6.

ROCK DEFORMATIONS

6.1 General

Deformations in a rock mass that do not cause any risk of failure in the rock can nonetheless
cause serious consequences for statically indeterminate constructions founded on a rock mass
with varying deformation characteristics, see Figure 6.1. When the water level in the reservoir
varies the rock and the dam will be deformed. Due to variations in the deformability of the
rock mass, the stress concentrations can occur in the dam. If the dam is made of concrete the
differential settlements can induce jointing in the dam construction.

Figure 6.1 Stress concentrations due to varying deformability of the rock mass. (Goodman
1980)

Statically indeterminate constructions occur also in underground applications. A common

example is excavations with a large span that have been stabilised by leaving rock pillars. The
stress distribution in the pillars depends on among other things on the geometry of the pillar,
the virgin stresses, the distance between the pillars, and the material properties of the pillars
and the country rock. Figure 6.2 illustrates principally how the average stress in a pillar
depends on the relationship between the deformation properties of the pillars and the country
rock (Coates, 1981).
Figure 6.2 Pillar stress as a function of the stiffness ratio of the country rock and the
pillars (Coates 1981).

In many applications it is necessary to support (reinforce) or stabilise the rock to prevent

fallout and thereby also propagates of failure which causes a change in geometry. Such an
example is the back-filling of stopes in the cut-and-fill mining method. In order for the fill to
have a stabilising effect, the back-fill must be consolidated. This is achieved by an inward
deformations of the walls of the mining stope (convergence) which induces a normal support
pressure for the walls. Rock support elements such as some types of rock bolts require a
certain deformation before they can carry a load. A supported underground opening is
therefore also an example of a statically indeterminate construction. Support and stabilisation
of rock constructions is dealt with briefly in Chapter 7.

The deformations that occur in a rock mass can be assumed to consist of an elastic
(reversible) and a non-elastic (irreversible) part. Many hard rock types prove to have almost
perfect elastic properties when small specimens are loaded in a laboratory test. A rock mass
containing large discontinuities, joints, strata, schistosity, crushed zones, weathered/altered
rock and clay with plastic properties can however not be expected to behave perfectly elastic.
Loading of an unaffected rock mass the stress-displacement curves may show both remaining
deformations as well as hysteresis effects. This is clearly shown in Figure 6.3.

a)
H

H
Δx

Δx
b)
p
ur

ur

Figur 6.3 Permanent and non-linear deformation caused by cyclical loading: a) dam,
b) pressurised borehole or tunnel.
6.2 Deformations in a continuum

6.2.1 General

The movement of a body under the influence of a force field can be described as the sum of
rigid body movements (no deformations in the body) and deformation. The movement can be
described with the help of the displacement vector u = (u x , u y , uz ) , the components of which

are generally functions of the spatial coordinates. The deformation consists of normal strain
and shear, which for small deformations is defined in the following manner:

− Normal strain ε is equal to the relative elongation of a line element, if |ε| << 1.
− Shear, γ, is equal to the change of angle between two line elements originally at right angles
with each other, if |γ | << 1.

In order to describe the state of deformation in a point it is sufficient to specify the strain in
three directions at right angles to each other and the corresponding three shears. In the point
(x, y, z) the strains and shears are related to the displacement components accordingly:

∂u x ∂u y ∂u z
εx = , εy = , εz = (6.2.1a)
∂x ∂y ∂z

∂u x ∂u y ∂u y ∂u z ∂u z ∂u x
γ xy = + , γ yz = + , γ zx = + (6.2.1b)
∂y ∂x ∂z ∂y ∂x ∂z

To satisfy the definition of a tensor, the strain components representing the shear
deformation, has to be defined as

γ xy γ yz γ zx
ε xy = , ε yz = , ε zx = (6.2.2)
2 2 2

where εxy, εyz and εzx are usually named shear strains.
The strain state in a point can be mathematically described by the symmetrical strain matrix
[ε], where

⎡ εx ε xy ε zx ⎤
[ε ] = ⎢⎢ε xy εy
⎥
ε yz ⎥ (6.2.3)
⎢ε zx ε yz ε z ⎥⎦
⎣

When the strain state in a point is known within one Cartesian coordinate system, x, y, z, the
strain matrix in an arbitrary Cartesian coordinate system can be calculated with the help of a
coordinate transformation as described in detail in APPENDIX E.

