of the zone of loosened or fractured rock surrounding that excavation. A very crude guide to
support selection is given in Table 7.1.
Table 7.1: Suggested Support for Various Rock Conditions
Suggested Support Type
Rock Conditions
Sound rock with smooth walls No support or alternatively, where required for safety, mesh held in place by grouted dowels
created by good blasting. Low in or mechanically anchored rockbolts, installed to prevent small pieces from falling.
situ stresses.
Sound rock with few intersecting
joints or bedding planes resulting
in loose wedges or blocks. Low
in situ stresses.
Scale well then install tensioned, mechanically anchored bolts to tie blocks into surrounding
rock. Use straps across bedding planes or joints to prevent small pieces falling out between
bolts. In permanent openings, such as, shaft stations or crusher chambers, rockbolt should
be grouted with cement to prevent corrosion.
Sound rock damaged by blasting Chain link or weld mesh held by tensioned mechanically anchored rockbolts, to prevent falls
with a few intersecting planes. of loose rock. Attention must be paid to scaling and improving blasting to reduce amount of
Low in situ stresses
loose rock.
Closely jointed blocky rock with
small blocks ravelling from
surface causing deterioration if
unsupported. Low stress
conditions.
Shotcrete layer, approximately 50 mm thick. Addition of micro-silica and steel fibre reduces
rebound and increases strength of shotcrete in bending. Larger wedges are bolted so that
shotcrete is not overloaded. Limit scaling to control ravelling. If shotcrete not available, use
chain-link or weldmesh and pattern reinforcement, such as, split sets or Swellex.
Stress-induced failure in jointed

rock. First indication of failure due
to high stresses are seen in
borehole walls and in pillar
corners.
Pattern support with grouted dowels or Swellex. Split sets are suitable for supporting small
amounts of failure. Grouted tensioned or untensioned cables can be used but mechanically
anchored rockbolts are less suitable for this application. Typical length of reinforcement
should be about the span of openings less than 6 m and between and 1 3 for spans of 6
to 12 m. Spacing should be approximately the dowel length. Support should be installed
before significant movement occurs. Shotcrete can add significant strength to rock and should
be used in long-term openings (ramps etc.). Mesh and straps may be required in short-term
openings (drill-drives etc.)
Drawpoints developed in good

rock but subjected to high stress
and wear during blasting and
drawing of stopes.
Use grouted rebar for wear resistance and for support of drawpoint brows. Install this
reinforcement during development of the trough drive and drawpoint, before rock movement
takes place as a result of drawing of stopes. Do not use shotcrete or mesh in drawpoints
place dowels at close spacing in blocky rock.
110
Rock Conditions
Suggested Support Type
Fractured rock around openings Pattern support required but in this case some flexibility is required to absorb shock from
in stressed rock with a potential rockbursts. Split sets are good since they will slip under shock loading but will retain some
for rockbursts
load and keep mesh in place. Grouted dowels and Swellex will also slip under high load but
some face plates may fail. Mechanically anchored bolts are poor in these conditions. Lacing
between heads of reinforcement helps to retain rock near surface under heavy rockbursting.
Very poor rock associated with
faults or shear zones. Rock-bolts
or dowels cannot be anchored in
this material.
Fibre-reinforced shotcrete can be used for permanent support under low stress conditions
or for temporary support to allow steel sets to be placed. Note that shotcrete layer must be
drained to prevent build up of pressure behind the shotcrete. Steel sets are required for
long-term support where it is evident that stresses are high or that the rock is continuing to
move. Capacity of steel sets estimated from amount of loose rock to be supported.
7.14.1 Active Rock Reinforcement

Underground mines use two principal types of rock reinforcement tensioned mechanically anchored
rockbolts and untensioned grouted or friction anchored dowels.
Mechanically Anchored Rockbolts
Mechanically anchored rockbolts are probably the oldest form of rock reinforcement used in underground
mining and are still the most common form of rock reinforcement used in Canadian mines. Provided
that the rock is hard enough to provide a good grip for the anchor, an expansion shell anchor which is
well seated will usually allow a rockbolt to be tensioned to its maximum load-carrying capacity. In
fact, if a bolt is overloaded, it usually fails in the threads at either the faceplate or anchor end rather
than by anchor slip.
Tensioned rockbolts are most effective in retaining loose blocks or wedges of rock near the surface
of the excavation. These blocks may have been loosened by intersecting joints and bedding planes in
the rock or they may have been created by poor quality blasting. In either case, falls of loose rock create
unsafe working conditions and some form of support is required.
Since the amount of loosening does not usually penetrate very far into the rock mass, the support
is only required to hold up the dead weight of the loose material. Mechanically anchored rockbolts,
with the addition of mesh where small pieces of rock are likely to fall out between bolt heads, provide
very effective support for these conditions. Tensioning of the bolts, usually to about 70% of their
ultimate breaking load, is required in order to tighten the loose blocks and wedges and to provide as
much interlocking between these blocks as possible. It is by helping the rock to support itself and by the
prevention of further unravelling and deterioration of the rock mass that the tensioned rockbolts
provide effective support.
Unfortunately, mechanically anchored rockbolts do throw several problems. There is a tendency
for anchors to slip progressively with time, probably as a result of vibrations induced by nearby blasting.
Hence, old rockbolts which have clearly lost all their tension are frequently seen in underground mines.
Another problem relates to rusting of the bolts in rock masses due to groundwater, for example, in
massive sulphides. Sometimes, the life of an unprotected bolt may be less than one year under such
circumstances and, where long term life is required, the bolts should be grouted in place.
The need for mechanically anchored rockbolts is reduced significantly by careful blasting and by
correct scaling. These techniques reduce the amount of loose rock which has to be supported and hence
the need for bolts and mesh.
111
Grouted or Friction Anchored Dowels
One of the main disadvantages of mechanically anchored rockbolts is that, if the anchor slips or the bolt
breaks, the capacity of the bolt drops to zero and the rock being supported can fall. This problem is less
severe in the case of a fully grouted or friction anchored dowel because, even if slip does occur or
if the face plate breaks off, the remaining length of the dowel is still anchored and will continue to
provide support.
The problem with grouted or friction anchored dowels is that they cannot be tensioned and hence
they have to be installed before significant movement has taken place in the rock. In fact, experience
has shown that this apparent problem can be turned to advantage and that a combination of careful
blasting and the installation of dowels as close as possible to the advancing face can provide very effective
support for a much wider range of rock conditions than can be handled by mechanically anchored
bolts. The installation of the dowels close to the advancing face ensures that relatively little movement
has taken place in the rock mass and that the maximum amount of interlocking between individual
pieces is retained. Retention of this interlocking is critical to the self-supporting characteristics of the
rock mass and any loss of interlock causes a very severe drop in strength.
7.14.2 Shotcrete
Shotcrete is used very widely in civil engineering construction but is not used by the Mining Industry
to the extent that it deserves. This is partly due to the fact that a typical mine has many working faces
and it is difficult to schedule the shotcreting equipment efficiently. It is also due to traditional attitudes
which are gradually changing in recognition of the fact the each element in underground support plays
a different role and that shotcrete can be a very effective support medium. The shotcrete acts in much
the same way as mesh that it prevents small pieces of rock from unravelling from the surface of an
excavation. This helps to retain the interlocking and self-supporting characteristics of the rock mass.
Since shotcrete is generally stronger than mesh, particularly if it is fibre-reinforced, and since it is
corrosion resistant, it is generally considered to be a more effective support system. It is particularly
useful in excavations, such as, ramps and haulages where long-term stability is important.
Shotcrete has developed into a versatile support system with the addition of microsilica and steel
fibre reinforcement to the mortar/aggregate mix. The complex installation of thin layers of shotcrete,
reinforced with weldmesh fabric can now be replaced quickly and economically by a single pass of steel
fibre reinforced microsilica shotcrete. Sufficient research has now gone into shotcrete mix design and
the constituent materials used, that shotcrete quality now rests almost entirely with the equipment
operators. Shotcrete application requires constant attention to the supply pressure and volume of water, mix
and air to ensure that the material leaves the nozzle in a continuous uninterrupted stream which can be
applied by the nozzleman in such a fashion as to maximise compaction and quality while minimising
rebound and overspray.
As shotcrete develops strength with time after application, it may be used effectively soon after
excavation. Local readjustment of the in situ stress field due to mining is unlikely to induce excessive
loading on the green shotcrete, and shotcrete has shown good resilience and durability to nearby blasting.
As loading is transferred on to the support system, it gains strength and produces a stiffening support
member. Most products are shot with up to 5% accelerator if a high early strength is required. This
obviously leads to the development of a faster supporting member, but care must be exercised in design
to ensure that the support will not become overstressed by load transferred from relaxing ground in
high stress environments.
112
The use of a micro-silica additive means that rebound is reduced considerably, thickness of application
can be increased, weak zones of rock with running water can be covered and voids can be filled
effectively. Silica does not appear to affect the long term strength of the product.
The addition of high aspect ratio, deformed steel fibres, usually 30-38 mm long and 0.5 mm in
equivalent diameter, enhances the post crack load bearing capacity of the support system, although it
does not give a marked improvement to the initial bending strength of the shotcrete layer. Early problems
with balling of steel fibres and excessive equipment wear have been largely overcome and the addition
of steel fibres do not usually give rise to significant operational problem.
Typical Shotcrete Mix Design
Components
Cement
Micro-silica additive
Blended aggregate
Steel fibres
kg/cu.m
420
42
1735
59
Percent
18.6
1.9
76.9
2.9
7.14.3 Steel Sets

