Assessing long-term rock stability is an important aspect in the analysis of slopes, dam and bridge foundations, and other infrastructure. Rock behavior over tens to thousands of years must be anticipated when predicting the performance of, for example, an underground containment facility for nuclear waste. At such long time scales, the time dependence of rock failure, typically ignored in short time scale analyses, has a significant effect and must be included in the analysis. Since time-dependent rock behavior is thought to be caused by the subcritical growth of microcracks, a time-dependent analysis should incorporate a method of simulating subcritical crack growth. In this thesis, a rock bridge damage model was developed using the finite element program Abaqus to simulate subcritical crack growth for all three modes of crack tip displacement in three-dimensional rock masses. Since subcritical crack growth is not among the damage initiation and evolution criteria available in Abaqus, its effect was included in the model through the USDFLD user subroutine. Material properties for the damage model were obtained through laboratory fracture toughness testing of Escabrosa limestone from Kartchner Caverns. Tests included the grooved disk test for mode I, the punch-through shear with confining pressure test for mode II, and the circumferentially-notched cylindrical specimen test for mode III. The subcritical crack growth parameters n and A were calculated for all three modes using the constant stress-rate method. Fracture test results were compared with a previous study by Tae Young Ko at the University of Arizona, which tested Coconino sandstone and determined that the subcritical crack growth parameters were consistent among modes. This thesis expands upon Ko's work by adding the characterization of a second rock material in all three modes; results indicate that for Escabrosa limestone the subcritical crack growth parameters are not consistent among modes. Additionally, the Escabrosa limestone composing the caverns ranges from a more homogeneous, even-grained texture to a more heterogeneous texture consisting of coarse-grained veins and solution cavities set in a fine-grained matrix. To determine if the veined regions are more susceptible to fracturing and act as the nuclei of rock bridge failure, the fracture toughness tests were conducted separately for each texture. Results indicate that the more heterogeneous limestone has a higher fracture strength, fracture toughness, and subcritical crack growth index n than the more homogeneous limestone. This is in agreement with previous studies that determined that a more complex and heterogeneous microstructure produces a larger microcrack process zone and a more tortuous crack path, leading to higher fracture energies and larger values of n. Application of the rock bridge damage model to a simplified Kartchner cave room with a single roof block provided visualization of decreasing rock bridge size and produced time-to-failure estimates of 1,251 to 65,850 years. Multiple models were run to study the effect of (i) using material properties from each of the two textures identified in the Escabrosa limestone and (ii) varying the in-situ stress ratio, K. Both the value of K and the choice of Escabrosa texture had a large effect on the estimated time-to-failure, indicating that for future modeling of Kartchner accurate estimation of the in-situ stress ratio is as important as field identification of homogeneous vs. heterogeneous textures.

In this research, a novel, unique systematic procedure was implemented to investigate the influence of the fracture networks and confining stresses on the jointed coal mass strength (JCMS). Both a laboratory experimental scheme and a numerical modeling scheme were carried out at the 3-D level. The laboratory experiments were performed to achieve the following three goals. Firstly, the geomechanical properties for the intact coal and coal discontinuities were estimated through the laboratory geomechanical property tests. Secondly, naturally existing fracture networks in the cubic coal blocks were first detected by the industrial Computed Tomography (CT) scanning technique and then quantified by the fracture tensor based methodology. Thirdly, polyaxial tests were conducted on the same cubic coal blocks to obtain the JCMS values under different confining stresses. With respect to the numerical modeling, PFC^3D and 3DEC software packages were used to simulate the polyaxial