1

Lecture 3
Rock Stress Measurements
2
Most common method is based on determining the strains in the wall of a borehole induced by overcoring that
forms part of the hole containing the measurement devices.
The second most common method is by flat jack measurements or hydraulic fracturing, where the normal stress
component is obtained by applying pressure in a slot.
The third most common method is based on analyzing and interpreting the pattern of fractures around deep
boreholes.
3
Three strain
rosettes
Triaxial Strain Cells
Drill a hole from the gallery
Drill a smaller hole at the end of
the borehole
Insert the strain cell and glue the
strain cell to the borehole wall
(assuming there is no stress relief
at this stage)
Drill an over-sized hole (over-
coring) and measure the strain
developed in the strain cell
during the stress relief
Calculate the stress from the
strain measured
4
Stress Calculations from Strain Measured (based on stress distribution around a circular hole)
Definition of hole
local axes
Field stress component
relative to hole local
axes
Cartesian Coordinate
axes on hole wall
boundary hole the at OB OA Axes Cartesian to axes n from angle Rotation
axes local hole in stress Field P P P P P P
axes hole to parallel n axes Local n m l
drilling to prior stress Field P P P P P P
axes Global z y x
Direction Dip
Dip
nl mn lm nn mm ll
zx yz xy zz yy xx
, ,
, , , , ,
) ( , ,
, , , , ,
, ,

=
=
Relationship between
polar coordinates and
xy coordinates)
5
| |
(
(
(

=
(
(
(

=






sin 0 cos
cos cos cos sin sin
cos cos sin cos sin
zn zm zl
yn ym yl
xn xm xl
R
Rotation Matrix between two reference axes
For Isotropic Elastic Medium

sin 2 cos 2
) 2 sin 2 2 cos 2 cos ( 2
2 sin 4 ) 2 cos 2 1 ( ) 2 cos 2 1 (
0
nl mn n
lm mm ll nn nn
lm mm ll
rn r rr
p p
p p p p
p p p
=
+ + =
+ + =
= = =

Normal components of the boundary stress in the Cartesian coordinates OA, OB are:




2 sin 2 cos ) (
2
1
) (
2
1
2 sin 2 cos ) (
2
1
) (
2
1
n nn nn B
n nn nn A
+ =
+ + + =
Suppose the orientation of the strain cell is along direction OA, and that plane stress condition is
assumed at the hole boundary during the relief:
) (
1
B A A
E
=
6
| |
| |
| |
| |
| |
| |
| || | | | b p A
or
b E p a p a p a p a p a p a
or
p
p
p
p
p
p E
A nl mn lm nn mm ll
nl
mn
lm
nn
mm
ll A
=
= = + + + + +
+
+

+ + +
)
`

+ + +
)
`

+ =

6 5 4 3 2 1
2
2
2
sin 2 sin ) 1 ( 2
cos 2 sin ) 1 ( 2
2 sin ) 2 cos 1 )( 1 ( 2
2 cos ) 1 ( ) 1 (
2
1
2 cos ) 2 cos 1 )( 1 ( 2 cos ) 1 ( ) 1 (
2
1
2 cos ) 2 cos 1 )( 1 ( 2 cos ) 1 ( ) 1 (
2
1
Combining the above equations:
If 6 strain measurements are made independently, then 6 independent
simultaneous equations can be established to solve for the stress components
7
Flat Jack Measurements
Coring a slot for flat jack tests
Cross sectional view
Need to assume:
Relatively undisturbed surface
Closed form solution relating far-field to boundary stress
Rock mass behaves elastic
Procedure:
1. The distance d
o
between the pins
is measured
2. Slot is cut
3. Closure measured during the slot
is cut
4. Insert flat jack and grout it
5. Pressurize the flat jack to restore
to the original distance
8
| | { }
| | { }
| |




sin 2 sin 2 cos 2 sin 2
2 cos ) 1 ( ) 1 ( 2 sin 2 ) 2 cos 1 (
2
1
2 cos ) 1 ( ) 1 ( 2 cos 2 ) 2 cos 1 (
2
1
2 cos ) 1 ( ) 1 ( 2 cos 2 ) 2 cos 1 (
2
1
nl mn
lm nn
mm
ll A
p p
p p
p
p
+
+ + +
+ + +
+ =
| || | | |

