Peak and Residual Strengths of Jointed Rock Masses and Their Determination For Engineering Design

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Peak and residual strengths of jointed rock masses and their

determination for engineering design

M. Cai & P.K. Kaiser


Geomechanics Research Centre, MIRARCO, Laurentian University, Sudbury, Ontario, Canada

Y. Tasaka
Department of Advanced Engineering, Tokyo Electric Power Services Co. Ltd., Tokyo, Japan

M. Minami
Department of Construction, Tokyo Electric Power Company, Tokyo, Japan

ABSTRACT: Knowledge of the rock mass strength is required for the design of many engineering structures
in or on rocks. GSI system, proposed by Hoek et al. (1995), is now widely used for the estimation of the rock
mass peak strength and the rock mass deformation parameters. There are no guidelines given by the GSI, or
by any other system, for the estimation of the rock mass’ residual strength that yield consistent results. In the
present study, numerical simulations of laboratory strength tests are carried out to investigate the residual strength
behavior of rock masses. Based on the results from numerical simulation and laboratory and field tests, the GSI
system is extended to cover the residual strength of jointed rock masses. It is proposed to adjust the peak GSI
to the residual GSI r value based on the two major controlling factors in the GSI system, i.e., the residual block
volume Vbr and the residual joint surface condition factor Jcr . Methods to estimate the residual block volume and
joint surface condition factor are presented. The peak and residual strength parameters determined from the GSI
system are compared to the data from field block shear tests and the validity of the proposed method is verified.

1 INTRODUCTION estimation of the rock mass peak strength and the


rock mass deformation parameters. The GSI system
Knowledge of the rock mass strength and deformation concentrates on the description of two factors, rock
behavior is required for the design of many engi- structure and block surface conditions. It should be
neering structures in or on rock, such as foundations, noted that the guidelines given by the GSI system are
slopes, tunnels, underground caverns, drifts, and min- for the estimation of the peak strength parameters of
ing stopes. A better understanding of the rock mass jointed rock masses.
strength behavior, including the peak and residual Recently, a means to quantify this approach by use
strengths, will facilitate the cost-effective design of of field data, which employs the block volume (Vb )
such structures. and a joint surface condition factor (Jc ) as quantitative
However, the determination of the global mechan- characterization factors, was presented in Cai et al.
ical properties of a jointed rock mass remains one of (2004). The newly developed approach adds quantita-
the most difficult tasks in the field of rock mechan- tive means to facilitate use of the system, especially by
ics. Given the number of parameters that affect rock inexperienced engineers. It can also facilitate the use
mass deformability and strength, it is generally impos- of probabilistic design approach to tunnel and cavern
sible to develop a universal law that can be used in any design using the GSI system (Cai & Kaiser 2006a). In
practical way to predict the strength of the rock mass. addition, the approach has been developed and tested
Traditional methods to determine these parameters for rock mass’s residual strength estimation (Cai et al.
include plate-loading tests for deformation modulus 2006).
and in-situ block shear tests for strength parameters. In this paper, we will first illustrate some numer-
These tests can only be performed when the explo- ical simulation results for the complete stress-strain
ration adits are excavated and the cost of conducting curves of rocks and then present a quantitative
in-situ tests is high. approach for the determination of the peak and resid-
The Geological Strength Index (GSI), proposed ual strengths of jointed rock masses for engineering
by Hoek et al. (1995), is now widely used for the design.

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© 2007 Taylor & Francis Group, London, UK
2 NUMERICAL SIMULATION OF COMPLETE
STRESS-STRAIN CURVES OF ROCKS
UNDER LOADING

Experimental study of the complete stress-strain rela-


tions of rocks revealed that peak and residual strengths
of rocks increase with increasing confining pressures
(Wawersik & Fairhurst 1970, Rummel & Fairhurst
1970). In the following discussion, numerical sim-
ulation was performed to investigate some of the
dominant factors that control the peak and residual
strengths of rocks.
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2.1 PFC simulation