compression tests for intact and jointed cubic coal blocks, respectively. From more than twenty intact rock strength criteria, nine criteria were selected for this research. The intact coal strength data bank obtained from PFC^3D modeling was used to evaluate the applicability of nine different intact rock strength criteria. A modified grid search (MGS) procedure is proposed and used to find the best fitting parameter values and calculate the coefficient of determination (R²) values for each criterion. These criteria are compared in detail using the following features: R² values, σ₁ - σ₂ plots for different σ₃, shapes on the deviatoric planes, linearity or nonlinearity on the meridian planes. The regression analysis and the MGS procedure were found to be equivalent in finding the best fitting parameter values for a certain intact rock strength criterion. Through the comparisons, the modified Wiebols-Cook and modified Lade criteria were found to provide the highest R² values and fit the intact coal strength data best on the σ₁ - σ₂ coordinate plane and meridian planes. Based on the appearances on the deviatoric plane, the nine intact rock strength criteria are categorized into three types: the single shear stress criteria, the octahedral shear stress criteria and the criteria incorporating the maximum principal shear stress and partial intermediate principal shear stress. The relative positions of the different criteria on two specific meridian planes are also discussed. The geometric model of the jointed coal block was first set up by incorporating the fracture network constructed from the CT scanning into the intact coal block using a modified fictitious joint procedure. The numerical parameter values of intact coal and coal discontinuities were then calibrated and validated through a trial and error procedure using the laboratory test results of some selected samples. Next the JCMS data bank was consummated by performing a four-phase numerical investigation on several jointed coal blocks having selected fracture networks and five additional artificial fracture networks under different confining stress combinations. Finally, a new empirical coal mass strength criterion was developed to estimate the JCMS values at the 3-D level. The developed new model is capable of capturing the scale effect and anisotropic strength behaviors. It can also be applied to rock masses having approximately orthogonal fracture systems or for masses where fracture system can be reduced to an equivalent orthogonal fracture system.The following new contributions were made in this dissertation to advance the existing state-of-art on the dissertation topic: (a) A new, unique methodology as shown in Fig. 1.1 incorporating the following aspects was used to develop a new 3-D coal mass strength criterion: a complete set of geomechanical property tests, fracture network detection and quantification, polyaxial compression tests, numerical decomposition techniques; (b) A new procedure was developed to construct the fracture network in the coal cubes starting from CT scans to perform numerical modeling using 3DEC. In this procedure, a modified fictitious joint framework was also proposed to extend the applicability of the original fictitious joint framework, which allows incorporating a large quantity of non-persistent joints with acceptable numerical calculation effort; (c) A new 3-D coal mass strength criterion was developed to incorporate the fracture network and 3-D confining stress system to capture the anisotropy and scale effect of coal mass strength. The proposed criterion not only includes the influence of the intermediate principal stress, which is ignored by some existing strength criteria, but also includes the intensity and orientation and size probability distributions of the fracture system explicitly by a fracture tensor based methodology, which is far more advanced than most of the current criteria that are based on rock mass classification systems having only scalar indices; (d) A modified grid search procedure was proposed and used to evaluate the applicability of nine different intact rock strength criteria. The best intact rock strength criteria applicable for the intact coal data obtained through PFC^3D modeling were found by performing the most detailed intact rock strength criteria evaluation incorporating σ₁ - σ₂ - σ₃ plots and behaviors on the deviatoric and meridian planes, which improves the understanding of the available intact rock strength criteria.

