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RockMechamcs, Auberttn, Hassam& Mtn(eds) 1996 Balkema,Rotterdam.

ISBN 90 5410 838 X

The anisotropy of surface morphology andshear strength characteristics


of rock discontinuities and its evaluation

merAydan
TokaiUniversity, Shimizu, Japan
Yasuhiro Shimizu

Meijo University, Nagoya,Japan


Toshikazu Kawamoto

Aichi Instituteof Technology, Toyota, Japan

ABSTRACT: The surfacetopography of discontinuities in rock lnasses is generallyconsisted of a set of ridgesand throughsin view of their genesis. The axis of theseridgesand throughsis generallyperpendicular to the directionof crackpropagation or flow of magmaor sediments.As a result, their surface morphology parameters becomeanisotropic, and the authorspropose a procedurehow to evaluatethe anisotropy of the parameters utilisingmeasurements alongtheir eigendirections.Sincesurface morphology characteristics are anisotropic,their shear strength parametersconsequently becomeanisotropic. The authors also proposesome theoretical and approximate models to evaluate the anisotropy of the shear strength of rock discontinuities and checktheir validity through their own tests on lnodel and natural discontinuities and somepublishedexperimentaldata reportedin literature. a procedure howto quantifysurface norphological characteristics of discontinuities togetherwith the of their anisotropy.The applications Rock discontinuities in the forin of cracks,joints, consideration beddingplanes,schistosity planesetc. are coin- of the proposedprocedure to natural discontinumonlyfoundin rocknasses in the upperpart of ities are describedand its validity is checked. In the secondpart of the paper, it is experithe earth crust. Discontinuities in rock masses mentally shown that the shear strength parmneinfluence the stability of rock engineeringstrucwhen surface morphology tures as well as thenno-hydrological characteris- ters are alsoanisotropic characteristics are anisotropic. Then theoretical tics of rock masses, whichhavebecone a field of to evaluate interest in relation to radioactivewaste disposal and approximatemodelsare proposed projects. There havebeennmnerous experimen- the anisotropyof the shear strength of rock distal and nmnerical studies for the characterization continuitiesand their validity are checked through tests on model and natural discontinuties. of the surface norphology of discontinuities and for relatingthe surface morphology parameters to 2 SURFACE MORPHOLOGY PARAMETERS their thermo-hydro-nechanical properties in rei INTRODUCTION

Sreksizlik yzeyinin topo isotropic. rafyas The surters of rock discontinuities as face topography of discontinuities in rock masses is belirlenebilirse, yzey morfolojisi bir generally consisted of a setof ridges andthroughs fonsksiyon olarak belirtilebilir. in view of their genesis. The axisof theseridges
and throughs is generally perpendicular to the directionof crackpropagation or flow of nagnaor sediments (Figure1). As a result,these parameters are likely to be anisotropic eventhoughthe discontinuity wall rockmay be isotropic.This aspecthasnot beenyet investigated although there are somereportsregardingthe anisotropic frictionalcharacteristics (LaFountain andDunn1974,
Brown et al. 1979, Aydan and Kawamoto 1990,

centyears.Most of the studies regard the surface morphology, deformability and strengthparame-

The characterization of the surface morphol-

ogyof rockdiscontinuities is nerelya geonetrical procedure.In other words,it is an identification procedureof the topographyof the discontinuity surfaces, whichspecifically involves; height,shape, and periodicityof protrusions, and the ratio of surface area over the base area.

Huangand Doong1990a,b).

It will be appropriate if a function, which can represent the topography of discontinuity surfaces, can be found. This is extrmnely difficult not only because of findingan appropriate functionbut also becauseof the enornousefforts required in measuring and processing data. As a result of this, most of available techniquesare based on linear profiles and various characterization parameters

(Myers1962,Sayles andThomas 1977. In the first part of this paper,the authorspresent areproposed
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.........:--,:.; ..... .....


Schistosity plane- Micaschist
,.q,.', , - '.q --. ....

Cooling joint - Basalt

B.e. dding plane - Limestone


..
.

'

2,

.. - ..

'-.

..

Sheeting joint - Granite

Tension joint - Quartzite

Fig. 1 Pictures of some rockdiscontinuities


Tse and Cruden 1979, Thomas 1982, Tiirk et al.