=
= + + + + +
p C
or
p c p c p c p c p c p c
or
A nl mn lm nn mm ll 6 5 4 3 2 1
If 6 stress measurements are made independently, then 6 independent
simultaneous equations can be established to solve for the stress components
9
Hydraulic Fracturing can be conducted at deep borehole as opposed to direct access required in flat jack or over-coring
Major principal stress
2
p p pressure in Shut
s
=
Minor principal stress
Crack re-opening pressure is the pressure
separating the fracture surface
Interpretation of results
sometimes subjective
Fracture initiates and propagates when tensile
stresses are higher than the tensile strength of rock
Several cycles of pressurization and declination are
needed to establish the instantaneous shut-in
pressure p
s
and the crack re-opening pressure p
r
.
10
1 2 min
3 p p = Minimum boundary stress at the borehole wall
0
p =

Induced tangential stress at the borehole wall

By superposition
0 1 2 min
3 p p p =
section test the at pressure pore the is
3
0 1 2 min
u where
u p p p =

Minimum effective stress at the borehole wall

If it is assumed that the crack re-opening pressure
corresponds to the state where the minimum
effective boundary stress is zero, then
u p p p
or
u p p p
or
u p p p
r s
r
r
=
=
= =
3
3
0 3
1
2 1
1 2 min

Important assumptions:
1. Rock is linear elastic, homogeneous isotropic
2. Hole axes are parallel to the principal axes
3. Induced fracture plane is parallel to the hole
axes
11
12
Mathematically, the stress tensor is a
second-order Cartesian tensor with
nine stress components.
A stereonet or the Dot product can
then be used to check that the
orientation of the three mean principal
stresses are in fact perpendicular to
each other, i.e., the Dot Product of
orthogonal vectors is zero.
Variability associated with stress measurements
13
Large variation of vertical stress with depth
14
Large variation of horizontal stress with depth
15
16
Representative of conditions near
excavation walls or for rock masses at
shallow depth <100m
17
Rock Stress Measurement Two main categories:
Disturb the in situ rock conditions, i.e. by inducing strains, deformations or crack
opening pressures
hydraulic methods, including hydraulic fracturing
hydraulic tests on pre-existing fractures (HTPF)
borehole relief methods and
surface relief methods.
Based on observation of rock behaviour without any major influence from the
measuring method
statistics of measured data (database),
core-discing,
borehole breakouts,
relief of large rock volumes (back analysis),
acoustic methods (Kaiser effect),
strain recovery methods,
geological observational methods and
earthquake focal mechanisms
18
Are the results
representative of
the vertical depth
variation, the
geological
boundaries, and the
presence of major
faults?
C. Ljunggren, Yanting Chang, T. Janson, R. Christiansson. International Journal of
Rock Mechanics & Mining Sciences 40 (2003) 975989
19
Hydraulic methods
Hydraulic fracturing and HTPF
20
Assumptions:
Vertical or sub-vertical hole
The fracture plane is
normally parallel to the
borehole axis
Fracture will develop in a
direction perpendicular to
the minimum principal stress
Orientation of initiated
fractures coincides with the
orientation of the maximum
horizontal stress
One principal stress is
parallel to the borehole
21
Hydraulic fracturing
Stress estimation in rock: a brief history and review by C. Fairhurst
International Journal of Rock Mechanics & Mining Sciences 40 (2003) 957973
22
Routinely used at depths of several thousands of metres from a surface access.
A sealed-off section of a borehole in an oil or gas producing horizon is
pressurized until a fracture develops in the borehole wall.
Application of pressure to the borehole walls generates a tangential tension

in the
wall of the borehole.
When the tangential tension is high enough to overcome the tangential compression
induced around the hole by the in situ stress state and, further, to reach the tensile
strength of the rock, a fracture develops along the length of the packed-off interval.
Once a fracture is initiated and fluid enters, it is assumed that it will propagate
at a pressure somewhat above the normal compression acting across the
fracture.
Shutting off the pump and closing the pressure system should allow the fluid to
stop flowing in the fracture, so that pressure losses due to flow are eliminated
(assuming that leaf-off of fluid into the formation can be neglected).
This static pressure is known as the Instantaneous Shut-In Pressure (ISIP).
23
From the classical Kirsch 1898 equations for stress concentrations
around a circular elastic hole:
isip h
b h H
P P T


