This research characterizes the nature of fractures in Paleozoic and Mesozoic caprock seal analogs exposed in central and south-eastern Utah. The results of this research show evidence for fluid flow and mineralization in the subsurface as well as reactivation of fractures suggesting that the fractures act as a loci for fluid flow through time. The heterolithic nature of the caprock seals and meso-scale (cm to m) variability in fracture distributions and morphology highlight the strong link between the variation in material properties and the response to changing stress conditions. The variable connectivity of fractures and the changes in fracture density at the meso-scale plays a critical role in subsurface fluid flow. The presence or formation of new fractures can result in seal bypass systems, which can cause failure of hydrocarbon traps, CO2 geosequestration sites, waste and subsurface fluid repositories. An integrated approach of field, borehole geophysical, burial and stress history modeling, rock strength testing, and numerical modeling are used to understand the effects changing material properties, rock strength, and stress history have on sealing capacity. Simplified stress history models derived from burial history curves are combined with laboratory derived rock properties to understand the importance variations in rock properties and differential and effective mean stress have on the mechanical failure of fine-grained clastic sedimentary rocks. Burial history and rock strength data show that in units that experience similar burial depths and changing mechanical property exert a control on deformation type. Geomechanical models reveal changes in local strain magnitudes at locked mechanical interfaces, suggesting that elastic mismatch between layers results in differential strain distribution. Characterization of fracture patterns, rock strength variability and the modeled changes in subsurface strain distribution is especially important for understanding the response of low-­‐permeability rocks to changing stress in the subsurface, and is applicable to multiple geo-engineering scenarios such as exploitation of natural resources, waste disposal, and management of fluids in the subsurface. The analyses presented in this dissertation provide analog fracture data for fine-grained clastic rocks and a dataset for better understanding the importance of heterogeneity in low permeability rocks.

This dissertation encompasses two studies: one developing virtual field trips for mobile devices for an innovative approach to lower-division geoscience education, and the other examining the role of rock strength in river erosion and landscape evolution. The education study involves the development of three virtual field trip modules (Geologic Time, Geologic Structures, and Hydrologic Processes, all free on iTunes and Google Play) that lead students down a virtual Colorado River through Grand Canyon by physically moving around their campus quad, football field or other location, using their GPS-equipped smart phone or tablet. As students reach each location in the scaled down and geo-referenced virtual Grand Canyon, an informative video appears with a themed geological question and an interactive touchscreen activity. The effectiveness of these three modules in terms of student engagement and learning was tested at five U.S. Colleges with a range of missions and student demographics. Results show that the virtual field trip modules are effective at increasing student interest across races and genders in the geosciences, do not detract from student learning, and have the potential to increase content comprehension. The second study is the examination of the relation between rock strength and topography in the Colorado Plateau. This work contributes empirical data to the age-old debate over the mechanisms and patterns of stream erosion through statistical relations between rock strength and stream power, river steepness, and valley width along the Green-Colorado River system. Estimates of an “effective” tensile strength were calculated for units too incompetent to test directly, such as the shales prevalent in the region. Results indicate bedrock strength is a first-order control on river erosion in this landscape, as suggested by John Wesley Powell in 1896: “where the rocks are firm and stable, corrasion [sic] of the stream is slow; where the rocks are soft, corrasion [sic] is more rapid,” which is intuitive yet frequently overlooked.

The geotechnical parameters of the different lithologies are of great importance regarding mining, infrastructures development and safety. The main aims of this thesis project are the evaluation of the previously acquired point load tests (PLT) data and the acquisition of a larger set for the various lithologies and alterations. In addition, the correlation to the Leeb Hardness test (LHT) method, and the determination of correlation factors (K) for estimating the uniaxial compressive strength (UCS) index from PLT data for various lithologies were evaluated. In total, 5236 previously PL tested samples, 1113 newly PL tested samples and 569 LHT measurements were obtained. The results showed that the highest values come from the footwall lithologies (Sp) ranging between 11-19 MPa, while the hanging wall lithologies (Qp) fall in range 10-14 MPa and the different ore types between 6-11 MPa. The correlation between PLT and LHT was poor, with the results completely overlapping for all country rock lithologies in the range 800-900 LHD, while the ore types fall in the range 600-700, and anhydrite at 500 LHD. On the other hand, the correlation factors K for the lithologies tested vary between 13-20 for the weaker and more altered rock types and 25-30 for the stronger ones, correlating well when compared to the actual UCS values found in the literature. In conclusion, it is evident that the LHT is not able to substitute the PLT as it captures different properties of the rock. The conversion from PLT to UCS gave rather accurate results, with slightly different correlation factors K for the tested lithologies.