PFC (Itasca 2002) model simulation is used to obtain
the complete stress-strain relations of samples consist-
ing of disks. The model, which is 50 mm in width and
100 mm in height, contains disks of different diame-
ters. The minimum disk radius is 0.4 mm and there are
4721 disks. Load is applied by assigning a fixed verti- Figure 1. Influence of ball friction coefficients on the
cal velocity to the top and bottom walls. Confinement stress-strain relations.
is applied using servo-controlled sidewalls. The nor-
mal velocity of the sidewalls is continuously updated
to keep the prescribed confining stress within a small
error range.
When the bonds fail, the cohesion (bond) strength is
lost. Because material heterogeneity is considered, the
bonds fail gradually and thus cohesion strength is lost
gradually. In the simulation, only peak bond strength
is prescribed. The residual bond strength is zero and
only the frictional and dilational effect contributes to
the residual strength of the sample.
In the first simulation, the ball friction coeffi-
cient (= tan φ) at contacts is varied from 0.4 to 1.2.
The stress-strain relations for different ball friction
coefficients are presented in Figure 1. The confin-
ing pressure is 10 MPa for all cases. When the bond
breaks, the bond strength is lost and the balls can
support only the frictional strength. It is seen that
the ball friction coefficient affects not only the resid-
ual strength but also the peak strength because at the
pre-peak stage, as some weak bonds are broken, the
friction strength components are mobilized gradually.
In the post-peak region, strain-softening is observed.
Figure 2. Influence of bond strength on the stress-strain
The residual strength is similarly affected by the ball
relations.
friction coefficient as the peak strength. Due to high
confining pressure and the interlocking along the shear
plane, large residual strength fluctuation is observed.
However, a general trend can be detected that as the standard deviation vary at the same rate, with a COV of
friction coefficient decreases, the residual strength 20%. The simulation result (Fig. 2) demonstrates that
level decreases. the bond strength (cohesion) influences primarily the
Next, the influence of the bond strength (normal peak strength and has limited impact on the residual
and shear) on the stress-strain relations is investigated strength. After large deformation, the bond strength is
and the results are presented in Figure 2. The confin- completely exhausted. If the friction strengths are the
ing pressure is 10 MPa and the friction coefficient is same, then the residual strengths of the samples are
1.0 for all cases. The bond strength and the strength roughly the same.

260
© 2007 Taylor & Francis Group, London, UK
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(A)

Figure 3. Damage initiation and propagation and residual


strength of a rock (φ = 40◦ ) for an unconfined sample.

(B)

2.2 ELFEN simulation Figure 4. (A) Influence of confining pressure on the


post-peak behavior; (B) crack pattern.
ELFEN (Rockfield 2003) is a FEM/DEM combined
numerical simulation tool. The major advantage of this
simulation tool is that it can capture the transition from
a continuum to a discontinuous state. load does not drop to zero as would be observed from
Again, biaxial compression test simulations are car- laboratory tests.
ried out. The model is 50 mm in width and 100 mm in The influence of the lateral confining pressure on
height. The bottom is fixed in vertical direction and the stress-displacement relation is studied and the
a constant displacement loading is applied on the top results are presented in Figure 4A. The residual load
of the sample. Confining pressure can be applied to is substantially higher at a higher confining stress.
the vertical sidewalls. The cohesion softening and fric- This is due to the fact that cracking development is
tional and dilation strength mobilization are based on affected by the confining stress and the contribution
a softening/hardening parameter, which is essentially of the frictional strength component depends on the
a measure of plastic shear strain increment. Material normal stress (σn tan φ). The crack patterns are shown
model-19 (RCMC – Rotating Crack Mohr-Coulomb in Figure 4B. Spalling type failure is observed at zero
model in ELFEN), which allows heterogeneity con- confining stress. As the confinement increases, the
sideration, is used for the simulation. shear band changes its inclination angle with respect
An example of fracture pattern without confining to the horizontal direction.
pressure is presented in Figure 3. In the pre-peak It is concluded from the above simulations that
region, there is random crack formation, due to the the friction of the block surface influences the rock
material heterogeneity. Immediately after the peak residual strength considerably. The interlock and cohe-
load, the number of cracks increases drastically and sion, on the other hand, also influence the rock
the spalling process begins and continues as the strain residual strength. The post-peak failure disintegrates
further increases. At a vertical displacement of about the rock into smaller blocks or volumes. In other
1.7 mm, the rock is highly fractured but a residual load words, the residual strength of the rocks is governed
can be carried by the spalls. The reduction in the load- by the shear or kink bands which are formed by
bearing capacity in the post-peak region is therefore smaller blocks. In addition, the rock residual strength
due to the cracking of the specimen resulting in area depends on the loading system stiffness. For dis-
sample with some loading bearing spalls and some placement loading (rigid loading system), the residual
sheared spalls. Hence, the load bearing capacity is par- strength is not zero even without confining pres-
tially cohesive and partially frictional. The fracturing sure. The understanding of the complete rock failure
process eventually disintegrates the rock into smaller process from both experiments and numerical simula-
blocks. Note that the displacement loading condition in tions will assist us in the development of a method
the model simulation corresponds to a loading system for the residual strength estimation of jointed rock
with infinite system stiffness. Hence, the post-peak masses.