Steel sets have generally replaced timber as the traditional passive support system in underground
construction. The term passive derives from the fact that the steel sets (or timber) do not interact with
the rock in the same way as rockbolts or dowels. These elements become part of the rock mass in much
the same way as reinforcing becomes part of the concrete in reinforced concrete. On the other hand,
passive support, such as, steel sets can only respond to loads imposed on them by the inward movement
of the rock. Since they are generally placed some distance behind the advancing face, most of the shortterm movement in the rock has already taken place before the sets are in place and the only load which
they are called upon to carry is the dead-weight of rock failing around the opening.
7.14.4 Friction Anchor or Split Set
Background
Developed by Scott in conjunction with the Ingersoll-Rand Company in the USA, this device has gained
considerable popularity in the Mining Industry. As the split tube is forced into a drill hole, the spring
action of the compressed tube applies a radial force against the rock and generates a frictional resistance
to sliding of the rock on the steel. This frictional resistance increases as the outer surface of the tube
rusts. The Friction anchor or Split Set is shown in Figure 7.34 (see Plate 21).
Advantages
It is simple and quick to install and is cheaper than a grouted dowel of similar capacity. It is found useful
in moving and bursting ground.
Disadvantages
Cannot be tensioned and hence is activated by movement in the rock in the same way as a grouted
dowel. Its support action is similar to that of an untensioned dowel and hence it must be installed very
close to the face. The drillhole diameter is critical and most failures during installation occur because
the hole is either too small or too large. In some applications, rusting has occurred very rapidly and has
proved to be a problem where long term support is required. The device cannot be grouted.
113
Applications
It is used for relatively light support duties in the Mining Industry, particularly where short-term
support is required. There is little application in civil engineering at present.
Typical Data
Yield load
130 kN (13 ton f)
Tube diameter
26 mm (1")
Hole diameter
33 mm (13/8") to 39 mm (1 ")
Lengths
Up to 8 m (24 ft)
Inflation pressure
20 MPa (3000 psi)
7.14.5 Grouted Cable Bolt

Background
Grouted cables were introduced to mining for reinforcement of the backs of cut and fill stopes. Cable
reinforcement, using tensioned or untensioned, fully grouted cables, is very widely used in mining
applications. Cables can be installed effectively in very narrow tunnels, they are inexpensive and have
a very high load bearing capacity. The Grouted Cable Bolt is depicted in Figure 7.35 (see Plate 21).
Advantages
This system is inexpensive. If properly installed, it provides competent and durable reinforcement. It
can be installed to any length in narrow areas. The system gives very high bolt loads in various rock
conditions, as well as high corrosion resistance in permanent installations.
Disadvantages
Tensioning of the cable bolt is possible only if a special installation procedure is adopted. The use of
standard cement in the grout requires several days curing before the cable can be loaded.
Applications
The system is increasingly used in mining applications.
Typical Data
Yield stress
1770 Mpa (257000 psi)
Yield load
500 kN (50 ton f)
Cable diameter
20 mm (25/32 ")
Hole diameter
35 mm (13/8 ")
Lengths
Any length required
114
Chapter
Application of Rock Mechanics in Opencast

& Underground Mines Case Studies
CASE STUDY - 1
8.0
SLOPE STABILITY INVESTIGATIONS FOR CALCITE AND WOLLASTONITE

