Underestimation of roughness in rough rock joints

Numerous studies have been made to improve Barton's shear strength model for the quantification of rock joints. However, in these previous studies, the roughness and shear strength of the rock joint have been underestimated especially for relatively high undulated profiles (joint roughness coefficient (JRC) >14). The main factors of roughness underestimation in rough rock joints are investigated for the proper quantification of rock joint roughness. The aliasing effect and the roughness characteristics are analyzed by using artificial joint profiles and natural rock joint profiles. A 3D camera scanner is adopted to verify the main source of underestimation when using conventional measurement methods. Shear strength tests are carried out by using two types of shear apparatus to study the roughness mobilization characteristics, which may also affect the roughness underestimation. The results of joint roughness assessment, such as aliasing and undulation of waviness, show that the roughness can be underestimated in relatively rough joint profiles (JRC>14). At least two components of roughness parameters are needed to properly represent the joint roughness, for example, the amplitude and the inclination angle of joint asperity. Roughness mobilization is affected by both the normal stress and the asperity scale. Copyright © 2008 John Wiley & Sons, Ltd.     

循环剪切荷载作用下岩石节理变形特性试验研究

以水泥砂浆为相似材料,制备3种岩壁强度、5种起伏角度的锯齿型节理试样;利用试验设备,进行了在4种法向应力下的循环剪切试验。根据试验结果,结合循环剪切试验特点,定义剪胀角来表征节理循环剪切的法向变形特性,以及剪切刚度来表征节理循环剪切的切向变形特性。基于不同起伏角、不同强度等级和不同法向应力下的节理试样循环剪切试验结果,分析了循环剪切过程中剪胀角和剪切刚度的变化规律;并利用不同条件下的试验结果,对比分析初始起伏角度、法向应力、岩壁强度对节理循环剪切变形特性的影响规律。研究发现：剪胀角、剪切刚度均随着剪切循环次数的增加而呈现先快、后慢的降低趋势,并且中低起伏角度节理的剪胀角、剪切刚度的降低趋势随着初始起伏角度、法向应力的增加而加快,随着岩壁强度增加而变慢,高起伏角度节理的剪胀角、剪切刚度的降低趋势基本保持不变。     

Effects of Cyclic Loading on the Shear Behaviour of Infilled Rock Joints Under Constant Normal Stiffness Conditions

The variation of the shear strength of infilled rock joints under cyclic loading and constant normal stiffness conditions is studied. To simulate the joints, triangular asperities inclined at angles of 9.5° and 18.5° to the shear movement were cast using high-strength gypsum plaster and infilled with clayey sand. These joints were sheared cyclically under constant normal stiffness conditions. It was found that, for a particular normal stiffness, the shear strength is a function of the initial normal stress, initial asperity angle, joint surface friction angle, infill thickness, infill friction angle, loading direction and number of loading cycles. Based on the experimental results, a mathematical model is proposed to evaluate the shear strength of infilled rock joints in cyclic loading conditions. The proposed model takes into consideration different initial asperity angles, initial normal stresses and ratios of infill thickness to asperity height.     

A constitutive model for a laboratory rock joint with multi-scale asperity degradation

This paper presents a joint constitutive model that considers separately the mechanical contribution of waviness and unevenness of a joint to shear behaviour. The critical asperities for waviness and unevenness are determined from geometric properties in a lab-scale joint. The wear process is employed to model the degradation in dilation and strength during shear. From dimensional analysis, asperity degradation constants are developed using geometric parameters including asperity angle, wavelength, and amplitude as well as rock strength and stress. The applicability of the proposed model was assessed by performing direct shear tests on three joint roughness coefficient (JRC) profiles and providing its correlation with experimental results. Additionally, experimental data taken from literature were used to validate the model’s performance.     