In the general case the strain state in a point is described by both normal strains and shear
strains. For every point in a body there is at least one Cartesian coordinate system, ξ, η, ζ,
such that ε ξη = εηζ = εζξ = 0 . The strain state can, for this coordinate system, thus be

characterised only by the normal strains εξ, εη, εζ. These quantities are usually termed
principal strains and corresponding directions (coordinate axes directions) are usually labelled
principal strain directions. The principal strains are labelled ε1 > ε 2 > ε 3 and are defined as
the roots of the Equation

ε 3 − K 1ε 2 + K 2 ε − K 3 = 0 (6.2.4)

where K1, K2, K3 are the invariants of the strain tensor (independent of coordinate systems).
They are defined as

K1 = ε x + ε y + ε z (6.2.5a)

K 2 = ε x ε y + ε y ε z + ε z ε x − ε xy2 − ε yz2 − ε zx2 (6.2.5b)

εx ε xy ε zx
K 3 = ε xy εy ε yz (6.2.5c)
ε zx ε yz εz
As the term implies these invariants are independent of coordinate systems.

In the plane, perpendicular to a principal strain direction (the principal strain εz’s direction),
the relation between the strain components ε x , ε y , ε xy = γ xy / 2 and the normal strain ε(ϕ) and

the shear strain γ (ϕ)/2 in a direction ϕ, according to Figure 6.4, are expressed as

ε (ϕ ) = ε x cos 2 ϕ + ε y sin 2 ϕ + γ xy sin ϕ cos ϕ (6.2.6a)

γ (ϕ ) γ xy
= (ε y − ε x )sin ϕ cos ϕ + (cos 2 ϕ − sin 2 ϕ ) (6.2.6b)
2 2

analogous with the expressions for the normal stress, σ (ϕ), and the shear stress, τ (ϕ) , in
Chapter 5.

The strain state in a point can be illustrated in a γ / 2 − ε -diagram with help of Mohr’s strain
circle, as shown in Figure 6.4. It is used similarly to Mohr’s stress circle.

In the plane perpendicular to a principal strain ( ε 3 = ε z ), the principal strains and principal
strain directions are defined by the relations

1
εx + ε y ⎧⎪⎛ ε x − ε y ⎞ 2 ⎛ γ xy ⎞ 2 ⎫⎪ 2

ε1, 2 = ± ⎨⎜ ⎟ +⎜ ⎟ ⎬ (6.2.7a)
2 ⎪⎩⎝ 2 ⎠ ⎝ 2 ⎠ ⎪
⎭

γ xy
tan 2 χ1, 2 = (6.2.7b)
εx − ε y

The state of strain in a point can, in analogy with the state of stress, be represented by Mohr’s
circles in all planes perpendicular to any of the principal strain directions (three possible
planes represented by one circle each).
Figure 6.4 Mohr’s strain circle.

In analogy with the state of stress, the state of strain can be defined as the sum of a
hydrostatic and a deviatoric strain state. The deviatoric part of the strain matrix is usually
termed the strain deviator, [e] and is defined as

⎡ ex exy ezx ⎤
[e] = ⎢⎢exy ey
⎥
e yz ⎥ (6.2.8)
⎢ezx e yz ez ⎥⎦
⎣

where

εx + ε y + εz εx + ε y + εz εx + ε y + εz
ex = ε x − , ey = ε y − , ez = ε z − (6.2.9a)
3 3 3
exy = ε xy , e yz = ε yz , ezx = ε zx (6.2.9b)
6.2.2 Compatibility equations

By taking the derivative of the strain-displacement-relations, and elimination the

displacement terms a relations between derivatives of the strains is obtained. It is assumed
that the displacements are continuous and differentiable functions for which the order of the
differentiation is arbitrary. The obtained strain relations are named compatibility equations
and are the conditions which ensure that the strain state is compatible with displacements that
are continuous. The material thereby maintains its continuity which for example implies that
material does not overlap, and that cracks are not formed.

6.2.3 The geomechanical symbol convention

The long-term stresses that appear in a rock mass are mainly compressive stresses. The
stresses and strains should according to the classical continuum mechanics symbol
convention therefore most often be negative quantities.

