In-Situ Stress Determination

Need and Scope

 When an opening is introduced in the rockmass, the natural state of stress is disturbed locally
as the rock mass attains a new state of equilibrium. The natural state of stress is often termed
as in-situ stress.
 Underground in-situ stress is sometimes sufficiently high ( relative to the rock mass strength )
to cause rock bursting, spalling, buckling, heaving, or other ground control problems. In such
cases, knowledge of the state of in-situ stress is of critical importance to the design and
construction of engineering structures in a rock mass. It includes the optimum shape,
orientation and layout of underground structures, as well as the effectiveness and ultimate cost
of rock support systems, can be significantly influenced by the in-situ stress.
 Factors affecting the magnitudes and orientation of in-situ stress include : the weight of
overlying materials, geologic structures ( on local and regional scales ), tectonic forces within
the earth’s crust, residual stress and the thermal stress.
 Rock stress determination techniques rely on the measurement of some response ( e.g.
displacement, strain, deformation ) that is induced by a disturbance of the rock mass. This
measured response of rock in a stress-disturbed zone ( e.g. the wall of a tunnel ) is
extrapolated, through a numerical model or analytical techniques; or measurements must be
made via a drillhole that extends into an undisturbed region of the rock mass.
 Continued…
Four new ISRM Suggested Methods (SMs) for rock stress estimation:
Part 1: Strategy for rock stress estimation
Part 2: Overcoring methods
Part 3: Hydraulic fracturing (HF) and/or hydraulic testing of pre-existing fractures (HTPF) methods
Part 4: Quality control of rock stress estimation.

 Hydraulic fracturing (HF) is a borehole field-test method designed to assess the state of in situ stress in the
earth crust. This method is also referred to as hydrofracturing,or hydrofrac, and sometimes as minifrac.
 The test provides, in general, the magnitudes and direction of the maximum and minimum stresses in the
plane perpendicular to the drill hole.
z-axis (Drill Hole Direction)

Stresses on this plane : σy σy(max.)

σx σx(max.) x-axis

at an orientation ‘ϴ’. Plane perpendicular to drill axis : z- or xy plane

y-axis
 Continued…
 When both the borehole and the induced HF are nearly vertical, the stress component in the direction of the
hole(z-axis) is taken as being principal and equal to the overburden weight.
Summary of test results :
 A section of a borehole is sealed off by use of two inflatable rubber packers sufficiently pressurized so that
they adhere to the borehole wall.
 Hydraulic fluid (typically water) is pumped under constant flow rate into the section, gradually raising the
pressure on the borehole wall until a fracture is initiated in the rock, or a pre-existing fracture is mechanically
opened.
 Pumping is stopped, allowing the interval pressure to decay. Several minutes into the shut-off phase, the
pressure is released and allowed to return to ambient conditions.
 The pressure cycle is repeated several times maintaining the same flow rate.
 Key pressure values used in the computation of the in situ stresses are picked from the pressure–time record.
 The attitude of the induced HF, or of the pre-existing fracture, is obtained using an oriented impression packer
or one of several geophysical logging methods.
 Data from the pressurization and fracture orientation phases of the test are used to obtain the in-situ principal
stresses.
Assumptions and limitations
• Principal stress directions are derived from the fracture delineation on the borehole wall under the assumption
that fracture attitude persists away from the hole.
• Evaluation of the maximum principal stress in the plane perpendicular to the borehole axis assumes that the
rock mass is linearly elastic, homogeneous, and isotropic.
• It involves considerations of pore pressure effects, often difficult to ascertain, and requires an assessment of
the rock tensile strength.
Apparatus
Surface equipment : A sturdy tripod or a drilling rig is placed over the borehole collar for tripping the
downhole tools necessary for conducting the tests. A drilling rig is preferred because it can accommodate the
heavy weight of the downhole assembly.
Straddle packer : Sealing of the borehole test interval is accomplished by use of two inflatable rubber packers,
spaced apart a distance equal to at least six times the hole diameter. The two packers are connected mechanically
as well as hydraulically to form one unit termed the straddle packer.
High-pressure tubing, drill pipe, or hose : Packer inflation and test interval pressurization are carried out
hydraulically from the surface. Hydraulic fluid is conveyed downhole typically through the use of high-pressure
stainless steel tubing, flexible hose, or drill pipes.
Pressure gages, pressure transducers, and flow meter : Pressure gages are used on the surface to give
visual real-time information of the hydraulic fluid pressure. Pressure transducers are used to monitor and
transmit pressure data to a recording device. A flow meter is employed to monitor the flow of fluid into the test
interval.
Pressure generators : Hydraulic fluid pressure is provided by a pump or pumps capable of providing up to
100MPa at a typical flow rate range of 1–10 l/min.
Recording equipment : Analog data from the pressure transducers and flow meter are fed into a computer data
acquisition program via an analog/digital board. Separate analog real-time reading of the test interval and packer
pressures and of the flow rate are often provided by a multi-channel strip-chart recorder.
 Continued…
Impression packer : An image of the borehole wall within the test interval is commonly obtained using an
impression packer, an inflatable packer.
Orienting tool : Attached to the impression packer which can be magnetic, enables a camera to photograph the
position of magnetic north on the borehole wall, from which the orientation of any induced fractures can be
obtained. But is of little use in magnetic rocks (such as basalt, some gneiss, and others).
Geophysical tools, such as BHTV(a sonic device) or electrical imaging systems are also available.