OPENCAST MINE
The principals of the rock mechanics are widely used for designing optimum pit slope of an open cast
mine. Indian Bureau of Mines has conducted the study on optimum pit slope at wollastonite and calcite
mine as a case study. The mine is in operation since last 30 years in environmentally fragile area. The
mine produces about 55 thousand tonnes wollastonite per year and 60 thousand tonnes calcite per
year. The recoverable reserve was about 0.83 million tonnes of wollastonite and 0.44 million tonnes of
calcite at the present slope angle of 30o33o. With the increase of production rate and high sticking
ratio (1:3 to 1:6), it was felt necessary to maintain steeper slopes up to 45o to 50o in face number 1 and
7 so that 1.0 million tonnes of wollastonite and 0.45 million tonnes of calcite can be recovered. With
the present geometry, about 83% can be recovered while the rest would get locked in the benches.
For the purpose of geo-technical investigation, the following items of work were carried out:
a) Geo-technical mapping of existing mine faces and the strata around the workings.
b) Geo-technical logging of available drill cores for RQD measurements
c) Collection and testing of rock sample for determining physio-mechanical properties from
drill hole cores and mine faces
d) Processing and analysis of field data involving stereonet analysis, complications of RMR,
Q and SMR classification. Computer analysis for slope stability and determinig the optimum
pit slope angle
e) Redesigning pit slopes for ultimate pit limits
Based on mapping of the exposed cases of the benches, followed by lithololgical logging of drill
core, the following major rock types were exposed from hanging wall to foot wall:
a) Soil and Alluvium
b) Weathered Pegmatite/Pegmatite/Quartz vein
c) Limestone/Decomposed Limestone
d) Skam including bodies of Wollastonite and calcite
e) Granite
115
Detailed geo-technical mapping was carried out by mapping the exposed discontinuities (joints,
bedding planes, shear zone etc.) on the scale of 1:200 and 1:1000. All the joints mapped were classified
with reference to standard geomechanical system, namely, NGI (Q- System), RMR (CSIR) classification
and SMR (Slope Mass Rating System).
For the purpose of collection of samples, appropriate sites were selected on the working benches
and future mineable benches for assessing intact rock strength of different rocks. Overall rock mass
quality of the existing formation for the underground mine development has been assessed. The RQD
percentage was varied from 21% to 54% in both the deposits.
For the systematic application of rock mass classification approach the engineering properties,
such as, uniaxial compressive strength, tensile strength, point load index and triaxial strength test were
conducted on samples drawn from differerent litho units.
Based on the laboratory testing, the determined uniaxial compressive strength of pegmatite of
Deposit No.1 was about 364 MPa, pegmatite of Deposit No.2 was 820 MPa, calcite 260-320 MPa and
skam was 88 to 292 MPa . From the triaxial test conducted it was found that the skam samples showed
cohesion from 7.75 to 11.00 and angle of internal friction was from 37o to 42o. Similarly, for wollastonite,
cohesion was 13.66 MPa and angle of internal friction was 23o; for pegmatite cohesion was 6-9 MPa
and angle of internal friction 37-40o; and for wollastonite, cohesion was 7.00 MPa and angle of internal
friction was 30o. Based on laboratory testing results, the rock is strong and compact and can withstand
eye confining pressure. The density test by volumetric method conducted showed that the density of
skam was about av.3, pegmatite av. 2.5 and wollastonite av. 2.4. The stereonet analysis provides a
good means of presentation of structural data generated by field mapping and the evaluation of rock
mass characterisation with respective stability. The data on joint orientations and angle of internal
friction are used as an input for performing the analysis. For the rock mass quality, the Q classification
has been adopted. The average Q value for deposit No.1 was 7.46 and deposit No.2 was 8.2 . The rock
quality was therefore assessed to be of fair quality. Slope mass rating classification has been adopted
and rating found for Skam was 58, wollastonite 58 and pegmatite 57. The values, therefore, indicate
that rock falls under fair category. Computer analysis for the plane failure and wedge failure analysis
was conducted and it was found that there is no possibility of plane failure and wedge failure. The
stereonet analysis reveal that it may be possible to maintain steeper pit slope angle up to 45o to 50o in
footwall and hanging wall for both deposits. The present slope angle of 28o for deposit No.1 can further
be steepened by back benching. Intermediate benches to recover wollastonite and calcite left within
the benches were formed as it would be difficult to work outside the lease boundry. Due to proximity
of seasonal stream, benches were formed in the footwall keeping safety berm of 15 m.
Geotechnical investigation has been conducted with a view to steepen the existing slope in
order to recover the scarce material. Numerical modelling has been carried out using GALENA
software for generating stability plots followed by sensitivity analysis.
Geotechnical instrumentation and analysis of monitoring data formed an integral part for obtaining
necessary permission from Director General of Mines Safety (DGMS), during the mine planning and
phasing of slope steepening operation. Slope monitoring and development of slope stabilisation methods
formed an integral part of ongoing activity during the execution phase. The geotechnical instrumentation
plan includes the following activities.
a) Pit slope monitoring
b) Phasing of excavation sequences
c) Providing supports at weak zones
116
Application of Rock Mechanics in Opencast & Underground Mines Case Studies
During the proposed slope steepening operation, continuous surveillance of the slope has been
proposed by survey stations fixed in the benches at specific locations for monitoring ground movements if
any. Multipoint extensometer, invar-wire extensometer were installed at selected location to monitor
the strata behaviour. Vibrating wire piezometer were installed to monitor ground water level within
the pit bottom. Based on the monitoring data, slope reinforcement/stabilisation plan was drawn.
The specific support plan using (i) systematic bolting/cable bolting with wire mesh (ii) construction of
pack wall/ buttresses/retaining wall was drawn.
As a result the steepening, ultimate pit slope was to be undertaken in two phases. Initially up to
45 slope with slope reinforcement and slope monitoring and thereafter up to 50o slope in the second
phase depending on the strata condition. During the progress of steepening, it was proposed that necessary
precaution be taken for rainwater run off and pit water through proper drainage so that monitoring help in
carrying out slope stability steepening could be taken effectively.
o
8.1
GEO-TECHNICAL INVESTIGATIONS FOR ASSESSMENT OF STABILITY

OF TAILINGS DAM AT GOA
Geo-technical investigations were carried out for the assessment of stability of Tailing Dam. The iron
ore tailings are finely ground material. There were three tailing ponds . The tailing ponds are desilted
after drying of tailings and dry tailings are stacked separately. The present capacity of silt in tailing
pond No.1 was 6 lakh cu.m., tailing pond No.3 was 4 lakh cu.m. and tailing pond No.4 was 12 lakh
cu.m.The ground water was encountered at borehole near Vagus colony from 32 meter with a yield of
100 gallon per hour; at 40.2 m, the yield was 1000 gallon per hour; and at 41.8 m, the yield was 2000
gallon per hour. The yield of ground water of 90 gallon per hour was encountered in the borehole
drilled near Pilot plant. Thus water level was found to lie in between 25 m to 40 m. Tailing ponds were
systematically sampled using pipe sampling method and grab sampling. The purpose of this method is
to draw in situ sample for laboratory testing. Based on the grained size analysis, it was observed that at
> 7% fraction, the weight percent is 33 % which indicates that the sample contains about 33% clay and
67% silt. The sample, therefore, can be termed as silty clay. According to direct shear test the cohesion
was 4.4 tonnes per sq.m and angle of internal friction was 3032o. As per testing the dry density was
2.15 to 2.64 gram per cu. m and the sp. gravity was 3.1 to 3.4. The permeability test was conducted and
coefficient of permeability was found to be about 6.0 x 10-6 cm per second.
Tailing Dam can be constructed using upstream method, centerline method and downstream
construction. The beach slope which usually varies with core type physical properties of tailings, deposition,
flow rate method, shape and size. The average rate of dry density falls in the range of 1.0 to 2.0 tonnes
per cu.m. considering mineralogy and settling properties of tailings. The maximum allowable rate of
rise is, therefore, largely dependent on drying conditions and consolidation characteristics. The
maximum rate of rise should be in between 1.5 and 2.5 m. The overall embankment slope extends from
downstream edge of the crest at the top height of the embankment. The average slope is less than the
stable slope of any intermediate embankments and is largely dependent on overall stability. The overall
stability depends upon the shear strength of deposited tailings near embankments (with potential failure
zones) and has bearing on consolidation characteristics. The embankment geometry is dependent on
numerous factors including stability and safety, access, availability of construction materials and
environmental aspects. The long term stability of overall slope is generally analysed using total stress
analysis. The main factors affecting dam stability are embankment height and slope, the nature, strength
& degree of compaction of foundation and embankment materials. The stability of embankment can be
evaluated by using in situ shear strength results. Effective seepage control measures can be achieved through
117
use of appropriate embankment construction materials having low permeability, installation of seepage cut
off or seepage trenches, minimising water ponding on storage facility and maximising the extraction of
water from tailings through thickening. The basic data required for the stability assessment are field
test & laboratory data and site conditions. The analysis can be carried out using limiting equilibrium
method. Bishop circular failure method is best suited for such type of analysis. Bishop circular method
of analysis can be performed to understand the effect of the factor of safety with reference to rising the
height of the dam in stages by maintaining a free board of 1.5 m. Ground water pressure (piezometric)
is the most important parameter affecting the stability of the structure which need to be defined
realistically for different problems. The pheratic surface is based on the evaluation of the rainfall data
followed by the data on ground water table observed from boreholes.
8.1.1 Bishops Method
Bishop method assumes a circular failure surface. Bishops simplified method of slices is used for analysis of
circular in slopes cut into materials in which failure is defined by the Mohr-coulomb failure criterion.
Bishop method include tension crack on the surface, pheratic surface, failure through toe of slope,
density of water, density of rock etc. With wide availability of computer programme, the iterative
procedure required for obtaining a factor of safety is not tedious. The failure surface assumed for the
first analysis may not give the lowest factor of safety and one should repeat the entire calculation a
number of times in order to find the failure surface with the lowest factor of safety. Stability of tailing
dam investigated by Bishop method is shown in Figure 8.1.
135
130
Water Level
125
120
Analysis
Number : 1
Method : Bishop Simplified
Type: Single
Surface: Circular
Tailings
115
Rock Fill
Rock Fill
Core
110
Silt & Clay