An imperative task for successful underground mining is to ensure the stability of underground structures, since it influences the safety, and in turn, the production capacity and economic performance of the mine. This is more so for deep excavations in soft rock which may be under significantly high stresses. In this thesis, stability studies on two tunnels, a horseshoe-shaped and an inverted arch-shaped tunnel, have been presented. The tunnels, running at a depth of 1325 m, are part of the Xiezhuang Coal Mine, in the Xinwen mining area, in China. Using the available information on stratigraphy, geological structures, in-situ stress measurements and geo-mechanical properties of intact rock and discontinuity interfaces, a three-dimensional numerical model has been built using the 3DEC 3-Dimensional Distinct Element Code to simulate the stress conditions around the tunnels. Based on available discontinuity geometry constraints, the rock mass has been modelled as a mixture of a discontinuum medium close to the tunnels and as an equivalent-continuum in the far field. Due to the unavailability of field measurements for rock mass mechanical parameters, the parameters have been estimated by incorporating the available intact rock mechanical properties and field deformation monitoring data into a strength reduction model calibration procedure. This back-analysis (calibration) has been carried out through a pseudo-time dependent support installation routine which incorporates the effect of time through a stress-relaxation mechanism. The results from the back-analysis indicate that the rock mass cohesion, tensile strength, uniaxial compressive strength, and elastic modulus values are about 35-45 % of the corresponding intact rock property values. Additionally, the importance of incorporating stress relaxation before support installation in numerical modeling has been illustrated, for the first time in literature, through the increased support factors of safety and reduced grout failures. The calibrated models have been analyzed for different supported and unsupported cases in an attempt to quantify the effect of supports in stabilizing the tunnels and to estimate the adequacy of the existing supports being used in the mine. A direct outcome is that the findings indicate that longer supports may be better suited for the existing geo-mining conditions around the tunnels since they have fractured zones that are larger than the supports currently in use at the mine. The effects of supports have been demonstrated using changes in deformations and yield zones around the tunnels, and changes in the average factors of safety and grout failures of the supports. The use of longer supports and floor bolting has provided greater stability for the rock masses around the tunnels. A comparison between the closure strains in the two differently shaped tunnels indicates that the inverted arch tunnel may be more efficient in reducing roof sag and floor heave for the existing geo-mining conditions. Additional analyses focusing on parametric sensitivity studies on the rock and joint mechanical properties show that the tunnel stability is highly sensitive to changes in cohesion and internal friction angle of the intact rock, and changes in joint basic friction angle. Tunnel stability is seen to not be very sensitive to changes in intact rock tensile strength and joint shear stiffness for the tunnels being studied. Finally, support optimization studies conducted by studying the effect of changing cable diameters and grout uniaxial compressive strengths on support factors of safety and grout failures show the trade-off that is necessary in selecting cable strength vis-à-vis grout strength. The results indicate that simply increasing either one of cable or grout strength parameters without considering their interactions and compatibilities could be detrimental to the stability of the support system.

The Normal Accident Theory (NAT) attempts to understand why accidents occur in systems with high-risk technologies. NAT is characterized by two attributes: complexity and coupling. The combination of these attributes results in unplanned and unintended catastrophic consequences. High-risk technology systems that are complex and tightly coupled have a high probability of experiencing system failures. The mining industry has experienced significant incidents involving haulage operations up to and including severe injuries and fatalities. Although the mining industry has dramatically reduced fatalities and lost time accidents over the last three decades or more, accidents still continue to persist. For example, for the years 1998 - 2002, haulage operations in surface mines alone have accounted for over 40% of all accidents in the mining industry. The systems thinking was applied as an approach to qualitatively and quantitatively evaluate NAT in mining haulage operations. A measurement index was developed to measure this complexity. The results from the index measurements indicated a high degree of complexity that exists in haulage transfer systems than compared to loading and unloading systems. Additionally, several lines of evidence also point to the applicability of NAT in mining systems. They include strong organizational management or safety system does not guarantee zero accidents, complexity is exhibited in mining systems, and they are interactive and tightly coupled systems. Finally, the complexity of these systems were assessed with results indicating that a large number of accidents occur when there are between 4 or 5 causal factors. These factors indicate the degree of complexity necessary before accidents begin to occur.

Mining has a long history of production and operation management. Economies of scales have changed drastically and technology has transformed the mining industry significantly. One of the most important technological improvements is increased equipment, human, and plant tracking capabilities. This provided a continuous data stream to the decision makers, considering dynamic operational conditions. However, managerial approaches did not change in parallel. Even though many process improvement tools using equipment/human/plant tracking capabilities were developed (Fleet Management Systems, Plant Monitoring Systems, Workforce Management Systems etc.), to date there is no holistic approach or system to manage the entire value chain in mining. Mining operations are designed and managed around the already known system designated bottlenecks. However, contrary to common belief in mining, bottlenecks are not static. They can shift from one process or location to another. It is important for management to be aware of the new bottlenecks, since their decisions will be effected. Therefore, identification of true bottlenecks in real-time will help tactical level decisions (use of buffers, resource transfer), and identification of historical bottlenecks will help strategic-level decisions (investments, increasing capacity etc.). This thesis aims to address the managerial focus on the true bottlenecks. This is done by first identifying and ranking true bottlenecks in the system. The study proposes a methodology for creating Bottleneck Identification Model (BIM) that can identify true bottlenecks in a value chain in real-time or historically, depending on the available data. This approach consists of three phases to detect and rank the bottlenecks. In the first phase, the system is defined and variables are identified. In the second phase, the capacity, rates, and buffers are computed. In the third phase, considering particularities of the mine exceptions are added by taking mine characteristics into account, and bottlenecks are identified and ranked.