In order to avoid this, a geomechanics sign convention has been formulated:

− Displacements are positive when acting in the coordinate axes positive directions
− Normal strains are considered positive at compression

6.3 Constitutive relations

The determination of the stress and deformation state in a loaded body demands mathematical
relations between stresses and strains, so-called constitutive equations. A real materials
stress-strain relation must be determined with help of idealisations where the essential
properties of the problem are considered.
6.3.1 Linearly elastic, isotropic material

A linearly elastic material is defined by linear mathematical relations between stress and
strain components. Robert Hooke in 1676 introduced the idea of elasticity in springs. His
name is also used for the relations applied to linear elastic materials in general. Hooke’s
generalised law for homogenous and isotropic linear elastic material is expressed
mathematically as

1 1
εx =
E
[ ]
σ x − ν (σ y + σ z ) + αΔT , γ xy =
G
τ xy (6.3.1a)

1 1
εy =
E
[ ]
σ y − ν (σ x + σ z ) + αΔT , γ yz =
G
τ yz (6.3.1b)

1 1
εz =
E
[ ]
σ z − ν (σ x + σ y ) + αΔT , γ zx =
G
τ zx (6.3.1c)

or

⎧ εx ⎫ ⎛ 1 −ν −ν 0 0 0 ⎞ ⎧σ x ⎫
⎪ε ⎪ ⎜ ⎟
⎜−ν 1 −ν 0 0 0 ⎟ ⎪σ y ⎪
⎪ ⎪ y ⎪ ⎪
⎪ εz ⎪ 1 ⎜ − ν −ν 1 0 0 0 ⎟ ⎪σ z ⎪
⎨ ⎬= ⎜ ⎟⎨ ⎬ (6.3.2)
⎪ε xy ⎪ E ⎜ 0 0 0 (1 + ν ) 0 0 ⎟ ⎪τ xy ⎪
⎪ε yz ⎪ ⎜ 0 0 0 0 (1 + ν ) 0 ⎟ ⎪τ yz ⎪
⎪ ⎪ ⎜ ⎟⎪ ⎪
⎩ε zx ⎭ ⎝ 0 0 0 0 0 (1 + ν )⎠ ⎩τ zx ⎭

where

E
G= , (6.3.3)
2(1 + ν )

E and ν denotes shear modulus, Young’s modulus and Poisson’s ratio. The relative volume
change ε v = ε1 + ε 2 + ε 3 , at hydrostatic loading σ 1 = σ 2 = σ 3 = p is determined by the
relation
 p
εv = (6.3.4)
K

where

E
K= (6.3.5)
3(1 − 2ν )

is the bulk modulus.

6.3.2 Anisotropic material

Many rock types and rock masses show anisotropic mechanical characteristics. This might
have its origin in microscopic anisotropy as well as stratification and tectonics. It is hardly
possible to mathematically deal with a material with general anisotropic properties.
Orthotropic symmetry does not involve any great mathematical difficulties. For an orthotropic
material three orthogonal directions with different mechanical characteristics can be
identified. If a rock mass has three orthogonal joint systems then orthotropic characteristics
can be expected.

The simplest case of anisotropy is transverse isotropy, which implies that the elastic
characteristics are equal in one plane but not in the planes perpendicular to it.
Artificially laminated composites and stratified rocks are examples of material that display
such properties (Figure 6.5). The stress and strain relation for homogenous, transverse
isotropic linear elastic material is described mathematically as:

1 1
εx =
E1
[
σ x − ν1σ y − ν 2σ z , ] γ xy =
G1
τ xy (6.3.6a)

1 1
εy =
E1
[
σ y − ν1σ x − ν 2σ z , ] γ yz =
G2
τ yz (6.3.6b)

1 ⎡ E1 ⎤ 1
εz = ⎢ E σ z − ν 2 (σ x + σ y )⎥ , γ zx = τ zx (6.3.6c)
E1 ⎣ 2 ⎦ G2

where

G1 = shear modulus in the plane of isotropy

G2 = shear modulus in planes perpendicular to the plane of isotropy
E1 = Young’s modulus in the plane of isotropy
E2 = Young’s modulus in planes perpendicular to the plane of isotropy
ν1 = Poisson’s number in the plane of isotropy
ν2 = Poisson’s number in planes perpendicular to the plane of isotropy

and where G1 is defined as

E1
G1 = (6.3.6d)
2(1 + ν1 )
Figure 6.5 Transverse isotropic material.