Mean standard variationof height(MSVH) is defined as:

1987).The parameters associated with linearprofiles are; height of asperities,inclination of asperity walls, length of asperity wall relative to base length, and periodicity of asperities. These parameters are briefly explained in the followings:

MSVH = 1]ffL =0'dx

(2)
(3)

Root mean-square of height(RMSH) is definedas:

Centre-line average height(CLAH) is defined as:

cLn//= 1x x=L =0Ildx


where

RMSH= :o adx
(1)

11,

Ratio of profilelength(RPL) is defined:

measurement length distancefrom origin height of the profilefrom the


reference base line
1392

RPL = =ods = =0

1+

dx

(4) Weighted asperity inclination (WAI*) is defined as:

WAI* = =o[ dz WAI = tan-S(WAI *)


(5) Weighted asperity inclination difference (WAID*)
is defined as:

I I/x-:
WAID = tan-(WAID *)

=0 I Iax
(6)

where p and stand for adjectivespositive and

negative respectively. Furthermore, L = Lp+ L. Mean standardvariationof inclination(MSVI) is


defined as:

Fig. 2 Notations for measuringprofilesof


discontinuities

to geometricaldilatancy of the surface. Neverthe-

svz=j
as:

=o

(7)

less,it is difficultto say that suchprofiles could be the representative profiles of the discontinuity
surfaces.

Rootmean-square ofinclination (RMSI) is defined


3 A PROCEDURE FOR EVALUATING THE ANISOTROPY OF SURFACE MORPHOLOGY

R2us = 7f=0 j
Auto correlation function(ACF) is defined as

(8)
(9)

PARAMETERS

1=Z ACF = =oq(x)q(x + r)dx


Structure function(SF) is defined as

The causes of anisotropyare closelyrelated to the genesis of discontinuities (Pollard and Aydin 1988, Aydan and Kawamoto 1990, Aydan et al. 1993,Aydan and Shimizu1995). It is well known
in fracture mechanics of rocks and metals that the

ridges of discontinuity surfaces develop almostper-

pendicular to crackpropagation direction (Lawn


and Wilshaw 1975). Furthermore, the ridgesin sedimentaryrocks are also perpendicularto the
flow direction of fluids as is well known in sedimen-

SF=7 1 =o((x)-(x+r))2d(10)
where r is a meure of the periodicityof asperities.

tology(Hamblin 1992). By taking into account


thesefacts,it is possible to propose that there are generally two mutuallyperpendicular eigendirections;one perpendicular to the ridge axis and the otherparallelto it. Measuring profiles alongthese directionsmay be sufficientto characterizethe surface morphology characteristics of discontinuities.
3.1 Procedure for evaluatingthe anisotropyof surfacemorphology parameters

Fractal

dimension is defined

N=Cl -D

(11)

whereN is the numberof steps,C is a constant, l is steplength, and D is fractal dimension.Sincethe followingrelationsholdsbetweenthe total length of the profile and the step length

L: Nl
Then, the aboveequationis rewritten as:

(12)

L = CI-D

(13)

The most crucial aspect with the characterization using linear profiles is how to select the appropriate direction of measurement.Although there are no guidelines for this purpose, the usual practice seemsto be a line which is perpendicular to the axis of elongatedprotrusions by taking
into account the maximum shear resistance due

To characterize the surface morphology of discontinuities,one may introduce an eliptical coordinate systemso that the principal axes of the coordinate system coincide with thoseeigendirections. Sucha coordinate systemwouldbe appropriate for many discontinuity types found in rock masses.However,in this particular study we restrict ourselves to a cartesiancoordinatesystem.
Let us assume that axis X coincides with the axis

of ridgesand troughsand axis Y is perpendicular to that of the ridgesand troughs. Let us further
assume that direction O is measured from axis X

anti-clock wise(Figure2). A surface morphology


parameterF as a functionof measuring direction

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---30'

Exp.