=
+ =
0
3
Hole is drilled vertically
Vertical stress (
v
) is a principal stress
Maximum horizontal principal stress
H
Fluid pressure in the packed-off interval is raised
to the value P
b
; at which a vertical fracture is
initiated and propagates in its own plane.
Minimum horizontal stress is designated
h
T is the tensile strength of the rock
P
0
is the ambient pore pressure and P
isip
is the ISIP
24
Hydraulic methods
Borehole relief methods
1) overcoring of cells in pilot holes
2) overcoring of borehole-bottom cells and
3) borehole slotting
1) Overcoring of measuring
cells in pilot-holes
25
2) Overcoring of borehole-bottom cells
Doorstoppers and
Spherical or conical strain cells
cored borehole
borehole
bottom
flattened
polished
Installation of Doorstopper (after INTERFELS)
26
A modified doorstopper cell called the Deep Doorstopper
Gauge System (DDGS) has been developed jointly by the
Rock Mechanics Laboratory at Ecole Polytechnique in
Montreal and the Atomic Energy of Canada.
Allow overcoring measurements at depths as great as
1000m in subvertical boreholes
A data logger that collects and stores strain data during
stress measurement tests
Overcoring lengths required is only some 50mm as
compared to 300mm in pilot hole method
27
(1) After flattening and cleaning of the bottom, the instruments are lowered down the hole with the wire
line cables.
(2) When the DDGS is at the bottom the orientation of the measurement is noted in the orientation
device and the strain sensor is glued.
(3) The (Intelligent Acquisition Module) IAM and Doorstopper gauge are removed from the installation
equipment.
(4) The installation assembly is retrieved with the wire line system.
(5) The monitoring and overdrilling start, the strain change in the bottom is measured by the time.
(6) When overdrilling is completed, the core is taken up and a bi-axial pressure test done to estimate the
Youngs modulus.
28
A borehole is first drilled. Its
bottom surface is then reshaped
into a hemispherical or conical
shape using special drill bits.
Thereafter, the strain cell is
bonded to the rock surface at the
bottom of the borehole.
After the cell has been
positioned properly at the
end of the borehole and
readings of the strain
gauges have been
performed, the instrument
is overcored.
During overcoring, the
changes in
strain/deformation are
recorded.
Installation of Spherical or conical strain cells
29
3) Borehole slotting
A contact strain sensor is mounted
against the wall of a large diameter
borehole
Three slots, 120
0
apart, are cut into the
wall
Each slot is typically 1.0mm wide and
up to 25mm deep
Tangential strains induced by release
of tangential stresses by the slots are
measured on the borehole surface
30
Surface relief methods
The method is to measures the rock response to stress relief (by cutting or
drilling) by recording the distance between gauges or pins on a rock surface
before and after the relief.
Examples of the technique are the flat jack method and the curved jack
method.
The category is most suitable for measurement on tunnel surfaces
31
Techniques of stress measurement
Flat-jack Method
A slot is then cut into the rock
Extensometer gauge is
installed between the
points A and B
The jack is then pressurized until the
distance AB is restored to the value
measured before cutting the slot
Stress estimation in rock: a brief history and review by C. Fairhurst
International Journal of Rock Mechanics & Mining Sciences 40 (2003) 957973
32
Assumed pressure in the jack is equal to the average normal stress
acting across the slot before the slot was cut
Assumed rock is elastic over the range of unloading and reloading
Limitation: technique needs to be conducted on the surface of an
excavation in the region of maximum stress concentration around the
excavation (which may be overstressed). Hysteresis likely in the
loading and unloading path
=
Equation may not be correct
33
Borehole-jack Method
34
Stress Meters
Circular elastic inclusion of modulus E within an elastic material of modulus E
Assumed that the circular interface between the two media is welded so that
no differential movement can occur across the interface
The ratio between the vertical stress
1
in the inclusion to the vertical stress in
the host material changes very little when the ratio of the modulus E of the
inclusion is five times or more greater than the host material
35
Borehole deformation strain cell
Circular hole in an elastic isotropic medium subjected to normal and shear stresses at infinity
36
Measurement of the radial deformation u
r
across four different
diameters (i.e. four different values of the angle will allow the
equation for u
r
to be solved for the magnitude and orientation of the
secondary principal stresses s
1
,s
2
and their orientation in the xy
plane, and the magnitude of the axial stress
z
along the borehole.
These stresses have no influence on the diametral deformation of the
drill hole because a linear element experiences no change of length
due to a shearing stress that acts parallel to it or at right angles to it.
The effect of shearing stress is only to change the angle between two
linear elements, one of which is parallel to, and the other
perpendicular to, the direction of the shear.
The deformation cell contains some form of transducer designed to
measure the change in radial displacement of a borehole when the
hole is overcored by a larger concentric hole.
Overcoring removes the preexisting stress field from the annulus of
rock.
Change in displacement can then be related to the change in stress.
37
Borehole breakouts
Breakouts were found to
occur along the direction
of the least principal
stress.
May be used to determine
the orientation of in situ
stresses.
Shape and depth of
breakouts in vertical holes
depend on the magnitude
of the major and the minor
horizontal in situ stresses.
38
Core discing
When boreholes are core
drilled in highly stressed
regions, the rock core often
appears as an assemblage of
discs.
These discs sometimes
exhibit parallel faces but are
often shaped like a horse
saddle.
This phenomenon has been
called core discing.
39
High stresses bring about failure, not only at
the borehole wall (resulting in breakouts),
but also in the base of the core, giving rise to
discing.
Core tensile fractures initiated below the
coring-bit extend toward the axis of the core
with slight downward tilt in the direction of
the least horizontal stress (
h
).
In the maximum horizontal stress (
H
)
direction, the same cracks are practically
horizontal.
Discs recovered from oriented cores could be
used as indicators of the in situ
H
orientation.
40
The
H
magnitude and
orientation could be
estimated from the average
disc thickness
41
C. Ljunggren, Yanting Chang, T. Janson, R. Christiansson. International Journal of
Rock Mechanics & Mining Sciences 40 (2003) 975989
42
Determination of stress orientation and magnitude in deep wells
Stress magnitudes at depth and frictional faulting theory
Assume that the three principal stresses at depth are the vertical stress, S
v
,
and two horizontal principal stresses, S
Hmax
and S
hmin
The greatest, intermediate, and least principal stresses at depths S
1
, S
2
, and S
3
replaced
by the vertical stress, S
v
, and two horizontal principal stresses, S
Hmax
and S
hmin
min max v h H
S S S
Gravity drives N faulting and fault slip occurs
when the least horizontal principal stress (S
hmin
)
reaches a sufficiently low value depending on
the depth and pore pressure
v min max
S S S
h H
Folding and reverse faulting (RF) could occur
min v max h H
S S S
Strike-slip (SS) faulting represents an
intermediate stress state
M.D. Zoback, C.A. Barton, M. Brudy, D.A. Castillo, T. Finkbeiner, B.R.
Grollimund, D.B. Moos, P. Peska, C.D. Ward, D.J. Wiprut. International
Journal of Rock Mechanics & Mining Sciences 40 (2003) 10491076
43
min max v h H
S S S
Normal Faulting
( )
friction of coeff
pressure pore P
P S
P S
p
p h
p
.
1
2
2
1
2
min
v
3
1
=
=
(