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© 2007 Taylor & Francis Group, London, UK
3 DETERMINATION OF PEAK STRENGTH Joint or Block Wall Condition

compact coating or fillings of angular fragments

Slickensided, highly weathered surfaces with


Slickensided, highly weathered surfaces with
3.1 Generalized Hoek-Brown criterion for peak

Very rough, fresh unweathered surfaces


strength
GSI

Smooth, moderately weathered or

soft clay coatings or fillings


Rough, slightly weathered,
The generalized Hoek-Brown criterion for jointed rock

iron stained surfaces


masses (Hoek & Brown 1988) is

altered surfaces
Very good

Very poor
Block Size

Good

Poor
Fair
Massive - very well interlocked
undisturbed rock mass blocks formed 10E+6

e
by three or less discontinuity sets

ne

on
95

zo
with very wide joint spacing

ez
150

re
Joint spacing > 100 cm

lur
u
85

fai
ail
100 cm 90
1E+6

ef
where mb , s, a are constants for the rock mass, and

le
90 3

ritt
Blocky - very well interlocked

ittl
80 75 (1 m )

lb
Br
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undisturbed rock mass consisting 70


σc is the uniaxial compressive strength of the intact

tia
of cubical blocks formed by three 60 80

ten
65
orthogonal discontinuity sets 50

Po
rock. In order to apply the Hoek-Brown criterion for Joint spacing 30 - 100 cm
40 70
100E+3

estimating the strength of jointed rock masses, three 30 cm 55

Block Volume Vb (cm3)


Very Blocky - interlocked, partially
properties of the rock mass have to be obtained. The disturbed rock mass with multifaceted
angular blocks formed by four or more
20
60
45 10E+3

first one is the uniaxial compressive strength of the discoutinuity sets


Joint spacing 10 - 30 cm 50 35
intact rock. The second is the value of the Hoek-Brown 10 cm
40 1000
3
(1 dm )
constant mi for the intact rock and the last one is the Blocky/disturbed - folded and/or
faulted with angular blocks formed by
25

value of GSI for the rock mass. σc and mi can be deter- many intersecting discontinuity sets
Joint spacing 3 - 10 cm 5 30
100
mined by statistical analysis of the results of a set of 3
15

triaxial tests on carefully prepared core samples. GSI Disintegrated - poorly interlocked,
heavily broken rock mass with a
20
10
2
mixture or angular and rounded
values can be obtained from a chart provided in Hoek rock pieces
Joint spacing < 3 cm
et al. (1995) or other relevant references. Once the GSI 1 cm
10
1
value is known, other Hoek-Brown parameters mb , s, Foliated/laminated/sheared - thinly
laminated or foliated, tectonically sheared
a are given as (Hoek et al. 2002): weak rock; closely spaced schistosity
prevails over any other discontinuity set,
N/A N/A 5

resulting in complete lack of blockiness 0.1


Joint spacing < 1 cm 12 4.5 1.7 0.67 0.25 0.09
Joint Condition Factor Jc

Figure 5. GSI chart (Cai et al. 2004).