I
120

I
120 180 240

I
300 360

60

15

MEASURINGDIRECTION (o)

15o
180'

210

240*
270
300*

60

120

180

240

300

360

1.2- '' MEASURING DIRECTION (o)


o:1.1 /

330*

60

120

180

240

300

360

MEASURINGDIRECTION (o)

Fig. 3 The profiles of a sheeting joint in granite


for different measuring directions

8 maybe assumed to beof thefollowing form:

Fig. 4 Comparisonof the anisotropy of measured and computedsurfacemorphologyparameters CLAH, WAI, RPL for the sheeting joint whoseprofilesshownin Figure 3 WA[D unlesssomeerrors are causedby the measuringsystemand digitisation.

F(8) = a/cos'8 + b, sin' 8+


,=1 =1

y.c cos' 28+

d,sin' 28+ -.. +

(14)

3.2 Measurementsand applications


We have carried out measurements on discon-

y, cos /N8 + z, sin' N8


As a particular form of the above eqnation, we select the following

tinuities in different rocksfound in Centra Japan

(Aydan and Shimizu1995). For someselected


discontinuities, profiles weremeasured by varying the measuringdirection by an incrementof 30. Figure 3 showsthe surfaceprofilesof a sheeting
joint in Nakatsukawagranite as an example. The

F(8)-- ax cosS+a2cos 28+bx sinS+b2sin 8 (15)


directions as

Furthermore, we assume that the spectraof the surfaceprofilesdiffer as the measuringdirection parameter areobtained experimentally long eigen varies. The proposedprocedureis applied to the
F(O= 0) = Fo, F(O= 90 )= 90,

?(0 = 280 ) = F8o, F(O = 270 o) = F7o.(26)


With the above conditions, constants a, a2,b,b2
are obtained as follows:

al --

F0 - F80
--, 2

a2 -- --

F0 + F80
2

(17)

b-

F90 - F0
2

, b-

F90+ Fo
2

sheeting joint in Nakatsugawa graniteto evaluate the anisotropyof someof its fundamentalsurface morphology parameters, namely,CLAH, WAI and RPL. Figure 4 showsthe computed parameters as a function of measuringdirection 8 together with measured results. Measuredspectraof the discontinuitywereused in plotting computedresults,usingEq. (15). As seenfrom the figure, the computedresultscloselyfit the measured ones althoughsomeshghtdifferences betweenthem exist. The differences may be attributable to errors causedduring digitisingthe measured profiles. Nevertheless, the proposedprocedureto evaluate

Nevertheless, it shouldbe notedthat constants a and b are expectedto be zero for the parameters definedin Section2 exceptfor WAID* and

the anisotropy of surface morphology parameters


has been concludedto be appropriate. If necessary, better fits to measuredparameterscan be

1394

7O

a, =150 a 2=30

6030

=30

_. 40

:/

.st

eo
Fig. 5 Notations for sliding model
obtainedby usinghigherorderfunctions. It is alsointerestingto note that, asperityinclinations have a minimum alongthe ridge axis and a maximum perpendicularto the ridge axis.
4 THE ANISOTROPY OF SHEAR OF ROCK DISCONTINUITIES STRENGTH

THEOFtETlCAL

10
0
I I

...... PROPOSED(M PROPOSED (GEOM. 1


9b '
I I I 1

180

270

, I

360

SHEARING DIRECTION(DEGREE}

Fig. 6 Comparison of predictions by theoretical approachwith the proposed yield function for discontinuities having a periodic saw tooth
like surfaceconfiguration

As seen in the previous section, the surface morphologyparametersare generallyanisotropic. Surfacemorphologyparameter WAI, which is a measureof asperity inclination, is particularly of great importance sinceits effect directly reflected on the shearstrengthof rockdiscontinuities. Here, the anisotropyof the shearstrengthof a discontinuity having periodic saw-thooth-likeasperities is theoreticallymodelled by considering slidingon asperitywalls. Then, an approximatingprocedure is proposed to evaluatethe anisotropy of the shear strength.
4.1 The anisotropyof the shear strengthof discontinuity with periodic saw-tooth like asperities

conditionis written as an inequality as follows

--

sin

tan ,

> tan0 > ---

sin 2

tan

(20)

For 0 = 0 and 0 = 180 , Eq. (19) takes the


followingform
--

T _ (sin +sin2) tan (21) sin (oq +


_

As for 0 = 90 and 0 = 270 , Eq. (18) becomes


T

j = tan( +

(22)

