CHAPTER 10

Mechanical Behaviour of Jointed Rock

lO.l. Introduction
The rock in its most general form is an anisotropic. discontinuous mass con­
taining cracks. fissures. joints. faults and bedding planes with varying degrees
of cohesion along these discontinuities. The accepted mathematical models for
the analysis of stresses. strains and stability of rock structures which have been
so frequently applied in the last half century in civil engineering and mine
design have alwaYs been associated with a parameter of doubt in the minds of
practical engineers. In the last 15 years, greater effort has been concentrated
on testing rock masses in situ and this has brought out very clearly the enormous
variations that exist in the mechanical behaviour of the rock from place to place.
A practical design engineer is convinced that a continuum model approach· to
the problems ofrock design cannot be accepted and that any acceprable solution
must take into account not only the anisotropy of the rock mass but also the
discontinuities which playa far more important role in the stability of a rock­
structure. As such. the fundamental concepts of rock mechanics design can be
summarised as follows:
1. For most of the rock engineering problems. the engineering properties of a
rock mass depend far more on the system of geological separations within
the rock mass than on the strength of the rock material itself.
2. The strength of a rock: mass is in fact its residual strength which. together
with its anisotropy, is governed by the interlocking bonds of the unit "'ele­
ments"' forming the rock mass.
3. The defonnability of a rock mass and its anisotropy results predominantly
from the dlsplacements of the unit elements composing the structure of the
rock mass.
 ,.

S<!ri<!s on Rock anci Soil Mcchani<.:s

Vol. :3 (1.978) Nt), :;

HANDBOOK
", ON
N1ECHAL"fICAL PROPERTIES

OF ROCKS

- Testing Techniques and Results ­

Volume IV

by

R.D.I..ama
CSIRO

Division of Applied Geomechanics

Australia

V. S. Vurukuri
Department of Mining Engineering

Broken Hill Division

University of New South Wales

Australia

•
First Printing
1978
:.

TRANS TECH PUBLICATIONS

.;

CHAPTER 10

Mechanical Behaviour of Jointed Rock

10.1. Introduction
The rock in its most general form is an anisotropic. discontinuous mass con­
taining cracks. fissures. joints. fauItsand bedding planes with varying degrees
of cohesion along these discontinuities. The accepted mathematical models for
the analysis of stresses. strains and stability of rock structures which have been
so frequently applied io the last half century in civil engineering and mine
design. have always been associated with a parameter of doubt in the minds of
practical engineers. In the last 15 years. greater effort has been concentrated
on testing rock masses in situ and this has brought out very clearly the enormous
variations tilat exist in the mechanical behaviour of the rock from place to place.
A practical design. engineer is convinced that a continuum model approach to
the problems ofrock design. cannot be accepted and that any acceptable solution
must take into account not only the anisotropy of the rock mass but also the
discontinuities which playa far more important role in the stability of a rock·
structure. As such, the fundamental concepts of rock mechanics design can be
summarised as follows:
1. For most of the rock engineering problems, the engineering properties of a
rock mass depend far more on the system of geological separations wit.hin
the rock mass than on the strength of the rock material itself.
2. The strength of a rock: mass is in fact its residual strength which. togeLher
with its anisotropy, is governed by the interlocking bonds of the unit ·'cle·
ments" fonning the rock mass.
3. The defonnability of a rock mass and its anisotropy results predominantly
from the dIsplacements of the unit elements composing the structure of (he
rock mass.
2 MECHANICAL BEHAVIOUR OF JOINTED ROCK

The first problem. therefore. in the study of the propenies of a rock mass is THEOR Y OF SLIDING ALONG A JOINT 3
the detennination of the character of the discontinuities. Recently some works
on this subject have been published and it is noted that the joint surfaces may

~
~@
be very smooth like slickensides to quite rough like the ones obtained in tensile
fractures (MUI.L.ER.. 1963; WAGJ>.'ER. 1964; WOHNUOi. 1968; FECKER. 1970;
BocK.. 1971). Based upon the study of the discontinuities, there exists an
opinion that a rock mass may be represented by some sort ofa clastic model.
The principal feature of a unit clastic model is that it is anisotropic and has a
limited number of clearly defmed axes of symmetry. A three-dimensional rock
mass may be represented by a randon distribution of individual units. the unit
being anisouopic both with respect to the phys:.ca.t propenies and shape. The

w
shape and size of the unit is determined by the parameters of the rock system

~ ill!!
which the model is supposed to represent.
A number of shapes of the elemental units have been proposed and used in
clastic mechanics approach by different workers in solving different problems
(LITWINISZYN.1964; TROLiopE.. 1968). In the field of rock mechanics, some of
the most common units and their shapes (in two dimensions) have been circular,
square, rectangular, parallelogram and hexagonal (Fig. 1()"1). From the theore­
tical standpoint. it is evident that the shape of the unit will restrict the physical
nature of the forces generated 'between the units and hence influence the me­
~~
~ 'bellaviourofthe system. No comparative study has been made as yet of
the syste:mswith different elemental shapes to bring out the differences. But in
the last 10,Ycars or so, emphasis has been placed on studying the factors which
b.
-L-
®
influence.We behaviour of a simplified model of a jointed rock mass consisting
Fig. 10-1. Somc typical types of systoncs in clastic mechanics u.pplied to rock

ofslidingplalCS or blocks. A number oftheoretical and model studi~ have been mechanics. Thc tcnn "systonc" is dcfined as a systematically arranged group of units. It

carried OUI-;which have yielded interesting results. Some of these studies have is. however, not essential that the unit in each group be of identical size.

been veryi~tive but still not very realistic due to the absence ofany reliable
data on ~e:nature, distribution. method of classification and the properties of
the joints,wh¥:b. .exist in rocks. Nevertheless, the results of these studies permit
one to c:G~1~ ~ the mechanical behaviour of the jointed rock system is
depend~t;~q,thefo119wing factors:
1. The mec~c~ll ~viour of the individual elements constituting the
system. ~hasJ,)~n dealt in detail in Chapters 2 to 5 (VoL 1), in Chapters 6
and 7 (Vol. II) and in Chapter 9 (Vol. III).
2. The.sliding~ticsofjoints.
3. The configu~ti9n.of the system.
4. The OpeIating stiessfleld.
The influence of these factors and methods used for determining the frictional
properties of joints along with the factors influencing frictional behaviour are
discussed. The influence of joints on the uniaxial compressive strength. tensile
strength. shear strength and the behaviour under multiaxial stress field is
given.
10.2. Theory of Sliding Along a Joint
When a rock element slides over another rock element, an important pheno­
menon that is brought into play is that offriction. The amount ofwork done on
the phenomenon of friction in rocks has been rather limited and one is bound
to look into the various views prevailing in the field of metal friction and wear.
These views can be divided into four groups (LAMA, 1972).
The first group developed at the end of the seventeenth century and the be­
ginning of the eigh~th century when the mechanics of rigid bodies were being
developed. This view is based soleiy on geometric considerations and explains
friction in terms of the lifting of microasperities over each other (KRAGELSKI:,
1965).
With the developments in the concept of the molecular nature of solids, a
second view developed which explains friction as a result ofovercoming the forces
ofmolecular attraction between the two solids (BownN :1 ad T AnoR. 1967\.
"""'"
<4 MECHANICAL BEHAVIOUR OF JOINTED ROCK

The third group visualises friction arising from the deformation of certain
amount ofmaterial which is penetrated on one solid by the asperity of the other
solid. As movement takes place 2 wave of deformation moves ahead and the
resistance to motion is introduced by the displacement of the material sur­
rounding the asperity.
'The fourth group considers a composite theory, which also includes
COULOII.flJ"S theory. representing friction as resulting from interlocking of the
surface roughnesses and the lifting of the microasperities over each other.
The mechanism of friction in brittle materials such as rocks is bound to be
THEORY OF SLlD[NG ALONG A JO[NT
locking on the failure envelopes. He tested kaoline and plaster mixes with
different angles of inclination of asperities (i = 25-. 35". 45") and different
numbers of asperiries. He found that the failure envelope of the specimens
with i = 25- Qln be represented by a straight line (A). (Fig. 10-2). but for
specimens with i = 35~ and i = 45'. each envelope has to be represented by two
straight lines (B and C). The line CD) represents the residua! strength of aJ! [he

S~"~~
slightly different. The concept of molecular attraction and plastic deformation :500 ~ ! ","and
at low stress levels is likely to be absent. On the other hand. it may be expected a rnax. "Qiue. tor I • 2.:5­
~ max. vch.".. tor i - 3:5­
that due to the development of tensile stresses in the wedge type asperities, a rna•. \fOh.:•• 1t::w J-4e5­
rf!uuduaJ \lQues for at::>ove

they may fail. BYERLEE (1966). basing his interpretation on the theory oflinear :sc;:reClmens.

elasticity. considers that tips of asperities which are subjected to a normal force
and lateral (shear) force. crush to a certain extent under the action of the normal
force and.. on application of the shear force, induced tensile stresses locally 4()O ;;;: / '·W
exceed the tensile strength. If all pOssible shapes of asperities are equally Cl~· ,
probable. the applied shear stress. T and the no.rmal stress, 0'n can be related .,/
to each other as follows (EINSTEIN. BRUHN and HIRSCHFELD, ~ 970): a
T
-=C1
O'n
0',
+-+cz
O'e

where C I' C:z = constants independent of the material and

(10.1)
§
~
.t::
"5
30
sk 1-40­

£J. = ratio of tensile to compressive strength, e. g. ::::: 0.1 for rock ;

..
i
O'e ...

and the value of ..!..according

0'
to .the above formula works out to be 0.1 to 0.15
.
oo
.t::

. n
depending upon the shape ofthe asperity which is much lower tbail experimental
values. BYERLEE's theory docs not take into consideration the influence of
interlocking ofasperities.
TIle influence ofvarious factors on friction and the values obtained for different
rocks by different investigators under varied conditions are discussed later.
Here. it may only be mentioned that the coefficient values are quite different
from those predicted above which indicates that there is definhely some other
phenomenon contributing to the high values of the coefficients.
koolinita_ pia.'.... (I: 2)
NEWLAND and All.ELY (1957) were probably the first to indieute that shear is
not an intrinsic property but depends upon the average angle of deviation of o ~~~'--------~----~i----------------~i---------------,i----____________
o 100 200 3CO
particle displacements from the direction of the appliecl stress. PATTON
narmol lood(Nl.lbt
(19600. b) studied the influence of asperities and the phenomenon of inter·
Fig. 10-2. Failure envelopes for specimens with difTerent inclinations of teeth
(after PATTON, I 966a).
6. MECHANICAL BEHAVIOUR OF JOINTED ROC~

THEORY OF SLIDING ALONG A JOINT

three series and its value is ± 1" of the sliding friction of the flat surfaces 7
(¢'" = 31'" for stronger plaster, kaoline-plas~ 1:2; or 27-1/2'" for wcler
plaster, kaoline-plaster 1: 1) depending upon the mix. The inclinations of the
upper or the secondary portions of the lines (B and q are very close to ¢r and
primary portions (lower) are within one degree of (¢" + z). The abrupt Changes
in the slope of theJiJlcs (B and q are related to the change in the mode of
leoonci
failure. Below these change points, the !llaXimum shear strengths are related
o vatue. tor'" 4 teeth
to the frictional resistance along the inclined sutface while above, the transition o value. tor 2 tee1'h
slope is unrelated to the increased surface resistance due to the inclination of 400 ,..".idual valuo. fo,..
both type. of apeclmens
the teeth or the asperity. In the case (q, the transition occurs at lower normal N

load and in (A) it does not occur because the value of the normal· load used I
is not high enough to reach the transition in the mode of failure. s~ cr"
I -040 8

The influence of increasing the number of asperities is shown in Fig. 10-3. Here
also the steep portion of the curve is inclined at an angle of (¢" + z). The effect \
of doubling the number of ~riticS from two to four (specimens identical in :300 o
other respects) is to move the abrupt change in slope of the failure envelope
to a higher normal load and to move the secondary portion of the failure ~
envelope about twice as far above the residual envelope as the failure envelope
for the two teeth. This a.!so holds. good JOT specimens prepared with higher e.r:
strength materials. For stronger specimens, the change in mode takes place at 0
c
higher normal loads and thus increasing the strength of the specimen is like • 200
!:
increasing the number ofteeth. Fig. 10-4 represents the results of investigations
on two series of specimens with identical surface configuration but different ..•
C

internal strengths (A- for stronger specimens, B- for weaker specimens). In .r:
practice such a double line relationship has not been obtained in tests conducted
•
on rock joints which PATroN (1966b) himself states beca:lSC of superposition
of various modes and a more complicated nature of failure of ispcrities.
100
EINsTEIN, BRUHN and HutsCHFElD (1970) explained the influence of asperities
and the phenomenon of interlocking in rock friction. According to them the
two surfaces will notmally be not in plane contact but will interlock: where
certain portions are in tip to tip contact, but major portions will be staggered
(Fig. 10-5). This interlocking influences the relationship between the shear
force and the normal force. At small to medium values of the nonna! force, the o k'· • ¢... kaolinite-pla.ter( I: I)

asperities slide over each other and the shear resistance can be represented o 100 zoo 300
by the equation
normal load (N). Ibf
S=Ntan(¢,,+z) (10.2)
Fig. 10-3. Failure envelopes for specimens for different number of leeth
where S = shear force (after PAlTON. 1966a).
N = normal force
l/J" = angle offrictional sliding resistance along a plane surface and
j = inclination of the asperity with the horizontal along the axis of
movemenL
'8 . MECHANICAL BEHAVIOUR OF JOINTED ROCK
THEOR Y OF SLIDING ALONG A JOINT 9

~ N
o
D
kClCllinITe-plas,.r ( I ::2). I · 41!5­
kClCllinlt.-ploate,.( I :1), I -41!5- N
~ normal torce

s~
...alcSl.ICII vol...... (I ::2) specimen..

40
r_lci....:sl VClI..... ( I : I) spectme n.

hlOh ,,"'enOfh /
o
.neg,.. farce s
::;,00­
s
o
J­

-'1:-:e
f /)

f.20
300

so/ r normal fon:;e

..
g (ex)
true areCl

""i
.s::. a;lp<:1r"",,' are<l
•

100
;/;
o z.,.--- ,
o 100 200 300

no,.."al load (N, .Ibf

Fig. 1()..4. Failure envelopes of specimens with different internal strer..g:ths

(b)
(after PATTON. 196611).

Fig. 10-5. (a) Contact of asperities

(b) Interlocking of asperities

(after EINSTEIN. BRUHN and HIRSCHFEl.D. 1970).

10 MECHANICAL BEHAVIOUR OF JOINTED ROCK

After a pair of interlocked asperities have ridden over up to a certain level, THEORY OF SLrDING ALONG A JOI;..JT i!
the stresses in the asperity will reach the strength of the asperity and the asperity
N
will shear off at this level. this stage can be represented by equation

S=K+NtarltP (10.3)
s
where tPr = angle of residual shearing resistance of the material and
K = constant, equal to the ordinate of the intersection with the shear
force axis of the straight line that can be used to approxllnate
the S-N curve at relatively high normal force (Fig. 1Q..6).
s (0)

dUotancy . ~ of oaCMl'f""'.. I
CQft\O"te confact
~.CI.ftc f~
N
,'ldln,Sl

'" ... <11 troctUN!l 0: f

asOt':r"lty Clt:>o'Y.
S-K+Ntanpr bel ...
-g
3 s .2
.e.
.·.
co

1
•
o
·
::"
>
c

~,ol dlapl""""""",". (,,)

c,. - _ ......­ (b)

S-N_(~. j )
01 ...,."1'''.
..>:<: f'n:lc:rur-., at aao-t"ify
N ar t>cae
I"M:M"tnOI f'0f"c:.

Fig. 1()"6. Dilatancy of specimen and shearing of asperities in a typical MOHR'S enveiope.
N III

The riding over of the asperities gives rise to changes in the value of defor­ ..,
mation at right angles to the direction ofapplication ofshear force which has been "
.2
tenned "dilatancy··. A schematic representation of dilatancy and the shear .•.
force versus displacement curves are given in Fig. 10-7. S ---...4 ~
C•
Equations 10.2 and 10.3 are valid only when shearing takes place along a surface ::"
conforming with the geometry of the asperities and with full degree of inter­
locking.. These assumptions are rarely true. In pmctice the distribution of inter­
locking at different points of contact is dIfferent and this influences the friction
effect. CORTHOlJ1'S (1966) simulated the process of dilatancy ..lOd shearing of
( .. ) hOrizontal dlaptacOmOf"\f (x )

asperities in a finite element progmmme using two asperities which are at 45° Fig. 10-7. The mechanism of dihuancy and shearing of the asperity with the

inclined to the horizontal and also symmetricaL The stresseS caused by a com­ corresponding load-displacement curves.

bination of transVerse and ~ormal external loading were computed to determine (a) Initial state (before displacement)

• (b) Displacement with dilatancy and she-.1r at a later stage

(c) Shearing without dilatancy

(after EINSTEIN. BRUHN and HIRSCHFELD. 1970).

12 MECHANICAL BEHA VIOUR OF JOINTED ROC~

THEOR Y OF SLIDING ALONG A JOINT [3
ifin any element along the line B - C -- D (Fig. 10-8) the tensile stresses arc greater
than the tensile strength. The transverse and normal loads are changed tili the If the average mobiiised shear stress" is greater than Vn tan¢" i.e. if sliding
tensile stress is greater than the tensile strength when the shearing ofT of the and dilatancy occur. a small displacement.a along B-C is introduced and the
asperity takes place and then the external loading conditions are tenninated. 1f computing cycle is repeated to check if the shear failure occurs in the asperity
no failure occurs due to tensile stresses. the computer progr.mune checks if the or if further dilatancy will take place. Taking ¢" = 11.3" COR11iOUTS obtained
average shear stress along the line B-C (Fig. lO-8aJ is greater than that the bilinear MOHR'S envelope as shown in Fig. 10-9. According to the static
allowed by the relationship relationship of Eq. 10.2. the slope of the two linear portions of the envelope
" = Vntan ¢" (lOA) should be (¢,,+t) and (¢J or 56.3 0 and 11.3". The corresponding values for
the envelopes determined using the fmite element method were 71.5" and 15.6­
where T. = shear strength of the material and
showing thereby large discrepancies.
v n = normal stress.
~ normal
forc:e

70
analytlccu Iy obtQined ~1!S'6"
shear force I\4onI'" envelic;,)pe

eo ~
c 11.:;:'­

/
/
·
c:.,
to _,orrc.
/ OC;;:C:Ql"dinq

/
/ ·
~
/
-, -,/
o
~
<:

(a) .2
•r!
~
t norrnc:aJ force
g
sI"oee2r force

,
~ I
j 10 ao 30 40 :;0 60 70 er::l 90 KX:>

nCW"'l"'rtol loocUnQ (lS~n:' •• unit. )

.IC,

/
#
.ftC' . /
~ /
/a'
/
Co /
Fig. 10-9. Comparison between the MOHR'S envelopes for two asperities Obt3ined

by CORTHOtJTS (1966) for the case shown in Fig. 10-t!

(rt>. '" 11.3', 11', '" 3090 [bf/in;).

According to lADANYI and ARCHAMBAULT (1969), the fact that the experimental
~ envelopes deviate from the bilinear model and lie considerably lower is due.
firstly. to the sensible loss of interlock before failure as a result ofsmall disp Jace­
(b)
ment which is essential to mobilise the sliding friction and. secondly, [he non­
Fig. 1()...8. AnalYlical model used by CORTHO\.,"TS (1966) ror linite clement analysis.