Bulk rock strength is greatly dependent on fracture density, so that reductions in rock strength associated with faulting and fracturing should be reflected by reduced shear coupling and hence S-wave velocity. This study is carried out along the Canterbury rangefront and in Otago. Both lie within the broader plate boundary deformation zone in the South Island of New Zealand. Therefore built structures are often, , located in areas where there are undetected or poorly defined faults with associated rock strength reduction. Where structures are sited near to, or across, such faults or fault-zones, they may sustain both shaking and ground deformation damage during an earthquake. Within this zone, management of seismic hazards needs to be based on accurate identification of the potential fault damage zone including the likely width of off-plane deformation. Lateral S-wave velocity variability provides one method of imaging and locating damage zones and off-plane deformation. This research demonstrates the utility of Multi-Channel Analysis of Surface Waves (MASW) to aid land-use planning in such fault-prone settings. Fundamentally, MASW uses surface wave dispersive characteristics to model a near surface profile of S-wave velocity variability as a proxy for bulk rock strength. The technique can aid fault-zone planning not only by locating and defining the extent of fault-zones, but also by defining within-zone variability that is readily correlated with measurable rock properties applicable to both foundation design and the distribution of surface deformation. The calibration sites presented here have well defined field relationships and known fault-zone exposure close to potential MASW survey sites. They were selected to represent a range of progressively softer lithologies from intact and fractured Torlesse Group basement hard rock (Dalethorpe) through softer Tertiary cover sediments (Boby’s Creek) and Quaternary gravels. This facilitated initial calibration of fracture intensity at a high-velocity-contrast site followed by exploration of the limits of shear zone resolution at lower velocity contrasts. Site models were constructed in AutoCAD in order to demonstrate spatial correlations between S-wave velocity and fault zone features. Site geology was incorporated in the models, along with geomorphology, river profiles, scanline locations and crosshole velocity measurement locations. Spatial data were recorded using a total-station survey. The interpreted MASW survey results are presented as two dimensional snapshot cross-sections of the three dimensional calibration-site models. These show strong correlations between MASW survey velocities and site geology, geomorphology, fluvial profiles and geotechnical parameters and observations. Correlations are particularly pronounced where high velocity contrasts exist, whilst weaker correlations are demonstrated in softer lithologies. Geomorphic correlations suggest that off-plane deformation can be imaged and interpreted in the presence of suitable topographic survey data. A promising new approach to in situ and laboratory soft-rock material and mass characterisation is also presented using a Ramset nail gun. Geotechnical investigations typically involve outcrop and laboratory scale determination of rock mass and material properties such as fracture density and unconfined compressive strength (UCS). This multi-scale approach is espoused by this study, with geotechnical and S-wave velocity data presented at multiple scales, from survey scale sonic velocity measurements, through outcrop scale scanline and crosshole sonic velocity measurements to laboratory scale property determination and sonic velocity measurements. S-wave velocities invariably increased with decreasing scale. These scaling relationships and strategies for dealing with them are investigated and presented. Finally, the MASW technique is applied to a concealed fault on the Taieri Ridge in Macraes Flat, Central Otago. Here, high velocity Otago Schist is faulted against low velocity sheared Tertiary and Quaternary sediments. This site highlights the structural sensitivity of the technique by apparently constraining the location of the principal fault, which had been ambiguous after standard processing of the seismic reflection data. Processing of the Taieri Ridge dataset has further led to the proposal of a novel surface wave imaging technique termed Swept Frequency Imaging (SFI). This inchoate technique apparently images the detailed structure of the fault-zone, and is in agreement with the conventionally-determined fault location and an existing partial trench. Overall, the results are promising and are expected to be supported by further trenching in the near future.