Soil
105
Laterite
100
Result
Factor of safety 3.6.80
95
90
30
40
50
60
70
80
90
100
110
Fig. 8.1: Stability of Tailing Dam by Bishop Method
The stability analysis has been carried out using GALENA software based on the limiting equilibrium
method.The factor of safety has been computed by two different methods. In the first method both
piezometric and pheratic surface were considered during modelling. In the second method only pheratic
surface has been considered during modelling. If the height is increased up to 5 m using upstream
method the factor of safety was worked out to be 2.08 which indicate likely stable conditions to be
envisaged during rasing. It was observed that that there is no seepage of water from the dam in the
downstream direction and even though the dam height is raised through stages at a rate of 1 to 1.5 m.
118
8.1.2
Geo-Technical Investigations at Underground Mine
The geo-technical investigation was carried out at copper, lead and zinc mine. The objectives behind
the investigation was to assess the stability of strata conditions of 38.6 meter; to assess the thick barrier
pillar laying below the river; and also to assess the strata condition between third and fourth level in which
experimental cut and fill stoping method was proposed. The South-western portion of the orebody
situated below the river is rich in copper mineralisation, therefore to safeguard the workings below the
river the thick barrier pillar needed to be assessed.
Cut and fill stoping is a regular cycle of operation, which involves drilling, blasting, mucking and
concurrent filling. In order to maintain uniform mill feed grade and material to back fill the worked out
stopes, atleast two or three stopes block should be ready to meet the daily production. Therefore,
geotechnical investigation was carried out to assess the envisaged strata condition during the cut and
fill stoping method proposed in between third and fourth level, by opening of atrial stope block and to
monitor the strata conditions during the progress of stoping.
Geotechnical mapping of barrier pillars drive of 1.8 m x 0.8 m having strike length of 180 m was
carried out. Geo-technical instrumentation was carried out by installing multi-point borehole
extensometer at barrier pillar drive. Instrumentation of experimental cut and fill stope area was carried
out by installing borehole extensometer/stope convergence instruments using tape extensometer and
installation of two numbers load cells (20 to 50 tonnes capacity) to measure the incoming load on the
supports provided in cut and fill stoping and in the barrier pillar drive.
The ore lenses was bounded by quartz-sericite schist, chlorite schists on the hanging wall as well
as in the foot wall. Width of the ore body that varied from 1 m to 11 m was found at the southern
portion of the ore body. The ore contact with the wall rock are sheared. The host rock of mineralisation
epidiorite is usually hard and compact. The foot wall rocks are also relatively hard and compact as
compared to hanging wall formations which are weak and friable. The structure copper, lead-zinc ore
body is complicated by faults, joints, shears, slickensides and foliation.
The detailed geo-technical mapping of 1.8 m x 1.8 m drive having length of about 1.66 m was
carried out. The overall rock mass rating of the barrier pillar falls under fair category. Average RMR
value is 54.16 in CSIR RMR geo-mechanic classification. In NGI classification, the rock mass falls under
the good category having an average Q value of 4.26. Geo-technical mapping followed by visual inspection
shows that there is no indication of spalling, slabbing or rock mass distress.
The stereonet analysis of joint orientations observed in the barrier pillar drive and in the vicinity
of stopes indicated the presence of three prominant joint sets with limited continuity. The joints are
slightly altered, rough and slikensided. The population matrix of the joint set can be grouped into:
Set No.1 (J1) : N10oW-S100E/500W
Set No.2 (J2) : N89oW-S89oE/60oS
Set No.3 (J3) : N50oE-S50oW/55oSE
The principal stress direction derived from stereonet analysis has revealed that the orientation of
major principal stress is at S40oW, intermediate principal stress direction is at N50oW and the least
principal stress direction is at N40oE. The strike direction of the present workings are aligned more or
less along the least principal stress direction.
The in situ stress field computed for different working depths of 38.6 m (Barrier Pillar Drive), 63.0
m (proposed Cut and Fill stope) and 87 m(Present depth of workings up to 5th level) has indicated the
horizontal to vertical stress ratio (h/v) that varied from 2.93 to 2.86 .
119
The calculated horizontal stress value was 2.2 times the vertical stress. This relationship holds
good and was established worldwide by in situ stress measurements carried out in different mines.
The vertical stress computed for a depth of 38.6 m has recorded a value of 0.96 Mpa, similarly,for
a depth of 63 m the value indicated was 1.57 Mpa and to a further depth of 87 m the value indicated was
2.17 MPa. Thus the vertical stress gradient increased by 1.0 MPa inferring that there is no significant
effect of vertical stress on mine openings.
The intact rock strength of hangwall, ore zone, footwall formations resulted in an average Uniaxial
compressive strength of 90 MPa which is classified as medium rock with an estimated cohesion value
of 0.1 to 0.2 MPa and angle of internal friction that varied from 30o to 40o.
The overall rock mass rating ( RMR) obtained for orebody is 56.0, for hanging wall 53.0 and for
footwall formations is 58.0. In the NGI classification, the Q values for orebody is 5.32, hanging wall
5.30 and for the footwall 5.33 respectively.
From the analysis of overall rock mass rating, the estimated span of unsupported excavation works
out to be 8 m to 10 m. When stoping progresses, depending on the site conditions, longer spans can be
considered with proper ground support. Based on the existing knowledge of the strata conditions, a
plan of underground instrumentation was prepared and implemented at the mine. Nine boreholes
extensometer were installed in the pillar drive and other selected locations to monitor the ground
movements (Fig. 8.2). In addition, tape extensometers, load cells ( 20 T capacity) and LVDTS to moniter
stope convergence, particularly, load behaviour on supports during Cut and Fill stoping were also
installed. Analysis of data from ground monitoring instrumentation did not reveal occurrence of any
significant movement during the progress of stoping.
Figure 8.2: Longitudinal Vertical Section of Underground Mine Showing Summary of Rock
Mechanics Instrumentation
120
Figures 8.3 & 8.4 depict underground monitoring (see Plate 22).
The condition of water percolation/ sleepage in the underground workings were monitored closely
at regular intervals. The analysis of data obtained so far indicated that the workings fall under Dry and
Moist category. There was no significant change in the ground water seepage conditions.
The support analysis on the rockmass, fill material and on timber supports of the proposed Cut
and Fill stope indicated that an unsupported span of around 810 m can be kept during stoping. However,
the maximum stand up time of unsupported excavation was worked out to be around 2 months. The
analysis also showed that systematic and concurrent filling of stope would minimise the stope wall
convergence.
For the purpose of monitoring, Load Cells (20 T to 50 T capacity) were installed at the stope back
over timber support to measure load deformation. Physiomechanical properties of the fill material and
analysis of support characteristics of fill material are vital parameters required for designing proper
support system. The envisaged stope recoveries from the proposed cut and fill stoping would be 50%.
8.1.3 Geo-technical Investigations at Perlite Mine
Indian Bureau of Mines has carried out investigation for the purpose of (i) collection and testing of rock
samples from the mine adits for determining the physio-mechanical properties of rock and rock mass
classification (ii) carrying out numerical modelling studies of stope area for determining the maximum
width of the galleries, height and size of pillar, factor of safety and stand-up time (iii) conducting blast
vibration study to assess the likely effect of blasting in the neighbouring areas as per technical Circular
No.7 of 1997 issued by DGMS.