The model consists of twO asperities subjected to normal and shear forces.

unifonn stress distribution on the surface of the asperities which partially break
(a) lnitial5itUl.llion (b) First step after sliding.
the asperities before the maximum strength is reached. As such more det:::liled
analysis of the shear test is required.
14 MECHANICAL BEHAVIOUR OF JOINTED ROC"f
THEOR Y OF SLIDING ALONG A JOINT 15
RoWE., BARDEN and LEE (1964) considered the direct shear test in detaiL
According to them, the shear force S may be divided into 3 components . As it shaH be shown later that the value of tl is not constant and depends
S =S,+S2+S3 (l0.5) upon the roughness of the surface. asperity orientJ.tion. etc .. Equation 10.S
can better be written down as
where SI = shear force c.:>mponent due to external work done in dilating
against the external normal force N S2 = SVtan<Pr
S:, = shear force component due to additional internal work dont: in where 4>r denotes the statistical average value of the friction angle when sliding
friction due to dilatancy and occurs along the irregularities ofdifferent orien tations.
S3 = shear force component due to work done in internal friction if
the specimen.did not change in volume in shear. ROWE. BARJ:iEN and LEE (1964) gave the value of 4>r 4>" for hig.~ly packed
sand. but for loose media its value muy be CPr = <p" + 50 %.
With reference to Fig. 10-10, it c::m be seen that
When there is no dilation. i.e. an ideally flat surface

Sldx = Ndy; S,=N dy (10.6) S3 Nr.an4>" (10,9)

dx
or
Thus. from Eqs. 10.6, 10.8 and 10.9
S, =Ntani
S = Ntani+Stanitan¢,,+Ntan 4>"
=NV

S . S 'A-. A-.
. at '1 . dt' or = tan I + N tan I tan '1'1' + tan '1'"
where V = rate 0 fdila uon t".
lat ure, I. e. -do• N
x
= tan(cp,,+c) (10.10)

I a." 1
N N
Thus the equation obtained by substituting the values of SI' S2' SJ in Eq. 10.5
is the same as Eq. 10.2
LAoANYI and ARCHAMBAULT (1969) cmTied the argwnent further by stating

s <'~~-=:::J..
that by shearing along an irregular rock surface there is the fourth component
which occurs as a result of the shearing of the teeth and the value of this
component (Sa.) may be detennined by asswning that aU the teeth are sheared
• dy
A. A. ' V" Cii" offat the base. The shear force. Sa. then may be equal to

I A I Q _ ::EAAs Sa. = A K + N tan CPo (10.11)

.. A

Fig. 10-100 Definition of the dilation rate Vand tbe shear area ratio of a,. where A = total projected area of the teeth at the plane ofshear and
K and 4>0 = the COULOMB shear parameters related to the strength of the rock
substance.
Since (S;:COSl) is the shear stress parallel to the plane of sliding and (Ssinl)
is the total force normal to the plane arising simply because of the dilation In reality, in shearing along an irregular surface the two modes of failure occur
simultaneously, i.e. sliding and shearing. If the asperities are sheared otT only
when i~ 0
over a portion of the projected area given by. As, i.e. I.dA. and sliding occurs
S;: cos i = Ssinitan.<p" (10.7) over the area (A - AJ, then the total shear force can be wriuen by.
S;;. = StanitantP" ( 10.12)
S=(S! +Sz +SJ)(I-a.)+Sa.a.
= SVtnn<p" (008)
where a.:::; AsiA and is called the shear area ratio.
16 MECHANICAL BEHAVIOUR OF JOINTED ROCK

Substituting the values of SI_ S::!. S3- S4 in Eq. 10.12. and dividing by the THEORY OF SLID[NG ALONG A JO[NT l'
area A. the following expression is obtained for the conventional shear
strength 1.": Equation 10.13 then becomes

.= s A
u n (1-a.)( V+ tan¢..) + (ITntan¢o+ K)a.
l-(l-u.) Vtan¢"
(to.13) O"n(1-a.)(V + tan¢,,) +a.u
r=--------~~--~~~~-------
o(_n_-;;_I) (I +
1-(1 -a.) Vtan¢..
Il : : ) "
(10.16)

When V=O.
The above discussion is valid as long as the crocks are rightly closed :.tnd
T = un{1-aJtan 4>1'+ a. (un tan 4>0+ K) (10.J4) interlocking is complete. In case the interlocking is not complete and cracks
get partially open~ up. which invariably happens before any failure takes
which gives the shear strength of a partially cemented nat shear plane or place (MuLLER and HOFMANN. 1970). the actual contact:J.re:l will decrease and
a discontinuous joint surface. the degree of interlocking will cease to be unity. If the degree of interlocking
For engineering p'llCtice the use ofthese equations requires the knowledge of the be given by '1. the true shear and normal stresses will increase and Cln be
parameters as, ¢o. 4>". K. and V. The value of <PI' can be obtained by performing given by
tests at low normal pressure for flat surfaces such that a.:::::: 0 and the value Cln r' = ,/IT
be calculated from the relationship
u' . =(uJI7)
(4/un ) - Ii"
tan 4>" = 1+ V(T/Un} (10.15)
17 =(1-~0
which has been obtained from Eq. 10.13 by putting a. = o.
where.dX = open projected length (Fig. 10-11 a) and
To overcome the difficulty ofdetermining the value ofK and 4>0 (or 4>r) and keep­ .dL =- total projected length of asperity.
ing in view that MOHR's envelope will not consist of two straight lines but of The total area to be sheared off will decrease by a multiple of 17, and hence
an initially curved shape (shown doned in Fig. 10-6) as a result of different· Eq. 10-13 will become
heights and inclinations of a multiple of asperities which get sheared off at
different stages. a modification ofthe above is necessary. The initial stage ofthe ,= (1n(1-a.)( V+ tan (,b,,)+a. (un tan(,bo + KiT) (10.17)
MOHR's envelope is also associated with large dilatancy in the direction normal 1- (1-a,) Vtan ¢"
to the plane ofsliding. If the dilatancy is restricted at this stage (as may happen
in nature). this will tend to magnify the influence of interlocking and the and Eq. 10.16 will become
MOHR's evelope assumes a straight line curve. As such, LAoANYI and
ARCHAMBAULT (1969) used the parabolic law proposed by FAIRHURST (1964)
instead of the original straight line concept. According to FAIRHURST (1964)
un(l-as)(V+tan¢J+GSI/UO (_m_-_l
n
) (I +'_1(1'_")
WI"
",
,=--------------~~---~~--~--------- ( 10.18)

T = Uom-')('+n a:
(-n- (1 )'"
1-(1-as ) Vtan¢"

This decre'..lSe in interlocking exerts a marked influence on the she-..lr strength

where II = .!!..L manifested by the rock mass. Graphically, these are represented in Fig. IO-! 1.
-0'1 UoANYl and ARCHAMBAULT (1972) found quite goOcl correlution between
= uniaxial compressive strength of solid rock
IT c this equation and the shear strength of models composed of smal I d\!ments in

m=(n+l) :.
, ­
a, = uniuxi:.11 tensile strem!:th of solid rock and a biaxial shear test.
The values of as, Ii' and 11 in Eq. 10.18 require to be determined for a gIven
rock surtace and as yet no correlation has been obtained between [hese pura­
 18 MECHANICAL BEHAVIOUR OF JOINTED ROCK:
SYSTEM CONFIGURATION AND STRESS FIELD 19

1: and V- O. At intennediate values of nonnal stress. the values of a, and V

will vary from 0 to 1 with a. increasing from 0 to I with increase in stress
and V decre-.lSing from I to O. Approximate values of the two can be obtained
from the following relationships under the limits 0 < Un < uT:

a. ~ 1- ( 1- ;~r I (10.19)

T and V ::= ( 1 - ;~) tan i (J 0.10)

K

Lv
o
-r --1J
cr
where UT = transition normal stress at which as =
3
1 and V= 0
kl = constant::=2 and
(b)
k~ = constant == 4.
The value of UT could be taken as the point where the normal stress is so high
that the pre-existing joint has no influence on the specimen strength and this
represents the intersection of the MOHR envelope for the joint with the MOHR
C\I envelope for the rock substance (Fig. 10-11; point T on the envelope) which
..5 corresponds to the line with an inclination of 39° and passing through the
~ origin (Moca, 1966) separating the region of ductile and brittle failures. The
.D

"b >0(
inclination is only an average value of different rock types and varies from
rock to rock. for example. granites have higher value and limestones lower
(Moor, 1972). BYERLEE (1968a) also expressed that the inclination does not
seem to be independent of the rock type.

CIT
10.3. Influence of the Configuration of the System with
Respect to the Stress Field
o .2 4 EO B 10 12 14 X 1031bf/ln2
o
The influence of the configuration of tile joint system with respect to the stress
(c)
field is a complex problem and studies have been made only in a limited number
Fig. I()"'11. Influence of decreasing degrce of interlocking of asperities on the shear of simple cases. Most of the theoretical studies conducted so far relate to the
strength along irregular rock surfaces. following aspects:
(a) Definition of the degree of interlocking
1. Single joint orientation.
(b) Results according to bilinear model

(e) Results according. to Equation 10.18.

2. Double or multiple joint orientation.
(after UDANYI and ARCHAMBAULT. 1969).

10.3.1. Single Joint Orientation

meters and normal stress and rock surface type. Under the assumption that

The intluence of a single joint orientation has been explained by considering

no shearin!! of the asperity takes place then a, == A.fA - o. (A. - 0) and

. V - tan i. This will happen at an extremely small nonnal stress. At extremely

a two dimensional theory, asswning that the simple criterion or slip along a
high normal stresses when the asperities are completely sheared off A. - 1
plane as given by Eq. 10·3 applies. In a biaxial plane stress co.se. it can be
easily proved that (Fig. 10.12)
10 MECHANICAL BEHAVIOUR OF JOINTED ROCK

O"n = I/:Z(O"I+O"Z)+ '/:z(0",-Uz)cos2r1. (10.21) SYSTEM CONFIGURAnON AND STRESS FIELD 21

and = -lll (U I -U:z)si.12:x (10.22) 2KcotcPu

T 0" - (10.29)
1 - -n)sin -cP~)coseccP~-(t+n)
where 0"1 and C1: = principal stresses
The Eqs. 10.25. 10.26. 10.28. and 10.29 are the difTerem ways which represennhe
:z = the angle which the normal to the plane ofweakness makes same criterion. It is seen from the Eq. 10.28 that the stress difference necessary
with the major principal stress 0"1 and
to cause failure varies with :z and as :x - .; • i. e. the plane moves towards the
q n and T = normal and shear stresses on the plane ofweakness.
direction of O"l. 0"1 -0":1,-'-:C. Also, when the :x--tan- t 1l=<P~, the value of
This means that failure is possible only when cP~ <:x < ;. and

0'2~ tk;~- 'I'"

0"1 -0"2 - ':0.

the minimum value of(O"l -0"0 can be given by

(0"1 - 0":) = 2(K + Jl0"2) [Ut: + 1) ':, + III (10.30)

-;e c
cr, CIj <:T The variation of O"t with 7: for the case ,U = 0.5 is shown in Fig. lO-13 for
vruious values of 0"2' This situation is also made dear from MOHR diagrnm
(0 ) ( 1:1) (Fig. 1O-12b). The criterion for failure is represented by the line P-Q-R
Fig. 10-12. Sliding on a plane of wc:a.kness: two-dimensional theory.
115
Puuing
O"rn =1/:;.(0"1+0"z)

'Cm = 1/:z«(11-0"2)

into Eqs. 10.21 and 10.12

10
O"n = O"rn+'Crncos2:x (10.23)
T = - 'I'm Sin2lX • (10.24)

Putting tan tP~ = p and using Eqs. 10.23 and 10.24. the Eq. 10.3 can be rewritten o\lt:.
in the form (JAEGER and COOK.. 1969a)
'I'm [sin 2.7 - tan tP~ cos 2:%] = K + Urn tan 4J1l • (10.15) :5

or 'tm =«(1rn+KcottP~)tan{'i (10.26)

where tan i5 = sin 4J~ cosec (2:%- 4J 1l ) (10.27)

Alternalively. the criterion of slip can be written down ¢..u.

O~'--------~~-- ______,­________ ~

2K+ luO', (10.2S) o 30 60 90

0'1 - C1:z = (1- ~l cot:7.) sin 2:7.
.c
and if 11 = ~. then Fig. 10·1 J. rile variation of 0', with:r forslidingon a plane of weakness with I' ~ 0.5.

u!
Numbers on the curves are the values of O'!/K

(afterJAEoER and COOK. 1969a).

:2~ MECHANICAL BEHAVIOUR OF JOINTED ROCK

inclined at an angle ¢" to the 0 - (1 axis and making an intercept 0 P = SYSTEM CONFIGURATION AND STRESS F[ELD '1"
-,)

- K cot ¢" on this axis. If (1 J and '(12 are the principal stresses. the nonnal and
shear stresses across the plane whose normal is inclined at :z to the (1\ direction As already shown. failure' is possible when ¢" < J. < ; . and the criterion of
are represented by the point D on the MOHR circle on AC as diameter. If D
slip between these limits can be represented by Eq. 10.2& which can be rewrinen
lies in either of the arcs A - Q or R - C. these Stresses will not be sufficient to
as follows:
cause slip but if it lies in the arc Q- R. then stresses..vill be sufficient to
Cause slip. 2K + 2,.1(1"1
CT t = (12 + (1 _ Ji COt ::t)(sin 2::L) (10.31 )
The above theory is applicable for (/)1:he sliding across open joints in which
case K will be the shear strength of the joint and }I the coefficient of friction
of the joint; (ii) the sliding along filled joints where K will be the shear strength For a given value of CT2' the minimum value of 0'1 (O'min) occurs when
of the filling material and J.l coefficient of internal friction of the filling material:
(iH) the anisotropic material with parallel planes of weakness which behave in
tan2::t = -..!..
~(

the same way as materials with planes of weaknesses.

There is. however, a possibility that failure may take place through the
material in a plane which intersects the plane of weakness. If the inherent
shear strength of the material is So and the coefficient of internal friction
(CoULOMB criterion concept) J1.0. and assuming that there is a plane ofweakness
whose normal is inclined at an angle of a, with the greatest principal stress (11
such that So > K and J1.o > J1.. the situation can be represented by Fig. 10-14a.
O'min = 0'1 + 2(K + JiO''!.) [(j.('!.+ 1) 'I, + ,u)] ( 10.32)
If the value of (11 is constant, and (11 is increased. to the point when 0'1 = O'min.
failure will occur on the plane represented by the line rI. - B (Fig. 1O~ t4a). i.e.
along the plane of weakness a. but if it is possible to increase the stresS con­
ditions such that 0'\ = Cfm,u. then failure is possible along the plane represented
by the line C-D (Fig. 10~14a), i.e. along the plane of weakness CZo. Since the
line C - D represents the MOHR envelope for the solid material, the maximum
value of (1\ can then be represented by

(1max = CT1 + 2(SQ + Ptl(1:z) [(j.(~ + 1) 'II + Ptll (10.33)

1:5 Thus minimum and maximum values of (1\ are represented by Eqs. 10.32 and
10.33 when the angle of possible failure varies from (J. to ~. The variatio n of
(11 with::t for a particular case is shown in Fig. 1O.14b. The influence of the
stress value 0'2 is simply to raise the curves up. It shall be of interest to state
10 that the experimental results obtained by a number of investig-.Hors are more
~ or less in accordance with the 'above (HOEK. 1964; JAEGER and ROSENGREN,
J:) 1969; EINSTEIN, BRUHN and HIRSCHFELD, 1970; HORrNoand EUICKSON, 1970).

:5
Another very simple way of representation which is quite useful from practical
engineering point of view is by making use of the CT.i(1z ratio. Thus in MOHR
C72: CS"min. circle representation when the nonnal stresses and shear stresses can be re­
¢ .,c presented by Eqs. 10.21 and 10.22 and the equilibrium criterion by Eq. 10.3 ; by
0 1 , putting Eqs. 10.21 and 10.22 into Eq. 10.3 and re:J.ITanging it, the equilibrium
o .~ i I eo ~
condition can be put as
-."c
(0 ) (b)
(1 _ (11[sin(2::X-<PI!)+sin<Pl!1+2Kcos¢"
(10.34)
Fig.. 10-14. (a) Frocturc in ar.d across parallel planc::s ofweaknc::ss in a material I - sin (22 - <pJ - sin <PI'
(b) Variation of 0". with:x for.the case II ""' 0.5.11<. -- 0.7. S" = 2K
Numbers on lhe curves refer to the: ratio a,IK orwhenK=O
(after JAEGER and Com,. 1969a). -,
~_ sin (2::X-¢H) +sin<p~
(10 . .35)
CTz - sin (2:% - <PI') - sin <PI'
24 MECHANICAL BEHAVIOUR OF JOINTED ROCK
The results ofEq. 10.35 when plotted in.polar co-.ordinates for different values
of G'11G'z and 4>" and ct, are shown in Fig. 10-17 (consider the parabolas for
each joint set separately). This indicates that decreasing th~ value of 4>" is to
make the region of slippage wider and hence increasing the chance ofslippage.
10.3.2. Double or Multiple Joint Orientation
The case of a multiple joint orientation can be studied by considering a three
dimensional case. The three dimensional case can be represented quite easily
by MOHR's representation. Fig. 10-12b can be slightly modified by shifting the
line of origin from 0 to the point P which means that the different stresses
0"1 and G':z have been increased by the amount OP = K.
JL
Similarly, jf there be
any pore pressure to be taken into account. this can easily be done by making
use of the "effective stress concept" which replaces 0",. 0"2 and 0",3 by O"I-P,
0"":1 - p, 0",3 - p. Thus for f'. g:neral case, MOHR envelope can be represented by
replacing the values of 0"1,0"::,0",3. by the effective stress values as follows:
0"1' == 0"1 - p+ (KIp.)
the principal stresses, and different values of f.L, different patterns of equal area
o"?' = 0"2 -p+ (KIp.)
projection nets are shown in Fig. 10-16 (for details see Appendix V).
0",3' = 0",3 -p+ (KIp.)
and COULOMB'S criterion is reduced to
't" = JLO"
Two extreme cases can be considered: first when O"{ > 0"2 = G';, and secQnd
a .. = G':i > G'3' In the first case there is symmetry about the G'{ axis and in the
second case there is symmetry about the 0"3 axis. These cases can be represented
by Fig. 10-t5a. assuming that G'{ is the greatest principal stress and 0"3 is the
least principal stress. the value of O"~ lies between the two extremes. "The
line 0 - C represents the failure criterion. The sliding can take place only when
the normals to the joints correspond to the points on the arc M and Nand
make an angie:X 1 and:Xl with the G'{ direction. This result can also be represented
in Fig. to-1Sb which shows the direction of the principal stress in an octant of
a unit sphere. Under the conditions of 0" I > 0"; = 0"3, possible slip planes are
those whose nonnals make angles 7.1 and :r.~ with 0"; and lie in the zone ABCD
symmetrical about O"{ axis. Under the conditions 0"; = G'~ > 0"3' possible slip
planes are those whose nonnals make angles of 90 -:'I.,
and 90 - 7.2 with a;; and
lie in the zone ADEFsymmetrical about the u; axis.
This makes very clear the influence of the intermediate stress as it varies
between the two extremes (intennediate principal stress O"~ changes from
SYSTEM CONFIGURATION AND STRESS FIELD
25
<:r;
.,..
o i.C /::0 ==->- I..I I_ d­
.,..; <T,
a-;
\'" )
Ib)
Fig. 10-15. (a) MOHR'sdiagram fort he cases <1:' = tTJ' or CTo' = CT,'
(b) An Octant ofa sphere showing the region ABeD in which sliding is possible
0',­
if CTZ' "" <11' and the region ADEF in which sliding is possible when 0',' =
(after JAEGER ::!Od COOl;:. 1969a).
G'i =G'j to G'l = 0.;) on the solid angle within which angle normal to the plane
of weakness must lie for possible slip to OCCur. For different combinations of
(10.36)
The influence of two (or even more) joints OCCurring together can be clearly
shown using the interpretation given in Fig. 10-17. I:n this it is possible to
superimpose two joints or joint groups. Fig. 10-17 shows two joint systems
(lO.3?) kl and kl placed at an angle of 90° to each other for different values <P1'o (joint
Q
kh 4>1'0 = 40° and 25 plotted in polar coordinate system. Depending upon the
)
angle of 'Orientation of these joints with respect to the principal Stress con­
ditions the .,ossibilities of sliding can be marked.
KlJZNEcov (1970) utilised the above graphical technique for 3 types of joints
and gave examples to calculate the possible directiOn of failure and movement
for a given stress field and the technique is now widely used in the design of
rock: slopes (HOEK and BRAY, 1974).
There are certain limitations of the theory outlined above. The theory assumes
that criterion along a joint slippage can be represented by the simple eq we i on
given in Eq_ 10.3. As already indicated. this is not quite true and this is bou.od
to have some effects on the results so represented. It is also assumed that stress
distribution in rock: mass as a result of the jointed nature of the system isunifonn
in the system and remains unchanged even when the system is deformed. This
is far from true. There is a third condition which assumes that failure takes
place as a shear failure along a plane. Certain experimental obsel'V'dtions ha. ve
shown that the tailure of a jointed mass is also associated with rotation and
bending of th6 individual blocks resulting in the developing of [en~ile cracK:::s.
This theory does not take into account this phenomenon.
26 MECHANICAL BEHAVIOUR OF JOINTED ROCK
SYSTEM CONFIGURATTON AND STRESS FIELD 27

"-
0",

°
0,10_ (;
Oi.@e
<T'z

[J
_
1' ,

--- ­--
_ 0"',

. =O@O
ttt
<:1", .a .. I irnning
at poinT
!ltf"'ess
01
I""Otio
fcriun::­

o.ze) @.@ <>,00 0

..5.­
g"

Qt kj jl$k:!:

0,0 {} (; -_~O 0 0
tE
lzr-I-...--.­ _ 00
40
2!!l
40
40

_~040 0·0 }~O 00

j~O 00 >~O 0 0

~O 0 0 o~o 00 .~

~O 0 0 ·°000 .~\

~OOO
,. .o-:s3 ~ -06'7 j.4-,·o
(1:»
~;-o -%.7°.' cri,-O'2
Ie>

(a.) for I' = 3- and various values of

..
Fig. 1()..16. Equal area projections showing the areas (shaded) where slip is possible
')

0":. and!!i.,
0"1 171

(b) for a< =

171
0.1 and Yol.rious values of 17<
171
2nd II
~ I I 1 I dJJ
Cafter JAEGER and ROSENGRSN. 1969). z ... .. a a JOf.ill
Fig. 10-17. Superimposition of the curves of limiting stress r.!cios for two

orthogonaljointsk I and kl for different values of the friction angles (cPII :; 40',

25' and <Pkl '" 40 )

Case I refers to ;(, = I

Case 11 refers to /., "" 0.5 where 7., =< degree of continuity of the joint

(after JOHN. 1969)

28 MECHANICAL BEHAVIOUR OF JOINTED ROCK

BEHAVIOUR DURING SLIDI~G ALONG JOINTS 2':1
10.4. Behaviour During Sliding Along Joints
A _ e -: ~o MPo hydroulic: <:ylind...-s

1004.1. Investigations on Friction along Joints C.O',E - lClCld c.u.

F - Ott'" beth,,,,,,,.

