The origin of tectonic stress in the lithosphere

The sources of lithospheric stress and their distinctive features are briefly reviewed. It is suggested that there are two main categories of lithospheric stress: renewable stress which persists despite continuing stress relaxation and non-renewable stress which can be dissipated by relief of the initial strain. The two most important types of renewable stress arise from plate boundary forces and from isostatically compensated loads. Non-renewable stress systems include bending stresses, membrane stresses and thermal stresses. An important phenomenon generating large stresses at shallow depth is stress amplification caused by lower lithospheric creep. This applies to renewable stresses but not to the non-renewable type. It is suggested that only renewable stresses contribute significantly to tectonic activity. However, bending and thermal stresses are locally important in subducting lithosphere.     

压磁套芯三维原地应力测量研究

压磁套芯解除法是20世纪50年代开始发展起来的原地应力测试技术。为了实现在单一钻孔中进行三维地应力测量研制了单孔全应力计。在简单介绍压磁全应力计结构和计算原理的基础上,通过现场测试,对在锦屏二级水电站地下厂房洞群区压磁套心解除3孔交汇法三维地应力测量和单孔三维地应力测量及水压致裂地应力测量进行了比较分析研究。测量结果表明,在探洞浅部,受局部地形影响,测点的应力分布主要受自重和地形地貌控制,形成特有的“V”型河谷岸坡内的局部应力状态,最大主应力为11 MPa左右,作用方向NNW基本近水平;在探洞深部地应力应力值较高,最大主应力为40 MPa左右,作用方向近直立;随水平埋深的增大最大主应力由近水平状态转变为近直立状态,说明在洞深部自重应力起主导作用。通过三种方法测量结果的对比分析,说明压磁套心解除单孔三维地应力测试技术与压磁套心解除3孔交汇法和水压致裂地应力测试技术具有相同测试精度。     

大连地下石油储备库地应力场反演分析

初始地应力场是地下工程稳定性评价的基础。结合大连地下石油储备库工程,提出一种基于现场地应力实测资料直接反演初始地应力场的新方法。首先,通过现场实测地应力结果的统计分析,建立初始地应力与高程之间的关系;其次,由于主应力的方向与模型坐标轴方向不重合,进行应力变换;最后,基于FLAC3D的FISH语言编写函数,采用Hoek-Brown强度准则,直接反演大连地下石油储备库的初始地应力场。计算结果与实测结果的对比分析表明：直接法反演的初始应力场的拟合度较高,误差较小,可以满足工程的需要。该法是一种切实可行、简单有效的方法。     

The concept of residual stress in rock

The purpose of this paper is to clarify the concept of residual stress in rock. Residual stress is stress near a point in a body subjected to zero external tractions and to zero temperature gradients, excluding body forces. Thus, residual stresses can develop in rock if there are local phase transformations, inelastic strains, or differences in thermal or elastic properties. In these cases, residual stresses can result from changes in temperature, applied stress or configuration of the body.Analysis of residual stresses at the scale of mineral grains within a polycrystalline aggregate such as rock is virtually intractable. One can, however, obtain important insights into residual stresses within bodies with widely spaced sources of residual stress, such as inclusions, and within bodies comprised of multilayers. The analyses indicate that patterns of residual stress in rock can be expected to be extremely complicated. For example, study of residual stresses in a body containing a circular inclusion indicates that:

1. (1) There is a single state of residual stress within an inclusion but the state within the surrounding medium is variable. Thus, values of residual stress within rocks reported in the literature generally are of minor value because the sizes and shapes of the sources and the positions of the measurements relative to the positions of sources of residual stresses in the bodies have not been determined.

2. (2) Residual stresses within an inclusion can be tensile or compressive, even though the applied stresses were compressive, depending upon the source of residual stress.

3. (3) The magnitudes and orientations of residual stresses in an isolated body of rock containing one or more inclusions depends upon the size and shape of the body. The same general conclusions are derived from an analysis of residual stresses in a simple multilayered body.

4. (4) In addition, however, the anisotropy of a multilayered body tends to cause principal residual stresses to parallel the layers rather than to parallel the applied stresses that were responsible for inducing the residual stresses. Thus, without identifying the sources of residual stresses in a body, one cannot infer the directions of principal tectonic stresses that might have been responsible for the residual stresses.

Comparison of the theoretical results with measurements of change of residual stress in blocks of granite, with maximum dimensions of 2.5 m in the field and 0.2 m in the lab oratory, suggests that sources of residual stress are inhomogeneous elements or elements of inelastic deformation within the blocks that are smaller than the blocks themselves, but larger than individual mineral grains. The sources of residual stress are unknown in these granites.     