The mine is located on an isolated hill amidst rock type, i.e., basalt, rhyolite, perlite and limestone
and nearby a temple.
The geotechnical investigation was carried out for adit No.1 and adit No.2. The rock conditions
exposed in the adit and cross cuts were mapped in detail by scanline mapping. About 14 samples were
collected from cross cuts and roof of adit for assessing the physio-mechanical properties of rock. Since
no borehole was drilled inside the adits or in the neighbourhood areas, it was not possible to assess
various strength properties of adjacent rock. Therefore, representative block samples were collected
from different locations of the adits.
Adit No.1 was advanced up to 46 m with maximum 3.4 m width and Adit No.2 was advanced up
to 44 m with 2.4 m maximum width. The height of the adits varied from 2 m to 3.3 m. Both the adits
were parallel and connected with cross cuts. There was seepage of water in the adit. The roof and sites
of adits were strong and therefore no support was required during the development. The samples of
rhyolite, perlite and basalt collected from the adits were tested in the laboratory and the test results are
as below (Refer Tables 8.1 & 8.2).
Table 8.1: Summary of Test Results
S.
No.
Rock
Type
No. of
Samples
Size
(cm)
Average Load
at Failure (kN)
Uniaxial
Compressive
Strength (kg/cm2)
Remarks
As per ISRM
1.
Basalt
8.0 x 8.0
800
1250.00
Very strong rock
2.
Rhyolite
8.0 x 8.0
300
468.75
Medium strong rock
3.
Perlite
8.0 x 8.0
450
703.13
Strong rock
121
The uniaxial compressive strength of basalt, rhyolite and perlite has shown the rock as very hard
and strong and that which can withstand high confining pressure. Based on geological mapping, the
values of Q and RMR for each scanline have been determined and these are depicted in Table 8.2.
Table 8.2 Rock Mass Classification of Adit No.1 and 2
Scanline No.
1.
2.
3.
4.
5.
6.
7.
8.
Av.RQD
Jn
Jr
62.50
56.66
70.00
78.75
70.00
59.00
74.54
80.00
5
4
5
3
3
9
3
3
1.5
1.5
1.5
1.5
1.5
1.5
1.5
1.5
Ja
0.75
0.75
0.75
0.75
0.75
0.75
0.75
0.75
Jw
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
SRF
RMR
2.5
2.5
2.5
2.5
2.5
2.5
2.5
2.5
10.00
11.33
11.20
21.00
18.66
5.25
19.87
21.33
53.00
53.48
53.44
55.89
55.43
50.48
55.68
55.96
The geomechanic classification of the rocks places them under the fair category. The Q values
varied from 10.00 to 21.33 and RMR values varied from 50.48 to 55.96, which indicate that the rock
mass is stable and did not require any support. Design parameters for optimising pillar height, width
and gallery sizes were formalised.
The load to be borne by pillar would depend on the strength of the floor and roof material. The
optimum width to height (w:h) ratio of 10:1 is required for the purpose stability of pillars. The pillar
strength also depends on the rock mass strength of the pillar material, shape & size of the pillar and
discontinuities therein. Empirical procedure was adopted for calculation of factor of safety (FS). For
pillar of width : Wp= 4 m; height : h = 6 m; width of the opening Wo= 12 m and 14 m, depth from the
surface = 50 m; and unit weight of rock mass = 0.2 MN/m3; with Q value of 21.3; and RMR value of
55.9; and MRMR value of 52.0; and that whose rock mass falls under Fair category, the value of the
pillar strength/uniaxial compressive strength, i.e., s.av/c for Wp/Wh = 4 m/6 m = 0.66 and for fair
quality rock mass, the value of average pillar strength/UCS which is ls.av/ c = 0.55 (where, c = 70.3
MPa for perlite) and ls.av = 0.55* 70.3 = 38.6 MPa and the average pillar stress p for rib pillar is
p = .z (1+ Wo/Wp). p = 0.2*50 (1+12/4) = 30 MPa, the factor of safety of the pillar is given by the
formula,
FS = Av. Pillar strength/ Av. pillar stress, i.e., FS = 38.6/30 = 1.3.
Similarly, for the width of opening Wo = 14 m, considering Wp/Wh = 0.66, the factor of safety
works to be 0.9, for the perlite bearing pillars.
The stability of the pillar usually depends upon size, shape, elastic properties, rock mass quality
and amount of deformation. It would also depend on the roof and floor rocks and ratio of span of
yielding zone to depth below the surface. The size of the pillar should be kept wider to avoid failure.
The shape of the pillar was kept with W:H ratio, i.e., 4 m:6 m. In future, if the pillar width needs to be
extended at the base, the ( W/H) ratio of 4:1 would be an ideal proposition. The pillar has been designed
for the factor of safety of 1.5 for the ultimate extraction of pillars.
For W:H ratio less than 4.5 :1
Pillar strength
Ps
133 Wo.50/H0.75
133 x 4.00.50/6.0 0.75
59.1 MPa
122
From the empirical relationships, it has been revealed that there is no significant effect of normal
stress, and unsupported stope span of 12 m can be achieved, for pillar width of 4 m. The factor of safety
for the rib pillars works out to be 1.3, with pillar size of 4 m * 6 m ( W/H), with stope span of 12 m.
Numerical modelling using N FOLD programme has also indicated that the strata conditions are
stable with 4 m* 6 m (W/H) of pillar dimensions, with 10 m, 12 m, 14 m spans of stope. The analysis has
also indicated that there is no influence of horizontal or vertical stress regime, and hence stope spans
and pillar widths can further be optimised during stoping operations, keeping safety considerations.
The optimum height of the gallery depends upon the thickness of the perlite band to be mined. In
this case, the average thickness of perlite band is 5 m. Therefore, for the maximum height of the gallery
of 6 m, the width of rib pillar works out to 4 m. With this approach, the entire thickness of the perlite
band can be mined out.
8.1.4 Blast Vibration Study
Blast vibration study was carried out in order to investigate effect of the blasting on the temple located
near the mine. Portable field seismograph INSTANTEL used for recording the data and same was
analysed by using software supplied with seismograph. The ground induced vibrations caused due to
underground mining activity was monitored by recording the vibration levels at different locations
on the surface. Based on the recorded data of the seismograph it was revealed that the vibration levels
were within the permissible limit as described by DGMS.
The effect of the ground vibrations due to blasting can further be minimised by choosing proper
explosives, including the existing blasting practices by introducing perimeter blasting, pre-spliting etc.
8.1.5 Design of Stoping
The perlite band is flat to gently dipping having varying thickness from 3 to 8 m. The roof and the side
walls are competent having 6080% RQD and hence there is no support required.
To evaluate the ground condition, the situation was simulated in N-Fold Software. It is a pseudo
three-dimentional stress/ displacement analysis programme based on displacement-discontinuity method.
The method treats the stope as thin opening. The periphery of the opening needs to be discretised
(Being Boundary Element Method). The programme calculates stresses and displacements at the
periphery of the opening.
Input Parameters
To model, the mining excavations, the code needs input of (a) geometry (b) in situ stress regime (c)
physical properties of the rock mass (Youngs modulus, Poissons ratio etc.) and (d) width of the
proposed excavation (Refer Figures 8.5 & 8.6) [see Plate 22].
In situ Stress: Since the excavations are very small and at shallow depths, the stresses are not of significance.
Visual inspection of underground excavations has indicated no signs of roof fall or loose formation.
Therefore, the in situ stress field has been estimated, based on the following equations:
Hor / vert = 3 - Depth/500 ( Depth< 1000 m)
Hor / vert = 3 - 50/500 = 2.9 MPa
vert
= 50/40
= 1.25 MPa
From the above results of stress, it has been concluded that due to shallow excavation (max. 50 m
from the surface of the hill) there will be no influence of horizontal and vertical stresses.
123
The input data utilised for running N-Fold software include the following:
1. Uniaxial compressive strength c = 46 MPa ( average)
2. E rock mass = 20 GPa
3. = 0.2 MN/m3
4. Material = Linear elastic
5. Thickness of ore body= 5 to 10 m ( mineable)
6. Z = 50 m; Dip = 2o to 15o
7. Boundary condition = All sides clamped
1 = acting along strike
2 = acting parallel to strike
3 = 0.03 * H MPa (acting vertically down)
where, H is depth of the working below the hill top (in meters)
Physical properties of the rock material :
Youngs modulus of host rock =
20 GPa
Youngs modulus of ore body =
20 GPa
Poissonss ratio : 0.2