The shearstrength of a discontinuitywith periodic saw-tooth-like asperities againstslidingcan

be given in the following forms(Figure5):


Sliding alongone-side of asperitywalls

For example,the shearstrengthas a function of 0 is ploted for = 15, 2 = 30, and -- 30 as shownin Figure 6. In order to unify the above functions into singlefunction, we may usethe same approachas usedfor the surfacemorphology parameters. Let

us choose a particularform of function(14) for

(T sin0 cos , - N sin,)2_ (tanqS(T sin0sina,+ N cos oz)) 2 q-T 2cos 2 = 0


(contact on both sides)
T N

apparentfriction angle as

(18)

(fi(0) ---al cos 0q-a2cos 20q-b 1sin0q-b2 sin 20 (23)


Let us further assumethat the anisotropy of the shearstrengthis orthogonalso that we have the followingspectral values

Sliding along the longitudinal axis of asperities


(sin(1d-sina2) tan sin(c 1 + or2) cos 0 -- tan5a sin0(cos or2 -- cos Crl)

(0=0 )= o, (0=90 )=90, (24) qS(0 = 180 ) = q518o, qS(0: 270 ) = 270.
Consequently, coefficients a, a2,/21,/22 are obtained
as follows

whereT is shearforce,N is normal force,0 is directionof shearing, ohis the inclinationof asperity wall i, and 95is the friction angleof asperitywall.

Eq. (19) holdsif N1 > 0 and N2 > 0. This

1395

al--

--,

a2--

(2s)

of their anisotropy.Instead of WAI and WAID, one may also use surface morphologyparameter
WAIP defined as

bl_ 90 -2 270 b2 _ 90 -1L 270 ' 2


The curveof the shearstrengthfunctionobtained

WAIe*= WAIP = tan-(WAIP*)


If the directional character of these coefficients are

1__x=Lp

by the aboveapproximate method(denoted as PROPOSED(MECH.)) is alsoshown in Figure

determined,then it may be taken as equal to pa-

6. As seenfrom the figure, the approximated rmeter a. However,it shouldbe notedthat there strength curve is quiteclose to thecurve obtained may be a slight differencebetweenthe geometri-

cally and mechanically determinedparametera as from the theoreticalapproach. in the previous section (seeFigure6). Another approach for evaluatinganisotropic alsoseen Usinga tilting test devicedeveloped by the aushear strength could be through the useof actual'

wallfrictionangle , andasperity wallinclination o. The directional wall inclination o(0)can be expressed in a similarform to that for the apparent friction angle. The predicted strength curve

thors(Aydanetal. 1995),a series of testswere

carriedout on modeldiscontinuities havinga periodic saw-tooth-like configuration and natural discontinuities by varying the shearingdirectionby (denoted asPROPOSED (CEOM.))isalso shown 22.5. Figure 7 and Figure 8 showsthe experimental results for model discontinuities
a =45

in Figure6. This approach can approximate the


theoreticalcurvefairly well also.

and nat-

4.2 The anisotropy of the shear strength of discontinuity with a generalsurface


configuration

80

a==45

70
LU

=5

As wellknown, the shear strength of rockdiscontinuities depends uponthe surface morphology parameters as well as the normalstress. Onecan find severalyield criteria for rock discontinuities

=--- :,:;' '",,,,, / ",,,,,

proposed by Patton1966,LadanyiandArchambault 1969,Barton 1971,Jaeger 1972,Aydanet al. 1994). Here,the yieldcriterion proposed by Aydanet al. (1994)is selected andis extended
to evaluatethe anisotropic shearstrengthof rock discontinuities. This functionfor a givendirection of shearing is written as

60 /
m, 50
z

z 40
o

:,

,'.

'..

,5 30

.:y

%.,

SHEARING DIRECTION (DEGREE)

= Ai(1- e-B'-)+,[tan, + A2e-B'q (26)


where r is shearstress,a, is normal stress,A1,

90/ , , , , , , , , , ,
F a =30

A.B1, B2 axe coefficients, iis friction angle of


wall rock. Providedthat , _>i, coefficients A1, A. B1, B2 are given as

80[-

=so 0

A -- c, A2 = tan b- tan
B1 =

(27) tan
o't

,s0-

'

i/

tan(a + ) - tan ,
c

, B2 =

wherec, at arecohesion andtensilestrengthof wall rock, and o is equivalentasperity inclination. If the anisotropyof coefficients A and c are determined,it may be possible to obtain the anisotropy of the shearstrengthof rock discontinuities.CoefficientA may be interpreted as the directional
cohesion while coefficient o is the directional as-

THEOR

......