Bulk rock strength is greatly dependent on fracture density, so that reductions in rock strength associated with faulting and fracturing should be reflected by reduced shear coupling and hence S-wave velocity. This study is carried out along the Canterbury rangefront and in Otago. Both lie within the broader plate boundary deformation zone in the South Island of New Zealand. Therefore built structures are often, , located in areas where there are undetected or poorly defined faults with associated rock strength reduction. Where structures are sited near to, or across, such faults or fault-zones, they may sustain both shaking and ground deformation damage during an earthquake. Within this zone, management of seismic hazards needs to be based on accurate identification of the potential fault damage zone including the likely width of off-plane deformation. Lateral S-wave velocity variability provides one method of imaging and locating damage zones and off-plane deformation. This research demonstrates the utility of Multi-Channel Analysis of Surface Waves (MASW) to aid land-use planning in such fault-prone settings. Fundamentally, MASW uses surface wave dispersive characteristics to model a near surface profile of S-wave velocity variability as a proxy for bulk rock strength. The technique can aid fault-zone planning not only by locating and defining the extent of fault-zones, but also by defining within-zone variability that is readily correlated with measurable rock properties applicable to both foundation design and the distribution of surface deformation. The calibration sites presented here have well defined field relationships and known fault-zone exposure close to potential MASW survey sites. They were selected to represent a range of progressively softer lithologies from intact and fractured Torlesse Group basement hard rock (Dalethorpe) through softer Tertiary cover sediments (Boby’s Creek) and Quaternary gravels. This facilitated initial calibration of fracture intensity at a high-velocity-contrast site followed by exploration of the limits of shear zone resolution at lower velocity contrasts. Site models were constructed in AutoCAD in order to demonstrate spatial correlations between S-wave velocity and fault zone features. Site geology was incorporated in the models, along with geomorphology, river profiles, scanline locations and crosshole velocity measurement locations. Spatial data were recorded using a total-station survey. The interpreted MASW survey results are presented as two dimensional snapshot cross-sections of the three dimensional calibration-site models. These show strong correlations between MASW survey velocities and site geology, geomorphology, fluvial profiles and geotechnical parameters and observations. Correlations are particularly pronounced where high velocity contrasts exist, whilst weaker correlations are demonstrated in softer lithologies. Geomorphic correlations suggest that off-plane deformation can be imaged and interpreted in the presence of suitable topographic survey data. A promising new approach to in situ and laboratory soft-rock material and mass characterisation is also presented using a Ramset nail gun. Geotechnical investigations typically involve outcrop and laboratory scale determination of rock mass and material properties such as fracture density and unconfined compressive strength (UCS). This multi-scale approach is espoused by this study, with geotechnical and S-wave velocity data presented at multiple scales, from survey scale sonic velocity measurements, through outcrop scale scanline and crosshole sonic velocity measurements to laboratory scale property determination and sonic velocity measurements. S-wave velocities invariably increased with decreasing scale. These scaling relationships and strategies for dealing with them are investigated and presented. Finally, the MASW technique is applied to a concealed fault on the Taieri Ridge in Macraes Flat, Central Otago. Here, high velocity Otago Schist is faulted against low velocity sheared Tertiary and Quaternary sediments. This site highlights the structural sensitivity of the technique by apparently constraining the location of the principal fault, which had been ambiguous after standard processing of the seismic reflection data. Processing of the Taieri Ridge dataset has further led to the proposal of a novel surface wave imaging technique termed Swept Frequency Imaging (SFI). This inchoate technique apparently images the detailed structure of the fault-zone, and is in agreement with the conventionally-determined fault location and an existing partial trench. Overall, the results are promising and are expected to be supported by further trenching in the near future.

Closely jointed greywacke rock masses are widespread throughout both the North and South Islands of New Zealand and much of New Zealand's infrastructure is constructed upon greywacke rock masses. This thesis deals with determining the rock mass strength of unweathered closely jointed New Zealand greywacke rock masses. Currently, the estimation of rock mass strength and deformability is reasonably well predicted through the use of such empirical failure criteria as the Hoek-Brown failure criterion and empirical expressions to predict deformability. However, previous studies upon predicting the strength and deformability of unweathered closely jointed New Zealand greywacke rock masses has shown that existing empirical methods of determining strength and deformability are unsatisfactory. The problem with predicting rock mass strength and deformability moduli of New Zealand greywacke and the lack of adequate data to calibrate a failure criterion was the starting point for this work. The objective of this thesis was to increase the knowledge of intact and defect properties of closely jointed