I - ugp.r bk:)ck

A number of techniques have been used by various investigators for studying II.. 1__ l>101;k

friction along rock joints. These tcchniques may be grouped into the following 1.2.3,4,:5 - 1-VOT to,. ",.,-ncelll
classes (Fig. J()"18) : a nQl""i-contQ( di:ap.lQCllf"'l"'WlWf

1. Slider sliding over another surface

2. Conventional shear box test
3. Double shear test
4. Triaxial test
5. Rotation of cylinders in
6. In situ shear tests Fni
Principles underlying the above methods are given below. For more details
of some of these tests refer to ChapLers 4.5 (Vol. I) and 8 (Vol.llI). AI

IN ~s 1:
J; . • iOr~ I~L

cr,

Q _....,...,.,.." t"""",
$1 + S%-.~,.. ~

(0) 0» to) td)

1
(.) (1)

Fig. 10-18. Systems of measuring friction properties along joints

(a) Slider sliding on another surface
(b) Conventional shear box test arrangement
(c) Double shear test arrangement
(d) Triaxial test arrangement
(e) Rotation of cylinders
(f) In situ shear test.

1. Slider sliding over another'surface

I t is perhaps the oldest method of investigating friction and was used for

determining the sliding characteristics of minerals and rocks by HORN and

DEERE (1961). BYERLEE (1967a) and JAEGER and COOK (I969b). There are two
( b 1
variations of the method. In the first case a small slidl.:r is made to slide on a

large surface in which case the normal load applied cannot be too large. In

this system (Fig. 1O..18a). while the larger surface is always fresh. it is the same
Fig. 10-19, Large friction machine

(a) Overall view of machim:

surface of the slider which is in contact. The method is more suitable for wear
(b) Location of cylinders. load cells and L. V.D.T.s

(after RENGERS. 1971)

30 MECHANICAL BEHAVIOUR OF JOINTED ROCK

Lhlln for friction studies except perhaps when the residual friction values are BEHAVIOUR DURING SLIDING ALONG JOINTS 31
needed. The method. however, does not represent conditions that occur in
nature. test equipment is capable of giving a movement of I em (0.394 ini. Since the
transmission of the normal force is throuih proving nngs. the system suffers
A modification of the technique was used by RENGERS (1971) where the size from the disadvantag~ that any dilatation or contraction (-ve dilatation) changes
of the lWO sliding blocks is not the same and the size of the surfaces is large. the value of the normal force. If the normal and the shear forces can simul­
The imponrun problem posed by such an arrangement is that it is difficult to taneously be recorded. the armngement gives an easy way of directly deter­
ensure uniformity of normal load over the whole of the surface at ditTerent mining the normal-shear force envelope.
stages of movement of blocks. R,ENGERS solved this difficulty by building a
special loading machine where the normal force is applied byair-pressure-rubber
bellows (Fig. 1()"19). The horizontal load (shear force) is applied through a set
of two cylinders and the shear force is measured by a load cell. The machine
has a friction plane of 600 em! (93 in!) and a normal stress 50 MPa (7252Ibf/inl )
with maximum relative movement of the specimens 200 mm (7.9 in). This design
has the following adv-.mtages:
1. Regulation of normal pressure without loss of force
2. Uniform normal load stmHar to dead weight load
3. Uniform normal load independent of the position of the slider
4. Possibility of following any loading path (dependency between normal force
and dilatancy) by programming air pressure in the bellows.
More recently. a number ofsc::rvo-controlled shearmachines have been designed
and put into operation using this method in the USA (U.S.B.M. Spokane
Mining Research Centre), West Gennany (Institute ofSoil Mechanics and Rock
Mechanics at University of Karlsruhe) and CSIRO Australia (Division of
Applied Geomechanics at Syndal, Vic.).
The method has certain advantages over other methods. It Permits ease of
determination of dilatation and a relatively greater amount of movement
between the surfaces. The value of the normal force can be easily selected at
wiJI and the sliding surfaces are available for inspection at any stage of the
test.

2. Conventional shear box test

Conventional shear box was used by a number of investigators (YEVOOKIMOv
and SAPIDIN. 1967; KRSMANOVIC.1967; HOEK and PENTZ. 1969: LAMA.1974b).
The system has all the adv-d.ntages of the first method while permitting de.
termination of the initial peak shear strength. The method consists of setting Fig. 10-20. Schematic layout of shear testing appamtus:

the rock specimens. prismatic or cylindrical or or irregular shape, with the I. Sample

joint plane at the mid~halr of the shear box. A simple arrangement used by 2. Mortar

3. Discontinuity to be tested

LOCHER (1968) is shown in Fig. 10-20. The rock specimen is cast in mortar with 4. Double steel fonn

the joint plane accurately located at the predetermined position in the mould. S. Exchangeable shoes tmnsmitting force S

T\.Vo hydraulic jacks exert the normal force (N) and the shear force (S) and the 6. Manometer for high loads and control of force N

7. Proving ring for force N (proving ring for force S not shown)

(after LOCHER. 1968).

 ,1
1
'.
I

Ii 32 MECHANICAL BEHAVIOUR OF JOINTED ROCK

~I
KRSMANOVIC (1967) perfonned large size laboratory shear tests to determine BEHAVIOL:R DURING SLIDING ALONG JOINTS
. \
. the joint propenies. The arrangement used by him is given in Fig. 10-21. The
x-y recorder
nonnal force is applied through two hydraulic cylinders of 0.25 M N (25 Ion)
each and the shear force by four cylinders (two on each side) of 0.25 MN
(25 .ton) each. The setting of the apparatus is such "that the applied shear
~ Mose'.y
Auto<;;jreph 2DZ
force makes an angle of 4' with the shear surface so that shear strength even
at small normal loads can be detennined with minimum of disturban.::e. The 11

r.
shear box can accommodate specimens of 40 em x 40 em x 20 em (15.7 in x
x 15.7 in x 7.9 in) with the shearing area ofabout 1600em2 (24S inl ). It simulates IZOV
./...................
." ' ' ' ' ' ' ~ ..... ~ .. • • • • • • .. ... " ... a

f the conditions of direct shear to be obtained at norml!! stresses up to 3.92 MPa AC I

(568 lbf/in:l) and shear stress of7.84 MPa (1136'lbf/inl ), intensities which are x-input y-input
q
normally met in the design oflarge civil engineering foundation structures. I I
9

2"z=._·~O~_ II """"1111

I ~
51 + 5 z

Y,
0

t
k
r~- __
.....
,::;ex: Z .. Z:; ton..

-:so ton_

C
Con sol ideted Elecrrodynernics
I) ~
Consolidcted Elecrrodynel"T
1---B3O--i Corp. model I - 12.7 Corp. model 1-127
t.:
C"r'O• • ..,k>t\ ae 20KC
Cerrier systsrn
OaclllO<;;jraph

r--r--­ )

~LVDT-
Fig. 10-21. Schematic diagram of the 0.5/1.0 MN (50/100 Ions) Qpacily
)
LVDT~~
;
shearing apparatus
>­
(after KRSMA.Novic. 1967).

"l 'Tj YZ
5, ~ 52 normel
When venical load is applied through hydraulic cylinders. the measurement >­ loed
of dilatation is not possible. The change in pressures in the cylinders applying
venicalload may be monitored using pressure tmnsducers. The system has also {)­ 1 )

r "- :-'
< .LZ --'
the disadv<lntage that v:nical constraint of the specimens is uncenain unless LVO"T
)­
J-.)\:~$t ~_g-_
it is monitored and that correction for the friction in the bearings must be
made. ~ loatl cells ram-
. ( sheering specrmenl~
.=t T x

force) .d L L ' f 17 )/
., , ., l.i,

FiC!. 10-22. SChematic di:.tgram of the testing and recording t:4uirm~rH

(:.tCter PATrON. !966al.
34 MECHANICAL BEHAVIOUR OF JOINTED ROCK
PATION (1966a) used a direct shear machine with the modification that normal
force remains stationary and the bearing friction was greatly eliminated by
making the lower block move on the roller bearings-the upper block reo
maining in a stationary position (Fig. 10-22). The shear force is measured by
two load cells attached to the tension tie bar. The vertical and the horizontal
displacements are measured by using LVDT·s. The method has the advantage
that dilatation can be measured for any value of normal force. A similar
arrangement was also used by COUlSON (1970).
3 • .Double shear test
A modification of the single shear test is the double shear test (see also section
4.4.3) where the shear load is applied through a testing machine or a jack and the
normal load by a horizontal jack. The principle ofthe test is shown in Fig. 10-18c
and was used by a number of investigators (HOSKINS, JAECER ll,lld ROSENGREN,
1968: ROSENGREN. 1968; JAECER and ROSENGREN, 1969; DlETERlCH, 1971).
HOSKINS. JAEGER and ROSENGREN (1968) used 30.5 em (12 in) square blocks
sliding between two other blocks supported at the base while the displacement
of the central block was measured by an LVDT and the lateral load was
applied through a flat jack.
The method is particularly useful for the determination of friction along the
contact surfaces of a rock or frictional force along a surface whieb has been
artificially prepared but the method is not useful when shear along a discon­
tinuous (unseparated) joint is to be studied.
4. Triaxial test
Triaxial apparatus has been most extensively used and, was perhaps the first
method ofstudying the behaviour ofany discontinuity. The method was perhaps
first used by the U. S. Bureau ofReclamation (1954) for testing the bond strength
between mortar and aggregate and then by JAEGER (1959) for the study of the
sliding of a v.uiety of artificially prepared joint surfaces in rocks.
The method consists in using a cylindrical specimen (for details of equipment
see Chapter 5) with the joint plane suitably oriented at an angle Cl to the aiOs of
the specimen and subjecting it to a given value of lateral and axial pressures in a
triaxial cell. The nonnal and shear stresses can be calculated by the relationship
(Fig.l0-18d)
(In = (13 + «(II - (13) sin~:r. (10.38)
= (0'1 .... 0'3) sin,; cos,;
"C (10.39)
BEHAVIOUR DURING SLlDll"G ALONG JOINTS 35
where 0"\ = axial stress
0"3 = lateral stress<lnd
:x = angle of indination of the discontinuity with the princip~l
stress 0"\.
This m\!thod was also used for the study of the residual sliding characteristics
of fractured surfaces by LANE and HECK (1964), MURRELL (1965). HOBUS
(1966. 1970). BYERUE and BRACE (1968). BYERLEE (1975) and many others
because of its simplicity in obtaining a fracture surface under different stress
conditions.
The method suffers from certain drawbacks. Firstly, the method does not
allow independent V'<lriation of the shear force and the nonnal force since these
are related to each other by the relationships Eqs. 10.38 and 10.39, Secondly
the method is not suitable for study under low normal stresses since the normal
stress O"n is ::;-3 times the she:!I stress. It is suggested that this method be used
only for normal stresses O"n > 1 MPa (10 bars) (145Ibf/in") (JAEGER. 1971). The
method is quite handy for testing joints at high normal pressures and was used
by BRACEand BYERI..EE(1966a. b), BYERI..EE(1966, 1967a, b) and HANnCN (1972a.
b) used it to study friction along existing joints and faults in deep ~ons of the
earth's crust for problems concerning extension of faults and eanhquakes etc.
Thirdly, there are certain other difficulties due to the geometry of the testing
apparatus. HOSKINS et al (1968) discussed the geometry effect in derail. Most
of the investigators in the triaxial apparatus use either no spherical seat or only
one spherical seat (at the top). As displacement proceeds, the stress system
changes so that the results are accurate only for the initiation of sliding. fn
the case of no spherical seat (Fig. 10-23), there are certain lateral stresses intro­
duced depending upon the lateral stiffness of the machine. fn the case of a
IT
(a) (b) (c) (d)
Fig. 10·23. Experimental arrangements for determining frictional proper{ jes
along joints in triaxial apparatus and the influence of geometry
(a) No spherical seat
(b) Single spherical seat·· at the start of the movement :llong the jUin[
(c) Single spherical ,seat - after the progress of the movement
(d) Double spherical seat -after the movement
(after HOSKtNS et al. 1968),
36 MECHANICAL BEHAVIOUR OF JOlNTED ROCK

single spherical seat there is rotation of the pan of the specimen in contact with
the spherical seat while the other pan does not change its position. The use of
two spherical seats (Fig. 10-2:>d) allows conta.ct to be retained over the whole
of the surfaces, but the urea of contact changes and' frictional and lateral forces
are introduced at the seats. The best method seems to be to use a pair of
hardened steel washers with 'molybond' between the ends of the specimen and
the platens (Fig. 10-18d) where the situation can be really described as 'running
in' and behaviour can be..studied in the range after the failure has been initiated.
However. an appropriate correction in the value of the nonnal force needs [0
be applied as the area of contact decreases with advdncement of movement
along the plane. Also. the:-e could be problems associated with the tendency
of spherical seats to lock under high normal stresses. ­
5. Rotation of cylinders
The method consists of pressing together two hollow cylinders (Fig. 10-18e)
under axial load N and a torque M is applied so as to rotate them along their
axis. The two cylinders slide over each other at the surfaces of their contact.
BEHAVIOUR DURING SLIDING ALONG JOINTS 37
the influence of joints (\::'fNK. 1967). The method in principle is very simple
(Fig. 1O-18£). A block containing the joint to be investigated (or for detennining
the shea:" strength of the rock mass in gener"d) is prepared and is ~ubjected to
the normal and she-.lr loads. A simple shear ammgement is given in Fig. 10-24
which is e;'(tensiveiy used by LNEC, Lisbon and consists of making a block
of 70 em x 70 em (27.6 in x 27.6 in) (in certain cases blocks of areas of seveml
square metres (yards) have been used). More details have been given in
Chap~er 8. 11le block is surrounded by a reinforced concre~e or steel frame
and the normal and the shear loads are applied through cylinders. Very often
the shear force is applied at an angle 0 and in such a ClSe. the normal and
the shear stresses can be given by the relationships (Fig. 10-24)
= S sin () N (1040)
~ A +A .
ScosO
,= -A­ (lOA})

This type of apparaws was built by N. G. W. CooK at the Mining Research where S = inclined shear force
Laboratory, Johannesburg.. South Africa. The system has the advantage that N = normal force
a large amount of sliding can be obtained without disturbing the geometry of A = area of cross-section of the specimen at the base and
the system. A1so it allows the study of the influence of water on friction by () = inclination of the shear force with the base.
introducing it in the inside of the hollow cylinders. The method is applicable
N
both to artificially made as well as natural joints when coreS can be obtained
with the joint plane at right angle to the core axis. However, the measurement
of dilatation is difficult.
The method has been used by a number of investigators (KU1T.ER. 1974:
j
CHR.lSTENSEN et aI. 1974. also see Chapter 8). Laboratory studies on Westerly
granite in torsion (CHRISTENSEN et al. 1974) gave friction values which agree
with those obtained by BYER,I..EE (1968) in triaxial cell.
Torsional shear strength drops with increase in axial stress on specimens as it
exceeds a certain limiting value and this aspect should be borne in mind while
e'-':lluating results by this method. 111is results in low.er cohesion values than
Obtained from conventional tests (DURAND and COMES. 1974).

~
6 _ Testing ofjoint.. in situ
The determination of joint properties in large scale in situ tests is being in­
creasinglyadapted in civil er,gineering works in site investigation and in many
C-~ses this represents the mqst important mechanical property in determining
.be foundation conditions of structures and slope stability analysis. In the last I \...-
\,..oo'-e
'" r','f'v ,*,,:1<>.,vilTJ""
10 years. a number of tests have been conducted in many countries to determine

Fig. 10-24. In situ testing ofajoinl plane.

38 MECHANICAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG JOINTS 39
The value of 0 may vary from test to test. but in case it is in the range from
30 to· 40'. it is very usual to make N = 0 and thus only one hydmulic jack is and 10-26. These clearly indicate the existence ofnon-unifonn stress disuibution
necessary. When two jacks are applied. the geometry of the test should be such at the base of the block and also the existence of tensile :;rresses. This. very often.
that the axes of thejacks pass through the centre ofthe base of the specimen. leads to failure occurring in the plane of the base of the block but running in
The purpose of application of the shear force at an an6 le is (t) to limit the the block or below in the rock.
amount of excavation required for placing of the jack and (2) to avoid develop­
ment of tensile stres.st".s due to bending. RUIZ et al (1968) conducted model
tests for 0 = 20° and the results of their investigations are given in Fi~. 10-25
IOOkQt

~4J'\.\"",,'>1

.. ­ ~~~
~;L
\ "
""6 ---­

.-----,i­
:;s
'1
e Gx
7
6
s., e IZ !5
4
3
2.

o
I.
I I bloc.
I b ....
2.:

1:' ""'"

;~
6

---~ ~
"7
!lie "t""'Y
-eo<> <4CP ; ­
~
Fig. 10-25. lsoclinics and loci of points of equal 171 (compression)
...o
(after RUl1. et al. 1968).
Fig.10-2n. Zone of tensile stresses. Shearand normal stresses at [he base of the block
(after RUIZet a1. 1968).
J
r 40 MECHANICAL BEHAVIOUR OF JOINTED ROCK
~
To avoid development 0 ftensiJe stresses. ROCHA (1964) suggested that thevaiue of
d (Fig. 10-24) plays an important role. According to him the value of d should be
so chosen that
s= AN
(10.42)
3d
in which case the tension due to bending will equal compression. If the value
of S is above this limit, tensile stresses may occur and it is advisable to check
the occurrence of tensile ~racks in the test. The usual value of d may be taken as
1-- ~ .depending upon the angle of friction of the rock. provided N is not
verysmaU.
There is another [actor which is very impormm and influences the results
greatly. There may be concentration of the shear stresses which are higher
the lower the v-.llue of d. (It is in general noted that the shear strength decreases
with increase in the value of d.) To avoid this. the shear force frame should be
as rigid as possible. The best arrangement naturally would be to apply the shear
force with the plane to be investigated placed in the centre of the specimen. But
this arrangement is more costly both in terms of equipment and conduct of
tests.
Types of surfaces investigated
A number of different types of surfaces have been studied from the point of
friction properties. These are given below:
Laboratory shear surfaces produced in direct shear or triaxial tests (JAEGER..
1959: MAURER.., 1966: HOBBS. 1970: DONAni. FRtmI and OLSSON. 1972). These
surfaces are normally quite irregular and contain a consideru.ble amount of de­
trital material depending upon the test conditions producing the shear surface
and the rock type while having the advu.ntage of producing a surface under
known stress conditions.
Laboratory extension surfaces produced by tensile test (BYERLEE. 1967b;
BARTO~. 1971u. b: RENGERS. 1971: SCHNEIDER. 1971; LAMA. 1975a). The
surfaces are very rough and highly interlocked.
Cut and polished surfaces. They are easily prepared by cutting the specimens
and then polishing them if so desired. Such surfaces have been studied by the
majority of investigators. These are characterised, by flatness but still complete
contact (100% contuct urea) may not be uttained particularly on larger
specimens.
BEHAVIOUR DURING SLIDING ALONG JOINTS 41
Anificially combined surfaces produced from cast models with diiferen t shapes
, of the asperities. They have been studied to simulate different types of rough­
nesses and to throw light on the mechanism of friction (P AITON, 1966a. b:
WTAI. 1969a. b: LwANYI and ARCHA.MBAULT. '1972). The behaviour obtained
is naturally dependent upon the shupe of the surface and the model material.
Natural joints of different types. filled and unfilled. as obtained from cores.
These have been studied by a number of investigJ.tors. Tests have also been
conducted in situ. These give a direct insight into the property ofLhe joint but
results obtained are difficult to correlate in the absence of any data about the
joint surface. Since a large number of factors influence the behaviou[' of the
joint. the results may be highly sc<utered even when the rock type and the place of
sampling is the same. On the other hand. they are costly but have direct
appiiC<ltion in the design under the conditions.
Loading sequence in testing of joint properties
In the conduct of the test, two variations are possible.
1. The samples may be tested at a fIXed value of eJ'n giving a shear stress versus
displacement (-r-.ds) curve. From this curve the values of 't. 'r
as well as the
values of shear strength at any specified displacement .as can be rod ofT. The
tests may be conducted at different values of eJ'n for different specimens and the
,-.as curves for different values of eJ'n may be drawn (KRsMANovIC and
LANGOF. 1964: K.R.sMANOVIC. 1967), A typical curve obtained in such a test
along with an idealised curve is given in Fig. 10-27. The peak and residual shear
stresses (or any other value of shear stress for a given displacemem) are pIoued
against t:le nonnal stress to obtain the MOHR envelope for the joint.
't'
O'"n ="'H501l:l'f/in
2
600
:500
__________________ ____________________ ___
O~I ~ ~
o 2
A.o /::;..6
(g) (b)
Fig. 10.27. (a) Typical curve of sheaf stress against displacement for a natural jo i nt.
(b) Idealised curve
(after JAEGER. 1971).
41 MECHANICAL BEHAVIOUR OF JOINTED ROCK

The test suffers from the disadvantage that specimens from the same joint vary
considerably and hence a wide scatter in results may be expected even for the
same joint. Besides, a number of tests have to be performed on different
specimens to determine the shear envelope for the joint.
2. In the second case. the sample can be tested where the value of the normal
stress un can be v.uied once the peak for apanicular vdlue of is passed
and the conditions have been stabilised. The normal stress can be changed in
steps by certain specific amounts (either increased or decreased). It may,
however. be kept in view that the results obtained in the two cases may be
BEHAVIOUR DURING SLIDlNG ALONG JOINTS .. 3
Recording the roughness of joint surfaces
RENOERS (1971) developed a very useful method of me:.l.Suring and recording
the surface roughness ofjoints, though most of the investigators confine [hem­
"n selves only to the measurement of roughness by using a protilograph or stereo­
microscopy, depending upon the size of the surface.
RENOERS (1970. 1971) used a stereo depth measuring microscope (Fig. 10-29).

different since the properties of the sliding surface at any time are dependent A rock sample or its negative (silicone rubber cast) is moved pan.lIel to the

upon the normal stress tC' which it has been subjected. Besides, the propenies reference plane with the help of a suitable micrometer or screw arrangement

change with sliding. while Ii floating mark in the optical system of the stereo depth me:lSuring

microscope is moved up and down to keep it on the surface. The horizontal

This method of loading, however. has the advantage that a plot of the 7: - an .and the vertical movements ofthe floating mark are recorded on an X- Y recorder

can be made from a single specimen. This sequence was adopted by LANE and with appropriate enlargement (5X-20X). The method gives an accuracy of

HECK. (1964), MURREll. (1965), RUIZ et a1 (1968). JAEGER (1959), JAEGER and profiling better than 0.1 mrn (0.004 in) for lOX.
ROSENGREN (1969). HoaBS (1970), DONA'TH. FRUTH and OLSSON, 1972 and
LAMA (1975b). A typical test curve obtained by this method is given in
Fig. 10-28.
srnootn JOint rOUll'h joint ----'-­
200000 2!500
3000 ... _---. .-:-­
-'~ldJ::.--:·
~ ~,.,;
.....
~,!