PROPOSED -

10 0 90 180

EXPERIMENTAL270 360

SHEARING DIRECTION (DEGREE)

perity inclinationwhich may be determinedeither Fig. ? Comparison of experimental results with the from tilt tests or surfacemorphologyparameters proposedyield function for discontinuities WAI and WAID togetherwith the consideration havingperiodicsurfaceconfigurations

1396

50

1.75
J

........ --

EXPERIMENTAL PROPOSED

40

/ ?_o
2 3o
2o
--

.,,.%

1,25 '-"
1.00
EXPERIMENT PROPOSEO

',>
"'

1.004 *'-*---'
0
.....

0.75

"10

TENSION JOINT (RHYOLITE)

0.50
360 0.25

90

180

270

SHEARINGDIRECTION(DEGREE)

0.00

90

180

27O

36O

SHEARING DIRECTION (DEGREE)

Fig. 9 Comparison ofexperimental results byHuang et al. (1990)with the proposed yieldfunction

5 CONCLUSIONS

, 20
o

In this paper, we showedthat surface mor-

phology parameters of discontinuities weregener"- 10

EXPERIMENT
PROPOSED

ally anisotropicwhich was not discussed or over-

lookedin literature until now. We proposed a

general procedureto characterise the anisotropy of surface morphology parameters and we showed 0 9o 1 0 27o 36o that the discontinuity surfaces couldbe characterSHEARING DIRECTION (DEGREE) ized usingthe profiles alongtheir eigendirections. Fig.8 The anisotropy of apparent friction angles Theseeigendirectionsare mutually perpendicular for a tension jointin rhyolite andcoolingto each other. One of eigen directionsis parallel to the ridge axis and the other is perpendicular joint in a basalticdyke to the ridge axis. In-spite of slight differences beural discontinuities togetherwith predictions by tween computationsand measuredones,the protheoreticaland approximate methods. These ex- posedmethod can evaluatethe anisotropyof the perimental results showthat the shearstrength surface morphology characteristics of rockdisconcan be highlyanisotropic. However, it is possible tinuitiesfairly well. Furthermore,asperityinclinato evaluate it by the proposed method. tions have a minimumalongthe ridge axis and a to the ridge axis and the The proposed methodwasalsoappliedto ex- maximumperpendicular
COOLING JOINT(BASALTIC DYKE)

perimental results reported byHuang et al. (1990a, inclinations were even anisotropicin the respective 1990b). Coefficients A and oweredetermined directions.
from reportedresultsas

A -- -0.09cos tq-0.47 cos t- 0.10 sin tq-0.56 sin t


o= -0.95 cos tq-57.6 cos 2t - 0.97 sintq-58.6 sin 2t

Figure 9 shows experimental results together with predictions by theproposed method.Asseen from thefigure, the predictions fit fairly wellto the ex- by Huanget al. (1990a,b)and its validitywas perimental results although some slight differences confirmed. Furthermore, it is shown that if the
between them exist.

Sincesurface morphology characteristics of rock discontinuities aregenerally anisotropic, their shear strengthparameters are consequently anisotropic. The proposed method to evaluatethe anisotropy of the shear strength of rock discontinuities was checked throughtestson model and natural discontinuties and somepublished experimental data

anisotropyof shear strength is considered, it is

1397

Yn dik olunca maksimum oluyor.

possible to drasticallyreducethe scaterness of experimentaldata.


ACKNOWLEDGEMENTS

Ladanyi,B. & G. Archambault1969. Simulation

of shearbehaviour of a jointedrockmass. 11thUSRock Mechanics Symp., 105-125.


LaFountain,L.J. & D.E. Dunn 1974. Effect of

The authors acknowledge the financial support


by the ResearchFoundationfor the Electrotechnology of Chubu,Nagoya,Japanfor this project.
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