The stress-strain relation can also be expressed in the form of a matrix

⎛ 1 − ν1 − ν2 0 0 0 ⎞
⎜ ⎟
⎧ εx ⎫ ⎜ − ν1 1 − ν2 0 0 0 ⎟ ⎧σ x ⎫
⎪ε ⎪ ⎜−ν E1 ⎪ ⎪
⎪ y⎪ ⎜ 2 − ν2 0 0 0 ⎟⎟ ⎪σ y ⎪
⎪ εz ⎪ 1 ⎜ E2 ⎪σ z ⎪
⎨ ⎬= ⎜ 0 0 0 (1 + ν1 ) 0 0 ⎟⎟ ⎨ ⎬ (6.3.7)
ε
⎪ ⎪xy E E1 ⎪τ xy ⎪
1
⎜ 0 0 0 0 ⎟
0 ⎪τ ⎪
⎪ε yz ⎪ ⎜ 2G2 ⎟ yz
⎪ ⎪ ⎜ ⎪ ⎪
⎩ε zx ⎭ E1 ⎟ ⎩τ zx ⎭
⎜ 0 0 0 0 0 ⎟
⎝ 2G2 ⎠

Figure 6.6 shows the results from uniaxial compression tests on Offerdal schist. Young’s
modulus reveals a clear anisotropy with the highest value parallel to the schistosity. The tests
were prepared from cores that were drilled in different directions in relation to the schistosity.
The theory of elasticity for transverse isotropic materials, can be used to derive Young’s
modulus, Eβ, in an arbitrary loading direction

1 cos 4 β sin 4 β ⎛ 1 2ν 2 ⎞ 2
= + +⎜ − ⎟ sin β cos β
2
(6.3.8)
Eβ E1 E2 ⎝ G2 E1 ⎠

where E1, E2, ν2, and G2 are defined by the Equation (6.3.6 ) and Figure 6.5. β is the angle
between the loading direction and schistosed planes as in Figure 6.6. The corresponding
curves for Poisson’s ratio usually also show a clear anisotropy.

Figure 6.6 Young’s modulus as a function of the angle between the schistosed plane and
the loading direction.
6.3.3 Time-dependent material

In the material relations that have been dealt with up to now, time has not been a parameter. It
has been assumed that the material under the influence of static loads behaves independent of
time. In certain cases however it is necessary to take into consideration time in the stress-
deformation relation. One such case is when the rock displays both elastic and viscous
characteristics. Rock types with such characteristics are for example coal, salt and potash.
When deformation occurs, there is simultaneously storage of internal energy dissipation
(transformation of mechanical energy to heat). This dissipation is characterised by the fact
that it cannot be developed instantaneously, without a certain finite amount of time being
required. A material that displays these properties is usually designated viscoelastic.

A viscoelastic material loaded with a constant stress, displays a time-dependent continuous

deformation called creep. If a viscoelastic rock type sample is subjected to a constant stress,
σ, and the axial strain, ε, is registered as a function of time, a creep curve with a principle
appearance according to Figure 6.7 can be obtained.

During creeping, three different stages can be identified. The first stage is called primary
creep and is characterised by a decreasing strain rate dε/dt. Thereafter follows a stage called
secondary creeping characterised by approximately constant strain rate. In the third stage, the
tertiary period, the strain rate increases, which finally leads to failure, so-called creep failure.
Figure 6.7 Creep curve (Goodman, 1980).

Within the theory of linear viscoelasticity it is possible to illustrate the fundamental

characteristics of a material using mechanical analogy. The mechanical model is build up of
elements that consist of linearly elastic springs and linearly viscose dashpots. Figure 6.8
shows five different models that are based on combinations of springs and dashpots.

The simplest are Maxwell and Kelvin with springs and dashpots in series and parallel,
respectively. Burger’s model which consists of a Maxwell material in series with a Kelvin
material is the simplest model which makes it possible to simulate both primary and
secondary creep.
Figure 6.8 Simple linear viscoelastic models: a) Maxwell b) Kelvin,
c) Generalised Maxwell, d) Generalised Kelvin, e) Burger.