Study of rock joints under cyclic loading conditions

Summary A conceptual model for the behaviour of rock joints during cyclic shear and under constant normal stresses was proposed according to results from shear tests with 50 concrete replicas of rock joints. The shear strength and deformability of joint samples were found to be both anisotropic and stress dependent. Based on these experimental results, a two-dimensional constitutive model was developed for rock joints undergoing monotonic or cyclic loading sequences. The joint model was formulated in the framework of non-associated plasticity, coupled with empirical relations representing the surface roughness degradation, appearance of peak and residual shear stresses, different rates of dilatancy and contraction, variable normal stiffness with normal deformation, and dependence of shear strength and deformability on the normal stress. The second law of thermodynamics was represented by an inequality and used to restrict the values of some of the material parameters in the joint model. The new joint model was implemented into a two-dimensional Distinct Element Method Code, UDEC, and its predictions agreed well with some well-known test results.     

Observation of the Degradation Characteristics and Scale of Unevenness on Three-dimensional Artificial Rock Joint Surfaces Subjected to Shear

The present study explores the degradation characteristics and scale of unevenness (small-scale roughness) on sheared rock joint surfaces at a low-stress regime. While the degradation characteristics of unevenness and the normal stress are mutually interrelated, an understanding of the degradation patterns of the three-dimensional roughness of rock joints is one of the important components needed to identify asperity failure characteristics and to quantify the role of damaged unevenness in establishing a shear strength model. A series of direct shear tests was performed on three-dimensional artificial rock joint surfaces at different normal stress levels. After shearing, the spatial distributions and statistical parameters of degraded roughness were analysed for the different normal stress levels. The length and area of the degraded zones showed bell-shaped distributions in a logarithmic scale, and the dominant scale (or the most frequently occurring scale) of the damaged asperities (i.e., unevenness) ranged from approximately, 0.5 to 5.0 mm in length and 0.1–10 mm² in area. This scale of the damaged unevenness was consistent regardless of the level of normal stress. It was also found that the relative area of damaged unevenness on a given joint area, and thus the contribution of the mechanical asperity failure component to shear strength increased as normal stress increased.     

Asperity Degradation and Damage in the Direct Shear Test: A Hybrid FEM/DEM Approach

Summary This paper investigates the processes of joint surface damage and near-surface intact rock tensile failure using a hybrid FEM/DEM code. Selected Barton and Choubey JRC profiles were simulated in direct shear tests and the surface damage mechanisms investigated in terms of joint surface wear or tensile fracturing of intact rock along the joint plane. Shear strength and displacement profiles for each joint profile are numerically simulated. Numerical results agree closely with published experimental observations. Furthermore, results show that dilation along the joint is controlled dominantly by the joint surface geometry and the applied normal stress. Significant dilation is expected to occur where there is a large asperity provided the applied normal stress is low. In this case, joint surface damage is limited to surface wear. In contrast, when the applied normal stress is high, dilation will be low and damage is composed of both surface wear and asperity breakage through near-joint-surface intact rock tensile failure. Local joint dilation angles vary in proportion to the magnitude of the dilation. Several joint profiles with different geometrical configurations were simulated within a slope and the possible modes of joint surface damage were investigated. It was found that due to low normal stresses acting on the joint surfaces within a slope the dominant mode of joint surface damage is by yielding and surface wear of asperities. Authors’ address: Amir Karami, Golder Associates Ltd., 4260 Still Creek Drive, Suite 500, Burnaby, Vancouver, British Columbia, BC V5C 6C6 Canada     