greywacke, develop reliable rock mass data with which to calibrate a failure criterion and improve the ability to estimate the rock mass strength of greywacke rock masses. A review of existing failure criteria for rock masses was conducted and of these criteria, the Hoek-Brown rock mass failure criteria was selected to calibrate to both the intact rock and rock mass failure data, because of its broad acceptance in the rock mechanics community. A database of greywacke properties was developed based on previous studies upon unweathered greywacke around New Zealand and is attached to the thesis as an Appendix. The database included descriptions of greywacke defect properties and mechanical properties of the intact rock and joints. From this database, inputs could be justified for numerical modelling and later analyses of failure criteria. Records from the construction archives of the Benmore and Aviemore hydroelectric power projects in the South Island of New Zealand were reviewed to obtain information and results from a series of shear tests carried out on unweathered closely jointed greywacke in the 1960s. Data on rock mass strength at failure and rock mass deformability were extracted from these records to assess the predictability of the failure criterion and deformability expressions. Problems experienced during the shear tests at the Aviemore dam site created doubt as to the actual rock mass strengths achieved at failure. The behaviour of these tests was studied using the finite difference code FLAC. The work was aimed at investigating the potential for transfer of shear force between the two concrete blocks sheared in each test and the impact shear force transfer had upon the likely normal stresses beneath each block at failure. The numerical modelling results indicated that a combination of preferential failure occurring in one direction, and doubt in the actual normal load applied to the concrete blocks during testing lead to premature failure in the blocks sheared upstream. The blocks sheared in the opposite direction failed at normal stresses that are reflective of the strength of an unweathered greywacke rock mass, but these results could be explained by failure occurring along defects therefore not satisfying the assumptions of homogeneity typically required of a rock mass failure criterion. The Hoek-Brown failure criterion for intact rock was investigated by fitting it to the largest intact greywacke datasets. For a full set of test data (i.e. including tensile data), the Mostyn & Douglas (2000) variant of the Hoek-Brown failure criterion gave the best fit for a full set of rock mass data. A multiple regression method was developed which improved the fitted curve to intact data in the tensile region and gave the best estimate of tensile strength if no existing lab results for tensile strength were available. These results suggest that the Hoek-Brown failure criterion is significantly limited in its applicability to intact NZ greywacke rock. Hoek-Brown input parameters different to those suggested by Hoek et al (2002) are recommended for using the Hoek-Brown failure criterion for intact NZ greywacke. For closely jointed NZ greywacke rock masses, the results from the shear tests at Aviemore and Benmore were separated into different GSI classes and Hoek-Brown envelopes fitted to the datasets by multiple regression. Revised expressions were proposed for each Hoek-Brown input parameter (mb, s, ab) as a function of the GSI. The resulting revised Hoek-Brown failure envelopes for NZ greywacke offer a significant improvement on the existing criterion used to predict the strength of NZ greywacke intact rock and rock masses. The differences in the behaviour of the reaction blocks that failed before the test blocks and the reduction in rock strength due to sliding along defects from that predicted could be reasoned from recorded observations and the behaviour of the concrete blocks during the shear tests. This study has clearly illustrated the need for continued research in this area. This includes (1) a means of assessing the role of defects upon the shear strength of closely jointed greywacke rock mass into a failure criterion, (2) further modelling of the in-situ shear tests by a discrete element procedure to expressly determine the role of the defect on failure, (3) more testing on rock masses to obtain more data to calibrate a rock mass failure criterion, and (4) more studies on predicting the strength of extremely disturbed rock masses.

A resistência à compressão uniaxial e o módulo de deformabilidade são parâmetros que descrevem o comportamento de materiais rochosos frente a solicitações por esforços. É prática corriqueira em investigações geológico-geotécnicas para projetos de engenharia estimar a resistência de maneira preliminar com base em propriedades de tenacidade, dureza e friabilidade, aferindo à rocha graus de coerência. Dados laboratoriais referentes a aspectos físicos, texturais e mineralógicos de arenitos da Formação Piramboia, Bacia do Paraná, amostrados via sondagens mistas na região de Anhembi e Santa Maria da Serra, Estado de São Paulo, foram correlacionados entre si e a parâmetros geomecânicos como resistência à compressão uniaxial, módulo de deformabilidade e graus de coerência. As fácies reconhecidas nos arenitos foram agrupadas em associações de dunas e interdunas e suas rochas classificadas como quartzo arenitos e arenitos feldspáticos ou subarcóseos, com cimentação principalmente de esmectita ou material argilo- ferruginoso. Encontraram-se correlações significativas da resistência à compressão uniaxial com tamanho médio dos grãos e densidade, inversa no primeiro caso e direta no segundo. Já o módulo de deformabilidade apresentou correlação significativa inversa com proporção de pelíticos, e direta com tamanho médio dos