6.3.4 Discontinuous rock masses

The joints affect the properties of the rock mass mainly by altering its strength, deformability
and conductivity. When the joints become deformed the deformation properties of the rock
mass and its conductivity are changed. The deformation that occurs as a result of a jointed
rock mass being loaded can be assumed to be the sum of the deformations in the intact rock
and in the joints.
Joints – Normal deformation

The deformation properties of a joint in the direction normal to its plane be studied using
specimens with a transecting joint that is loaded with a compressive load, see Figure 6.9a,
during which normal stress and normal displacement are recorded. The results are normally
presented as normal stress-normal displacement curves.

The simplest model of the deformation behaviour of a joint in the normal direction is the
linear deformation model illustrated in Figure 6.9b. When the joint is loaded in compression
in the normal direction a linear elastic deformation occurs that closes the joint. When the
relative displacement of the joint’s surfaces are equal to the initial joint opening, un0 , then the
joint is defined as closed. If the normal stress is negative and smaller than the joint’s tensile
strength, the joint surfaces will separate.

The deformation relation is described by the expression

σ n = k n Δu n (6.3.9)

where kn is the joint normal stiffness. This relation can be assumed to describe the relation
between stress and deformation in a joint with very smooth surfaces. For natural joints the
normal stress-normal displacement curves usually appear as in Figure 6.9c.
When the deformation of the intact rock, Δunr is subtracted from the total deformation, Δunt , a
very nonlinear relationship is obtained (Figure 6.9) which describes the deformation of the
joint (Bandis et al, 1983)

Δunj = Δunt − Δunr (6.3.10)

Bandis et al. (1983) presented a hyperbolic relation that describes the relation between the
normal stress and the normal displacement for a joint

Δunj
σn = (6.3.11)
a − bΔunj

where

a and b = Material constants

σn = Normal stress

This relation is based on a large amount of experimental data. The normal stiffness of a joint,
kn, can be expressed mathematically as

k n0
kn = 2
(6.3.12)
⎛ Δunj ⎞
⎜1 − 0 ⎟
⎝ Δun ⎠

where

k n0 = 1 / a = Initial normal stiffness

Δu n0 = a / b = Initial joint opening

 a)

Normal force Normal force

Joint
Concrete
bl k

Normal force Normal force

b) Intact With c)
rock joint

σn [MPa]
σn [MPa]

Normal displacement, un Joint closure [μm]

d)
σn
Total joint closure

Elastic area

Opening and
Initial normal stress
closing

Δun0 Δu n

Figure 6.9 a) Test of the stress and deformation behaviour of a joint: b) the deformation
characteristics under normal loading – principal behaviour, c) results from
normal compression tests. (Modified after Jing and Stephansson, 1995), d) the
linear normal deformations model.
Joints – Shear deformation

The behaviour of joints under shear stresses are often studied by means of direct shear tests
where the normal stress is kept constant. During the test the shear stress, normal displacement
and shear displacement are recorded. Typical curves that describe the relation between shear
stress and shear displacement and the relation between normal displacement and shear
displacement are shown in Figure 6.10a. The deformation characteristics of joints in the shear
direction are usually represented by their shear stiffness, ks, that is usually defined as the slope
of the shear stress-shear displacement curve:

The simplest model describing the deformation characteristics of joints in the shear direction
is the linear deformation model illustrated in Figure 6.10b. The deformation characteristics

] [
are reversible in the shear stress interval, − τ s , τ s , where τ s is the shear strength of the joint.

The linear deformation relation is described by the expression

τ = k s Δu s (6.3.13)

where ks is the shear stiffness of the joint. This deformation relation can be assumed to
represent the deformation in a joint with very smooth surfaces which provides a negligible
dilation during shear movement.