A rock test cell with true triaxial capability

Conventional so-called triaxial test cells apply the axial stress to a cylindrical sample using steel platens, with the confining stress developed via an annulus of hydraulic fluid retained by a liner in a pressure cell. This does not allow differentiation between the two principal stresses around the core and inhibits the realism with which the rocks can be tested, for example in determining the effect of the intermediate principal stress on the strength of the sample.This paper describes the development and application of a new test cell – believed to be the first in the world – which enables truly triaxial stresses to be applied to cylindrical core samples, opening up the possibility to test rocks routinely in a more realistic manner. An array of 24 trapped tubes replace the single annulus which usually generates the uniform radial stress. Selective pressurization of the tubes enables differential radial stresses to be generated, while axial stresses are applied as before through steel platens. The first results of multi-state failure and permeability stress sensitivity of samples tested in the cell are presented. These demonstrate the influence of the intermediate principal stress on measured rock properties and the orientation of induced fracture planes.     

岩石节理在固定法向压力刚度条件下的剪切理论研究

节理在固定法向压力刚度（CNS）条件下的剪切过程比较复杂,剪切中由于剪胀的存在使得法向压力增大,而法向压力的增加又限制了剪胀的发生。根据CNS剪切过程中某一瞬时状态下法向压应力大小,以节理在该法向压应力下法向剪胀位移与剪切位移的关系为基础,建立一个楔形物理模型。通过循环迭代求得CNS剪切过程中每一步的法向压应力值,进而得到整个过程的剪切应力值。通过该模型,讨论了节理各参数对CNS剪切过程的影响,结果表明,其剪切应力值受法向压应力刚度与节理法向变形参数共同协调控制（包括单轴压缩变形及剪胀角的磨损）,节理在剪切过程中越不易发生压缩变形,其剪切应力值越大。     

Influence of an Inclined Rock Stratum on In-Situ Stress State in an Open-Pit Mine

In-situ stress plays a major role with respect to deformation and stability around underground or surficial excavations located at significant depth. Many sedimentary rock masses are more or less horizontally bedded. However, a possibility exists to have one or few inclined rock strata such as dikes in these horizontally bedded formations. It is important to know how the in situ stress changes from a purely horizontally bedded situation to a horizontally bedded rock mass that contains one or few inclined rock strata. This paper presents such an investigation using the largest open-pit metal mine in China—as a case study. This mine has a bedded rock mass with one steeply inclined rock stratum. For the bedded rock mass, the vertical stress was calculated based on the overburden above each lithology. The available in situ stress measurements conducted at the mine were used to estimate the ratios of horizontal to vertical stress. Numerical modeling was performed for the two scenarios: (a) the horizontally bedded system subjected to both the in situ and boundary stresses and (b) the mine lithological system that includes an inclined stiffer (denser) stratum intruding softer horizontally bedded system subjected to only boundary stresses to investigate the influence of an inclined rock stratum on the computed stress field. Thirty points were selected to compute the stresses on six planes of the inclined rock stratum. Due to the discontinuous nature of the geologic system at the interface between the stiffer inclined stratum and softer horizontally bedded system, one principal stress has become normal to the interface plane and the other two have become parallel to the interface plane with all three being perpendicular to each other. Presence of the stiffer inclined rock stratum has given rise to (a) increase in normal stresses up to about 120 % in the inclined rock stratum and (b) new shear stresses approximately in the range ?10.0 to 15.0 MPa. This means, because most of the rock masses are not purely horizontally bedded, estimation of in situ stress through measurements as well as application of in situ stress in numerical modeling associated with underground or surficial excavations located at significant depth is a difficult exercise. A better way to estimate the in situ stresses for complex geologic systems may be through application of appropriate boundary stresses to the geologic system in a numerical model.     

Lithomorphic stresses and cleavage of loess

Lateral stresses existing in soil deposits are important clues to recent stress history because they tend to remain “locked in” following adjustments in the overburden load: Thus a high lateral stress is partly retained following a reduction in vertical stress, as by glacial melting or erosion. Conversely, during loess deposition a low lateral stress should be retained if the soil structure is preserved under increasing vertical stress. This has not previously been verified in the field because of the difficulty of measuring lateral stresses in situ in an hydrocollapsible material.