grãos, desvio padrão da distribuição granulométrica e grau de empacotamento. Arenitos característicos de inundações efêmeras em domínio de interdunas úmidas, com maiores teores de pelíticos, apresentaram módulos de deformabilidade baixos e resistências altas em comparação aos arenitos de demais fácies. Variações da composição mineralógica do arcabouço não se mostraram suficientes para influenciar significativamente o comportamento geomecânico dos arenitos. / The uniaxial compressive strength and the deformability modulus are parameters that describe the behavior of rock materials under stress. It is an everyday practice in geological and geotechnical investigations for engineering projects to estimate strength in a preliminary fashion, based on properties such as tenacity, toughness and friability, attributing to the rock a qualitative term describing its strength. Laboratorial data on physical, textural and mineralogical aspects of sandstones of the Piramboia Formation, Paraná Basin, obtained by core drillings in the region of Anhembi and Santa Maria da Serra, state of São Paulo, were correlated to each other and to geomechanical parameters such as uniaxial compressive strength, deformability modulus and qualitative terms describing their strength. The recognized sandstone facies were grouped in dune and interdune associations and their rocks were classified as quartz arenites and feldspathic arenites or subarkoses, whose cementation is mainly composed of smectite or ferruginous clay material. Significant correlations of uniaxial compressive strength with mean grain size and density were found, inverse in the first case and direct in the second. On the other hand, the deformability modulus showed a significant inverse correlation with the amount of pelitic material, and direct with mean grain size, standard deviation of grain size distribution and packing density. Sandstones characteristic of ephemeral floods in the domain of wet interdunes, with greater amounts of pelitic material, presented low values of deformability modulus and high strength values compared to the other facies. Variations in the mineral composition of the framework were not sufficient to significantly influence the geomechanical behavior of the sandstones.

A resistência à compressão uniaxial e o módulo de deformabilidade são parâmetros que descrevem o comportamento de materiais rochosos frente a solicitações por esforços. É prática corriqueira em investigações geológico-geotécnicas para projetos de engenharia estimar a resistência de maneira preliminar com base em propriedades de tenacidade, dureza e friabilidade, aferindo à rocha graus de coerência. Dados laboratoriais referentes a aspectos físicos, texturais e mineralógicos de arenitos da Formação Piramboia, Bacia do Paraná, amostrados via sondagens mistas na região de Anhembi e Santa Maria da Serra, Estado de São Paulo, foram correlacionados entre si e a parâmetros geomecânicos como resistência à compressão uniaxial, módulo de deformabilidade e graus de coerência. As fácies reconhecidas nos arenitos foram agrupadas em associações de dunas e interdunas e suas rochas classificadas como quartzo arenitos e arenitos feldspáticos ou subarcóseos, com cimentação principalmente de esmectita ou material argilo- ferruginoso. Encontraram-se correlações significativas da resistência à compressão uniaxial com tamanho médio dos grãos e densidade, inversa no primeiro caso e direta no segundo. Já o módulo de deformabilidade apresentou correlação significativa inversa com proporção de pelíticos, e direta com tamanho médio dos grãos, desvio padrão da distribuição granulométrica e grau de empacotamento. Arenitos característicos de inundações efêmeras em domínio de interdunas úmidas, com maiores teores de pelíticos, apresentaram módulos de deformabilidade baixos e resistências altas em comparação aos arenitos de demais fácies. Variações da composição mineralógica do arcabouço não se mostraram suficientes para influenciar significativamente o comportamento geomecânico dos arenitos. / The uniaxial compressive strength and the deformability modulus are parameters that describe the behavior of rock materials under stress. It is an everyday practice in geological and geotechnical investigations for engineering projects to estimate strength in a preliminary fashion, based on properties such as tenacity, toughness and friability, attributing to the rock a qualitative term describing its strength. Laboratorial data on physical, textural and mineralogical aspects of sandstones of the Piramboia Formation, Paraná Basin, obtained by core drillings in the region of Anhembi and Santa Maria da Serra, state of São Paulo, were correlated to each other and to geomechanical parameters such as uniaxial compressive strength, deformability modulus and qualitative terms describing their strength. The recognized sandstone facies were grouped in dune and interdune associations and their rocks were classified as quartz arenites and feldspathic arenites or subarkoses, whose cementation is mainly composed of smectite or ferruginous clay material. Significant correlations of uniaxial compressive strength with mean grain size and density were found, inverse in the first case and direct in the second. On the other hand, the deformability modulus showed a significant inverse correlation with the amount of pelitic material, and direct with mean grain size, standard deviation of grain size distribution and packing density. Sandstones characteristic of ephemeral floods in the domain of wet interdunes, with greater amounts of pelitic material, presented low values of deformability modulus and high strength values compared to the other facies. Variations in the mineral composition of the framework were not sufficient to significantly influence the geomechanical behavior of the sandstones.