persistence, is an extremely important indicator of rock


mass quality. The block volume can be calculated from

where mi is a Hoek-Brown constant for the intact rock,


D is a factor that depends on the degree of disturbance where si , γi and pi are the joint spacing, the angle
to which the rock mass has been subjected by blast between joint sets, and joint persistence factor, respec-
damage and stress relaxation. tively. If the joints are not persistent, i.e., with rock
bridges, the rock mass strength is higher and the global
rock stability is enhanced. This effect can be consid-
3.2 Determination of GSI value based on Vb and Jc ered using the concept of equivalent block volume as
To facilitate the use of the system, Cai et al. (2004) suggested in Cai et al. (2004). The consideration of
presented a quantitative approach that employed the joint persistency has been verified using numerical
block volume Vb and a joint surface condition factor simulation by UDEC and 3DEC (Kim et al. 2006).
Jc as quantitative characterization factors. The quanti- For persistent joint sets, pi = 1.
tative approach was validated using field test data and In the GSI system, the joint surface condition is
applied to the estimation of the rock mass properties defined by the roughness, weathering, and infilling
at two cavern sites in Japan. The quantified GSI chart condition (Hoek et al. 1995, Cai et al. 2004). The com-
is presented in Figure 5. bination of these factors defines the strength of a joint
It provides a means for consistent rock mass char- or block surface. The joint surface condition factor is
acterization and thus improves the utility of the GSI defined as
system.
Block size, which is determined from the joint spac-
ing, joint orientation, number of joint sets and joint

262
© 2007 Taylor & Francis Group, London, UK
where JW , JS , and JA are the joint large-scale waviness calculation. According to the logic of the original GSI
factor, small-scale smoothness factor, and alteration system, the strength of a rock mass is controlled by
factor, respectively. The tables for peak Jw , JS , and its block size and joint surface condition. The same
JA are given in Cai et al. (2004). Once Vb and Jc are concept is valid for failed rock masses at the residual
determined, users can refer to Figure 5 or the following strength state. In other words, the residual GSIr is a
equation (Cai & Kaiser 2006b) to calculate GSI value. function of residual joint surface condition factor Jcr
and block volume Vbr .

4.2 Residual block volume


The block volume spectrum from “massive” to “very
4 DETERMINATION OF RESIDUAL blocky” rock masses ranges from 103 –107 cm3 , and for
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STRENGTH “disturbed” to “sheared” rock from 0.1–103 cm3 . If a


rock experiences post-peak deformation, the rock in
So far, much research has been focused on the deter- the broken zone is fractured and consequently turned
mination of peak strengths, and limited attempts have into a poor and eventually “very poor” rock.
been made to approximate the residual strength of For the residual block volume, it is observed that
jointed rock masses. Several attempts have been made the post-peak block volumes are small because the
to estimate the residual strength of jointed rock masses rock mass has experienced tensile and shear fractur-
(e.g. Hoek 2000, Russo et al. 1998, Ribacchi 2000), ing. After the peak load, the rock mass becomes less
however, these methods lack generality and lead to interlocked, and is heavily broken with a mixture of
inconsistent results for different rock masses. A new angular and partly-rounded rock pieces. Numerical
approach is proposed here to estimate the residual simulation using ELFEN revealed that the rock masses
strength parameters of jointed rock masses. in the fracture zone around underground openings are
broken to small blocks. Detailed examination of the
rock mass damage state before and after the in-situ
4.1 Generalized Hoek-Brown criterion for block shear tests at some underground cavern sites in
residual strength Japan revealed that in areas that were not covered by
It is observed that the rock mass in its residual state concrete, the failed rock mass blocks are 1 to 5 cm
represents one particular kind of rock mass in the in size. The rock mass is disintegrated along a shear
spectrum in the GSI chart. The rock mass spectrum zone in these tests. The strength of a fault can be
is defined by the combination of the block volume regarded as the lower bound strength of the rock mass.
spectrum and the joint surface condition factor spec- Shearing disintegrates and damages the rock mass
trum. Hence, the generalized Hoek-Brown criterion and weathering further weakens the fault strength.
for the residual strength of jointed rock masses can be Block sizes observed from fault outcrop also support
written as the concept of block size of rock mass at residual
state.
In summary, the residual block volumes can be
considered independent of the original (peak) block
volumes for most strain-softening rock masses. The
fractured residual rock mass will have more or less
where mr , sr , ar are the residual Hoek-Brown constants the same residual block volume in the shear band for
for the rock mass. It is postulated that these constants intact rocks, moderately jointed and highly jointed
can be determined from a residual GSIr value using rock masses, as illustrated in Figure 6. As an estimate,
the same equations for peak strength parameters, i.e., if the peak block volume Vb is greater than 10 cm3 ,
then, the residual block volume Vbr in the disintegrated
category can be taken to be 10 cm3 . If Vb is smaller
than 10 cm3 , then, no reduction to the residual block
volume is recommended, i.e., Vbr = Vb .