Tests were conducted at two sites in Missouri river valley loess using theK_o Stepped Blade, which uses data extrapolation to give stress on a zero thickness blade. In basal loess where the moisture content was at or above the liquid limit,K_o = 1.0 ± 0.02. In the upper to middle loess zoneK_o is as low as 0.2 to 0.4, lower than the values of 0.4 to 0.5 that would be expected if the soil were normally consolidated. Near the ground surface, lateral stresses are higher soK_o > 1, attributed to post-depositional weathering and the presence of smectite clay minerals. The vertical sequence of lateral stress from high to low to high again should contribute a tension-induced cleavage if lateral confinement is removed by excavation or erosion. This stress condition is most pronounced in loess close to its source, where the potential tension zone was found to extend to a depth of about 7 m compared to 4 m at the other site. Loess cleavage appears to result from stress relief and is not a unique directional property of this material.     

A New Analytical Solution for the Stress State in Inclined Backfilled Mine Stopes

There are several good reasons for using backfill in underground stopes, including a reduction of mine wastes on the surface and the improvement of ground stability. Backfilling is now commonly used in underground operations worldwide, so practical methods are required to assess the stress state in stopes, on the surrounding rock mass and on support structures. The majority of existing analytical solutions for the stresses have been developed for vertical openings. In practice, stopes often have inclined walls, and this affects the stress state. Recent numerical studies have shown how the stresses distribution in inclined backfilled stopes is influenced by stope geometry and backfill strength. It has also been shown that existing analytical solutions do not capture the essential tendencies regarding these influence factors. In this paper, a new solution is proposed for the vertical and horizontal stresses in backfilled stopes with inclined walls. This solution takes into account the variation of the stresses along the opening height and width, including the difference between the hanging wall and footwall, for various inclination angles of the walls. Key results are presented and validated using recently performed numerical simulations.     

Experiments on internal erosion in sandy gravel foundations containing a suspended cutoff wall under complex stress states

Internal erosion is one of the most common failure modes of embankment dams or foundations, and the simplest and most effective preventive measure is to build a cutoff wall. The soil at the bottom of the cutoff wall is usually under complex stress states. The deeper the cutoff wall, the higher is the stress. In this study, the effects of stress conditions on the evolution of internal erosion were investigated in sandy gravel foundations containing a suspended cutoff wall using a newly developed stress-controlled erosion apparatus. Three series of erosion tests were conducted on gap-graded soil under different confining stresses, different deviatoric stresses, and different confining and deviatoric stresses. The results of these tests are as follows: (1) The discharge and permeability decrease with an increase in the confining stress, but the critical hydraulic gradient increases. (2) In the second series of erosion tests, the specimen is compressed under low deviatoric stress; the specimen undergoes shear expansion under high deviatoric stress. (3) In the third series of erosion tests, the confining and deviatoric stresses synchronously change, and therefore, their combined effect on the evolution of internal erosion is complicated. Under low stress, the soil is compressed in the early stage of the experiment, and its structure may change during internal erosion. When the stress level is high, the specimen also undergoes shear expansion, and the degree of expansion is controlled by both confining and deviatoric stresses.     

圆形巷道围岩层裂或板裂化的等效连续介质模型及侧压系数的影响

为了避免均质和非均质模型不能较好地模拟围岩的层裂或板裂化现象,将岩石视为等效连续介质,即颗粒体材料。颗粒被视为弹性材料,而颗粒之间的界面破坏后被视为摩尔-库仑材料。颗粒和界面均被离散为正方形单元。采用FLAC研究了不同侧压系数时圆形巷道围岩中的剪切应变增量、最小、最大主应力等的分布规律。研究发现,颗粒体材料模型在压应力作用下诱发出的拉应力值接近于在模型边界上所施加的最大压应力,而最大压应力是所施加的最大压应力的数倍。这些结果意味着均质和非均质模型的计算结果是偏于不安全的。另外,最小主应力和剪切应变增量的等值线图均显示,这些量的高值区的距离大致相等,这与V形岩爆坑内的板裂化现象类似。围岩层裂现象的原因是环向的高压应力和径向的高拉应力的共同作用的结果。     

金属矿山采空区群形成过程中围岩扰动规律研究

以石人沟铁矿为工程背景,选取典型矿段,采用相似材料模型试验和数值模拟计算相结合的方法,对该区域内采空区群形成过程中围岩的应力应变的演变规律进行研究。首先,利用相似材料试验,对采空区顶板的应力和位移以及矿柱的应力演变规律进行系统分析。然后,用数值模拟软件,对采空区群形成过程中开采对围岩的扰动范围进行系统研究。研究结果表明,在采空区群形成过程中,围岩应力-应变演变规律与采空区单独开采差异较大,每个采空区的围岩应力应变始终处于动态变化中,尤其是处于群区域中间部位的采空区,该处围岩的应力-应变状态也是最差的。群区域中,由开采对围岩造成的扰动较单独开采时急剧增大,且最终的影响范围并不是单独开采的简单相加,说明在区域内形成一种采空区的“群效应”,加剧采空区的危险程度。     