;..~ .... ­ - --­

~~...:. ..... ·~·r • .:_
...:e 1!500

-g.2 1000 1500

1000
CI
.=
g
E

2.00

o 0·3 0·6 0 .0.3
d i splCl ;en"len t. in
(0 : ( b)
Fig. 10-28. l.oad-displacement curves for graphite coated joims in six-inch
core tested triaxially.
Numbers on curves are confining pressures in Ibr/in~
. (after JAEGER., 1971).
0·6 Fig.. 10-29. Stereo depth measurement microscope:
(after RENGERS. 1971).
For larger size specimens. a profilograph was developed by FECKER. and
RENOERS (1971) (Fig. 10-30). This profilograph is suitable for surfaces
20-200 em (8":80 in) long. The guide arm of [he profilogf'..lph is mounted on
[he surface parallel [0 the direction along which the profile is required to be
44 MECHANICAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG JOINTS 45

- .
~
~
'.
ness of the surface as well as by the size of the base plate. different sizes of
the base plate of the compass are required and measurements are repeated at
the selected points by using different base plates. The results of these measure­
ments are then plotted on a polar equal-area net on which the orientation of
the reference plane along which profile is required to be determined is also
marked. The poles then are rotated so that the reference plane is in horizont:ll
position. The scatter of the compass measurements depends upon the size of
the base plate and increases as the size of the base plate decreases. The poles
with the largest distance from the centre represent the largest angle between
the reference plane and the roughness tangent measured by the compass. These
poles with the largest distance are connected. forming contours of maximum
scatter (Fig. 10-32) from which the values of the tangent can be read in any
Fig. 10-30. ?rofilogr'.J.ph
direction. The comparison of the results obtained by the compilSs method and
(after FECKER and RENGERS. 1971).

profilograph method is given in Fig. 10-32.

-:r

traced. The vertical displacement with respect to the reference plane (in this case
guide rod) is recorded on the rotating drum on a scale 1: 1 with the horizontal \
\
scale'reduced by 1/5_ N
40.~ \
\

Both these methods are quite time conswning and are rather unsuitable for
measurements on larger surface exposures_ Larger suxfaces in situ can better O-!!> ro"'
20"
be recorded by terrestrial photogrammetry.
10"
Another very sirppleand useful method was developed by FECKER (1970), e: ~".~,..,.,
zo ~ 00
FECKER and RENOERS (1971), which makes use of the normal geological o· !:OO( " " " '

compass for the measurement of the roughness of the suxfa.ce. The compass is
placed random.ly on the exposed joint surface at certain selected points c'!!>:)..
='" - -/""'-7/'
/
, 30"
(Fig. 10-31) and the angle of dip is read out. Since the scatter of the compass

..,JG:
/~ 0
measurements laid randomly on the joint suxface is determined by the rough­ s
'. ...,..,
N tat"la.
08 eo;.
-t~ -- ~~;%OI"I?oI,pro"1
lcol ( I ¢Q"'OOt"t)