4.3 Residual joint surface condition factor


The failure process affects the joint surface condition,
especially the joint roughness. According to Barton
et al. (1985), the difference between peak and residual
Because the rock masses are in a damaged, residual JRC is large if the peak JRC value is high. The under-
state, D = 0 is used for the residual strength parameter lying implication is that the drop of GSI from peak to

263
© 2007 Taylor & Francis Group, London, UK
Intact
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Moderately
jointed

Highly
jointed Figure 7. Normalized joint roughness – shear displacement
relationship (Barton et al. 1985).

Hence, the residual joint surface condition factor Jcr


is calculated from
Initial state Residual state

Figure 6. Illustration of the residual block volume.

where JWr , JSr , and JAr are residual values for large-scale
residual values should be larger for rock masses with waviness, small-scale smoothness, and joint alteration
fresh and rough joints. factor, respectively. The residual values are obtained
The major factor that alters the joint surface con- based on the corresponding peak values assessed from
dition in the post-peak region is the reduction of joint field mapping. The reduction of JWr and JSr are based
surface roughness, as shown in Figure 7 for the grad- on the concept of mobilized joint roughness, and the
ual degradation of JRC. Peak mobilized roughness equations are given as
angle is given as JRC · log (JCS/σn ), where JCS is the
joint wall compressive strength, and σn is the normal
stress acting on the joint. The mobilized joint resid-
ual roughness is zero according to the same figure,
which can only be achieved when the joint experi-
ences a very large shearing displacement. On the other
hand, the concept of ultimate mobilized joint rough-
ness was suggested by Barton et al. (1985). According 4.4 Residual GSI value and strength parameters
to Figure 7, the joint surface roughness is gradually
destroyed during the shearing process and the ultimate Once the residual block volume and joint surface con-
mobilized roughness is about half of the peak rough- dition factor are obtained, one can refer to the GSI chart
ness (JRCmob /JRCpeak = 0.5). It is therefore proposed or use the following equation to obtain the residual GSI
here that the large-scale waviness and the small-scale value
smoothness of joints be calculated by reducing its peak
value by half to calculate the residual GSI value. In a
short time period, joint alteration is unlikely to occur
so that the joint alteration factor JA will be unchanged
in most circumstances. However, when water and clay As for the intact rock properties, fracturing and
infill material is involved, the fractured rock surface shearing do not weaken the intact rocks (even if they
can have a lower residual JA . are broken into smaller pieces) so that the mechanical

264
© 2007 Taylor & Francis Group, London, UK
Table 1. Characterization of the rock mass peak and residual 25
strengths for FS1 at the Kannagawa site using the GSI system. GSI (peak)
Test data (peak)
FS1 GSI (residual)
Test data (residual)
Peak Residual 20

Jw 1.5 1
Js 1.5 0.75

Shear stress (MPa)