+ +

v min max
S S S
h H

Reverse Faulting
( )
2
2
1
2
v
Hmax
3
1
1
(

+ +

p
p
P S
P S
44
min v max h H
S S S
Strike-slip (SS) faulting
( )
2
2
1
2
hmin
Hmax
3
1
1
(

+ +

p
p
P S
P S
45
Depth =3 km
=0.6
Density=2.3 gm/cm
3
46
Well-known Kirsch equations
Vertical wellbore of radius R
is measured from the
azimuth of
hmin
Mud weight in the wellbore is
equal to the pore pressure P
p

T
Thermal stresses arising
from the difference between
the mud temperature and the
formation temperature (T)
47
Image logs from ultrasonic borehole televiewer
M.D. Zoback, C.A. Barton, M. Brudy, D.A. Castillo, T. Finkbeiner, B.R.
Grollimund, D.B. Moos, P. Peska, C.D. Ward, D.J. Wiprut. International
Journal of Rock Mechanics & Mining Sciences 40 (2003) 10491076
48
At the wellbore wall
(at the point of minimum
compression =0 degree, 180
degree parallel to
hmin
),
(at the point of maximum
stress concentration =90
degree, 270 degree parallel to

Hmax
),
P is the difference
between the wellbore
pressure (mud weight,
P
m
) and the pore
pressure.
is Poissons ratio
49
Hydraulic fracturing stress measurements in Hong Kong
(WNW-ESE)
Orientation of the maximum horizontal stress =
Above 150 m depth, the vertical stress S
v
due to the weight of the overburden
with given rock density = the minimum principal stress
Design optimization of underground excavations requires site-specific in-situ stress
investigations with respect to the uncertainties particularly at shallow depth
G. Klee, F. Rummel, A. Williams. International Journal of Rock
Mechanics and Mining Sciences 36 (1999) 731-741
50
Comment on Stress Orientation based on overcoring Technique and Stress/Strain
Relief Measurements:
Measurements must not be made near a free surface
Strain relief is determined over very small areas (a few square millimetres to square
centimetres).
Near surface measurements have been shown to be subject to effects of local
topography, rock anisotropy, and natural fracturing (Engelder and Sbar, 1984)
Places where topography, fracturing or nearby excavations could strongly perturb
the regional stress field.
World Stress Map gives first order estimates of the stress directions
Stress measuring programme is essential in any major underground mining or civil
engineering project.
Measurements are better carried out in deep boreholes from the surface, using
hydraulic fracturing techniques, or from underground access using overcoring
methods.