轨道交通振动下南京片状细砂的有效应力路径及破坏模式

以南京片状结构细砂为研究对象,采用英国WFI动静多功能三轴仪,研究了饱和南京片状结构细砂在列车振动荷载作用下静偏应力水平、循环应力比对其动力特性的影响;把振动孔压的发展与应力路径相联系,分析了循环荷载作用下不同阶段南京片状结构细砂所处的初始压密状态、压缩状态和膨胀状态的发生和发展过程;同时,根据静偏应力与循环偏应力的大小,视有无偏应力反向,南京片状结构细砂的破坏模式可分为循环活动性和塑性应变累积破坏,并对其循环活动性的机制进行了初步探讨。     

利用岩石声发射效应测定海孜煤矿地应力

对海孜矿区宏观地应力进行了理论分析,介绍岩石声发射技术进行地应力测试的基本原理和方法。通过对海孜矿区井田内9个特殊方向定向岩心取样,进行声发射试验,得到了各方向的单向正应力值,各测点的主应力值均为压应力,说明海孜矿区为构造应力场型;再利用地应力计算公式求出3个主应力的大小和方向。试验结果与实际结果基本吻合。      

Hydraulic fracturing stress measurements and in-situ stress field in the Kanto — Tokai area,Japan

Hydraulic fracturing stress measurements have been made in fifteen boreholes of various depths from 100 to 800 m in the Kanto-Tokai area since 1978. About 90 sets of in-situ stresses have been obtained successfully. The maximum and minimum horizontal compressive stresses increase linearly with depth in each borehole. The difference between the maximum and minimum principal stresses also increases with depth. The increase of stress difference with depth is interpreted in terms of large stress relaxation in shallow parts of the boreholes where low confining pressure and many pre-existing microcracks are dominant. The maximum shear stress at a depth of 400 m ranges from 1 to 8 MPa depending on the site. It is not always the case that the regions of small shear stresses are inactive in microseismicity and crustal movement. This phenomenon is attributed to the relaxation of shear stress at the measured depths and to the regional variation in increasing rate of shear stress. The maximum compressive stress direction is obtained from detection of the fracture azimuth after hydraulic fracturing. Stress direction measured at each borehole agrees well with that estimated from geologic and seismic methods near the measurement site. Several stress provinces where the stress directions appear almost uniform are defined in the Kanto-Tokai area. The regional distribution of the stress directions is understood in terms of the relative movement of three plates, the Philippine Sea, Pacific, and Eurasian plates, which are in contact with each other in this area.     

潞安矿区井下地应力测量及分布规律研究

在山西潞安矿区的13个煤矿采用小孔径水压致裂地应力测量装置,完成了60个测点的原岩应力测量工作。实测数据表明：潞安矿区55%的测点最大水平主应力大于垂直主应力,由于受埋藏深度与地质构造影响,矿区内各矿地应力值差别较大,但地应力大小总体上属于中等地应力值;潞安矿区最大水平主应力方向从南到北变化较大,构造应力场呈现出多变的形态。在实测数据的基础上,绘制了潞安矿区地应力分布图;分析了地应力随埋藏深度的变化规律、平均水平主应力与垂直主应力的比值与埋藏深度的关系。煤矿井下地应力测量为井田开拓、巷道布置与支护设计等工程实践提供了可靠的基础参数,提高了工程设计的科学性、合理性与可靠性。     

动态应力追踪方法识别采动裂隙带发育研究

煤层开采过程中,开采工作面围岩一定范围内的岩体会产生卸荷裂缝或新裂隙,其中有一部分裂缝和裂隙存在张开的经历。由于张开的裂隙和缝隙内没有力的传递介质,在这些裂缝、裂隙附近区域的应力会从因重力引起的应力大值降低到一个很小的值,但不一定会达到应力为0值。裂缝、裂隙附近区域的应力由于之后的应力重分布可以发生调整而振荡,裂缝、裂隙相应地可以闭合,甚至可以承受很大的剪应力。基于一部分采动张开裂隙附近区域的应力大值曾经历过大幅度卸载到一个很小值这一动态过程,提出了一种识别采动裂隙带发育的动态应力追踪方法。以宁夏石嘴山矿区三号煤层为工程背景,利用离散元UDEC软件包计算确定煤层开采过程中覆岩内部不同开采阶段的应力分布。借助于后处理软件TechPlot,利用提出的动态应力追踪方法,识别该矿采动裂隙带的范围和高度;研究结果表明,所提出的动态应力追逐方法具有可行性和很好的适用性。     