"
~~~". ,
20.
... ... v."'''.cot ( comoo
COt"r"lO<:i")

... J
~"

iO'" - ... --.

Ie: 20 0-" •
--.....::;,--_.
wi \'~ ~Li< =­
~~.:'-'
10'" !SO

V&--~--
00 -

.
...,.;;; !XIS. '......,q

=- , " /

o'a~/
S
""''''' 8'"
0 8
Fig. 10-32. (0.) Curves of the maximum scattering from different base plates of the com pass
Fig. 10-31. Profiling ofjoint surface with the help ofa geOlogical compass (b) Comparison from compass measurements and protilograph measurem~nlS by thee 1.lr.'~
(after FfCK.ER. and RfNGERS. 1971). • of the "extreme values of~"
(after FECKER and RENGER.5. 1971).
46 MECHANICAL BEHAVIOUR OF JOINTED ROCK

GOODMAN. HEUZE and OHN!SH! (1972) determined the influence of the length BEHAVIOUR DURING SLIDING ALONG JOINTS 47
of the observation base (in other words the size of the base plate or distance
between two measuring points by profilograph method) with the average slope scale 1: 10: 10 mm (0.4 in): photogro.mmerric scale 1:20: 20 mm (O.S in)) For
angle for surfaces of different roughnesses (sawed. sawed .and sandblasted, every point on ,he profile. connecting lines are dnwn to other points at
split) in specimens of size 12.07 em x 12.07 em (4.75 in x 4.75 in). They found distances multiples of the step size (L. 2L. . . nL). The Step sizes are so chosen
that when the observation hmgth was increased from 12.7 rom (0.5 in) to a few
centimetres (inches) there is a s~rp decrease in slope angle. r/
that nL = pro I e sc:I.1e (= nI) equalises one of the 36 ··real step sizes". The
"real step sizes" used by RENGERS were 0.01. 0.015.0.02. 0.03. 0.04. 0.06. OOS.
0.10.0.15.0.20.0.30 ". till 1000 em (0.0004 in till 32.81 ft). The connecting
Description of the surface roughness ofjoints
lines make positive and neg-,ltive angles. 7. (Fig. 10-33) with [he reference line.
Because of the non-repetitive stochastic nature of the asperities of the joint The tangent values of these angles obtained from different step sizes are ploued
surfaces. their description in terms of any trigonometric function as usually against step size (Fig. 10-34). A computer progrnmme can be used for cal-
done in the case of metal surfaces is not possible. Simply profiling the surface
Ian ( ...:)
and determining the tangent value at the various points do not give very useful
______,..:-4­
results particularly when certain comparative data are required.
I
One of the simplest methods is to describe the average height of the asperity, I
but the values so obtained are not very useful. R&/OERS (1971) adopted the I
trigonometric function (tangent values) as used in the description of the metal I
surfaces in a very special way. An asperity is described by the angle between -----~--------------~
I n.C(cmJ
001 . .
the horizontal base plane of the asperity and the tangent to its surface at the -o·a - -- -,---- -'- -T-I2.-''':2 co lOOO
base (KRAOELSKIl. 1965). The method consists of choosing a reference plane I I
parallel to the largest observable extension of the separation plane (when
roughness measurements on different scales are made, the reference planes are -0-6t·-----.::.
---; -- -----IOC:-:5
taken parallel). On the profile obtained. measuring points are laid with a 4­
-I
mutual distance L measured parallel to the reference plane (Fig. 10-33). The
."'"(-<)
distance L is usually taken as I mm (OJ)4 in) which depending upon the;: method
of profilographing or the recording scale may correspond to 0.1- 20 mm Fig. lO-34. Graphical representation of the nngles of:£ of Fig. 10-33
(0.004- 0.8 in)(forstereomicroscope scale 10: 1 : 0.1 rom (0.004 in); profilograph (after RENGERS. 1971,.

.
ton(• ..::)
/" I ........
~
/' .--.
,,/ ~
,,/

,,/
....­ o·
/'
,,/

---- , L'::==. 1 , n.L(cm)

0·1 In - - - - ,,...,.. 1000

10 em
..--.

Fig. 10-33. Representation of surface roughness

tafter RENGERS. 1971). Fig. 10·35. Maximum values of tan ;x for the respective real step sizes 11.[
for a separati'on plane in granite. Based on 45000 values of tan ~.
Recorded with the profilograph
(after RENGERS. 1971).
48 MECHANICAL BEHAVIOUR OF JOINTED ROCK

cuiuting: and plotting these values which. depending upon the number of BEHAVIOUR DURING SLIDING ALONG JOINTS
profile lines and the length of a profile line. may run to several thousands or 49
hundred thousands. (RENGERS had the total number of tangent :x values for displacement nL is dependent upon tan 7. (Fig. 10-36) und can be given by
10 parallel profiles- exceeding 45.000). Fig. 10-35 represents the plot of the the relutionship
values of tan z for different Step sizes.
.t1h n =I1L tan:t. n (10.43)
This technique .of representation of surface roughness has seveI"'.t1 advantages
overtheusualmethodofdescribingtheaverageheightoftheasperity.lftherough~
where .t1hn = dilatation
ness pattern shows different characteristics for positive and negative angles of 0::, nL = displacement (n steps of length L) and
it is an indication that relative movement along the profile in the two directions :"t n = mu.ximum angle between the reference plane and the prottle for
will have different frictional propenies. The method also gives a quick idea of the base length ilL.
the possible amount of dilatation during movement if all the asperities are 10-37 represents dilat:uion and relative movement for free dilatation
overridden and there is no shearing ofT since the dilatation .t1h for any (zero normal pressure) calculated for the surface roughness of Fig. 10.35
using the above relationship.

4"
(e.,., I'""'"

II­ I
!
I
I
2: I
I ~ I
r~-- ---­ I
1
I
r
I o(e mJ
/0
~ j=
i
40
~. 70 eo
i\ 1 1

..... 2:
\ ~ t--l
I
I

: I Ir
:s I j
4"
(ern
_w::"

P·ig. 10-37. Relationship between dilatation i!.nd relative movement with free

2.L
~ dilatation possibilities for the plane with the surface roughness

described in Fig. 10.35

(after RENGEItS. 1970).

~
In another method of representing surface roughness. the vanatlon in the
surface profile from the mean or centre line is determined. The results are then
reported in terms of the arithmetic average roughness defined as

1n ., J
Fig. 10.36. Relationship between surface geometry and dilal:1tion during
shear displacemenl
(afler FEC"KER und RZ::SGERS. 1971). where Y
y= -
f J Iyld;.:
/ nzO

;;:; al'idunetic average deviation from the centre line

(10.44)

y = ordinate of the curve of the profile me-..u;ured

I = length over which the average is measured.
50 MECHANICAL BEHAV10UR OF JOINTED ROCK

Sometimes. instead of the arithmetic average. root mean square average may BEHAVIOUR DURING SLlDl'.;G-\LO'.;G JOiNTS
51
be used. when
2. The contour area Ac which is the area constituted by the defonnation ot
1""/ ] the surface undulations. The rea! conr;;,J.ct areas are $iruatoo within the contOur
y rtn.' = [ In!o (r2)d.\ (10.45) area: the latter depends upon the geometric:.!l Outline of the surf:J.ce and the
load.
Roughness measuring instruments calibrated for root mean square avemge 3. The real (physical) area of contact rl, is the sum of all the small areas over
read approximately 11 % higher on a given surface than those calibrated for which the two surfaces touch. This real area is a function of the geometri=1
average roughness. contour of the individual irregularities and the load on each. The most m­
pOrtant characteristic of the real are::t is the contact density which is given by
the number of spots per unit area.
MUI:WlI area of contact of surfaces along joints
As a consequence of the roughness of the surfaces. the contact area between It is usually convenient to express the:lre::!.S in dimensionless quantities:
the two surfaces along the joint is always discrete. i.e. it occurs at individual
points. These points in contact are deformed on applic-.nion of normai load. 'It =~
This decreases the distance of separation between the two surfaces and hence Ac
increases the number of disc:rete contact points. Depending upon the angle of Ac
712=­ ( 10.46)
inclination of the asperities (shape), the distribution of th: asperity height, and A,
mechanical properties of the material. some of the ~perities shall be deformed Ar
713 =T='1!
, x '12
elastically, plastically or crushed on the application of load and hence the
area of COntact will change non-linearly with increase in load.
No work has been done on the area of contact between joint surfaces in
The mutual area of contact at any stage can be divided into 3 classes rocks. In the field of metal friction. where the surfaces in contact are me­
(Fig. 10-38): chanically prepared by some form of repetitive processes (cutting, milling.,
1. The apparent (geometrical) contact area A" which is the geometrical locus polishing) a number of models have been developed to calculate the area theo­
retically. Some special cases are as follows (KRAGELSKIT. 1965):
of all possible renl contact arens outlined by the dimensions of the contacting
so lids and is independent of the load. (a) Elastic contact between two rough surfaces:
(I) Models involving hemispherical asperities in contact with a rigid plane.
(il) Models involving an assembly of rods.
(b) Elastic-plastic Contact between u rough surface and u rigid plane without

work: hardening.

2 :5
None of these theoretical models can be applied for rocks for in these
idealisations, the amplitude and shape are repetitive in terms of their frequency
which is not so true in case of joints except in special cases such as planes of
discontinuities with ripple marks. The exact distribution and shape of asperities
on rock surfaces have not been studied so far and it is not possibll! to predict
which of the models will fit best.
No work has so far been done on the me::!.Surement of the surface of con tact
Fig. 10-38. Schcm.nic diagr.!m ortwo rough surracc~ in contact:
along joints. To a limited extent, methods used in metal friction studies may
1. Olpparcnt Olrea
be applied for determining the real area of Contact of rock surfaces. The
:!. contour area
methods used in metal friction can be divided into the following groups'
3. real area.
1. When both the bodies in contact are opaque.
2. When both the bodies in contact are translucent.
 5:2 MECHANICAL BEHAVIOUR OF JOINTED ROCK

I. (lI) Electrical resistance method: BEHA VIOUR DURING SLIDING ALONG JOrNTS
• BOWDEN and T AI30R (1939) made use of the changes in electrical resistance for
53

the measurement of actual area of contact between a moving and a sl.ationary 2. Light deflection met/zod:
surface. The method is not free from error. because the magnitude of resistance The method requires the making of transparent moulds of the CWo surfaces
is not only dependent upon the total area of contact but also on the diameter whose conmct are:lS are required to be determined. The principle underlying
of the individual regions within the area. HOL.M (1946) gave a detailed analysis the method is that when a light beam passes from a medium of high density to a
of the method. The total resistance ofa rough surface is given by: medium oflow density, it is deflected from its original direction. When the two
surfaces are put together and a parallel beam of light is directed through one
1 t of them (Fig. 10-39), the light passes undeflected at the regions of contact
R ---.+--.-
:l -4R/. 411~/.Pl
(l0.47)
while at other points it is scattered. The regions of contrast can directly be
observed or photographed. The method is suitable for the study of rough
surfacc;s but not for very smooth surfaces bec:J.use light can be transmitted
where R2 = total resistance of a rough surface
through very small air gaps and this results in a slight overestimation of the
/. = conductivity
area of contact. This error may sometimes be 30-40 % for smooth surfaces.
R = contour radius

n~ = number of individual con tact spots and

PI = radius of each of these regions.

The difficulty experienced with rock is that the values of R. n~ and 121 are
not easy to determine.

J. (b) Adhesion method:

In this method a layer of mdioactive isotope or a luminous phosphor is applied
to one of the surfaces which on slight rubbing is transferred to the other
• surface. The intensity of the radiations per unit area is then measured. The
method is quite simple hL\t the major disadvantage is the difficulty of con­ Fig. 10-39. Pathofa light beam in two t!":lnsparent surfaces in COnt:lCL
trolling the thickness of the applied layer of the material containing the radio­
active isotope or the phosphor since the intensity of radiations is dependent
upon its thickness.
Another approach to the adhesion method is by using a paint containing small
quantities of a fluorescent material and photOgraphing it which permiL<; high
COntr.lst pictures of paint thickness of 0.01-0.1 )1 (3.9 x 10-"1_ 3.9 X 10- 6 in)
i. e. 10- 100 times smaller than usual paint films. Both the layer of the paint 10.4.2. Factors Influencing Frictional

tr.lnsferred to the second surface and that remaining on the first can be Resistance of Rock Surfaces

determined. As an alternative. a paint of silver can be applied by electro­

deposition. TIle points which are obtained by transfer of silver to the second Various factors that influence friction between the joint surfaces are:
t. Roughness of the surface
-member em then be examined in polarised light. A more rough technique is
2. Displacement history
1:0 use the paint to cover the surface which gives contrast pictures when rubbed
3. Normal load
ofT or transferred to the second surface. These contmst Spots can then be 4. Water
metered to determine 1111.: contact area. 5. Filling ma~erial.
Their influence in derail is discussed below.
54 MECHANICAL BEHAVIOUR OF JOINTED ROCK

1. Roughness BEHAV[OUR DURING SLIDING ALONG JOINTS 55

Surface roughness is perhaps the most important factor influencing friction
between joint surfaces. TSCHEHOTARIOFF and WELCH (1948) performed fridon the friction value (Fig. 10-40) under oven-dried air-equilibrated conditions.
tests between quartz blocks sliding over quam particles which were first and a substantial increase in the friction value under saturated conditions.
polished and then roughened. They found that while the frictional coefficient Surfaces ground rough with No. 24D carborundum grit showed higher
for polished mineral panicles under dessicator (CaCJ;z) conditions was 0.106. coel1icients (Fig. 10-41) under both test conditions.
its value rose to 0.370 for roughened panicles. 0 soturated
10 etchad surfcc...,.
(
RIPLEY and LEE (1961) tested specimens of sandstone. siltstone and shale. The .oven dried -air ec;ullibr'Oted(RH'330/o)
frictional values so measured were corrected for dilatation (sliding up) and pOlished SUl"'foc_
c sOfurOTed

found that coefficient values so obtained were higher for rough surfaces than {
II .oven dried - 0,1' eQuilibrate", (R H. 17 350/0)
for ground surfaces (Table 1). III
()
c
2 ~ /-4= 0'66
TABLE 1 QI 0
Sliding resistance friction angles obtained
from plane and rough surfaces
(ij
Q)
....
<S
y
0
'"
~ /-4= 0'51
(after RIPLEY and LEE. 1961) -;;
§
-;:
Plane surfaces
(SerieS B)
2.3 in (58 mm)
square
Natural rough surfaces
(Series A)
6 in (150 mm) diameter -
l!
....
(J
2. •

,14~~;~:~
-;:.
Corrected Measured o
Ground Sand­ ~
smooth blast lower peak lower peak
o 2. .... II II IQ
I

IZ
Sandstone 25° 29~ 27' 36' 40° 54·
Siltstone 25 31 32 34 43 47 normal load. Ibf
31­ 45· Fig. 10-40. The effect of etching on the st:ltic frictional charocteristics

of polished ~urfaces of milky q U:lrtz (Wisconsin)

21 24 26 34 (after HORN and DEERE. 1962).

Shale 26 27 24 35 26 35
25 39 3] 39 RAE (1963) measured coefficient of friction values between limesmne slider
and sandstone friction wheel and found that after a ceruin amount of wear.
... Test not carried beyond peak value. the coefficient of friction fell considerably (from 0.45 to 0.3) .
BYERLEE (1967b) conducted tests on polished surfaces and reported (hac the
The results of EINSTEIN et al (1969) are contrary to the conclusions of Rll'I..EY
coefficient of friction of finely ground surfaces is lower than that for coarsely
and LEE. EINSTEIN et al compared the MOHR's enveiope for sliding along a
ground surfaces. A considerable scatter in results obtained by him makes this
pre-existingjoint with the MOHR's envelope for uresidual sliding" (sliding along a
conclusion doubtfuL According to him. boch for the ground surfaces and (he
f"ailure surface formed after fracturing which is without doubt rougher) for
mated surfaces (surfaces obmined by Brazilian test). the relationships betWeen
gypsum plaster as a model material. They reponed that both the envelopes the she-J.l' stress r and normal stress O"n can be represented by
have the same indination with the difference that the apparent intercept or. the
or axis is greater for rougher surfaces.
r = 0.5 + 0.60"n (maximum friction on ground surfaces)
HOR.N and DEERE (1962) found that etching of the polished quam in a strong (10. <IS)
solution of arnmoniwn bifluoride and water for 30 minutes slightly lowered r = 0.5 + 9.60"n (initial friction on mated surfaces)
which indicate that the coefficient values are the same.
56 MECHANICAL BEHAVIOUR OF JOINTED ROCK

£
01
e
roughened
....rlOC8S
{A 0
oven dried- oj,- eCluilibrated(R.H.4G-48"/,.,)
soturo ted
BEHAVIOL:R DURING SUDING .-\LONG JO[NTS

coated joints. JI 0.42. For similar smooth and rough joims tested by JAEGER

57

tJ
C
nOle' daTO lor polished " J-'=O'71 (1971) in a triaxial machine. the values are 0.15 and 0.31 while on::: in (5.04 em)

0 6 - - .....rlcces cr-e cores ROSENGREN (1968). in triaxial tests. found values of 0.2 and 0.44 resrxc.

j plOtted in fi~IO·40
II

iii lively. TIle test technique did influence the results. but in all cases. the rough

...
1\1

J-'=O'!5:5 surfaces gave higher values.

~
t:"'" fL=O·1:)1

"6 A ....

Work conducted at the Centre for Tectonophysics. Texas A & M University

6 ...
;..-
;..-- ;-'_turoted
(HANDIN, 1972b) has shov,:n very interesting results. The experiments were
u
-

-,;

-
.!:!
y-:t"'''
~
-:;;..­

) --, polished surfoces

_ _ _ j.J.=O·IG

conducted in a triaxial cell using cylindrical specimens which had been CUt at a
certain angle (29"-3T) to the specimen axis. Tests on Tennessee sandstone
with the cut prepared with different roughnesses (saw CUt-average roughness
0 _ - ­ "'oven dried - air "'Quil ibrcted 165J II em (650 It in). #; 30 grit wheel polished-average roughness 1219 II em
-;
(480 J.l in). light #; 600 grit lapping-average roughness 1016 Jl cm (4DO ,II In I.
Z • Ei e lO lZ
extensive #600 grit lapping- average roughness 313 JI em (3201/ in» were
nor-mel loed. I bf
carried out. The results showed that both smoother and rougher surfaces
Fig. 1041. The effect 0: surface: roughness on the frictional chardcteristics
were stronger and that stress drops (stick-Slips) are generally greater thon for
of milky quartz (Wisconsin)

(after HORN and DEat£. 1962).

the 1016 J.l em (400 II in) surface (Fig. 10-42). The values of the cOd1iciem of
friction showed these are higher both for highly smooth and rough surfaces
(Fig. 10-43).
HOSKlNs. JAEGER and ROSENGREN (1968) suggested that the tangential Stress
between sliding surfaces i!> dependent upon the surface roughness. They found
that the coefficient of friction for rough surfaces of trachyte was 0.68 and for 2·0 I o·~ Cl'n
Tenn..... sanc:ratOf"le
polished surfaces {surface roughness 762-889 J.! em (300-350 J.! in» 0.58. .Udit"'loQ dJ-oIOC• ..........., f

contt"'"Q ~.~,... 140 bo,...

Studies conducted by COULSON (1970) indicate that surface roughness effec­

tively increases initial friction for all rock types tested by him (basalt. granite. .Q

sandstone. gneiss. dolomite. limestone, siltstone. shale). The smooth surface ",; hCl

polished with #- 600 grit has the lowest coefficient of friction while #- 80 grit
polished and sandblasted surfaces have successively higher values. The
difference at normal pressure of 0.07 MPa (10 Ibfiin.2) is on the avemge 0.2
..I?
;; }' .. ," 480 1'ln

}~
:2
(for #- 600 grit polished surface J.! = 0.5: for #- 80 grit polished surface I' = 0.7) C 1'0

and decreases to OJ at normal pressure of 6.89 MPa (1000 lbfiin z). The effect ~

ofsurface rouclmess on the residual coefficient offriction isa function of the nor­ ~
'i5
mal force N. -For normal pressure less than 0.69 MPa (100 Ibf/in:!) surface
damage is slight and roughness affects the residual coefficient of friction in the 0'0

same manner as it affects the initial "'dlue of coefficient of friction. At normal

pressure greater than 6.89 MPa (1000 Ibf/inl), surface damage tends to neutra­
lise the effect of surface roughness and residual coefficients of friction are
approximately equal for the different surfaces (#- 80 grit polished. #- 80 grit Oil i i i I i j
o 2 4 5 8 ~ 12
polished. sand blasted, #- 600 grit polished). .
sno~t"ninQ. -/.
(1975) tested 6 in (15.2 em) cores in a conventional shear box and
. CHAPP.E1.L
Fig. 10-42. Differendal stress versus shortening curves for Tennessee sandsrone
found that for smooth graphite coated joints. JI 0.29 and for rough graphite = Obtained for various surface roughnesses. All tests w~re done :u a conlining pressure or
140 bars. room temper.llure and a constant rute of shortening of 10 "/s
(after HANDIN. 1972 b).
 BEHAVIOUR DeRING SLlDlNG ALONG JOINTS 59

'x~rnol
nor
IoO<l
N, :: 295Clko1', rot'"
N
Z
'" 4470k<;ltz rat
t, (0'0048)
= f z (0·0033)
N3 = 7480ko1'3rot '" f3 (O-OOll
N .. =ro 4 00 k<;lt...ror = t .. (O'OCOS)

\
c..Q \
\ ~'"
.>-4 ',~¢,
§ ()

-
'-.

f--=-- _

o 11'a!!

• ..,rlQce r-o..,gt\".••• ~ in
Fig. 1(}.43. Coefficient of friction.p.. versus surface roughness in microinchc:s.
Fig. 1044. The effect of rotation on the com:ction for the apparent angle of friction to
Values were calculated at the ultimate strength for each experiment. All experiments were
give the; angle offriction for a smooth joint. Values in brackets give rotation angle (radians)
conducted at 140 bars confining pressure. room temperature and a constant rate
(after CHAPPEll., 1975).
ofsnonening of 10-",s
(after HANDIN. 1972b).
it is suspected that both dilation and relative rotation of the block influence
the values of friction obtained and if these influences can be accounted for, the
final friction value will be independent of the nature of the surface. Dilation
correction can be easily incorporated using the concept given in Eq. 10.10 but
the rotational correction is not easy to apply. At high nonnal loads, the
possibility of rotation is decreased and the ;'1 approaches the value of smooth
joints. That is why HANDIN (1972b) observed high V',,-lues for both highly
smooth and rough joints. At higher pressures. the frictional value will tend to
equal that of a smooth surface as indicated in Fig. 1()..44.
2. 'Dl<q>lacernent hl<;tory
It is a common observation in many in situ and laboratory shear rests that
the shear force increases with displacement until it reaches a m:lXimum value
and then drops to a cenain residual value.
3
normal loed. kgf x 10
BYERI..EE (1966) conducted tests on Westerly granite specimens of 3 to 8 em
(1.2 to 3.1 in) long, 1.58 em (0.62 in) diameter with sliding surface 45~ to the
axis of the specimens and found that for ground specimens frictional force
increased with displacement until a maximum was reached after approximarely
0.1 em (0.04 in) of sliding and then decreased to a constant v.llue after abour
0.5 em (0.22 in) of relative displacement between the two surfaces. The
difference in the maximum and residual values of frictional force was only
about7%.
BARTON (1971 a, b) conducted a series of tests on rough tension joints in a ~k
model material and reponed that peak strength reached after tangential
displacements of approximately 1% of the length of the joint and that the drop
of the peak strength towards residtUll strength occurred at a displacemeot of
approximately 10 % of the length of the joint.
HOSKINS, JAEGER and ROSENGREN (1968), testing friction properties of lab--Ora.
tory prepared surfaces in a double shear apparatus. showed that at different
normal loads: the frictional force for rough surfaces first increases rapid Iy Ylith
displacement and subsequently at a steadily decreasing rate. The shear force
60 MECHANICAL BEHAVIOUR OF JOINTED ROCK

varies with the lll1lount of displacement that the two surfaces have undergone BEHAVIOL:R DUR!NG SLIDING ...... LOND JO[NTS 61
and is dependent upon the ultimate characteristic of the surface and perhaps
10000
the nonnal stress.
MAlHEWS (1970) conductea tests on grdphite coated joint surfaces and the
results obtained by him are shown in Fig. I()..4S. It shows the contour lines for
the graphite coated joint while Fig. l0-4Sb shows the variations in the shear
force and dilatation. Fig. l0-4Sc shows the position of the two surfac.."es after
2.54 em (l in) of sliding. It is clear that increase in the shear force is not ...
.0
associated with dilatation and its maximum value is attained at a displacement
of less than 0.25 em (0.1 in) while ma..xi.mum value of dilatation is reached at. a "0
displacement of about 1.73 em (0.68 in). The contact cfthe surfaces is only at a o ~ooo
o
very small number of points where intense shearing and removal of material
occurs and this sheared material ultimately fills the hollows.

0'_
.. _.ooo •• t S:
,, ."....-
----...--..-.,. .............
0-0 ... C..
.ll
'0
~O-O&~
o
o
(0)
o·a
Oi.PlQoem-nf, In
, I·e
o·a 0'4
displacement. in
Fig. 10-46. Variation of frictional force with displacement for a surface of tensile

(0) ~l~
/ZS.- jjj;"' {e)
fracrure in Bowral trachyte; area 5.2 in~; nonnalload 1350 lbf.

(after- JA£GER., 1971).

with hollows of original surfaces in be~een them. The shape of the sh~ load

Fig. 10-45. (a) Contour' lines (units of 0.001 in) for a graphite coated joint surrace

of aTCa 5 in by 6 in
displacement curve changed with each cycle and in the 15th cycle the peak haci

(b) Shear force lind dilatation for the joint in a shear box "'ith normal load of 6500 lbf.
disappeared with the residual (also maximum) shear force reaching at abom

(c) Relative position. of II cross--section of the surface after I in of sliding
(after MATHEWS, 1970).
Repetitive experiments were carried out by JAEGER (1971) on a pair of mated
surfaces of Bowral trachyte in the double shear test apparatus (Fig. 1O-18c).
The surfaces were prepared by Brazilian test and had irregularities of 0.25 em
(0.1 in) with grain size of 0.076 em (0.03 in). The first cycle of loading: was at
a nonnalload of 1350 Ibf (6005N) (Fig:. tQ.46). (Numbers in the figure refer to
the cycle.) After about 1.016 em (0.4 in) of displacement. surfaces were taken
apart. the debris was brushed aside 'and remated and retested to obtain the
second cycle. The curve 7 shows the seventh cycle with nonnal loads of9119 N,
12055 Nand 15391 N (2050 Ibf. 2710 Ibf and 3460 IbO. The ISth run showed
t hat all tr.lces of initial peak had disappeared and the surfaces had been ground
down to moderately rounded asperities occupying almost 80% of the [Otal area
0.25 em (0.1 in) ofdisplacement.
Different behaviour is obtained when a rough surface slides over a smooth
surface. JAEGER (1971) conducted tests on the sliding. of a block of Bowra!
trachyte with ground plane-parallel surfaces placed between a pair of rough
surfaces obtained by extension fractures. The results obtained are shown in
Fig. 10-47. The curves 1. 6, 18 represent the first. sii\th and eighteenth cycle
each for the displacement amplitude of 1.27 em (0.5 in). The shear force first
increases with displacement and then is maintained. The maximum value of
the shear force at the fIrSt cycle is lower than in the later cycles. With displace.
ment. the regions of tension crn.cks are always in contact with the Opposire sur­
face and the areas of these contacts grow steadily. Similar results were obtai ned
by JAEGER and Com, (1 969b) for sliding of gravel on plane surfaces.
Even with completely ground surfaces, it has been found that there is :.l con.
sidemble variation in the shear force with displacement and the constant va. Jue
of the tangential force is approached rather slowly.
 MECHANICAL BEHAVIOUR OF JOINTED ROCK
6~ BEHAV[OUR DUR[NG SLIDING ALONG JO[NTS 63

...
.0
300 0
curve for 3 specimens with different values of normal loads N3> V" > N, . The
peak values obtained. are dependent upon (he position of shearing of the
(/)
200 0 asperitie.:>. When the specimen is sheared off along the base of the asperity
(I) (N) the highest value is obtained. at a small displacement (0.1 x asperity base)
o

followed by che residual shear strength. When the shearing cakes place after a
.....5
1000 certain amount of displacement along the asperity (N::. and N 1 ). the highest
I­
o 11 e./IS value of shear strength obtained. is lower. Residual values are obmined when
CD
.cIII the displacement reaches a value of LO x asperity base .
0·2 0·4
o COULSON'S (1970) results on lapped sandstone surfaces show that the displace.
displacemenT, in ment required to reach residual shear strength is dependent upon rock type.
Fig. 10-47. Variation of frictional force with displacement for sliding of surfaces surface roughness. moisture and the type of surface damage manifested during
of e~ension fractures on a £1:1\ surface shearing. When polishing and profuse gouging occur. the shear strength in·
(after JAEGER. 1971). creases with further displacement. The development of indurated crust and low
gouging is associated with decreasing shear strength with displacement. The
With natural joints which are rather discontinuous, the shear force usually increase in pressure results in decreasing the displacement required for residual
rises to a peak vdlue with small displacement and then falls sharplY· This peak shear strength ofjoints.
is followed by considerable fluctuations before the residual value is reached
DRENNON anci HA.I>lDY (1972) found that for tests on clean blocks of limestone
(KRS.~OVlC.1967)- at normal stress of 0.98 MPa (142 lbf/in l ) (10 kgf/cm l ) and under. the coeffi­
According to PATTON (1966a), the effective width of the asperity (i.e. length cient of friction tended. to remain stable or slowly rose, but for tests with debris
along the base of the asperity) plays an imponant role in the shear force­ introduced. in between the blocks, the initial static coefficient of friction ranged
displacement behaviour of a joint. Fig. 1()...4S represents the shear strength from 0.406 to 0.551 and climbed. rapidly to values much above those reached
on tests with clean blocks, reaching in one case a value of 1.002 (Fig. 10-49)_

----------- ----------- ~
---------------------­ c:
til

-
.s:;
01
c:
-
.2
Q
;:;
...
1-1

1'0

o,s

-
II
I­
II'
..
.2
o
....
o.a
.
0-7
I­ •
o
CI)
'0 0,,,
.cIII .. g·e
c:
• 0·"

i.i

1-0 2-0
...•
;:.
0-:5
0-2 ~r-r_r_r-r_r_._._._._._._~~~~~~
0.1.2 _·IS o
Q
0·00 0-0" O'OB 0·12 0-1" 0·20 0-24 0'2B 0':32. 0·36
displacemenT (x) In terms af CumuIQ~iv. II Ii p, em
TOTCI lengTh of TOOTh
Fig. 1()...48. Shear strength - displacement eurve Fig. 10-49. Increase of coefficient of static rriction with slip.
(afm PATIOT'. 1966a). - Test 99C. 10 kgf/cm". at 125' C. debris lest
(after DRENNON and HANDY. 1972).
64 MECHANICAL BEHAVIOUR OF JOINTED ROCK

JAEGER and ROSENGREN (1969) divided the displacement behaviour of the joints
BEHAVIOUR DURING SLIDING ALONG JO[;-;TS
according to the nature of the joint (fable 2). The corresponding characteristic 65
curves are given in Fig. 1()...50.

"'~A
L A IS-O:S

'....10
12';:10
Z

O~:;'~
,.",. ~
3'~1

1"O!5

(Q)
c ( b)
1\1

u
E
=
0

e
"'0:5

"'151
gJ
.:

"tl
r
v :::;;
/
/ e ~::>'2S
__
I
6·2<:

9-4"
t~'O

16'7'6

"""
-'"
..
c
1::'ftc'
""
....
I"V'"6

-.7' z~ ----= =!~

..
CD 1l!-09
.:: G-e2 I/~::::=====:_:=:=:';== >·...1'6
O~--'---.!.- , I <--L
...
0
l!-26 Z 4 .. a 10
(I 0 dlc:lIcee mont, s , em
.I:
It

20

(c) Cd) c
FiS. l()"SO. Types of load - displacement curves for natural joints.
For description see Table 2
16-75
(after JAEGER and ROSENGR£N. 1969).

Very conclusive evidence of the shape of the curve as a function of the surface
geometry is given by SCHNEIDER (1972) and LAMA (l975b). Using 3 different
'OL -----. 1;:1'09

-..,.
geometries obtained in tension tests (granite. sandstone and limestone) and ---&2.2
producing replicas using plaster of Paris as the model material, SCHNEIDER ::5'36
( 1 972) conducted tests at different normal pressures. The results are summa~ 01 f
f I
rised in Fig. 1()"'51. The properties. of the model material remaining constant. Z 4 6 a 10
the shear stress-displacement curve is different for .different surfaces. The displaeeot'T'lont, s. em
granite surface is much rougher while the limestone surface is rather smooth.
Tbe first gives a peak shear strength followed by a drop in its value while the Fig. 10-51. Shear Strl:ss - dispJacement and dilation-displucement

second gives almost no drop in shear strength with displacement. The curve curves for the different roughnesses using gypsum as a model material

A - granite: B - sandstone: C limestone

for sandstone which has medium surface roughness has shear characteristics (after SCHNEIDER. 1972).

somewhat in between. Similarly, dilation is higher for rougher joints and

smaller for smoother joints.
M MECHANlCAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG JOINTS 67
TABLE!
Load-displaccment curve characteristics Roughness produced in different directions is not the same depending upon
(after JAEGER and ROSENGREN. 1969) grain orientation and fr:l.cture anisotropy. This atTects the surface geometry
Characteristic joints and the shear-displacement curve. The results obtained by LA<\1A (1975 b) where
Type of behaviour the tests were conducted using the same geometry and :;arne model material
A. No !iIi)'! until peak load Joints with large interlocking but the shea.r direction was changed are shown in Fig. 10·51. The phenomenon
then gr.1d ual drop ofT to asperities; bedding planes is noc simple but is influenced by the material property and interaction between
residual V'.11ue Fig. IO·SO(a} with cross ripples: faults the materia! property and the surf:l.ce geometry (LA<\1A. 1975b). This view ius
with cross slickensides or grooves.
also been expressed by DONATH. FRUTH and OlSSQ:; (19/::1.).
B. Well defined initial slip Joints with hard. fairly smooth
which continues at constant surfaces: also Narrander.l
load Fig. 10·50(b) quartzite.
Rclativelv .ouah. chlorite or 3. Normal stress
C. Well defined initial slip
which ontinues with rising gr.lphile ~oated surfaces: very
smooth hard surfaces.
The value of the coefficient of friction II does not remain constant with change
loao Fig. 10-:50(c) in the value of the normal stress. The residual frictional force from which the
D. Continuous curvature of Faults with smooth or polished
chloritic surfaces. coefficient of friction is calculated is not only due to pure sliding of the two
load displacement curve blocks but is also influenced by the crushing of the broken :l.5periti~. :lOd
Fig. 10.50(d)
rolling and induration into the enclosing surfaces. The possibilil'y of crushing
of these pieces incre:JSes with incre:lSe in the value of the normal force and
hence at higher values of normal force, the movement shall be more and more
governed by turning of the crushed pieces and less and less due to shearing of
the asperities. As such. the value of the frictional coefficient calculated is likely
w
5
....
"­
""
-.-.- _.-._._._._._._ .. __ -. __._.-.- -.
.. ..:,.
to be smaller with higher-value of normal force.
"" "'"
.!
)..0
/. ::;::;.;;~~",-::.::=:-:~.:-.-:-::--.:--
.. --..--..-­ --~=~~:~~'::::~;;::::':C-D
HANDIN and STEARNS (1964) found that the coefficient of friction at a higher
normal stress is lower than at lower values of normal stress for dolomite.
- // ....!SIS!.
limestone and sandstone. They suggested that the existence of lower friction
2 i l ~ .. coefficients at higher- nonnal stresses was because the surfaces became smoother.
z
-
,''I
. '/I
If,.
.0.
e
RALEIGH and PATERSON (1965) also found that the coefficient of friction of
00 .j .sw' --- ­ peridotite sliding on shear surfaces decreased with confining pressure.
®
00 1 !
0.:> 1-0'
! !
J'~
!
2:0 z·~
! !
;,.0
JAEGER and COOK (1969b) reported that for spheriClI trachyte contacts sliding
"Ill':; IMI.f .. In,," on trachyte with varying areas of conmct at higher normal loads the value
of Jl = 0.32 and at lower nonnal loads Jl = 0.48. COULSON (1970) found that
o .. ~ . - . ' . ' . '-'- ­ the result ofincreasing nonnal presSl.lre from 0.069 t06.89 MPa( 10 to 1000 Ib f/in")
<-I o"'r ~.-~.-.- ...- _.-.-.....- ___--------:::---... is to reduce the initial coefficient of friction for all surface roughnesses from
& 0· ... i ..,...-' __---------------­ 5 to 20 %. In the case of rocks with low porosity and low strength an increase in
':. 0' z: ,... .... "...... _____.... ",,-­ the coefficient of friction with an increase in nonnal pressure W:l.5 observed. He
.E: ......_.. -"",-
.. t
_

~-}
0'

o·z
~"
--
O:l
.= ~.
t'O
i
'-!S
i
20
i
2'0
I
SO
0
explained this as being due to deep penetration of the asperities into the
opposing surl'ace upon application of nonnal pressure. This asperity penetr.:;l tion
o· and surface interaction increases with increase in normal pressure.
Fig. 10-5::!. Influence of direction ofdisplacement on the shear behaviour of model joints of MAURER (1966) conducted several tests on sandstone. limestone. marble. ::inale.
marble surface obtained in a Brazilian lest (model malerial- gypsum).
f7 n = O.::!X9 M p~: Displacement rate'" 0.1:! mm ·min.
dolomite. granite and basalt at various normal pressures and round thac. the
(after Li\~Ii\. 1975b). coefficient offriction when detennined from residual shear resistance is depen­
dem upon normal streSS and decreases as contact pressure incre-J.ses. According
6S MECHANICAL BEHAVIOUR OF JOINTED ROCK

to him. the friction coefficient can be related to the normal pressure by the BEHAVIOUR DURING SLIDING ALONG JOINTS 69
equation
TABLE.+
tan CPr = a (C1 n)k (10.49) The values of k and a in Eq. 10-50 (after HOBBS. 1970)

The values of a and k are given in Table 3. type k a

TABLE 3 Ormonde siltstone US 0.756

The "alues of a :md k in Eq. 10.49 Bilsthorpe silty mudstone 1.53 0.736
(after MAURER, 1966) H ucknall sh:ll.: 1.-+6 0.784
Bilsthorpe mudstone U5 0.317
Rock type a k

Beekmantown dolomite 36.0 0.60 The values of k and a are dependent upon the confining pressure :u which
Berea sandstone 6.4 0.80 the specimens were broken previous to the test. The value of k decre;)..Ses while
Carthage marble 19.0 0.63 that of a increases with increase in the initial confining pressure vulues. This is
Chico limestone 22.0 0.65 possibly due to the initial movement which tak~ piace-the magnitude of
Georgia granite 46.0 0.55 which is high for low confining pressures.
Indiana limestone 60.0 0.46 BYElU.EE'S (1966) tests on Westerly granite showed that for sliding along a
Knippa basalt 48.S 0.S6 surface when she::u- stresS is plotted against normal stress a straight line is
Rush Springs sandstone 14.0 0.71 obtained with a posirive intercept on the shear axis showing she::u- strength
Seminole shale 3.7 0.73 at zero nonnal stress. He found no discontinuity in the experimental data
indicating thereby no change in the physical process involved during sliding
which would otherwise be expected if the failure process changed from brittle
The coefficients of friction for stronger rocks are nearly equal decreasing from to ductilp. under high normal pressures. The coefficient of friction, he argued.
1.8 to 0.8 as the normal pressure is increased from 13.79 MPa (2000 Ibf/in 2 ) to is due to the interlocking of the asperities which have a finite strength at zero
the uniaxial compressive strength of the rock. The coefficients of friction for nonnalload across the sliding plane. He represented the coefficient of friction
by the relationship
weaker rocks are also much the same as for stronger rocks and the friction
angle is independent of the strength of the rock. fln = A +..!L (10.51)
(J'n
HOODS (1970) conducted tests on broken cylindrical specimens of coal measure
rocks in a triaxial cell with a single spherical seat (top). The specimens were
where tin = coefficient of friction '.I.t normal stre:;s (J'n
first SUbjected to a given confining pressure 20.7 MPa (3000 Ibfiin 2 ) and then
A = rate of change in the strength of the material with inc~ in
axially loaded to failure. The pressure was then roised by increments and the normal stress
axial load to cause slip at each increment was determined. He found that shear
!, = shear strength of the material at zero normal stress and
and normal stresses to cause movement of. the broken cylinders can be re­
(J'n = normal stress.
presented by the relationship Further tests conducted by BYERl.EE (1968a. 1975) showed that the int1uence
•
of normal stress could be represented either by two straight lines or (l par.:lbola.
T == k(unt (10.50) For example, for Weber sandstone (a grey to dark red coloured sandstone
containing calcite as a binding material with limonite and hematite), (he she:J.r
where k and {J are constants. strength ofjoints could be represented by
The values of k and a found by him are given in Table 4.
S=O.85N forO < N < 2kh
and S=O.5+0.6!v for N> 2kh.
70 MECHANICAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG JOINTS 7!
At lower values a power law of the form given in Eq. 10.50 best describes the

shear and nom1al stress behaviour.

PAITON'S (1966a) results on the influence ofnonnalload on the shear seren gth­
. displacement diagrnrn are given in Fig. 10-53. The curves are obtained by

DRENNON and HANDY (1972) detennined the coefficient of friction of lime­

calculating the shear resis~ce after equal intervJ.ls of horizontal displacement

stone in both smooth slip and in the load and unload modes of stick slip.

and joining the points representing equivalent displacements. It is seen that at

They found that during initial loading static coefficier.t of friction of fresh

high normal loads a large reduction in strength. occurs with small displacements.

blocks ranged from 0.198 to 0.533. being low at low nonnal stresses and high

At lower normal loads. displacement can be much greater before a serious loss

at high nonnal stresses. They also observed that at 100v nonnal stresses. the

in strength occurs.
value of static coefficient of friction varied considerJ.bly depending upon the

past frictional history of the specimen.

Besides normal stress. normal stiffness of the test system influences the results.
High normal load stiffness tends to limit dilation of the joint and may increase
.~
.• ::t,.
shear strength depending upon the relative normal stiffness and the tensile
strength of the material (assuming that failure in shear is due to tensile failure
eoo
of F:he asperities). Tests on granite and sandstone using double shear (Chapter 4,
SlXtion 4.4.3.) and at va.rious normal stiffnesses (k = 0.02 MN/m-200 MN/m)
have shown that peak shear strength at lower normal stress is nor signifi=ntly
different for different normal stiffnesses but at higher normal stresses. the
results obtained with high stiffness testing system ~y be aLmost 20 % higher
"00 (OBERT. BRADY and SCHMECHEL. 1976).

4. Water
TSCHEBOTARIOFF and WELCH (1948) found that an appreciable difference existed
in the frictional values between dry and moist conditions and that the slightest
:e hwnidity in the surroundings rapidly affected the friction results. The coefficient
300
~ of friction values obtained by them for different minerals are given in Table 5.
.r::. There is an increase in the value of the coefficient of friction only for quartz
"0
c

•
and calcite. They explained this difference as being presumably due to abso rbed
·...
.!::

0
layer ofwater on the sUlface of these minerals.
HORN and DEERE (1962) found that frictional coefficients of oven dried surfaces
1-
· 200
and those of oven dried air equilibrated surfaces did not differ much for the
massive structured mineJ;a1s but a distinct difference existed for the layer lanice
minerals (fable 6). They also found that the relative humidity of the surround­
ing air influenced the coefficient of friction values and its influence depended
upon the structure ofthe mineraL Results obtained on quartz (massive struCt ure)
.00 showed that the coefficient of friction is fairly constant at low relative humid i ties
~: wU$l'h OIf t_.n OIf
and does not change appreciably until a 'threshold' relative humidity (about
tJo•• - O~ZU in
40%) is reached after which it increases rapidly until the saturated coefficient
is reached at a relative hwnidity of 100% (Fig. 10-54). [n case of muscovite
kooUnlt. _pSo.,.,,( I r 2)
(layered-lattice structure). the coefficient of friction is particularly sensitive (0
oV
o
.
100
i
200
I
::l00 .. 00
variations in relative humidity below 40% while above 40%. it decreases in
almost a linear fashion till at about saturation point when it drops SUddenly.
normal tood eN). It) f
Fig. 10-53. ShL:;.If strength - displ;.lcement envelopes
The results at saturated air equilibrated surfaces are much the same as Ih ose
(afler PATTO~. 1\}66a). for the saturated surface with a minimum of 1.59 rom 0/16 in) of layer of
distilled water.
T1 MECHANICAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALOND JOINTS 73
TABLES

Aver.age values of friction coefficients obtained

TI1C influence of moisture on the coefficient of friction depends upon the crysta I
under dry and moist conditions
structure of the miner:J.L Water acts as :.m anti-lubricant in case of m:I"j\ c'
(after TSCHEOOTARJOFF and WELCH. 194&)
(lhree dimensional) crystal structures (qLL:l.I"tz. microcline feldspar. calcite) \\ I\ de:
it serves <l.S a lubricant in case of layered-lattice (two dimensional) minerals
Dry'") Moist Submerged (muscovite. biotite. phlogopite. chlorite etc.). The ratio of the coefficient of
Mineral
static friction for satur:J.ted and oven-dried surfaces ofmassive structure mi nera Is
0.106 0.455 0.455
Quartz on quartz varies from 3 to 7 and for the layered-lattice miner:J.ls from 0.4 to 0.6 (Table 6).
0.107 0.268 0.263
Calcite on calcite
This differential behaviour of water was explained by HARDY and HARDY (1919)
Pyrophyllite on
0.163 0.120 0.112 <l.S being the action of water which reduces the mobility of the adsorbed film
pyrophyllite
0.198 0.166 0.165 composed of highly oriented molecules. TIle force field associated with the
Pagodite on pagodite
0.098 0.266 0.333 polar molecules disrupts the orientation of the adsorbed layer incre;.l.sing
Quartz on calcite
0.152 0.194 0.180 friction. This phenomenon was demonstr:J.ted by MENTER (1950) who showed
Quartz on pyrophyllite by electron diffr:J.ction studies the influence of disorientation of the molecu!es
0.179 0.162 0.168
Quartz on pagodite ofa boundary lubricant on increase in the frictional resisrance.
0.168 0.157 0.152
Calcite on pagodite
0.233 0.127 0.134 BROMWELL (1966) showed that the coefficienc of friction of dry chemic-..llly
Calcite on pyrophy\lite
PyrophyUite on pagodite 0.179 0.113 0.113 cle-.l!l polished quartz is 0.9 and that this remains unchanged when wetted.
This indicates that water is basically neutral to quartz and that its antilubri­
cating influence is due to its reaction with the lubricant boundary layer. LAMBE
(.) Dried in Cael.! desiccator and then quickly tested.
and WHITMAN (1969) have given a further discussion on the antilubrio:lting
0':50 influence of water.
A completely different viewpoint was put forward by BYERLEE (1966). According

~-
to him. the influence of the fluid is to increase attractive force between the
surfaces due to the surface tension effect. It is possible that for polished
surfaces. this plays a certain role .

...•
0
. ... HORN and DEERE (1962) investiguted the influence of non-polar and polar
fluids. They reported that the influence of high polarity fluids (water, ethy lene
....0 glycol. amylamine) on frictional coefficient was much more than the non-polar

-
!
.2
c:
o·
o
fluids (carbon tetr:J.chlo'ride. decahydronaphthalene). They explainded that
the influence of these fluids on the layer-lattice minerals is governed by two
parameters: (I) scratching of the surface during rubbing. (il) cohesive force [hat
....
....., exists between fresh cleavage faces of layer-lattice miner:J.ls. But the pheno­
menon is not clear as yet.
0
u
The above results are based upon tests on minerals stiding one over the 0 (her
o·Ojl- ______~------~------r-----~----~
i j j i
under extremely small normal loads or under free sliding conditions. The res ul t5
o %0 "'0 60 80 100 of experiments conducted by JAEGER (1959) on soaked specimens of sandst one
gTT\J:)ient relgtive humidity, °/.. and granitic gneiss showed a r:J.cher slight decrease in the coefficient of slid ing
Fig. 10-54. Relationships between the coefficient of static friction and the friction. No pore pressure measurements were taken and hence it is not cJe;.:Lr if
ambient reJa'.ive humidity for muscovite (Brazil) and clear quanz {N. Carolina) change in the pore pressure did not influence the results. It is well known that
(after HORN an:i DEERE. 1962). in case of undmined-wet specimens the effective stress theory is ~ppli<":Jble.
Pore pressure greatly influences the sliding force due to decreased cffecc ive
 74 MECHANICAL BEHAVIOUR OF JOINTED ROCK

TABLE 6
Frictional coefficients for three conditions of surfacc moisturc BEHAVIOUR DURING SLIDfNG ALONG JOINTS
75
(after HORN and DEER£. 1962)
Rock type Description of Dry Wet
discontinuity <l>v <1>0 Reference
Oven-driedJ f' f'
Oven-dried air-equili- Saturated II~ II~ Quartzite anificial. planar.
brated Jl~ ~ polished
JAEGER and
Mineral Origin
ROSENGRDI
etn: 30-400kgf/cm z) (1969)
Static Kinetic Static Kinetic Static Kinetic Shales. siltstones
k l; minor faults: smooth. no change
Jld Jlo I~ J.I!. Jl! Jl. and slates polished or slicken­ in
ROSENGREN
(1968)
sided. g:raphite coated general
Clear quartz N.Carolina 0.11 0.10 0.11 0.10 0.42 0.23· 3.822.30 Shales. siltstones
Milkyquanz Wisconsin 0.14 0.14 0.16 0.16 0.51 0.27* 3.64 1.91 extension fractures: Rosf?'.;GRE."i
-:::;
and slates coated with limonite.
c Rose quartz Unknown 0.13 0.11 0.13 0.1 j 0.45 0.26* 3.45 2.36 (1963)
pyrite, quartz
Microcline

~i4 feldspar .
Mkrocline
Unknown-A 0.11 0.11 0.13 0.11 0.76 0.76 6.90 6.90

reduction
~~~ Granite, gneiss. shear fractures from
> =
0.71 0.61
.-
'";;
""
::2:
feldspar
Calcite
(ScratChing)
Unknown-B