Personnel qualification
Drilling personnel : Experienced drillers for Quality drilling and for operating the drill rig when tool jamming
occurs.
Test personnel : The test personnel should be well versed with the theoretical aspects of the method, and should
have considerable experience with such tests in a variety of rock types, depths, and locations.
Test Procedure
 Depending on project and rock type, typical borehole diameters range from 76 to 96mm (N- to H-size) in site
investigations for underground civil structures.
 Core or borehole images are essential for selecting intact test intervals and for identifying the rock formations
to be tested. Select test zones that are devoid of fractures or other disturbances and are at the appropriate
depths as per project requirements.
 Seal off the test interval by positioning the straddle packer at the planned depth, and pressurize the packers to
a typical level of 2–4 Mpa.
 Raise the interval pressure steadily so that the peak pressure at which rock at the borehole wall fractures
(termed breakdown pressure), or the pre-existing fracture opens, is reached in 1–3 min.
 Throughout pressurization, the packer pressure is maintained at about 2MPa higher than the interval pressure
to ensure isolation.
 Upon reaching breakdown pressure (or fracture opening), stop pumping but do not vent. Interval pressure will
decay, first at a fast pace while the HF is still open and growing, and then at a much slower pace, after the
fracture has closed. The pressure at which the fracture closes is termed shut-in pressure.
 A few minutes (typically 3–10 min) after shut-in the hydraulic line is vented.
 Continued…
 Fracture reopening—option 1 : After the pore pressure has reached its original value, i.e. after waiting for a
few minutes, repeat the above pressurization cycle at least three times, using the same flow rate. The flow rate
should be sufficiently high to prevent fracturing fluid percolation into the closed fracture before the actual
mechanical fracture opening. The additional cycles yield additional shut-in pressure. The peak pressures are
discernibly lower than in the first pressure cycle, because the reopening of the fracture does not require
overcoming the tensile strength of the rock. This yields the fracture reopening pressure.
 Fracture reopening—option 2 : Once the fracture is fully open, injection stops and the test interval is sealed
off for pressure drop monitoring. This provides an additional shut-in pressure reading.
 Fracture reopening—option 3 : After reaching the maximum injection flow rate, the pressure is decreased
progressively in a stepwise manner, so as to reach complete closure of the fracture. This closing process is for
an additional independent shut-in pressure determination.
 At the conclusion of the test, vent not only the test interval but also the packer pressure, to allow the packers
to deflate so that they can be moved to the next testing depth.
 Repeat the entire test, as described at all selected depth intervals.
Fracture delineation
Impression packer technique :
 Trip the packer to the depth where its center coincides with that of the HF test interval.
 Inflate the impression packer to a pressure just higher than the recorded shut-in level and maintain it there for
about 30 min. This enables a slight opening of the fracture, allowing the penetration of the soft rubber
enveloping the impression packer.
 The impression packer is oriented with respect to magnetic north, enabling the orientation of any logged
fracture.
 The imprints of the HF on the impression packer are traced relative to the oriented marker on a wrapped
around transparent plastic sheet.
 The traces can be digitized to facilitate statistical evaluation of the average strike and dip of the induced
fractures.
Geophysical imaging technique :
 In deep strongly deviated boreholes, the use of impression packers is not recommended.
 Geophysical techniques have been developed for identifying the one fracture that has been tested
hydraulically, when multiple fractures are observed.
 Electrical imaging techniques have proven efficient for mapping hydraulically opened fractures in all rock
types except those which possess electrical properties e.g claystone etc.
Obtaining critical pressure parameters from the
pressure–time records
The breakdown pressure (Pb) : The peak pressure attained in the first pressure cycle. It is the pressure
required to induce a hydraulic fracture in HF tests.
The fracture reopening pressure (Pr) : The point on the ascending portion of the pressure-time curve
in subsequent (usually second or/and third) cycles described in (option 1 of reopening cycle).
The shut-in pressure (Ps) : The pressure reached, after the pump is shut off following breakdown or
fracture reopening, when the hydraulically induced or the pre-existing fracture closes back.

NOTE :
a. An upper bound to the shut-in pressure is provided by the determination of the pressure when the
process of fracture mechanical opening stops, while
b. A lower bound is provided by the pressure for which the fracture has completely closed back.
c. It is strongly recommended that more than one method be used for obtaining the crucial PS
parameter to ensure reliability of the shut-in pressure value.
Stress calculations
Least horizontal principal stress magnitude and direction (σh) : The shut-in pressure (Ps) is the
pressure needed to equilibrate the fracture-normal stress, which in this case is σh . (σh= Ps)
The direction of σh is obtained directly from the azimuth of the HF : Direction of normal to vertical
hydraulic fracture.
Largest horizontal principal stress direction and magnitude (σH) : In the absence of pore fluid in the
rock mass, the maximum horizontal principal stress magnitude is given by :
σH = T + 3σh – Pb
where T is the tensile strength of the tested rock, and Pb is the breakdown pressure.
In saturated rocks with low permeability, so that there is no percolation of the fracturing fluid in the
formation before fracture opening (Terzaghi’s effective stress concept applies to tensile ruptures)
σH – Po = T + 3(σh – Po) – (Pb – Po)
The maximum horizontal principal stress(σH) is perpendicular to the σh direction: Direction of
vertical hydraulic fracture strike.
 Continued…
During fracture reopening pressure (Pr), fracture reopening does not have to overcome the tensile
strength T; and thus Eq. becomes
σH – Po = 3(σh – Po) – (Pb – Po)

Vertical stress (σv) : It is assumed to be equal to the overburden weight per unit area at the depth of
interest:
σv = Σ ρigDi
where ρi is the mean mass density of rock layer I; g is the local gravitational acceleration; Di is the
thickness of layer I; and n is the number of rock layers overlying the test zone.
NOTE : Because of difficulties with both pore pressure effects and tensile strength estimation, the
evaluation of the maximum horizontal principal stress magnitude involves a greater uncertainty than
that of the minimum horizontal principal stress magnitude.