Width of the ore body: 5 m (For modelling)
Width of the host rock: 10 m (For modelling)
Recommendations
1. The change per delay should not exceed 2 kg of explosive, subject to maximum of 20 kg of
explosive per blast.
2. By the method designed, about 25% of the perlite should be left in situ as ribs/or as pillars to
safeguard the stability of excavation/opening. The non-effective width will be around 10 m.
3. In case of development heading, the size of the excavation should not be more than 3 m (H)
and 3.5 m (W).
4. The void created due to mining should be filled with waste rock by making pack walls.
5. In case of stopes, where the thickness of perlite band is more than 3.5 m, cut and fill method
must be practised. So that at any point of time, the opening is not more than 3 m.
124
CASE STUDY - 2
8.2
EMPIRICAL SLOPE DESIGN FOR FRIABLE ORE BODIES GOAN IRON

ORE MINES
Slope stability analysis forms an integral part of any opencast mining operation. It has been observed
that several opencast mines experience slope instability during the operational cycle due to several
contributing factors. In some mines, local bench failures are common phenomena, which may further
lead to catastrophic failure. The ideas outlined in literature concerning rock slope failure mechanisms
and the appropriateness of different pit slope design are diverse. To overcome these uncertainties there
is a need for development of new generation of slope design guidelines for mining weak and friable ore
bodies with weak wall rocks to continue mining up to the planned ultimate pit limits. Most of the pit
slope failures are associated with governing factors, such as, pit geometry, slope angles, bench height,
rock mass strength, excavation sequence and water regime. Even though the mechanism of slope failures
are known, the possibility of slope failures could not be predicted with reasonable degree of accuracy
in weak rock material. The standard geomechanics classifications for the design of slopes are meant for
hard rock mines, where discontinuities play a major role in causing structural instability. Whereas in
the case of soft and weak rock masses, the cohesion and angle of friction play a major role in governing
the stability of slopes. An attempt also has been made with empirical approach for developing a new
generation of slope design guidelines based on Slope Rock Mass Rating (SRMR) classification.(Robertson
1988). Slope performance curves were developed in the form of nomograms for weak rock mass
classification. The nomogram can be used as one of the design tools for establishing the correlations
between slope height, slope angle and its corresponding factor of safety.
Slope control in intensely weathered and fractured rock masses is a matter of concern for the
design of safe slope angles in the operating life of the mine. The strength properties of the soft rock/soil
material and its classification in terms of stability analysis are considered to be difficult tasks. Difficulty
is still encountered in rock mass strength determination in those instances where the rock material
strength is very low and variable, intensely weathered, fractured, which do not fit into the standard
Geo-mechanics classification systems. Frequent occurrence of slope failures were observed in several
Goan mines usually after the onset of monsoon, due to high degree of saturation and low shear strength
properties of excavated slopes. The variability in rock mass strength can be attributed to degree of
saturation, the structural/deformation history of the area. A classification system for weak rocks was
developed by Robertson et al. (1988) based on their shear-strength properties. Attempts also has been
made to develop a nomogram based on SRMR classification, slope angle, slope height and its corresponding
factor of safety. The mechanism of slope failures in weak rocks are very complex and dependent on
failure pathways, in which certain rock units fail first followed by subsequent failures due to redistribution
of stresses from the preceding zone. The results of field observations, laboratory testing of slope
forming materials and slope monitoring have led to an awareness of various mechanisms of failure and
the conditions under which they are likely to occur. Whereas in the real world situation, the slope
failure mechanisms are much more complex involving many other variables due to complexity within
the geological materials. The testing techniques for material properties enable weak zones to be
identified and their relative strengths to be determined. A good understanding of the historical data on
standing slopes and failed slopes and the material in which the slopes were excavated will provide a
better understanding of the failure mechanism.
125
8.2.1 Slope Stability Problems in Weak Ore Bodies

Goa
The lithological formations of iron ore mines in Goa are known to comprise weathered laterite, weathered
dykes, manganiferous clay, weathered phyllite and transitional ore, lumpy ore, alumina-rich iron ore
fines, siliceous fines, which can be attributed as soil type material. In reality, these formations are not
homogenous in nature both in terms of strength parameters and ground water circulation. Furthermore, the
stability or instability of these formations is to a certain extent governed by relic discontinuities, such
as, joints and faults present in the original formations, which are hard to detect.
In terms of soil mechanics, the analysis is based on the combination of saturated-unsaturated
seepage analysis and circular arc stability analysis.This method can be used to evaluate the reduction of
soil strength of the formations along the slip surface, the increase in the self weight of a slope due to
seepage and the excess pore water pressure developed in the saturated zone. For performing stability
analysis, data on material strength properties, permeability & porosity, water regime, pit geometry
were considered. For the obtaining the boundary conditions for saturated-unsaturated seepage conditions,
the shear strength, coefficient of the permeability of saturated and unsaturated formations were analysed.
For different types of lithological formations, the slope stability analysis can be divided into two major
classesGross stability and Local stability.
Gross stability refers to large volumes of material and gross instability occurs in case of deeply
weathered rocks and soil type of materials, which may cause large rotational type shear failure (Refer
Figures 8.7 & 8.8Plate 22).
Local stability refers to much smaller volumes, the corresponding failure that can affect one or
two benches at a time are due to:
shear planes, jointing,
slope erosion due to surface drainage, and
piping effect caused by ground water flow emerging at the ground surface.
The problem of local instability can be serious and can sometimes lead to gross instability if not
attended in time. The effect of surface erosion in certain open-pit slopes is particularly strong and
damaging, which deserves much attention. At many such mines, little or no attention is given to surface
run-off because the importance of a fast building of hydrostatic head on stability is not well understood.
There are, however, a few mines that did comprehend the fact that catastrophic failure may occur,
during heavy rains in a slope that is already near failure. The situation can be particularly worse if there
are already existing tension cracks in the slope and no means of diverting the run off water away from
the pit area have been made.
8.2.2 Mechanism of Slope Failure in Soil Type of Material
The causes which concur to slope failure are many. Among them, only one major cause that is gravity
a constant force ensuring that anything loose move downwards is comprehensible. The principle of the
mechanism of failure is simplethere are disturbing forces due to gravity (including water pressure)
and resisting forces due to the strength of the soil and rock material that are at play. The factor of safety
(F) is defined as the ratio of resisting forces (S) to disturbing forces ().
F=
S
(1.1)
126
If S > , then F>l which connotes that the slope is stable. The factor of safety can drop below unity
due to either reduction of resisting forces or due to increase of disturbing forces. To stabilise a slope,
either the disturbing forces must be reduced or the resisting forces must be increased. The negative role
of water pressure in the soil (u) can be enhanced by the presence of tension cracks behind the top of the
slope. In case of heavy rains these cracks can become water-filled and the ensuing pressure results in a
horizontal force (V), adding further instability to the slope. The condition in which the disturbing
forces (, shear stress) equal the resisting forces (S, shear strength) is called a condition of limiting
equilibrium, at which the slope is on the point of failure:
when, F = l, (S = ) .. (1.2)
There are two primary ways in which the safety of a slope can be increased
1. By decreasing the shear stress in the soil (),
2. By increasing the shear strength in the soil (S).
A decrease of shear stress () can be accomplished by the following:
by decreasing the inclination of the slope above the potential failure surface
by removing laterite cover/soil from the head of the slope
by unloading the head of the slope and applying the same load to the toe of the
slopean increase in S can be achieved,
by decreasing the water pressure in the soil, and
by increasing the shear strength parameters of the soil c and . For practical purposes we can
assume that c and cannot be improved. To obtain maximum soil strength and maximum
inclination of the excavation slope, it is therefore necessary to minimise the pore water pressure
by draining the slope effectively.
By understanding the shear strength parameters, such as, sliding, angle of friction and cohesion, it
is possible to reasonably gauge the pit slope behaviour due to various stresses, shear strength parameters. It
is very important to understand the role of pore water pressure in slope. Therefore, by minimising the
pore water pressure through proper drainage methods, the maximum soil strength can be achieved
with maximum inclination of the excavation slopes.
In order to understand the mechanism of different types of slope failures, back analysis of historical
data on failed and standing slopes has been performed (Figure 8.9Plate 23).
From Figure 8.9 a series of points were plottedidentified by the geometric parameters, such as,
height and inclination of a number of slope excavated in different materials.
Figure 8.10 (see Plate 23) was simplified since some variables influencing slope stability, such as,
geological conditions, water pressure in the soil, etc. were not independently introduced. It has been
observed that:
geological conditions in the different mines are rather uniform,
the clayey materials show similar behaviour, and
all slopes failures recorded followed the same time pattern. From the analysis of data, it has
been observed, that slope failures have no direct bearing with the slope angle and slope height and the
material in which slopes were excavated. The initiation of slope failure mechanism starts with
development of tension cracks followed by widening of cracks over time on the slope crest. The
laterite overburden material resting on the top of the benches also acts as dead weight, which also
127
cause slope instability. Another major contributing factor is ingress of rain water into slope and
consequent build-up of pore pressure in the highly permeable slope forming materials, such as,
manganiferous clay, phyllitic clay, weathered and altered dykes and ore zone, could potentially trigger the
failure at a limiting equilibrium condition. Figure 8.10 (see Plate 23) illustrates a typical case study on
the effect of limiting equilibrium conditions of slope behaviour during monsoon season leading to its
ultimate failure.
From Figure 8.10, it can be been observed that factor of safety is sensitive to limiting equilibrium
conditions of slope. The slope could stand for 5 years as stable slope and after steepening the slope, the
limiting equilibrium conditions were disturbed leading to ultimate slope failure.
8.2.3 Available Slope Performance Curves
Slope performance curves provide a valuable tool in the design process where rock mass failure plays a
strong control in the stability of slopes. The curves are derived from the performance of stable and
unstable slopes plotted on a slope angle versus slope height plot. The curves are often site specific and
take into account the impact of existing failures, i.e., the remaining time frame for mining and the
acceptable risks to the mining operation. This line can therefore be used as a guide for upper bound
heights and slope angles that can be considered in slope design.
8.2.4 SRMR Classification System
The classification system for weak rocks developed by Robertson et al. 1988 is considered appropriate
to classify the rocks in terms of its shear strength properties for stability analysis, i.e., RMR values less
than 40. As this method did not allow for consistency in strength assessment (i.e., different rock mass
rating methods above and below RMR = 40), Robertson (1988), proposed the SRK Geomechanics
classification (SRMR) as shown in Table 8.3.
Table 8.3: SRK Geomechanics Classification: Slope Rock Mass Rating (SRMR)
RANGE OF VALUES
PARAMETER
Strength
of intact
rock
material
Is 50
(MPa)
> 10
10 Apr.
4 Feb.
2 Jan.
UCS
(MPa)
R5
>250
30
90100
20
R4
100250
27
7590
17
R3
50100
22
5075
13
R2
2550
19
2550
8
Handled (mm)
discontinuity spacing
>2000
6002000
200600
60200
<60
Rating
20
15
10
Rock >R1
Rock >R1
Rating
Handled RQD (%)
Rating
Rock >R1 Rock >R1