Experimental studies have shown that the shear stiffness, for natural joints usually varies with
varying normal stress (Bandis et al., 1981; Sun et al., 1985; Jing, 1990). An empirical relation
that describes the shear stiffness variation as a function of the normal stress has been
suggested by Jing (1990) and is expressed mathematically as

σn ⎛ σn ⎞ m
ks = ⎜ 2 − ⎟ ks (6.3.14)
σc ⎝ σc ⎠
where k sm is the maximum shear stiffness that is obtained by extrapolating data from shear
tests. A large number of shear tests with varying normal stress are required in order to
determine k sm .

a)

b)

us

un us

Figure 6.10 a) Coulomb friction, linear shear deformation model for joints (Brady and
Brown 1993), b) typical shear stress-shear deformation curve for a tension
joint (Barton, 1976).
The rock mass

For the simplest case of jointed rock mass (Figure 6.11), where all the joints have the same
strike and dip and where the joint distance is equal to S, then the elastic parameters for an
equivalent transverse isotropic continuum can be calculated (see Equation (6.3.8) and Figure
6.6). Assume that the rock material is isotropic and linearly elastic with the constant E1 and
ν1 . Assume furthermore that each the deformation of each joint is represented by its shear
stiffness, ks, and its normal stiffness, kn.

Figure 6.11 A jointed rock mass represented as an ”equivalent” continuous rock mass
The total shear deformation for an element consisting of a block of intact rock material with a
continuous joint, see Figure 6.11, is then

τ τ
S+ (6.3.15)
G1 ks

The total deformation in an equivalent continuous rock mass then becomes

τ
S (6.3.16)
G2

which gives an equivalent shear modulus

1 1 1
= + (6.3.17a)
G2 G1 k s S

or

G1 k s S
G2 = (6.3.17b)
G1 + k s S

In the same way an equivalent Young’s modulus can be obtained

1 1 1
= + (6.3.18a)
E 2 E1 k n S

or

E1 k n S
E2 = (6.3.18b)
E1 + k n S
Poisson’s ratio in a plane that contains the normal vector of the joint surface (Figure 6.5) is
defined as

E2
ν2 = ν (6.3.19)
E1 1

where ν1 is the Poisson’s ratio for the intact rock. Similar solutions for rock masses with
more than one joint set have been presented by Amadei and Goodman (1981) as well as by
Gerrard (1982). In practical applications it has often been shown to be difficult to calculate
elastic parameters since the data that is required is not available or the rock mass is more
complex than these models predict. In these cases it is usual to determine the deformation
modulus of the rock mass by means of some type of large-scale compression test in-situ or by
using rock mass classification.

Bieniawski (1978) compiled the values of the deformation modulus for rock masses from 15
different sites. He found then that, if RMR > 55 , the mean value of the deformation modulus,
EM, can be approximated with the empirical relation

E M = 2( RMR) − 100 , [GPa] (6.3.20)

Serafim and Pereira (1983) found that the empirical relation

RMR −10
E M = 10 40
, [GPa] (6.3.21)

gave a better adjustment to their measurement data as well as to the data obtained by
Bieniawski, especially when E is in the interval 1 - 10 GPa. It is important to observe that the
empirical Equations (6.3.20) and (6.3.21) are based on data that display relatively wide
scatter. It is possible to use these relations even if only Q is known by using the relation
between the two rock mass classification systems RMR and Q (Bieniawski, 1976).

RMR = 9 ln Q + 44 (5.5.4)
6.4 Determination of elastic parameters

When a fundamental relation has been adopted, the input parameters must be determined. For
linearly elastic material, Young’s modulus, E, and Poisson’s ratio, ν, has to be determined.
The usual test methods can be gathered under the headings laboratory methods and field
methods. Some examples of test methods are:

Laboratory methods

- Uniaxial compression tests

- Determination of sound velocity

Field methods

- Plate loading
- Dilatometer measurement
- Seismic refraction technique

6.4.1 Uniaxial compression test

This test method belongs to the laboratory methods and is used to determine Young’s
modulus, E, Poisson’s ratio, ν, and the uniaxial compressive strength, σc. The specimen is a
right circular cylinder with plane parallel end surfaces (see Section 5.2.2). The axial force and
the axial and tangential strains are registered during the test. Since the stress-strain curves are
not perfectly linear there are a number of different methods in order to evaluate E and ν. In
Figure 6.12 four of these methods are shown.
Figure 6.12 Methods for evaluation of a uniaxial compression test: a) Tangential Young’s
modulus, b) Average modulus, c) Secant modulus, D) Initial Young’s
modulus, e) Typical stress-strain curves

Tangential Young’s modulus, (Et) is calculated when the stress level is equal to about 50%
of the uniaxial compressive strength (Figure 6.12a).