基于3D雕刻技术的岩体结构面剪切各向异性研究

相同形貌结构面重复性剪切试验和各向异性剪切试验一直是岩体结构面剪切力学特性试验研究中的难点,而该问题对于工程岩体的开挖力学响应和稳定性分析、评价与控制至关重要,问题的关键在于同一种岩石的结构面形貌的再现。为此,基于3D扫描和3D雕刻技术,重复制备了3种不同粗糙度的大理岩结构面试样,开展了不同法向应力下相同形貌结构面的各向异性剪切试验。试验结果发现：（1）同一法向应力、不同剪切方向下,相同形貌结构面的剪切强度、剪胀和剪切破坏特征均呈现明显各向异性;（2）结构面粗糙度各向异性很大程度上决定了剪切强度的各向异性,两者具有较好的正相关性;（3）随着法向应力的升高,结构面剪切特征的各向异性有逐渐弱化的趋势。同时,研究还充分表明,3D雕刻技术是系统开展结构面剪切力学特征各向异性研究的可靠手段,可在将来研究中发挥更为重要的作用。     

Friction Factor of Water Flow Through Rough Rock Fractures

Fluid flow through rock joints occurs in many rock engineering applications. As the fluid flows through rough-walled rock fractures, pressure head loss occurs due to friction drag of the wall and local aperture changes. In this study, the friction factor was experimentally investigated by performing flow tests through sandstone fractures with joint roughness coefficient ranging from 5.5 to 15.4 under changing normal stress from 0.5 to 3.5 MPa. According to the experimental results, the friction factor was formulated as a function of two-independent variables—Reynolds number and relative roughness. Relative roughness is defined as the ratio of maximum asperity height to equivalent hydraulic aperture. The experimental results show that the proposed predictor of the friction factor fits the data with a coefficient of determination R ² > 0.93. Sensitivity analyses indicate that in general, the proposed friction factor increases with the relative roughness of confined fractures. The large difference of friction factor induced by relative roughness occurs when the Reynolds number is lower than unity, especially for Re < 0.2. For Reynolds numbers greater than unity, the difference of friction factor induced by relative roughness is smaller. Inclusion of joint roughness in calculating the friction resistance to fluid flow in rough rock joints and the influence of normal stress to the joints is a major step towards more accurate predictions for fluid flow in underground joint networks. This study provides a significant improvement in fundamental understanding of fluid flow in the jointed strata.     

Some recent advances in the modelling of soft rock joints in direct shear

This paper presents a review of recent developments made by the authors into the modelling of rock joints in direct shear. Careful observation of laboratory direct shear testing on concrete/rock joints containing two-dimensional roughness has allowed theoretical models of behaviour to be developed. The processes modelled include asperity sliding, asperity shearing, post-peak behaviour, asperity deformation and distribution of stresses on the joint interface. Model predictions compare extremely well with laboratory test results. These models were then applied to direct shear tests on rock/rock joints, and although behaviour in general was well predicted, the strength of rock/rock joints was over-predicted. Direct shear tests have also been carried out on samples containing both two- and three-dimensional roughness to test the accuracy of the two-dimensional approximation to roughness adopted in the theoretical models.     

Effect of different wall roughness on the frictional behavior of rock joints

Rock discontinuities play a crucial and critical role on the deformational and failure behavior of the rock mass. In most investigations, both the surfaces of the rock joints are considered to have same roughness. But, in nature, the walls of a fresh joint is only expected to be complimentary and to have same roughness. Weathered and water percolating rock joint is most likely to develop different surface roughness on the two opposite walls. So, the shear strength and frictional response behavior derived from the single joint roughness coefficient (JRC) assumption cannot be used in such a condition. To address this shortcoming, we have prepared sandstone blocks with different surface roughness and conducted experiments in a tribometer. The static friction, shear stiffness and coefficient-of-friction of the joint surfaces were calculated and their changes with increasing normal load were noted. One of the major findings of this paper is that, shear strength of the joints may not have a direct correlation with the increasing JRC value of the individual joint walls. Hence, some of the joint walls having higher cumulative JRCs were found to show lower shear strength than those with lowers roughness. This is because, the opposing walls of such joints are not anymore complementary and the frictional resistance is completely controlled by the height and contact area of the asperites.     