Very rough
surfaces
Condition of
discontinuities
Slightly
rough
surfaces
For this low range

UCS test is preferred
R1
25May
17
<25
3
10
<1
S5 S4 S3 S2 S1
2
1
Rock <R1
Slightly Slickensided
rough
surfaces
surfaces
Soft gouge >5 mm thick
Separation Separation OR Gouge

Not
continuous < 1 mm
< 1 mm < 5 mm OR
OR
No
Slightly
Highly
Separation
Separation weathered weathered 15 mm
walls
walls
continuous
Separation >5 mm
Continuous
Unweathered
rock walls
Rating
R1
5Jan.
15
30
25
20
10
128
Slope design curves for weak rock masses were developed by Robertson et al. (1987), using back
analysis of slopes which found that RMR and MS (Hoek Brown correlation to RMR) were poor
predictors of the strength of the rock mass for weak rock masses.
Slope design curves have been developed based on a number of stable and unstable open-pit mine
slopes. Shear strength estimates for rock slopes that were proposed by Bieniawski (1976) are too high
for values of GSI below 40. The design curves using strength estimates proposed by Robertson (1988)
predict steeper angles.
8.2.5 Causes for Slope Failures
The significant parameters causing slope failure in weak rocks are:
1. Shear strength,
2. Slope height and slope angle,
3. Water regime,
4. Pit geometry and irregular shape of the ore body,
5. Geological discontinuities and their properties, and
6. Laterite capping on underlying formations.
The relative importance of these factors is site-specific. For example, shear parameters play a
dominant role in soil like ground, whereas the stress regime and discontinuities replace the shear
parameters in rock slopes. The role of water regime is more pronounced in cohesive soils, while the
water regime as a whole has a subdued influence on rock slope stability. The mechanisms behind these
failures are not well known, particularly for weak rock masses. Knowledge of the kinetic behaviour of
failing slopes is mostly empirical and requires further research to identify situations in which rapid
failures can be expected. The review has shown that the strength parameters of the slope forming
materials are heterogeneous in nature, and difficult to assess. However, the interpretation and translation of
such data from one geological environment to another, is a difficult task.
8.2.6 Influence of Shear Strength Parameters on Slope Design
Shear strength parameters have a major role in the slope stability of weak slope materials, such as,
manganiferous clay, limonitic clay and phyllitic clay etc. due to low values of cohesion and friction
angle. Bieniawski (1976) and Robertson (1988) provided estimates of cohesion and friction angle values
for different RMR and SRMR ranges respectively for use in slope stability analysis. Robertsons (1988)
shear strength correlations were based on the back analysis of failed slopes in weak rock masses.
8.2.7 Effect of Rock Mass on Slope Angle and Slope Height
For the purpose of analysis, the weak rock mass is defined as any rock mass in which the effective shear
parameters are less than the following limiting values:
Effective cohesion: c = 0.2 MPa. Effective friction angle o = 30o using Mohr-Coulomb criterion.
A ground having a combination of shear parameters within the above limiting values would be
equivalent to material having unconfined compressive strength of less than 0.7 MPa, a strength
normally associated with soil-like material. The results of shear strength properties of Goa formations
fall under this category.
A failure surface passing through a weak rock will tend to be selective and pass preferentially
through a material which is weaker than the average encountered in any borehole. Thus, it is appropriate to
129
use SRMR value less than the average value. SRMR of the rock mass can be divided into zones of
stronger and weaker rock mass strength. Where rating is 40 or higher, it is anticipated that the slope
stability will be determined by the orientation and strength along discontinuities. Where the rating is
less than 30, failure may occur through the rock mass at any orientation. Tables 8.4 & 8.5 provide a
summary of SRMR strength correlations and design slope angles based on SRMR for Goan iron ore mines.
Table 8.4: SRMRStrength Correlation
Rock Mass Class
Rating SRMR
IVa
35-40
3035
Strength Parameters Mine-A, Goa
Strength Parameters Mine-B, Goa
c (kg/cm2)
7.01
16.90
6.21
20
6.22
9.20
5.52
15.00
16
IVb
25-30
3.90
13.60
4.82
2025
3.11
14.00
3.58
22.00
Va
15-20
2.85
15.90
2.62
Vb
15-10
0.60
16.90
0.80
c (kg/cm )
14
18
Table 8.5: Design Guidelines for Slope Angles based on SRMR System
Rock
Mass
Class
Rating
SRMR
Slope
Height
(35 m)
Slope
Height
(45 m)
Slope
Height
(55 m)
Slope
Height
(65 m)
Slope
Height
(75 m)
Slope
Height
(90 m)
Iva
3540
480
460
440
420
400
380
3035
47
2530
460
440
400
380
360
340
2025
440
420
390
360
340
320
Va
1520
430
390
370
350
320
300
Vb
1510
370
350
330
310
280
270
FOS
1.21
IVb
45
43
41
39
37
1.22
1.36
1.12
1.29
The design guidelines are based on SRMR for different rock mass class and the corresponding
slope height and slope angle. The plots of normal stress vs shear strength were plotted (see Figure 8.3)
from this data and the documented failure for altered rocks for different rock mass classes were plotted.
The Factor of Safety (FOS) values for different slope heights and slope angles were derived from results
of actual case studies of mines using GALENA computer software.
The design curves are based on charts which assume circular arc failure as observed in the failed
slopes in Goa. Bishops simplified method of slice is used for calculation of limiting equilibrium. This is
considered an over simplification of the slope and failure geometry. However, more rigorous back
analysis of the most recent failures has demonstrated the usefulness and validity of these charts as
significant step in slope design. A nomogram has been developed including the SRMR rating, slope
height, slope angle and its corresponding Factor of safety. The factor of safety values for four case
studies were plotted in the nomogram from which the FOS curves were derived.
130
8.2.8 Slope Design Nomogram for Weak Rocks