Average modulus (Eav) is calculated from the slope on the linear part of the stress-strain
curve (Figure 6.12b).
Secant modulus (Es) is calculated from the slope of the line between the origin of the
coordinate system and usually about 50% of the uniaxial compressive strength (Figure 6.12c).

Initial Young’s modulus, (Eini) is calculated from the slope of the line that is tangent to the
stress-strain curve initially (Figure 6.12d).

Regardless of which evaluation method is used, the Poisson’s ratio is calculated as (Figure
6.12e):

( Δσ a / Δ ε a )
ν=− (6.4.1)
( Δσ a / Δ ε θ )

where

εθ = Tangential strain ( = ε r ) (6.4.2)

σa = Axial stress

6.4.2 Sound velocity tests

The sound velocity in a linear elastic material is according to linear wave theory a function of
Young’s modulus and Poisson’s ratio. By determining wave propogation velocity for shear
waves, vs, and longitudinal waves, vp, and then use the relation

1
⎛ E (1 − ν ) ⎞ 2
vp = ⎜ ⎟ , (6.4.3a)
⎝ ρ (1 + ν )(1 − 2ν ) ⎠

1
⎛ E ⎞ 2
vs = ⎜ ⎟ , (6.4.3b)
⎝ 2ρ (1 + ν ) ⎠
E and ν can be calculated. The specimen is a right cylinder with a circular cross section and
plane parallel end surfaces. A piezoelectric sensor is attached to each end surface. In order to
obtain a good acoustic contact a load is applied to the sensors. See Figure 6.13. One sensor is
used as a sender and the other as a receiver. A high frequency elastic pulse is generated by the
sender. The pulse propagates through the specimen and reaches the receiver. By measuring
the travel time the wave propagation speeds can be determined.

Sender

Rock specimen
Receiver

σ
Figure 6.13 Determining sound velocity in a laboratory environment.

6.4.3 Plate loading

The deformability of the rock can be determined in the field by loading a rock surface while
the displacement, u, is registered. It is possible to use this method in a cavern or tunnel
(Figure 6.14a) but also on a smooth rock surface (Figure 6.14b). In order to get results which
are as representative as possible for the rock mass behaviour, the location of the testing
should be selected carefully. Thus one should avoid areas with extremely fractured and
weathered rock since the results should be representative for "average rock". On the other
hand, if the rock mass in general is weathered and fractured, the measurements should be
carried out in such a way that these characteristics are measured. The rock surface to be
loaded is prepared and a layer of concrete is placed on to achieve a smooth surface. Loading
plates are circular with a diameter usually in the interval 50 cm to 1 m. The loading is
achieved with the help of a hydraulic jack.

Figure 6.14 Plate loading test a) underground b) on the ground surface (Goodman, 1980).
The theory of elasticity then gives for an isotropic, linearly elastic material the average
displacement

CP(1 − ν 2 )
u= (6.4.4)
Ea

where

P = Force on the plate

a = Radius of the plate
E = Young’s modulus of the rock
ν = Poisson’s ratio of the rock

⎧1 / 2, rigid plate
⎪
C=⎨
⎪1.7 / π , flexible plate (evenly distributed load)
⎩

Permanent and elastic deformations can be separated if the test is carried out as a series of
loading-unloading cycles. The elasticity modulus is then calculated from the slope of the
load-displacement curve

CP
E= (1 − ν 2 ) (6.4.5)
a uelast

where uelast is the elastic displacement during loading. Determination of Young’s modulus
should not be based on the result from the first loading, since there is a large risk that
permanent deformations occur during the first loading cycle.

6.4.4 Dilatometer measurement

A dilatometer measurement means that a borehole is pressurised via a rubber membrane, see
Figure 6.15. The pressure change, Δp, in the borehole and the volume change, ΔV, are
registered during the test. Using the theory of elasticity and the assumption that the
deformation is constant along the pressurised membrane, Young’s modulus can then be
determined as

a
E = (1 + ν ) Δp (6.4.6)
Δu r

where

a = Borehole radius
Δur = Radius change

ur (radial displacement of the borehole)

Water pressure

Membrane
Borehole

Figure 6.15 Dilatometer measurement.