JA 1 1
GSI system Jc 2.25 0.75 15
Vb (cm3 ) 295000 10
GSI 64.8 27.8
σc (MPa) 126 126
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mi 19 19 10
c (MPa) 3 0.96
φ = φb + i (0 ) 56.6 49.3
Block shear test c (MPa) 3.4 0.5
φ = φb + i (0 ) 57 49
5

parameters (σc and mi ) should be unchanged. What has


changed are the block size and joint surface condition 0
(especially the roughness). Once the reduced GSIr is 0 2 4 6 8 10
obtained, the residual Hoek-Brown strength parame- Normal stress (MPa)
ters or the equivalent residual Mohr-Coulomb strength
parameters can be calculated. Figure 8. Comparison of peak and residual strength calcu-
The proposed method for the estimation of rock lated from the GSI system and field test data (FS1).
mass peak and residual strength has been validated
using in-situ block shear test data from some large-
scale cavern construction sites and the data from the
back-analysis of a rock slope stability. Due to space The average peak and residual strength parameters
limitation, only one example is given in the next estimated from the GSI system are given in Table 1,
section. along with the data obtained from the in-situ block
shear tests, for domain FS1. The average peak strength
estimated from the GSI is slightly lower than the field
5 APPLICATION EXAMPLE data average (Fig. 8), and the average residual strength
estimated from the GSI is slightly higher than the field
The Kannagawa pumped hydropower project (Mae- data average. However, the differences are well within
jima et al. 2001) in Gumma Prefecture in Japan is the data variability shown in the field test data (Cai &
now under construction with a maximum output of Kaiser 2005).
2,820 MW. The powerhouse cavern at 500 m depth has The quantitative approach presented in this paper
a width of 33 m, a height of 52 m, and a length of uses the block volume and joint surface condition fac-
216 m. The cavern excavation was started in 1998 and tor to determine both the peak and residual GSI values.
the last bench was completed in 2000. These input parameters in the example were obtained
The rock mass at the site consists of conglomerate, from field mapping and from borehole logging data.
sandstone, and mudstone. The rock masses are clas- The strength and deformation parameters estimated
sified into five major groups or domains. Sixty-four from the GSI system are very close to those obtained
uniaxial compressive tests were conducted to deter- from in-situ tests, indicating that the GSI system can
mine the average strength and standard deviation of be effectively applied to the design of engineering
each rock type. The parameter mi for each rock types structures in rocks.
was obtained from a limited number of tri-axial tests.A
total of 21 block shear tests were conducted at six test
locations. Since the intact rock strength, joint spacing, 6 CONCLUSIONS
and joint surface condition vary even within the same
rock type designation zone, the point estimate method The Geological Strength Index (GSI) system is a rock
(PEM) (Rosenblueth 1981) is used to represent the mass classification system that is directly linked to
encountered variability of rock mass properties. engineering parameters such as Mohr-Coulomb or

265
© 2007 Taylor & Francis Group, London, UK
Hoek-Brown strength parameters or rock mass modu- such as UDEC or 3DEC should be considered instead
lus. The original GSI system, which is applied mainly of a continuum analysis. The users must be aware
for the estimation of the peak strength, is based on of the limitations when applying the GSI system
a descriptive approach, rendering the system some- and the methodology for determining the peak and
what subjective and difficult to use for inexperienced residual strength parameters using this quantitative
personnel.To assist the use of the GSI system, a supple- approach.
mentary quantified approach for the GSI system has
been proposed by incorporating quantitative measures
of block volume and joint surface condition factor. The ACKNOWLEDGEMENTS
concept of residual block volume Vbr and residual joint
surface condition factor Jcr is introduced to extend the This study was funded by Tokyo Electric Power Ser-
GSI system for the estimation of rock mass’s residual vices Co. Ltd (TEPSCO). The authors wish to thank
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strength. Tokyo Electric Power Company (TEPCO) for provid-


The residual block volume is found to be in the cat- ing access to test sites and test data and permitting to
egory of the “disintegrated” rocks in the GSI chart, publish the results. The authors also thank Dr. Evert
characterized by the facts that the failed rock masses Hoek for his valuable comments and suggestions for
at the residual strength level are poorly interlocked, this study.
heavily broken with a mixture of angular and rounded
rock pieces. The average block size of 10 cm3 is sug-
gested for the residual GSIr value estimation. For joint REFERENCES
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