N. Jersey
0.12 0.12 0.12

0.21
0.12

0.21
0.77

0.60
0.77

0.60
6.426.42 sandstone failure of int:J.ct
specimens
(an: 100-2.500 kgficm~)
0.52 0.47
JAEGER (11.)59)

Calcite(N.5.) N.Jersey 0.12 0.12

Calcite (N.S.) Kansas 0.14 0.14 0.14 0.14 0.68 0.68 4.854.85 <1>, <1>,
Sandstones, artificial. rough sawn. 25-34
carbonates 24-33 PATTON
equivalent to residual 33-39 32-36 (1966a)
Muscovite Penna. 0.43 0.43 0.30 0.30 0.23 0.23 0.540.54
Muscovite Brazil 0.41 0.41 0.32 0.32 0.22 0.54 0.54 Shales, siltstones minor fault. smooth, 0.49
0."" 0.40
E Muscovite Unkoown 0.45 0.45 0.36 0.36 0.26 0.26 0.580.58
and slates polished. chlorite
ROSENGREN
(1968)
~E Phlogopite Madagascar 0.31 0.31 0.25 . 0.25· 0.15 0.15 0.480.48
coated
...
E
.~
Phlogopite
Biotite
Canada
Canada
0.29
0.31
0.30
0.31
0.22 0.22
0.26 0.26
0.16
0.13
0.16
0.13
0.550.53

0.420.42
Dolerite
Granite
joint
anificial surface
52
38
37 DUNCAN (1969)
Gneiss 31
...:e Chlorite Vermont 0.53 0.53 0.35 0.35 0.22 0.22 0.420.42 natural schistose plane.

.:..
.., Serpentine Vermont 0.62 0.62 0.50 0.47 0.29 0.26 0.470.42
~keyed" 49 44
;:.."
Serpentine Unknown 0.76 0.76 0.65 0.65 0.48 0.48 0.630.63 Phyllite schistose plane 40
..5 Shale 32
Steatite N.Carolina 0.38 0.38 0.26 0.26 0.23 0.19 0.6l0.50 joint 37 27

Talc Vermont 0.36 0.36 0.24 0.24 0.16 0.16 0.450.45

Quartzite joint 44 34-37 DUNCAN and
Marble joint 49
Notes - I. The above coefficients are for very smooth surfaces. 42 SHEER~lAN.
2. Tr.ese coefficients are based on a ratc of sliding of 0.7 in/min. CHASE (1965-00)
3. The coefficients refer to the friction developed between surfaces or the same
mineral. e.g.. quartz on quartz. increase
Sandstone anificiaL planar. IP,
-t. Relative humidity during oven-driediair-equilibraled tests ranged between IP,
polished (equivalent to
17%and35%. slickenside) 27-32
5. The normalloacl ranged between 0.65 Ibf and 10.1 Ibf. 30-38 PAITON
.. Denotes a.pproximate coefficient of kinetic friction: based on avero.lge of Gabbro (l966a)
jOint 47 48
maximum and minimum values of frictional resistanC1: during stick-slip Oolitic limestone
movement. joint 44 48
Chalk (2 00 types) joint DUNCAN
40 41 (1969)
Quartzite artificial. planar.
TABLE 7 ~ polished 23 30
Basalt DUNCANand
Effect of water on the coeffic.:ient of friction of rock joints artificial. planar. SHE[R~IAI'''
(after 1973a) polished 33 35
BARTON, CHASE
(1965-66)
Schistose gneiss. artificial. planar.
granite, sandstone COUlSON
polished with incre-.l.S­ (1970)
ing polish during shear
76 MECHANICAL BEHA VIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG Jor~TS
value of the normal force and this phenomenon is amply demonstrated by 77
MORGENSTERN (1970). BYERLEE's (1967b) tests showed that the pore pressure
strongly influences the coefficient. values so calculated and should be taken
into account to avoid anomalous results. It is seen that law of effective stress
holds good for joint surfaces (BYERUE. 1975) and even very high pressures may g '.
"­
develop when joints slide past ~ch other (GOODMAN, HroZE and OHNISHI. x
1971). .
ii
Table 7 gives the results obtained by a number of workers on the frictional ~

coefficient of rocks when wet or dry. Tests conducted by JAEGER (1959) and !
JAEGER and ROSENGREN (1969) were at high normal pressures but the other
tests are at relatively low normal pressures. The polished surfaces in gener.J.l
are not affected by the presence of water while rough surfaces show a slight 0<>
'"" ,.. ,,,,
"'. , 0

decrease. JAEGER (1959) suggested the ease of development of slickenside in (+1

0·...
l dJ.~."..""..

wet joints causing reduction in shear strength of rough joints is due to adverse
effect of moisture on the tensile strength of the rock material. Certain other
:0"'t
3 I
a ._.-:-=- ~.: --::" -.:.. .-" _ .. ­
factors such as displacement rate and temperature have been investigated by ~ 0; 'o""b--- .'0 i'~ ZO ~i~

<_lo,zr '0
some workers. HANOIN (1972a. b) and DIETERICH (1972) reported results on the
time-dependent behaviour of joints. In general. the coefficients of friction of Fig. 10·55. Shear:!.Od dilac:uion behaviour of model joints of marble surface obtained in
joints were found to remain constant or to increase with loading duration Brazilian test (model material-gypsum) at (1n = 0.189 MPa and at differe.'1 t
displacement races
depending on the roughness of the joint surfaces and on the amount of (after !.AM.... 1975a).
accwnulated gouge. Stress drops during unstable sliding on effectively smooth
joint surfaces or on unfilled joiqts became greater as well. Thus. for the type of

/-:<//--~~=-=-==-~-------
T

joints which were studied by them. it appears that the long~term ultimate
strength ofjoints might actualiy exceed the short-term strength. 6

WAWERSIK and BROWN (l973) also made a few measurements on granite -5 ~ , '"
specimens containing artificially created tension joints. These measurements
suggest that creep on rough. unfilled joints is negligibly small. The coefficient
: "'t /:://
"X -.- _.­
. i'"" /'
f / /
of friction on such joints was found to increase with the time that the joint
7
.//
surfaces were subjected to constant normal and sh~rstresses. These observa lions I

i
l.. 3 - - 1=

corroborate results of HAND IN (1972a. b) and DIETERICH (1972). I I

---. Ou. """"'/""'...
i ///
z,
I I',Ii -- 0012

DONATH. FRl..:ni and OI..S30N (1972) have examined the innuence or stnlin rate II

- - - - - O~ ""'...... / ........

on the coefficient offriction of sandstone. limestone and slate. The effect seems ,fi

to be very unsystematic. Similar results were obtained by LAMA (1975a) on a l"'i

number of rocks including granite. sandstone, limestone. marble using saw i
cut. polished. tensile frdct:.lre surfaces at displacement nltes from 0.67 to 0.00001 0'" r<:)
,." "'0 2'" -to
mmis. The effect of displacement rate seems to be overridden by the difference di*O!'OC..-rnenf • """1'1'1
in the surfaces obtained and material property changes in ~ch test specimen.
When the same surface is reproduced using a controlled model material. the ! .. __ . __ .. __ . __ .. __ ._._=-.~=~::~=~_~=~=--

'·'·'r
0'"
innuence of the displacement rate becomes more discernible. The results ob­ ~ 0 ........ ~ . e-;-:':';:--" _ - - - -.. --
---f- ___ . . _. . __
'< . - .. ­

tained by LAMA (1975a) .Ire shown in Figs. 10-55 to 10-58. It looks that at lower v O~ - ... I ' I
o·~ to I'~ 2Q Z,' :3-0
normal stresses there is some form or dynamic friction effect and the coefficient (-I .