One problem with this method is that relatively small rock volumes are affected. This means
that the determined Young’s modulus only represents the rock mass close to the point of
measurement.

6.4.5 Seismic method

The wave propagation velocity in a rock mass can be determined using seismic methods.
Under the assumption that a rock mass is linearly elastic there exists relations between the
velocity of wave propagation (for longitudinal waves and shear waves) and the elastic
parameters. This relation is shown in Equation (6.4.3).

The principle for determining E and ν with a seismic field method is analogous to the
laboratory test. A wave movement is generated by for example a small explosion. By
measuring the travel time of the longitudinal wave and the shear wave the speeds of wave
propagation can be determined. This method determines an average value for E and ν which
represents a relatively large rock volume.

6.5 Deformations according to the theory of elasticity

The displacements around excavations in rock can be calculated using the theory of elasticity
provided that the rock mass can be assumed to be linearly elastic. The displacements which
occur at the excavation of an long opening with a circular cross section (Figure 6.18) can be
derived using Kirsch’s solution and Hooke’s law.

Figure 6.16 Excavation with a circular cross section in a infinite rock mass.
If the excavation can be assumed to occur during plane state of strain then the displacements
become

a 2 (1 + ν ) ⎧ ⎡ a2 ⎤ ⎫
ur = − ⎨σ x + σ y + (σ x − σ y ) ⎢4(1 − ν ) − 2 ⎥ cos 2θ ⎬ (6.5.1a)
2 Er ⎩ ⎣ r ⎦ ⎭

a 2 (1 + ν ) ⎡ a2 ⎤
uθ = − (σ y − σ x ) ⎢2(1 − 2ν ) + 2 ⎥ sin 2θ (6.5.1b)
2 Er ⎣ r ⎦

where the parameters are presented in Figure 6.18. A derivation of the displacements is
presented in APPENDIX F.

To demonstrate how the radial displacement varies with the radius an example is shown here
where the relationship between the virgin stresses is σ x / σ y = 2.5 . The relative radial

deformation

⎛ 2E ⎞
U r 0 = ur (θ = 0° )⎜ ⎟ (6.5.2a)
⎝ a(1 + ν )σ y ⎠

⎛ 2E ⎞
U r 90 = ur (θ = 90° )⎜ ⎟ (6.5.2b)
⎝ a(1 + ν )σ y ⎠

is shown in Figure 6.17.

 7

radielldisplacement
förskjutning
Ur0
4

3
radial
Relativ

2
Relative

0 Ur90

-1
1 2 3 4 5 6
Relativt
Relative radiellt
radial avståndfrom
distance från centrum, r/a r/a
the centre,

Figure 6.17 Radial deformation as a function of the radius θ = 0° and θ = 90° respectively
when σ x / σ y = 2.5 .

6.6 Deformation measurements in the field

Some of the most common methods for deformation measurement in the field are:

− Extensometer measurements – Within a rock mass, see Figure 6.18.

− Convergence measurement - Deformation between points of a bedrock boundary (walls,
ceiling), see Figure 6.18.
− Geodetic method – Rock surface movements, see Figure 6.19.

An extensometer consists of a measuring head and a number of anchors that are anchored in a
borehole at different distances from the measuring head, see Figure 6.18.
the displacement between an anchor and the measuring head are registered. An evenly
distributed deformation in the rock mass can be distinguished from deformations caused by
discontinuities.

a)

Dial indicator or Head Borehole, wire/rod and anchor

potentiometer

b)

Extensometer

Anchors

Convergence

Figure 6.18 a) Extensometer, b) Principle for extensometer measurement and

convergence measurement.

For convergence measurements the distance between two or more points on the boundary of
an excavation is measured. The change in distance between the points describes the
deformations either as a function of time or as a function of tunnel advance or other
excavation operations. The displacements of the measuring points can be described as vectors
in an orthogonal coordinate system.
The geodetic measuring methods can be applied best during mining of ore in open pit mines
(Figure 6.19). There they fulfil an important function in the supervision of the stability of the
slope and the slope crest. They are also used to determine the areas of subsidence caused by
mining with caving methods and coal mining.

Figure 6.19 Principle for levelling.