The application of energy principles to the determination of the sliding resistance of rock joints

Summary Energy principles have previously been applied to the analysis of rock joints in order to determine the shear strength of dilatant joints (Ladanyi and Archambault, 1970). This work was based on the analysis of regular triangular asperities and assumed that the asperities were rigid. In recognition of the difficulty of measuring a representative asperity angle in natural, complex rock joints, Ladanyi and Archambault extended their results to natural joints by assuming the equality of joint dilation rate and the effective joint asperity angle. It is shown that the assumption of this equality is not universally valid, and that it may lead to an underestimation of joint shear strength. Further, the effective friction angle for joints in an elastic rock mass, for joints comprising asperities of varying inclination, for post-peak shear displacements and for joints in degradable rock are all analysed using extensions of Ladanyi and Archambault's approach.     

New Methodology to Characterize Shear Behavior of Joints by Combination of Direct Shear Box Testing and Numerical Simulations

A new procedure is presented, which combines big shear box tests on rocks and corresponding numerical simulations with explicit consideration of joint roughness to get deeper insight into the shear behavior of rock joints. The procedure consists of three parts: (1) constant normal load- or CNS-shear box tests with registration of shear- and normal-components of stress and displacements and deduction of basis rock mechanical parameters; (2) high resolution 3D-scanning of joint surface to deduce joint topography; and (3) set-up, run and evaluation of 3-dimensional numerical model with explicit duplication of joint roughness as back-analysis of shear box tests. The numerical back-analysis provides deeper insight into the joint behavior at the micro-scale. Several parameters can be deduced, like micro-slope angle distribution, aperture size distribution, local normal stress distribution and detailed analysis of dilation in relation to shear direction. The potential of the new procedure is illustrated exemplary by shear box tests on slate.     

Laboratory modelling of shear behaviour of soft joints under constant normal stiffness conditions

Shear behaviour of regular sawtooth rock joints produced from casting plaster are investigated under constant normal stiffness (CNS) conditions. Test results obtained in this investigation are also compared with the constant normal load (CNL) tests. It is observed that the peak shear stress obtained under CNL conditions always underestimates the peak shear stress corresponding to the CNS condition. Plots of shear stress against normal stress show that a nonlinear (curved) strength envelope is acceptable for soft rock joints subjected to a CNS condition, in comparison with the linear or bilinear envelopes often proposed for a CNL condition. Models proposed by Patton (1966) and Barton (1973) have also been considered for the predictions of peak shear stress of soft joints under CNS conditions. Although Patton's model is appropriate for low asperity angles, it overestimates the shear strength in the low to medium normal stress range at higher asperity angles. In contrast, while Barton's model is realistic for the CNL condition, it seems to be inappropriate for modelling the shear behaviour of soft joints under CNS conditions. The effect of infill material on the shear behaviour of the model joints is also investigated, and it is found that a small thickness of bentonite infill reduces the peak stress significantly. The peak shear stress almost approached that of the shear strength of infill when the infill thickness to asperity height ratio (t/a) reached 1.40. This paper also introduces an original, empirical shear strength envelope to account for the change in normal stress and surface degradation during CNS shearing. © Rapid Science Ltd. 1998     

Review of a new shear-strength criterion for rock joints

Barton, N., 1973. Review of a new shear-strength criterion for rock joints. Eng. Geol., 7: 287–332.

The surface roughness of rock joints depends on their mode of origin, and on the mineralogy of the rock. Amongst the roughest joints will be those that formed in intrusive rocks in a tensile brittle manner, and amongst the smoothest the planar cleavage surface in slates. The range of friction angles exhibited by this spectrum will vary from about 75° or 80° down to 20° or 25°, the maximum values being very dependent on the normal stress, due to the strongly curved nature of the peak strength envelopes for rough unfilled joints.