Slope stability plays an important role in rock engineering. During the design, construction and post design phases of rock slope stability, engineers and geologists need to pay close attention to the rock conditions within the rock slope to prevent slope failures, protect employees and maintain economic profit. This dissertation is based on a general four step procedure to construct and maintain rock slope stability with confidence. These four steps include field investigations, material testing and rock strength database, slope modelling and slope monitoring. The author provides past, present and alternatives methods for each step for the introduced slope stability procedure. Specific topics within each step are investigated displaying results, recommendations and conclusions. Step one involves data collection during field investigations for rock slope design. Orientation of rock core during drilling programs has become extremely pertinent and important for slope stability and underground mining operations. Orientation is needed to provide essential data to describe the structure and properties of discontinuities encountered during the design process to understand favourable and unfavourable conditions within a rock slope and underground openings. This chapter examines and discusses the limitations and benefits of four methods of obtaining borehole discontinuity orientations from drilling programs including clay-imprint, ACT I, II, III Reflex, EZY-MARK, and OBI/ABI Televiewer systems. Results, recommendations and conclusions are provided in this study. During step two to maintain rock slope stability, a rock strength database was created and used to correlate and compare RQD values to rock abrasion, shear strength and other rock characterization methods. Rock abrasion plays a significant role in geotechnical design, tunneling operations and the safety of foundations from scour; however, rock abrasion can be used to develop higher confidence in important parameters such as RQD and hardness. More rock abrasivity research is needed to provide a more accurate and compatible method for all subsurface material properties used in mining and civil engineering projects. This report will provide simple correlations relating abrasion resistance to RQD, UCS, Geological Strength Index (GSI) and Rock Mass Rating (RMR) of metamorphic rock. Results, discussions and conclusions are provided. Step 3 to determine rock slope stability entails utilizing computer modeling to predict failure conditions and wear rock mass properties. Computer modeling and slope monitoring for rock slopes have become essential to assess factor of safety (FOS) values to predict slope instability and estimate potential failure. When utilizing computer models, the limit equilibrium method (LEM) provides FOS values according to force and moment equilibrium; the shear strength reduction (SSR) technique calculates FOS using stress- and deformation-based analyses. Currently, both methods are prevalent in the engineering industry and applied by geotechnical engineers to analyze and determine stability in rock slopes for mining and civil engineering projects. Slope modeling techniques are then used to observe slope conditions and predict when slope failure may occur (FOS = 1.0). Comparison, results and conclusions are presented. Lastly, the dissertation (step 4: slope monitoring) will investigate past studies of FOS comparisons, review calculation methods and provide procedures and results using remote sensing data. The main objective of the dissertation is to provide engineers with essential information needed to ensure high confidence in factor of safety predictions and how alternative methods can be utilized. Recommendations, future research and conclusions regarding FOS and slope monitoring are provided within the dissertation.