From the data analysis as obtained from Table 8.3 and 8.4, the nomogram is developed to predict to a
reasonable degree of accuracy. The nomogram depicts the correlation between slope height, slope angle
SRMR values and corresponding factor of safety. The nomogram has been tested for different factor of
safety condition in weak rock formations. The factor of safety values were computed from actual case
studies utilising the stability plots obtained from the results of numerical modelling. Figure 8.11 is an
idealised nomogram for designing different slope angles, with varying slope heights with different
SRMR rock mass rating classes.
60
h=35 m
50
FS=1.35
FS=1.29
FS=1.21
FS=1.12
30
Factor of Safety
Slope Angle (Deg.)
40
h=45 m
h=55 m
h=65 m
h=75 m
h=00 m
Explanation
Slope Height 35 m
Slope Height 45 m
Slope Height 55 m
20
10
FS :
Factor of Safety
0
0
10
15
20
25
SRMR Rating
30
35
40
Figure 8.11: Nomogram for SRMR Vs Factor of Safety
Based on the analysis of different strength parameters of slope forming materials of documented
slope failures, generalised slope design guidelines were evolved for weak rock masses. The nomogram
assumes the following conditions:
a) The monogram applies to weak rock/ground slopes
b) Low to very high water pressure condition exists in the slope. The safety factor can be improved
by proper drianage methods.
c) The FOS is derived from actual case studies backed by numerical modelling. Usually slope
performance curves provide a valuable tool in the design process where rock mass failure
plays a strong control in the stability of slopes. The authors included the influence of safety
factor as an additional parameter based on the actual case study analyses. Based on the failure
modes and analysis of Goan Iron mines, the influencing parameters and its corresponding
weight factor percentage were summerised in Table 8.6.
Table 8.6: Weighting Factors for Risk Analysis
S.
No.
1.
2.
3.
4.
5.
Weightage Factor (%)
Parameter
Steepening of Slope Angles

Laterite Cover and Structural Conditions
Influence of Ground Water Pressure
Surface erosion of benches
Irregular pit design
131
45
25
15
10
5
8.2.9 CONCLUSIONS
It is necessary in any slope stability programme to understand the failure mechanisms and the possible
conditions under which they may occur. However, our ability to assess different failure types or its
combination or dynamic process is limited with the present methodologies adopted. The problem for
designers of slope is how to cope up with complexity and variability. The process of design must consider
observations on rock behaviour and fracture mechanics, monitoring of rock movements and stresses
together with an assessment of the simplified mechanisms of failure to obtain an understanding of
ground behaviour. Computer methods can assess the interaction of ground interacting rock failure
mechanisms in complex geological conditions. Based on the detailed study of different strength
parameters of slope forming materials and analysis of documented slope failures, generalised slope
design guidelines were evolved for friable ore bodies.
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
Santharam A. and Thote N.R. (2005), Slope Control in Intensely Weathered Rock Masses: Case study of Saniem (Sacorda)
Iron Ore Mine, Goa , Proceedings of the National Seminar on Indian Mining Industry (IMID), Nagpur pp. 7178
Santharam A. and Thote N.R. (2008), Pit Slope Failure Problems in Goan Iron Ore Mines, Goa, India:, 6th International
Conference on Case Studies in Geotechnical Engineering, Arlington, Virginia, USA
Santharam A., Dr Thote N.R. and Dr Jethwa J.L. (2010), Applications of Risk Management Techniques for Assessment
of Rock Slope Engineering Problems - Applications of Rock Mechanics Tools and Techniques. Nagpur, pp. 112
Robertson, A. Mac G (1971), Determination of Stability of slopes in jointed rock with particular reference to the determination
of strength parameters and mechanism of failure. Ph.D. thesis, University of the Witwatersrand
Robertson A. and Mac G. (1988), Estimating Weak Rock Strength AIME Annual General Meeting, Tucson, Arizona, USA
Serafim J.L. and Periera J.P. (1983), Considerations on the Geomechanics Classification of Bieniawski Int.Symposium Eng.
Geology, Lisbon, Vol. 1, pp. 131142
132

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Government of India

Indian Bureau of Mines

C.S. Gundewar, Controller General

C.S. Gundewar, Controller General

Conceptualised & Prepared by

Technical Consultancy, Mining Research

Publication Section, ME Division

IBM Press, Indian Bureau of Mines

First Published 2014

Background of Rock Mechanics

Fundamentals of Rock Mechanics

Rock Mass Classification

Numerical Methods in Rock Excavation

Rock Mechanics Applications in

Application of Rock Mechanics in Opencast &

Rock Structure Rating

Rock Structure Rating of Parameter BJoint Pattern, Direction of Drive

Rock Structure Rating of Parameter CGroundwater, Joint Condition

Rock Mass Rating System (After Bieniawski 1989): ISRM

Guidelines for Excavation and Support of 10 m Span Rock Tunnels in

Classification of Individual Parameters Used in the

Instrument Types and Measurements

Computer Programmes for Blast Design and Analysis

Permissible Peak Particle Velocity (ppv) at the Foundation Level of

Suggested Support for Various Rock Conditions

Summary of Test Results

Rock Mass Classification of Adit No.1 and 2

SRK Geomechanics Classification: Slope Rock Mass Rating (SRMR)

Design Guidelines for Slope Angles based on SRMR System

Weighting Factors for Risk Analysis

Concept of Scale as it Pertains to Rock Mass Properties in

Typical Joint Patterns

Example of the Type and Influence, the Number of Joints Sets

Relation between Shear Stress, Normal Stress, Cohesion,

Calculation of Normal Stress, Shear Stress, Under Water Pressure

TimeStrain Plot for Creep

Uniaxial Compressive Strength Test

Brazilian Test for Tensile Strength of Rock

Flexural Strength Test (Modulus of Rupture)

Single Shear Test

Double Shear Test

Punch Shear Test

Torsional Shear Test

Triaxial Compressive and Shear Strength

Relation Between Friction and Cohesion

Portable Shear Box

Construction of a Great Circle and a Pole Representing a Plane

Procedure for Measurement and Calculation of RQD

RSR Support Estimates for a 24 ft (7.3 m) Diameter Circular Tunnel.

Estimated Support Categories Based on the Tunnelling Quality

Relation Between Unsupported Span, Standup Time and RMR Values

Simplified Illustrations of Most Common Slope Failure Modes

Typical Pit Slope Geometry

Slope Stability Analysis using SLIDE Software

Example of Finite Element Mesh