Fig. 10.56. Shear and dilatation behaviour of model joints of marble surface obtain c::d in
Bmzilian test (model material-gypsum) a[ (1" = 0.539 :vIPa and at different
displacement rates
(after LAMA, 1975a).
 711 MECHANICAL BEHAVIOUR OF JOINTED ROCK

BEHAVIOUR DURING SLIDING ALONG JOINTS 79

12f
lol
HE
" I
~.--
... .,.,..
".. ... - ........... - - - - -.. - - - - - - - - - - "":'::..a.... - - .. ...,:.:;:~~~;::;r.:_":"".:_:.;;.:.":""' ...­ ,"- --­
; Sf .~'
.,.;;;'
,."...­
.-
' -,.,.- --_. --.----""_-:::.---,

__ I'U
...... ,/ /.--­
.. // /­

~
/'

.......... "m'"
/'
/./
_.-
--:-- 002
OIZ
""",/.,..n
/
I
./

~
J: .. ,
./i --- o~",,",,/,.,.n
H
E ,l!.- / '/ / / /./
~
1/ ~ / /
1/ f' lOr- / /

zte/ / I

- I
I Z2

0 1
o-e.
I "
1-0 IS z·o
I
a e. 3-0
,,',,1/ 1 0",

[/ I ~ 01::

d,.PJOC_",,-nI'. """' .:' I

0...
(+) Q..a
:;
$
.~
f
. ;..,
!0:/__.___ . _._~'." . ""C_.' _'. . ._ ___
'L
"6 ,. ...- - - - - - - - - - - - - - - - - - - - - ­
0-% ""'------....---- I I I t
(_) o·t,. .·0 ,-~ 2-0 z·e.

Fig. 10-57. Shear and dilatation behaviour of model joints of marble surface obtained in ,
Brazilian test (model material-gypsum) at 11. "" 1.008 MPa and at different
~,,, --L,.", ,.,.
I
2-0
displacement rates cU*'PI~ ~ rnrn

(afte, LAMA. 1975a). (+) o04L

I
.~ o·z ..
<;
g °1I ====s::=
, . =­ -"--"--" -"'""C
"
(-l
0 Z~
I 0-:>
, r -'1---' -. -'­
'·0 '":I :!-!$ 30

Fig. 10-58. Shear and dilatation behaviour of model joints of marble surface obtained in
Brazilian test (model material-gypsum) at Un = 2.005 M Pu and at different
displacement rates
(after LAMA. 1975 a).
TABLES
Coefficient of friction of grnnite (tension joints)
at era = 9.30 kgf/cml (0.97 MPa) (13.5 lbfiin l )
(after LAMA. 1975b)

Displacement nne f of friction has a slightly smaller value at high displacement rates. At higher
nonnai stresses. the material property plays a more important role and the
4Ommlmin. 32.1 '
coefficient of friction incre:ases and has a higher value at high displacement
I.:!:! mm/min. 32.1'
rates. The curve at 1.22 mm/min displacement rate tends to rise with increasing
O.l!l mmlmin. 33.1'
nonnal stress. Values obtained for granite are given in Table 8.
0.024 mm/min. 35.3'
The influence of temperature has been found to increase the coefficient of
friction of san(istone and decre--.J.Se that of limestone whilst slate surface was
unaffected by it (Fig. 10-59).
1I0 MECHANICAL BEHAVIOUR OF JOINTED ROCK

1·0 BEHAVIOUR DURING SLIDING ALONG JOINTS

81
./
+'0-31

o
'E11) ...
~.--------
0·6 '2:00
roria (rl'tfClllne• • , / _ o-.....,~)
"0 0-1

;;:
;---T . . lithoQr'Cphic Ls .•
]
o 0'6 .--
===-=--=- -=:::=. ....
sondst()t"l8·.
oojltic Ls. ...
4:S­

c
..Q
. -.
• __+
;l. slo'e-30C'· ....
slate _4:5 0 •
800

'0 o O'~I

....
't: 04
"t-0·r8
0-7' 3 0
0-",
0"0:/+
0·:1 .... 0/'&
·+0'43
:1'&0 007&
·00 8'9° 0 , ...
tt:lrnpercture, "·C +0'91
_-tl='~ __
Fig. 10-59. Friction coefficient (11) versus :emperature. o-o~
C4-3e·Z _­
.-
..0-­
_7 "T"ZO.7 ° :Z:lo.~
'·~oz ....-­
"Z'/ ,., ... _!..{po~.g

o --Z.e ~ :z..•

5. Filling material I!:~ __

+-"10
< --'~O·
-- 0

Z·=t ~.,..

o If'--O,.:s i , i
The filling material in joints may consist of the sediments due to the hydro­ ·00 800 I~OO 1&00
therriml deposition similar in strength to the enclosing rock or may be panially
~. Ittt'/,n-
loose to completely loose cohesionless soil (clay, sand. coarse fragmentary
material. etc.) deposited into open joints or formed in-place due to the Fig. 10-60. Strength data for clay filled joints
(after GOODMAN. HEUZE and OHNISHI. 1972).
weathering of the joint surface. Accordingly, the filling material may be divided
into the following four types:
1. Loose material from tectonically crushed zones. increased. clay filling reduces the strength and at R/l = 3. the strength is reduced
j
2. Products of decomposition and weathering ofjoint walls. to that of the filling material. For idealised saw tooth geometry, GOODMAN

3. Deposition by ground water flow containing products of leaching of cal­ (J969) found the (R/r;) ratio to be about 1.5.

careous rocks.
4. Filling material brought from the surface.
The mechanical behaviour of the joint filled with any material is dependent
upon the type of the filling material. the thickness of the filling material and the
height of the asperities.
GOODMAN. HEUZE and OHNISHI (1972) examined the influence of the thickness
of the filling material (in this case kaoline clay) in gT".lnite and sandstone joints.
The results are sho,"'Il in Fig. 10-60. The '-Un curve for the filling material alone
is shown dotted. The numbers on the points refer to the ratio (Rt/j) of tilling
TTlaterial thickness (R) and :ncan asperity height (1j). Tests showed that for very
small thicknesses of the filling materials. there is augmentation of the strength
as a vinue of the geometry of the rough walls of the joinl. As the thickness
BARTON (1973a. b) has examined the question in detail and related the mean
thickness of the filling Ij) and the mean roughness amplitude (a) (given by the
distance between the two parallel lines which run as tangents to the un even
profile of the rock joint) and the displacement (d) required t'or tile rock to rock
contact of the joint w.alls. The results obtained by him are given in Table 9.
TUUNOV and MOLOKOV (1971) tested a number of joints with different fllling
materials and under variable conditions of moisture. According to them a thin
sand layer as a filler between the hard rocks (sandstone. limestone) does nor
have any significant influence but in case of relatively weak rocks (cbv 2nd
marl) its influence is rather to increase the angle offriction. The shear plane in a
thick 'layer of sand is limited in the sandbed itself. [n the C'.lSe of clav fi lIers
also. the s~ear plane is limited along the weakest contact and traverses through
clay. The int1uence of the clay bands is very much affected by the presenc c of
humidity. The drop in shear strength is observed with incr~e in humi .aity
 81 MECHANICAL BEHAVIOUR OF JOINTED ROCK

TABLE 9 BEHA VIOUR DURING SLIDING ALONG JOINTS

83
Relationship between joint Oiling. rouJ:!bness

amplitude at zero dilation to obtain displacement of joint wall contact

extruded out (this experiment was conducted with 6 mm (0.24 in) clay band
(after BARTON. 1973 a)
between limestone and sandstone plates) and the original value of (he she:u
strength of the joint is achieved (Fig. 10-<51). In the case of coarse frag:ment:1ry
fla dIu filling material. the shear plane is also located within the thick layer of filling
material independent ofthesmootfmess orroughnessofthejoinc. ThecoefTicienr
>1.00 ;x: offriction increases with increase in the fragment size from.2 nun to 20-30 mm
0.75 1.34 (0.079 in to 0.787-1.181 in) and further increase in fragment size does not
0.50 1.32 exert any influence on the friction coefficient (Fig. 10-<52). C~rve 1 refers to
0.25 0.43 the case of a compacted filling material and curve :2 refers to the co.se of a loose
0 0 filling material. The coefficient of friction in the former co.se is about 20 to 25 %
higher than the latter case.

even under conditions such that the clay band is not squeezed out. With further
increase in hwnidity to a smge that clay becomesplasticandstansgening extru ded
out, the joint slowly closes and as the two surfaces of the rock come in contact, 0
the shear strength values change. This critical change starts at 25 % moisture o·a ...D c:o-.
content of clay and at 52 % moisture content the clay band is completely

.. /"
I ten id max :; l' (d)
'9...

ov
...
s S ~I----~--~---'----~~ §
+.. g rr 0·7

~I
0
~ ..~ 2 tenlli'min =f(d)
2·e. 2.01-1+-1---+-
.
)flfl

'I'" q; •
......- V
~ .. f~
2'0, I _ o-e 2.01-1+-1- - - I - 0'6
.·0

'"" V
z _ f1{,.
I.ell --, - I~/ I I
I
I'e. :II @f
3 . ",·0

"0 ,I'
4 _ .... 0
. . "01 f'=> ~ ......... 0'0

I~ r--...
I ,
o
0-15 .r!...
.......
"'1'-. -'
!-
II'L~
~;Z:::r---i
20 40 60
SO ci, diarnet!',.

10
!-
::p
10 20 215 30 35
~
.

""" -- l
W""/""
0-15

10 20
......-1- r . Fig. 10-62. Coefficient of internal friction fragments diameter reiation
<P-Iump rest results

1 - sandstone on sandstone

(0) 2 - limestone on sandstone

"" 3 - limeSlOne on sandstone with fine-grained sand between them

Fig. J0-61. (a) The relation of the shcar strength to the humidity
4 -limestone on sandstone on moistened surface

of the clay interbed (R. = 5 mmj between the sandstone plates.

(after TUUNOY and MOL.OKOY. 1971).

S - the shear resistance of sandstone plates - on sandstone

B - consisu:m:y index

R. - thickness of filling material.

When crushed stone with day is present as a filling material. the shear resistance
(b) Relation of th<: shear streng:h to hu.midity of ground clay slate (R. = 6 mml between is mainly determined by the humidity of the clay component. With hard dry
the plates of limestone and sandstone at possible soil extrusion. clay, the crushed stone has almost no influence and the coemcien ( of
S - shear strength of undisturbed clay slate belween the plates orlimestone and sandslone.
Shcaf strength of limestone plaLes on sandstone: friction is that of clay. At semihard semiplasric consistency, the shear
Ll.:on dry surface (I,V= 1.7%); strength goes up with increase in fragment Content percemage from 20-30%
... : on moislened surface up to 90 %. At fully plastic consistency, the fragmentary material uiTecLS very
W - percentage of wllter much the shear resistance only at fragment Content percentage from 60-7 j %
(after TUl..I!'O\' and Mot.m::ov. 1971).
upwards. The range of values of residual angle of friction for a variety of clays
and clay mixtures is given in Fig. 10-63. The influence of grain size on the
84 MECHANICAL BEHAVIOUR OF JOINTED ROCK

residual friction angles detennined assuming thickness of the joint fillings is BEHAVIOUR DURING SLIDING ALONG JOI::-..lTS
large enou£h not to be influenced by the joint wall asperities is given in 85
Table 10. Some hi£hlyplastic cluys may have friction angle of5 to 12°. HANDIN (1972a. b) investigated the influence of the gouge composition on the
s[rength of a joint in Tenn(:!Ssee sandstone specimens, The experirnen (s ,,'ere
40 conducted wiili gm.in size of the gouge be[ween 120 and 250 /.1 (47 x 10- j
IZS r sand and 9.8 x 10- 3 in) diame[er wiili the gouge layer thickness of 0.15 em (0.059 tn)
at a confining pressure of 100 MPa (14.500 lbfhn':!) (1 kb) and a constant r:lce
of shortening of IO-"/s with different gouge materials (Fig. 10-64). He found
that specimens wiili limestone sand are stronger than quam sand and is of the
opinion that the imPOrtant parameter playing the role is the relative dueti) i ry
of the gouge.

chlorite
The influence of grout fillings very commonly adopted in foundation work to
tole
reduce permeability is imPOrtant. Groutingmay increase or decrease the strength
oiotit.

0 1 I ! !
o 20 40 60 eo 100

clay froction «2,.d; 0/..

Fig. 10-63. Dependence of residual shear strength on clay fraction IndI"""" 11.-__ ....nd
(after SKEMPTOl'. ] 964).
...,.,<1
Jl
3'0
TABLE 10 "'.;" Coconino quaM,.. ~

.....­
Friction angle. tiJ.. for silts. sands and gravel
<II
(after TERZAGHI ;md PECK. 1967)

<1>, E z·o
Material C
<II

......
Loose Dense "­
<II
SC::JI. _ d
Sand. round grains. unifonn 27.5 34 :; ------~---------
Sand. angular gr'..lins. well graded 33 45
Sand gravel 35 56 "0 Tenn..... .and.tone
<::on#lning _ .....,.... J 1</:1
Silt sandy 27 to 33 30 to 34
Inorganic sill 27 to 30 30 to 35 O'elem -+
.U<lln'ii! <11_' .......,.."

Of 1
The influence of r.ne of shearing or time has not been detennined on filled rock
joints. But tests conducted on cenain marine clays (SKEMPTON and HUTCHINSON,
6 a
1969: BJERRu.M. 1973) show that the long tenn strength may be taken 10 to 15 % ."orten;nQ. «Y.
lower and that in overconsolidared clays reductio,n in stre;1gth' be taken as
Fig. 10-64. Differential stress versus shortening curves ror Tcnn~sce sandstone

o _5 to 2 % per log cycle of time. with various compositions of gouge. Each gouge zone was O. J 5 em thick. The specim ens

weredelorrneo at I kb. room temperature and aconstant r.ue of shorten ins or 10 - .. Is.

(after HANDIN, 1972b),

 MECHANICAL BEHAVIOUR OF JOINTED ROCK

86
BEHAVIOUR DURING SLIDING ALONG JOINTS '(-;7
of the joints depending upon the joint roughness. COULSON (1970) examined
artifICial tension joints in coarse and fine grailfed granite with grout fillings of (1970) on planar surfaces have shown that there is an improvement in the friction
0.8 to 6.4 rom and his results are given in Fig. 10-65. angle: from 15 to 30' after grouting while in the <.:ase of shales. [here was no
improvement. It is important to note that the relative strengths otgrou t and rock
These tests clearly show a detrimental influence in peak and ultimate
z strengths are important which determine the positive or neg-.Hive influence of grouting.
at higher values of nonnal stress. At lower values « 4 kgf/cm ) the peak
Depending upon watericement rotio and grout strength, the improvement shai I
strength of grouted joints is higher than natural joints. Results of BORROSO
be expected only in the case of very weak rocks which work on the principle of
the weakest link in the rock-grout-rock shear zone. If the shear strength of the
grout is higher than rock. the rock will control the shear strength :.md vice­
peok ortrengtn
versa.
A.
N
E
-
~
01
;;t;.
,;
30 10.4.3. Dilatation of Joints
Two ways of representation of dilatation (or dilation) have been frequently
used by investigators. The most commonly used method of representation is
CI zo the vertical displacement against the horizontal displacement. The :.unount O!'
...!II
vertical displacement at any moment is dependent upon the relative position
Vi
of the different asperities of the sliding surface (Fig. 10-36) .
...
0 10

III
In the second method of representation. the relationship between the vertical
.t:.
(Q displacement with respect to the horizontal displacement (dv/dh) (where du =
k-, I I I = vertical displacement perpendicular to the direction of shear force, dl! =
oJ
10
normal
20
stress,
= 040

kQf/c:m2
eo
= horizontal displacement in the direction of application of shear force) against
a certain dimensionless ratio such as (rIa,;) or (::) are plotted. This method
gives a more useful result where the maximum angle of dilation at any stage
of displacement or under given conditions ofr. an' etc. can be read out.
.E a.
ultimo,e
..,renotn
BARTON (1971 a) conducted a series ofmodel tests on tensionjoints U5inga mode!
material and found that there exists a linear vari<ltion of peak dilation angle
~
.... 30
I:) an :and the peak stress rotio tan -! (; n)cFig. 10-(6) which can be represented
.:t:. c·Q~
en /---."" by the relationShip
01

/._<~c:(2~~~~'.i
20
...
Cl
...:.. = tan (I .78 ::in + 32.88') ( 10.52)
iii O"n
...o
CP 10 _r'" .. .,:.:..--~- BARTON also tested model joints at various normal stresses depending upOn the
.t:.

en / -.;;::......;....,-
=:;::._;;...> '­ grouted
relative compressive strength of the material. He found that the dilation angle
decreased WI'th Increase
. . h . f
10 t e rotlO 0
normal. stress h (F·II!. 10 - 67 a.)
compressive strengt ­
10 zo 30 40 ::10

normol stress. kof/c:rrr If the data in the Fig. 1O-67a is represented on a logarithmic scale. the rel;:...Hion..
ship is linear and can be represented by (Fig. 1O-67b),
Fig. 10-65. Comparison of peak and ultimate strengths for natural and grouted

joint surfaces for coarse-grained (c; g.) and fine-grained Cf. g.} granite

(after COULSON. 1970).

(I 0.53)
10glO(::)= -0.1056::i"+0.1184
88
MECHAN1CAL BEHA VIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG JOINTS 89
or

lOgI0(~:)= -0.1007.n (10.54)

or O~1
7.n = 10 IOgIO(~:) (10.55) llii· b1 O~ \
b
0
'­
o,'~
The results of the equation (10.55) are given in Table 11. \/I upper and lower limits
til

OJ

Peak dilution angles measured during the shear test by some investigator.; are
C
o 0·10
given in Table 12.
to
c
OJ
E

,:J\ ~
oo~

/ (a)

7'0
/ '2~
!$ 10 III a:;l Z:I

peck dilation angle 0<"

&::>
cj '10
VI
11)
b I bO .0'n.5
CD 60

I­ 000
01
CD .g
'tI
~ 2 ·02~ /
I
/,,09,0 O'n crc ~ -O·I056ci.
n
+ Q' 1184

)..I~ .,
-
Ie

.2
:10
~
al
~
010
-ooT:5
4:)

E .00=

"5

·00=

(b)
·001

!) 10 I!)
= 2!:5

10 III 20 z:::; peak dilotion ongkt O<n

~

peok dilotion ongle O<n Fig. 10-67. (a) Variation of peak dilution angle with ratio ofnonnal slre;s
to compressive strength.
Fig. 1(}'66. Linear variation of peak dilation angle with peak stress ratio
(b) Linear variation of peak dilation angle with logarithmic ratio of normal
(after BARTON. 1971 b).
. stress to compressive strength
(after BARTON, 1971 b).
92 MECHANICAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DURING SLIDING ALONG JO[NTS 9-:'
t·3Z­

As for the displacement. the results of laboratory and lield investigations show
that maximum resistance is developed within about 0.25 to 38 mm (0.0 I [Q
1.5 in) of the displacement. In the laboratory tem on specimens of size i 5 to
0) _con<! -ord.r I,.,..g.... o,.i~i...
?}Zo","" A 30 em (6 to 12 in) the peak resistance is reached in a fmction of a centimetre
(GOODMAN, 1969). In large laboratory tests on specimens 40 em x 40 em
(\5.7 in x 15.7 in) (K.RSMAl"OYIC and LANGOF. 1964). results show tmt the

M",~ // maximum shear strength is developed at 0.05 to 0.20 mm (0.002 to 0.008 in)
In some of the in situ shear tests. the maximum resistance is developed .:J.t :1
displacement of 1.5 to 5.0em (0.6 to 2.0 in) depending upon the joint surface.
In the model tests conducted by BARTON (1971a). the displacement at maximwn
resistance is scale dependent and he gives the value as approximately I % of the
length of the joint. The applicability of these model test results has bet:n
questioned by several investigators though it looks as though that these results
are not very much off the mark when one takes the extreme vaiues obtained
in large in situ tests.

irreou~oritte.
Ov.r~ CSip b) fi,...'-Ol"'d.er
10.4.5. Physical Process of Sliding between Joint Surfaces
Almost all workers investigating the process of friction and sliding of rock
surfaces reported the presence of the following features.
1. Rock flour loose or compacted
2. Gouge and gouge zones
approxi:mcl'te aca •• " in - t ft 3. Polished areas
Fig. 10-68. An example of a discontinuity illustrating first - and second­
4. Indurated crusts.
order irregularities
BYERLEE (1966) eX<Ul1ined the physical process of sliding be(\veen two blocks
(after PATTON. 1966a).