Traditional slope stability analysis and design methods, such as limit equilibrium method and continuum numerical methods have limitations in investigating three dimensional large scale rock slope stability problems in open pit mines associated with stress concentrations and deformations arising due to intersection of many complex major discontinuity structures and irregular topographies. Analytical methods are limited to investigating kinematics and limit equilibrium conditions based on rigid body analyses. Continuum numerical methods fail to simulate the detachment of rock blocks and large displacements and rotations. Therefore, there is an urgent need to try some new methods to have a deeper understanding of the open pit mine rock slope stability problems. The intact rock properties and discontinuity properties for both DRC and DP rock formations that exist in the selected open pit mine were determined from tests conducted on rock samples collected from the mine site. Special survey equipment (Professor Kulatilake owns) which has a total station, laser scanner and a camera was used to perform remote fracture mapping in the research area selected at the mine site. From remote fracture mapping data, the fracture orientation, spacing and density were calculated in a much refined way in this dissertation compared to what exist in the literature. Discontinuity orientation distributions obtained through remote fracture mapping agreed very well with the results of manual fracture mapping conducted by the mining company. This is an important achievement in this dissertation compared to what exist in the literature. GSI rock quality system and Hoek-Brown failure criteria were used to estimate the rock mass properties combining the fracture mapping results with laboratory test results of intact rock samples. Fault properties and the DRC-DP contact properties were estimated based on the laboratory discontinuity test results. A geological model was built in a 3DEC model including all the major faults, DRC-DP contact, and two stages of rock excavation. The built major discontinuity system of 44 faults in 3DEC with their real orientations, locations and three dimensional extensions were validated successfully using the fault geometry data provided by the mining company using seven cross sections. This was a major accomplishment in this dissertation because it was done for the first time in the world. Numerical modeling was conducted to study the effect of boundary conditions, fault system and lateral stress ratio on the stability of the considered rock slope. For the considered section of the rock slope, the displacements obtained through stress boundary conditions were seemed more realistic than that obtained through zero velocity boundary conditions (on all four lateral faces). The fault system was found to play an important role with respect to rock slope stability. Stable deformation distributions were obtained for k₀ in the range of 0.4 to 0.7. Because the studied rock mass is quite stable, it seems that an appropriate range for k₀ for this rock mass is between 0.4 and 0.7. Seven monitoring points were selected from the deformation monitoring conducted at the open pit mine site by the mining company using a robotic total station to compare with numerical predictions. The displacements occurred between July 2011 and July 2012 due to the nearby rock mass excavation that took place during the same period were compared between the field monitoring results and the predicted numerical modeling results; a good agreement was obtained. This is a huge success in this dissertation because such a comparison was done for the first time in the world. In overall, the successful simulation of the rock excavation during a certain time period indicated the possibility of using the procedure developed in this dissertation to investigate rock slope stability with respect to expected future rock excavations in mine planning.

abstract: The understanding of multiphase fluid flow in porous media is of great importance in many fields such as enhanced oil recovery, hydrology, CO2 sequestration, contaminants cleanup, and natural gas production from hydrate bearing sediments. In this study, first, the water retention curve (WRC) and relative permeability in hydrate bearing sediments are explored to obtain fitting parameters for semi-empirical equations. Second, immiscible fluid invasion into porous media is investigated to identify fluid displacement pattern and displacement efficiency that are affected by pore size distribution and connectivity. Finally, fluid flow through granular media is studied to obtain fluid-particle interaction. This study utilizes the combined techniques of discrete element method simulation, micro-focus X-ray computed tomography (CT), pore-network model simulation algorithms for gas invasion, gas expansion, and relative permeability calculation, transparent micromodels, and water retention curve measurement equipment modified for hydrate-bearing sediments. In addition, a photoelastic disk set-up is fabricated and the image processing technique to correlate the force chain to the applied contact forces is developed. The results show that the gas entry pressure and the capillary pressure increase with increasing hydrate saturation. Fitting parameters are suggested for different hydrate saturation conditions and morphologies. And, a new model for immiscible fluid invasion and displacement is suggested in which the boundaries of displacement patterns depend on the pore size distribution and connectivity. Finally, the fluid-particle interaction study shows that the fluid flow increases the contact forces between photoelastic disks in parallel direction with the fluid flow. / Dissertation/Thesis / Doctoral Dissertation Civil and Environmental Engineering 2016