Direct shear tests performed on model tension fractures have provided a very realistic picture of the behaviour of unfilled joints at the roughest end of the joint spectrum. The peak shear strength of rough—undulating joints such as tension surfaces can now be predicted with acceptable accuracy from a knowledge of only one parameter, namely the effective joint wall compressive strength or JCS value. For an unweathered joint this will be simply the unconfined compression strength of the unweathered rock. However in most cases joint walls will be weathered to some degree. Methods of estimating the strength of the weathered rock are discussed. The predicted values of shear strength compare favourably with experimental results reported in the literature, both for weathered and unweathered rough joints.

The shear strength of unfilled joints of intermediate roughness presents a problem since at present there is insufficient detailed reporting of test results. In an effort to remedy this situation, a simple roughness classification method has been devised which has a sliding scale of roughness. The curvature of the proposed strength envelopes reduces as the roughness coefficient reduces, and also varies with the strength of the weathered joint wall or unweathered rock, whichever is relevant. Values of the Coulomb parameters c and Φ fitted to the curves between the commonly used normal stress range of 5–20 kg/cm² appear to agree quite closely with experimental results.

The presence of water is found in practice to reduce the shear strength of rough unfilled joints but hardly to affect the strength of planar surfaces. This surprising experimental result is also predicted by the proposed criterion for peak strength. The shear strength depends on the compressive strength which is itself reduced by the presence of water. The sliding scale of roughness incorporates a reduced contribution from the compressive strength as the joint roughness reduces. Based on the same model, it is possible to draw an interesting analogy between the effects of weathering, saturation, time to failure, and scale, on the shear strength of non-planar joints. Increasing these parameters causes a reduction in the compressive strength of the rock, and hence a reduction in the peak shear strength. Rough—undulating joints are most affected and smooth—nearly planar joints least of all.     

基于直剪试验的岩体结构面表面温度与粗糙度关系研究

大型岩质滑坡往往伴随热效应, 热效应引起的摩擦系数降低可以用来解释高速远程现象。为了研究岩体结构面剪切破坏后表面热量产生特征, 首先, 分别利用红外热成像仪和三维激光扫描仪对直剪试验破坏后的结构面表面进行拍摄与扫描, 得到其表面温度分布与精细几何信息。然后, 利用数学统计方法获取剪切破坏后结构面表面温度分布情况; 利用改进的2D divider方法获得结构面表面三维模型的分形维数, 进行粗糙度评价。最后, 结合直剪试验正向应力数据, 分析岩体结构面剪切破坏后表面平均温度与其所受正应力以及粗糙程度两参数之间的拟合关系。结果显示:滑坡启程阶段(低速剪切)破坏中(1)岩体结构面表面粗糙程度影响剪切过程中热量的产生, 表面越粗糙, 产生的热量越多, 并且热量主要集中在结构面表面凸起部位; (2)岩体结构面所承受的正压力影响剪切过程中热量的产生, 正应力越大, 产生的热量越多; (3)岩体结构面表面粗糙度对剪切破坏热量产生的影响较所受正应力略大。研究成果为大型岩质滑坡破坏过程中的能量研究提供了技术参数与理论支持。     

Critical review on shear strength models for soil-infilled joints

An infilled rock joint is likely to be the weakest plane in a rock mass. The presence of infill material within the joint significantly reduces the friction of the discontinuity boundaries (i.e. rock to rock contact of the joint walls). The thicker the infill, the smaller the shear strength of the rock joint. Once the infill reaches a critical thickness, the infill material governs the overall shear strength, and the joint walls (rock) play no significant role. Several models have been proposed to predict the peak shear strength of soil-infilled joints under both constant normal load (CNL) and constant normal stiffness (CNS) boundary conditions, taking into account the ratio of infill thickness (t) to the height of the joint wall asperity (a). CNS models provide a more realistic picture of the soil-infilled joint behaviour in the field. This paper presents a critical review on the existing mathematical models for predicting the shear strength of soil-infilled rock joint and verifies the normalised peak shear stress model with further laboratory investigations carried out on idealised saw-tooth rock joints at the University of Wollongong. Based on the prediction of the experimental data, the normalised peak shear stress model is slightly modified by the authors. A simplified approach for using this model in practice is presented and a new expression for prediction of dilatation at peak shear stress is suggested.     