The Stress Field in the Upper Crust as Determined from In Situ Measurements

This paper provides a synopsis of the state of stress in the upper parts of the earth's crust based uponin situ rock stress determinations. Despite the large scatter of the data, two dominant trends can be detected in the variations of average horizontal stress with depth in various geological environments. Basement rocks in ancient shields and deformed rocks in fold belts usually show horizontal stresses larger than the theoretical overburden pressure. Sedimentary cover rocks and fissured massive rocks show horizontal stresses smaller than the overburden pressure. The ratio of the maximum to the minimum horizontal stress exhibits a clear stress anisotropy in most cases. Directions of maximum horizontal compression are fairly consistent in areas where sufficient measurements are available (North America and Fennoscandia), although in many instances they do not conform to any simple predicted stress pattern. Many factors complicate the interpretation ofin situ stress determinations. There is no simple relationship between the stress trajectories and the free surface. Topographic features and erosional processes may cause horizontal stress concentrations. Remanent stresses of great age can be superimposed on current tectonic stresses, while sometimes current stresses no longer coincide with the stress systems that caused observable faulting and folding. Observation of remanent stresses in ancient rocks shows that rocks in the upper crust have finite strength even under geological time intervals. From the viewpoint of global tectonics,in situ stress determinations ought to be used with great caution, and in conjunction with focal mechanism solutions of earthquakes. Although the state of stress is everywhere compressive, the fact that undeformed sedimentary cover rocks often show no excess horizontal stress would seem to indicate that no active global horizontal compression is required. Horizontal stresses larger than the overburden pressure in regions of intense palaeodeformation may be due to remanent stress effects and to the influence of the local structure. It is premature to advance any general statement on tectogenesis on the basis ofin situ stress determinations. More measurements, and a quantitative evaluation of the factors affecting them, are required before further progress can be made.     

Weak tidal correlation of NW-Bohemia/Vogtland earthquake swarms

We analyze the possible effect of solid Earth tidal stresses upon a vertical strike-slip fault in NW-Bohemia/Vogtland, central Europe, typical by occurrence of swarm earthquakes. The horizontal components of solid Earth tidal stresses were found strongly to prevail and to reach the level of 2 kPa. We examined tidal triggering as influence of tidal stresses to launching the swarm activity in relative absence of other stress disturbances. The onset times of 46 swarms of mostly M_L < 3 earthquakes that occurred in the period 1991–2005 displayed an increased occurrence near the fortnightly maximum of tidal extensive normal stress. The statistical test however did not prove a statistically significant correlation indicating a triggering effect of fault extension due to tidal loading. We also examined tidal effects to the already running seismic activity of the prominent 2000 swarm by comparing the tidal stress distribution in the investigated period with the distribution of tidal stresses in the occurrence times of each earthquake. The results show that these distributions are almost similar, which indicates that individual earthquakes occur independent of tidal stresses. The unclear tidal correlation of the swarm seismicity may be interpreted by small amplitudes and rates of tidal stress changes compared to the amplitudes and rates of coseismic stress perturbations and of pressure bursts of deep generated fluids.     

岭澳核电三期强风化角岩边坡岩体直剪试验研究

采用堆载法进行天然状态与饱和状态下强风化角岩边坡岩体的现场直接剪切试验,获得不同正应力水平下剪切应力-剪切变形关系曲线和剪切强度参数,对其剪切应力-剪切变形关系曲线特征和不同正应力作用下剪应力随正应力的变化规律以及水-力耦合作用对剪切强度与变形特性影响进行了分析。试验结果表明：岩体峰值剪切强度和屈服剪切强度均随正应力的增大而增大;天然状态和饱水状态下剪应力随不同正应力的变化趋势基本相同;岩体剪切强度随含水率的增大而减小,在低法向应力下尤其敏感;水对岩体强度参数中黏聚力c的弱化作用更加明显,同时加大了岩体变形量,延长了岩体变形过程;通过现场直剪试验测得的法向变形可以估算岩体的压缩模量,为边坡稳定性分析提供参数。