Geophysical methods have been widely used to investigate the subsurface in various ap-plications, such as mineral exploration, geotechnical and environmental studies. Among these methods, electrical resistivity tomography (ERT) has gained popularity due to its non-invasive and high-resolution capability in mapping subsurface resistivity variations. In this report, we provide an overview of the theoretical principles behind ERT and discuss its practical applications. We highlight the importance of inversion in ERT data processing and explain how different filtering methods and parameters can affect the results. Our investigation shows that running 2D and 3D inversion in a cloud service is more than feasible and that filtering can significantly reduce the error between the model and reality. We demonstrate that the error can be reduced to less than a 0.1 % in the tested dataset with careful parameter selection. Overall, our findings emphasize the potential of ERT as a powerful tool for subsurface characterization and shed light on its practical implementation for various geophysical applications. / Geofysiska metoder har använts flitigt för att utforska underjordiska strukturer inom olikaforskningsområden, såsom mineralutforskning, geotekniska studier och miljöstudier. Bland dessa metoder har elektrisk resistivitetstomografi (ERT) vunnit popularitet på grund av dess icke-invasiva natur och förmågan att kartlägga resistivitetsvariationer med hög noggrannhet. I detta arbete presenterar vi en översikt över de teorier bakom ERT och diskuterardess praktiska tillämpningar. Vi poängterar betydelsen av inversion vid bearbetningen av ERT-data och förklarar hur olika filtreringsmetoder och parametrar kan påverka resultatet. Vår undersökning visar att det är fullt genomförbart att utföra 2D- och 3D-inversion i en molntjänst och att filtrering kan signifikant minska felet mellan modellen och verkligheten. Vi demonstrerar att felet kan reduceras till mindre än 0,1 %. Sammantaget belyser våra fynd potentialen hos ERT som ett kraftfullt verktyg för karakterisering av underjorden och belyser dess praktiska implementering inom olika geofysiska områden.

A rock mass is characterised by the properties of the intact rock and the fractures. Considering the impact of both constituents is of vital importance for assessing the behaviour of the rock mass. In particular in the case of complex or heterogeneous rock mass compositions. A discrete approach, by using the Discrete Fracture Network (DFN) methodology, enables for the consideration of these aspects.This master’s thesis concerns the evaluation of elastic properties of the Singö deformation zone. A discrete approach has been applied by three-dimensional discrete fracture network modelling, using previously evaluated DFN parameters. The elastic properties have then been obtained by analytical means by using the methodology developed by Davy et al. (2018).The results show that in comparison to earlier evaluations of the elastic properties of the Singö zone, the respective Young’s moduli and Poisson’s ratios obtained by this thesis may indicate a weaker material. However, this study differs from the earlier evaluation by more extensive DFN modelling and the application of a state of stress which is more representative of the surroundings of the zone in Forsmark. The analysis indicates that theadequate model size is slightly larger than the maximum studied DFN model size. A suggested future improvement would be a re-evaluation and updating of the DFN parameters. As a concluding remark, the methodology of Davy et al. (2018) may prove successful in the future for the application to deformation zones. / En bergmassa karakteriseras av egenskaperna hos det intakta berget och dess sprickor. Det är därmed av vikt att båda dessa beståndsdelar beaktas vid utvärdering av bergmassans beteende, speciellt vid komplexa eller heterogena bergartssammansättningar.Detta examensarbete syftar till att utvärdera deformationsegenskaper för den så kallade Singözonen. Ett diskret angreppsätt har tillämpats genom modellering av tredimensionella diskreta spricknätverk med hjälp av tidigare utvärderade DFN-parametrar. Deformationsegenskaperna har sedan utvärderats med hjälp av metodiken som presenteras i Davy et al. (2018).Jämfört med tidigare utvärderade deformationsegenskaper hos Singözonen så indikerar resultaten av denna masteruppsats en svagare bergmassa, med hänsyn till uppskattade värden på E-moduler och tvärkontraktionstal. Däremot skiljer sig modelleringsprocessen i detta arbete mot de som utförts i de tidigare studierna. Detta med hänsyn till omfattningen av DFN-modelleringen samt tillämpandet i detta arbete av en spänningsansats som är mer representativ för Forsmarksområdet. Vidare indikerar resultaten att den representativa modellvolymen är något större än den största modellvolym som tillämpats i detta arbete. Förslagsvis kan en utvärdering och eventuell uppdatering av de använda DFN-parametrarna utgöra en möjlig utveckling eller förbättring av det arbete som utförts i detta mastersarbete. Slutligen kan det konstateras att framtida tillämpningar av den metodik som tagits fram av Davy et al. (2018) verkar lämplig att applicera på deformationszoner.