基于Plesha本构的岩石节理多层结构模型研究

在Dong等工作的基础上[1],研究了基于Plesha本构的岩石节理多层结构模型。模型将节理面分解为不同层次细观结构面,每层结构面代表一级粗糙度,力学响应发生在最底层（基本面）,上层结构面受力性状由其下层结构面平均化得到,依次进行得到节理宏观力学性状。节理破坏由下而上分层次进行,基本面破坏后,其上层结构面转化为基本面,基本面采用Plesha节理模型。模型能模拟弹性变形、滑动变形、磨损、剪断、压碎、分离等作用机理。定义的接触因子与绕流因子能考虑节理接触面积及粗糙度变化对渗流的影响。通过将粗糙度定义为等效起伏角,可以模拟节理循环剪切性状。采用ABAQUS的用户子程序UEL进行了模型验证与参数分析。     

不同边界条件下剪切速率对类岩石节理剪切力学特性的影响

为研究不同边界条件下剪切速率对岩石节理剪切力学特性的影响,采用RDS-200型岩石节理剪切试验系统对人工浇筑的具有相同节理形貌的不规则水泥节理试样进行了常法向应力和常法向刚度2种边界条件下5种剪切速率的直剪试验。结果表明：（1）常法向应力边界条件下,随剪切速率增大,相同法向应力下的类岩石节理峰前剪切刚度减速增大,峰值剪切强度和残余剪切强度呈对数降低;随剪切速率增大,类岩石节理黏聚力减速增大,内摩擦角呈对数降低。（2）常法向刚度边界条件下,随剪切速率增大,相同法向应力的类岩石节理峰前剪切刚度减速增大,峰值剪切强度呈对数降低,较高法向应力下的残余剪切强度先增大后减小;随剪切速率增大,类岩石节理黏聚力呈对数降低,内摩擦角减速增大。（3）与常法向应力边界条件相比,常法向刚度条件下,节理黏聚力平均增加了115.85%,内摩擦角平均降低了8.44%;相同初始法向应力和剪切速率下,峰前剪切刚度、峰值剪切强度和残余剪切强度分别平均增加了11.96%、19.47%和32.32%,峰值法向位移平均降低了40.12%。该研究结论可为不同剪切速率下地表和地下工程岩体节理的剪切失稳评价提供一定参考。     

微凸体对抛光岩石表面静摩擦系数影响试验研究

对典型岩石摩擦滑动试验装置进行了改进,以8种硅酸盐岩作为研究对象,在低正应力条件下对岩石摩擦滑动过程中的静摩擦系数进行了试验研究。对滑动表面形貌进行了表征,从统计学角度分析了粗糙度对静摩擦系数的影响,并基于滑动表面微凸体（凹凸体、微观粗糙度）对这一影响作进一步分析。研究表明：滑动面为抛光面时,千枚岩、石英岩、岩屑砂岩和石英砂岩的静摩擦系数为0.38～0.47,砾岩、含砾粗粒石英砂岩、中粒岩屑砂岩和中粒石英砂岩的静摩擦系数为0.83～1.07;在粗糙度中,轮廓最大谷深Rm和轮廓最大峰高Rp两个参数导致摩擦滑动中产生不同静摩擦系数,且随着这两个参数的增加,静摩擦系数呈指数规律增加;千枚岩、石英岩、岩屑砂岩和石英砂岩滑动表面的微凸体数量较少,砾岩、含砾粗粒石英砂岩、中粒岩屑砂岩和中粒石英砂岩滑动表面的微凸体数量较多,随着微凸体数量的增加岩石摩擦滑动过程中的静摩擦系数增加。