SERAFlM and GUERREIRO (1968) analysed in situ shear tests on different areas
of cross-section of the specimens [5 m:l (53.8 ftl), 16 m:l (172.2 ftl) and 30 m:l
(322.9 ftl»). The 16 m l (172.2 fe·) tests were perfonned by JIMENEZ SALAS and
URIEL (1964) in Spain and 30 m l (322.9 f( 2 ) by RuIZ. and DE CAMARGO (1966)
in Brazil. More detailed discussion of size effects and test techniques of in
situ shC".J.r is given in Chapter 8. section 8.10. It is suggested that for the strength
of masses that have joints separated by large distances. an area of the order
of tens of square metres (yards) is probably the maximum that can be used.
When studying the strength along faults. joints or planes of stratilication.
probably an area of some tenths of a square metre (- 5 ftl) is adequate.
in detail from the point of view of the mechanism associated with brittle
mnteriais. He found that.in the case of polished gronite specimens sliding over
each other, the damage to the surface within the first 0.1 rnm (0.004 in)
displacement was confined to the isolated regions. When the displacement
corresponding to the maximum or peak value of friction was reached. there
was minor damage to the whole of the specimen surface with the presence
of a fine layer of crushed material. Beyond this maximum. the layer or com­
minuted material on the surface increased in thickness and the friction coefficien t
measured in this re'gion was that required to shear through the layer ot loose
particles on a substratum of solid material. This comminuted material COrl sisted
of finely crushed groins of rock having optical continuity and sharp angular
edges. The thickness ofthe layer ofground material was much less than that .of the
height of the asperities on the surface. BYERr..EE conduded that the interlocking
of irregularities must be sheared-off as a result of the development ot high
tensile stresses. If the contact area is small. [he force required to she-.LI the
94 MECHANICAL BEHAVIOUR OF JOINTEQ ROCK

asperities is small and vice·versa. The physical process involved in the sliding BEHAVIOUR DURING SLIDING ALO:---':G JOINTS 95
when the contact between the surfaces is confined to isolated regions is no
different from the physical process when the contact is made over the whole aurfoce dc::rnaQ_

doscrq;;;lTlon of dON"H::I<,;;e
Cla • • ttiCOfton

of the surface.
severe 004..lQlnQ o\ler > 10"'/." of or-GoO.
PAnON' (1966a) when exmnining the influence of the number of teeth considered '37 eK't .. nslvO ftMtet"nQt C'O",COCTlon Qt'

that when two surfaces have asperities sheared ofT. the shearing force acts roCk. ffour' Out $olde QCluQ. ron • •

primarily on the external teeth and these are sheared ofT before the full lengtb 3"'"ere QOLJQlt"'IQ Over >IO CI/ . . of O~.
of the central teeth can be utilised. The phenomenon of frictional sliding is G6 little Or" no ext.rnal cQrnpacTion

then or progressive failure ?fthe asperities with displacement and not the failure of rock rlour out_ide Q()uQ. zone.

of all the interlocking asperities at one time. loco! CQUQIMQ OVOf" < 10·/. of artso..
G~ .Ktet"'l:"V_ • • ternOI CO""()OC;J',on 0 t
HOSKINS. JAEGER and ROSENGREN (1968) found a great deal of surface damage r'Oc:j.( ffau r OUTSIde QO\.q. ron ••

and slickenside with rough surfaces. but for smooth surfaces on which stick-slip locol Qo~ino 0 ..... ,.. <10""-. at 0 " . 0 ..
oscillations have taken place there was very little evidence of surface damage. G4 Ii.,..,.!. or nO' a.eternal CO"-'POctlon
The measured surface roughness did not increase and there was litlle evidence ot rOCk flour OUTSide QOUQ. zon • •

ofdetrital material or fracturing: of crystals. hard rocx syr fac • • • • parot.a by

G~ loy.r 01' .xte,..naUy eornpo.ctCKJ
JAEGER (1971) concluded that with sliding of rough surfaces which are at first
in intimate contact (completely interlocked). the contact is lost except in a few
regions where intense shearing and removal of material take place. This sheared GZ
.
C>
:l
roc:k

rock 'flour
'flour. aurfoce por• •

'fillinO eurtac.
filled

pOr • •

0
C>
incomJ:)'.f.'y. aom. 100• • pQ'Wd4r

material fills the hollows giving the end result a surface of gouge material. In ,,!,O" aurlcc:.
cases. where the rough surface slides over a relatively flat surface. the highest "
C

spots of the rough surface are worn down and may also score the originally flat
GI ".

:l
QrQtl"Ut lao • •n.cl
bt.Jt noy tro<:1"Ur_d

Of" dj.jodO~

surface. In such cases. the same regions ofthe rough surface are always in contact ~
with the opposite and the result is a gradual increase in the contact area with '""
progress in displacement. At places of contact where profuse gouge material is .."
formed the rubbing blocks may fail by indirect tension caused by local stress
at contacts.

COULSON (1970) examined the phenomenon of surface damage in quite detail.

He classified the types of damage or wear of the sliding surface into 3 main .'
.;.('" aurlac. POli.hoed, litti •
categories (Fig. 10.69) namely. polishing. induration. and rock flour and gouge. .0
or no POwder
0'

COULSON found that gouging and generation of rock flour is chiefly associated
wi th rougher and sandblasted surfaces. II ,('~.... In<luro. .d
PZ
aurtoc;. PQllah~ ..

~. Cry.t fin. POl.!!rder and/or

mInor QoYQ_

Under a microl;Cope. it was observed that the gouge material and rock flour­ c:ru&1'.

consists of small discrete angular panicles which could' be separated from

their neighboUrs with absence of any fusion in between them. indicating the
a bsence of any plastic deformation. (COULSON"S tests were conducted at
and the rocks tested by him were limestones. sandstone and gr,mite.) The
compacted gouge nour in the gouge trough gives the: appeamnce or a typical
sI ickenside (Fig. 10·70) and chatter marks similar to those associated with rock
being abraded at the buse of moving glaciers. At the bottom of the gouge
Fig. 10-69. Surface damage classific-ation system
(after COULSON. 1970).
material appe"..tr step like features opposing the direction of shear (comr..try
to that of [he structural geology concept) with dip of 17.1/2 and In J ver.:lge
dip of 20'. These step like features are similar to the "RIEDel sheJrs" observed
by-many investig,Hors (first reported by CLOGS (1923) and RIEDEL (1929)), {he
96 MECHANICAL BEHAVIOUR OF JOINTED ROCK
Fig. 10-70. Schematic cross·sc::ction of gouge zone developed on a Solenhofen
limestone surface sheared dry under a normal pressure of1177lbfiin 2
obaervGd "steps" on failure surfaca
(after COULSON. 1970).
and direction of movement
difference being that in the CLOOS-RIEDEl. experiments the ·-RIEDEl. shears"
form ftrSt followed by shears parallel to the direction of slip which coalesce to
form the principal slip surface. The RIEDEl. shear formed in the process of
shearing is a secondary feature. the' prepared surface of sliding being the
primary feature.
Because of the orientation of the RIEDEl. shears. slip along them is hindered.
the fragments get detached and reduced to rock Oour accompanied by an increase
in volume. Under high pressures. the compaction of this gouge. so formed.
takes place and this may locally behave as a compact mass giving rise to new
RIEDEL shears and the process repeats itself.
According to COULSON, this type of phenomenon is only associated with the sur­
face damage classification 0 ... Os, 0 6 , 0 7 and Pl and occurs only at high normal
pressures. RIEDEl. shear and deep gouge develop only after enough debris has
been generated to completely fill the pores and the partings between the two
sliding surfaces. Similar observations were made by EINSTEIN et al (1969) in
their studies on jointed specimens who found that the steep sides formed are
opposed to the direction of sliding (Fig. 1()"'71). According to them, these
steps are a part of secondary conjugate shear planes along which displacement
occurs after the primary shear surface has been created. This phenomenon
occurs only at confming pressures up to 6.895 MPa (l000 lbf/in l ) and is absent
ut higher confming pressures.
HAr..UIN (1972b) investigated the gouge development under different experi­
mental conditions. In his tests precut ~imens were subjected to axial and
V'clrying confining pressures and strain rates. He found that the gouge d~vel0p'"
ment changes systematically, that is, the abundance of thick. clumped gouge
increalies while undisturbed original surface and "welded gouge" decreases
with increase in the angle which the precut makes with the axial load. This
change. he suggested. may be related to the change in the nonnal pressure
across the sliding plane which increases with increase in the angle of precut. He
also found that gouge abundance increases with increasing confining pressure
while the rate of strain (range IO/s to 1O- 4 fs) has no perceptible influence
(Fig. 10·72).
BEHAVIOUR DURING SLIDING ALONG JOfNTS
",
~
.~
EJ ~ Q
failure Oaginnino
Of
residual
residual
slidino
alidino
and
formation
of
SQCondary
sh&ar planes
Fig. 10·71. Failure surface deve!opment
(after EINSTEIN et al. 1969).
HANDlN also made a detailed analysis of the "welded gouge" so produced. This
welded gouge is an indurated material that can be easily flaked from the
sliding surface and can withstand small loads without breaking up and supports
brittle fracture. Under high magnifications this is shown to be composed of
randomly oriented. poorlY-SOrted. fme fragments of quartz that are imbedded
in and indurated by an isotropic matrix. The isotropic matrix has a refroctive
index of 1.516±O.002 which is close to that of glass produced by a grinding
wheel when purposely jammed into the specimen. X-ray and scanning electron
microscope studies carried out on the welded gouge led to the conclusion that
this welding of the gouge prObably involves fusion of silica and impuricies to
produce a glassy matrix which implies very high temperatures obtained JOClJly
- during frictional sliding. These hot spots may be extremely smaJi and attain
temperatures of 1500"C (2732° F) and are short lived. This suggests that at the
asperities. some gliding flow may accompany cataclasis during frictional
Sliding.
The phenomenon of polishing in sliding is associated only with lapped surface
(# 600 grit) and is basically an abrasion process where the mineral hardness
plays an imPOrtant role. COULSON found no polishing in Cllcite rocks such as
Bedford limestone, SOlenhofen limestone (MOH'S hardness = 3) while quartz
rich rocks (MOH'S hardness = 7) did polish. BOWDEN and TAOOR (1967) are of
the opinion' that the chief mechanism involved in the polishing of metallic
surfaces is surface flow produced by frictional he:lring. ff this mechanism is

<)x MECHANICAL BEHAVIOUR OF JOINTED ROCK

BEHAVIOUR DURING SLIDING ALOi"G JOINTS <)<)

.-H,

•
-.~ t
t
0
~ surface is flat except for striations pami!ei to the direction of shear and occurs
• : : only in the cast! of wet surfaces (COULSON. (970), This is due to a decrease in
,~:2 ,~!
£ ,. • ~ ; ts .6 :. , !- bond strength. COUlSON observed this only in c:J..::;e of calcite rocks (B(..'dford
o&g~':... D&'~~
:I

limestone and Oneota dolomite).

ls&~~:'
~ucooE
Isg.~~
_UI:OC>
.2:;::.;:~ .l:i..­
.... _co u .--~~

..0
10.4.6. Phenomenon of Stick-slip
30
20 The phenomenon of stick-slip is quite well knovm in metal friction, The

tiL
stick-slips are relaxation oscillations which occur when the coefficient of
w) Pc.I4OtH:I...s dynamic friction is less than the coefficient of static friction,
It has been observed by severn I investigators that when a rock surface slides
O~
l!.. ~o -;:{ '~
30
... ~
>. "0
u 20
.;' "'",

~.:::. ."';"

over another surface. the movement between the surfaces lakes place in a
20 ~..: " ,:,
t:
~ 10
. . • '"

~ . .' ~.:; ~';

jerky manner with a sudden drop in the value of the she-.lring force. 8RIDG~tA~
~
• 10 z " %:: -, ~ 0 '~ .. %~:.:" (1936) was perhaps the first to report this phenomenon while she:::uing brittle
o '" ,-:-,~
materials at normal stresses. JAEGER. (1959) in his tests on flat surfaces at
t
ttl pc· 240 Ogr.

~tbl confining pressures of 20 MPa (200 bars) (2900 lbf(in.:!) (flatness within
3OtIJ,>
40 ""'.-', , , - l!I:>-,
0.05 mrn (0.00197 in» observed that after a short initial period ofsliding, during
~=
~ 20
20 r.,.. ...~~ which possibly an intimate contact is established, subsequent movement takes
~
10 ..
10 '"
place by a violent stick-slip process of large amplitude (Fig. 10-73). In this

. OlM

o ." . ...
o ' '
(g~ Pc • 3:$0 DO'"
test (Fig. 10-73). after two such slips had taken place at B, the conflIling
(e) ~ ~. S-r.!5."
pressure was raised to 40 MPa (400 bars) (5800 lbf/in':!) (C) and then to 60 MPa
(600 bars) (8700 Ibf/in:!) (DE). 80 MPa (800 bars) (11800 Ibf/in!) (FG) and
30
100 MPa (1000 bars) (14500 Ibf/in 2 ) (HK). It is seen that stick-slips occurred at
Pe" co"'f'mtnQ p,. • • •"'...
20
all these pressures and the loads m which they occurred were surprisingly
10 "0
reproducible. BYERLEE (1966) in his tests on Westerly granite. found th;:n at the
o ",
/.:;'-;
(en pr.c:t.rf J:" . . .0· end of the slip movement, the shear force in most cases dropped to about 2/3 of
Fig. 10-n. Histograms showing gouge development in frictional gliding
experiments. Tennessee sandstone. Frequency in the occurrence of gouge types arc

D~'

based on point counting methods: 101al countS are423. 358. 290. 240. 330.300. 1Q

:.mu ::!R::! in biSlogr.tms a-,g. respectively, (a..o) Histograms show gouge changes for increase 0
in angle of precut in tests run at 140 bars confining pressure. 24' C. 10- "/5. Initial
surfaces were prepared with grinder only. (e-g) Histograms show gouge changes
for incrco.lsing confining pressure at fixed precut angle of35 .lnitial surface prepared
with grinder plus polishing with 600 grit a bmsive
- )(

l :l'
.x

(after HANDIN. 1972b). -g0 0·5 c

B
important for rocks also. then one could expect that limestone with its melting 0
A
X
point of 800 C (1471 F) should polish more easily than quartz whi:h melts at 0

about 1500' C (2732' F).

The phenomt;non of indunl.tion of the surface is associated with an exte.1sive displocemant,cm

amount of "cut and fill" in the original rock surface. The indur.lled rocK Fig. 10-73, Load-displaccmcnl eurve for sliding over b<Jrc surfaCL"S at:x 25
(:x = angle of inclination of precut with [he "xi,,! force).
100 MECHANICAL IlEHAVIOUR OF JOINTED ROCK

the shear stress required to initiate movement. Similar results have been BEHAvrOUR DURrNG SLIDrNG ALONG JOfNTS 101
reponed by CHRISTENSEN' et al (1974) on ground surfaces of Westerly granite
using torsional shear test.

III.

'0 ~

HOSKINS. JAEGER and ROSENGREN (1968) tested blocks of Red granite having

fl·
1:: I
I Jil~ , ,'
lapped surfaces with roughness of0.889 ± 0.127 pm (35 ± 5 pin) in theequipmem

-:: (; ~I.., ~~C0.~'L!

(Fig. 1O-18c) and reponed that after an initial rise in load. a sudden slip 0

occurred and stick-slip proceeded regularly with increasing amplitude (Fig..

10-74). Fig. 10-74a is taken from the machine recorder and on an enlarged
scale it is shown in Fig. 10-74 b. The ponion of the oscillations below the dotted
11­
line PQ are caused by motion of the testing machine pendulum and the actual
ampliwde of the oscillations is the distance between the upper ponion and the Fig. 10-74. (a) Testing machine recorder load-displacement curves for smooth

Red granite with surface roughness 35 ± 51.1. in. Flat jack pressures

line PQ. If the highest and lowest values of the T are calculated and the T- Cfn (0 500 lbfiin~: (:i) 250: (iii) 750: (iv) 125: (v) 250: (vi) 375: (vii) 500: (viii) 625.

curves are plotted. straight lines are obtained (Fig. 10-75) with different values (b) The oscillations of Fig. 10·74 (a) (i) on a magnified scale

of the intercepts on the T axis giving different cohesive strengths (c) and (after HOSKINS. JAEGER and ROSE:--'GREN. 1968).

different friction values (p).These values so calculated for different rocks are
given in Table 13. .
~OO

,/-': -0'03

TABLE 13
_~.~ r -0·48 ...
...........
Coefficient of friction and cohesion for rock surfaces
N
.s . ~ ........
-~~
-­ ,

exhibiting stick-slip behaviour ~ -0'3Z

(after HOSKINS. JAEGER and ROSENGREN. 1968) "....
.a
2::10
~.

~ __ -~ -O':/:l:\
S

"
Rock
Surface roughness
Jl Jl. fI' e c*
(F-F*){X. .: -.­
Jlin (/1cm) Ibf/in (N/m)

Redgranite 35±5 (89±13) 0.53 0.31 0.42 40 40 5.1 x 10" (894 x 10") 0 Z::IO 000 7150
Redgranite 80±20(203±51) 0.53 0.48 0.50 50 50 4.7 X 106 (823 x 10ei )
CTn,lbf/rn z
Gabbro 35±5 (89±13) 0.32 0.25 0.28 35 30 3.4 x 10"(596 x 10")
Fig. 10-75. Typical shear stress-normal stress relations for surfaces which show stick.slip.
Gabbro 50 (127) 0.18 0.15 0.16 40 30 2.9 x tOn (508 x 10") A, Red granite 35~, in:
TI"'.1chyte 30 (76) 0.63 0.54 0.58 60 70 5.0x 10"(876x 10h) B. Gabbro 35 I' in
Carr.1r:l (after HOSKINS. JAEQER.. and ROSENGRION. 1968).
marble 55 (140) 0.41 0.39 0.40 120 110
The phenomenon of stick-slip is not very cle:u as yet. HOSKINS, JAEGER and
II = coeffic::io:nl of friction beforc slip (Fig. 10-75)
JI· = coefficient of friction after slip ROSEN'GREN (1968) observed that these were associated only with surfaces ofh. igh
Jl' "" avel"'.lge value of coefficient of friction equal to coefficient ofdynamic friction ftnish and that this behaviour can be inhibited by reworking of the surfaces.
c = intcrcept on T axis before-slip curve They found that when the surfaoe of Red granite was reworked from 0.889
c· = i~terccpI on T a:tis after-slip curve ±0.127 pm (35±5 pin) to 4.562±O.508 ,um (180±20 ttin). the stick-slip
--x-- = st!'111ness 0 f t hc mach'me
F-P oscillu.tions disappeared. JAEGER (1959) also observed these oscillations IV ich
ground surfaces but there are indications that similar oscillations existed in his
F = load before slip
tests on plaster filled joints at large displacements. JAEGER and RosENG~E!"-i
F·= load after slip (1969) reported that oscillations occur only when the surface roughness is
X = displacement during slip
less than 0.00254 mm (0.0001 in) and that these oscillations are sometUr-lcs
irregular. BRACE and BYERLEE (1966u, b) and BYERLEE (1967a) stated that
102 MECHANICAL BEHAVIOUR OF JOINTED ROCK BEHAVIOUR DURING SLIDING ALONG JOINTS \03

~ '..,'ocomoo,
b::~::comoo,
these oscillations are more pronounced with rough than with smooth surfaces.
It looks as if for each type of rock. cenain conditions have to be met in order
for stick-slip to take place. Work conducted at the Centre for Tectonophysics.
Texas A & M University (HANDIN. 1972a. b) indicates that for stick-slip to
•.
~to~s
' ~,
occur the Tock-should not be of carbonate composition nor contain alteration
products that will be highly ductile under the experimental conditions. LOGAN
et al (1973) are of the opinion that the porosity of the Tock should be low.
time flme:
Relatively moderate confining pressures. low temperatures and medium to slow
rates of strain enhance slip. In triaxial tests, slip is enhanced when the sliding
surface makes an angle of 30 to 40° to the load axis. HANDIN (l972a. b) is of ~
the opinion that the sliding surface should be flat. planar. free from large inter­
locking asperities and no gouge should be present. (0 ) (0)

The mechanism of stick-slip may be divided into two distinct classes. Firstly,
the individual movements which may be associated with the shearing of the
asperities and which. due to the stiffness of the loading system, result in 'a
~':
o
.D".
~ .,o,'ocomoo,
sudden drop of the shear force. Such movements are likely to be associatf'.d
with rough surfaces. Secondly, there are the relaxation oscillations which are
due to the difference in the dynamic and static coefficients of friction of the
rock surfaces.
liforce
time
The fll"St type of movement is an accidental phenomenon and is non-repetitive.
With movement of blocks the surfaces become smoother, the area of contact ~.§.

increases and so does the adhesion between the blocks. As sliding takes place.
some grains are fractured while others are broken at the grain boundaries and
plucked out and some may even undergo ductile behaviour. But a majority
(c)
of the grains are elastically strained (Fig. 10-76a). More and more of these
grains are elastically strained as the displacement continues until a critical Fig. 10- 7<>. ::).;hem<ltic di<lgrams ofconcept ofsurface defoC'm<ltion during stick-slip.

Shaded areas indicate elastic straining of rock at sliding surface

number of grains reach a threshold value of elastic strain and their failure (after HAl-oIDIN. 1972b).

occurs (Fig. 10-76b). At this stage the resistance to sliding is lowered. rapid
displacement takes place and stress drops giving stick-slip. The cycle repeats the surface by a spring €JM of stiffness ;. whose one end a is moved with a
itself. but because of the planar nature and uniform roughness of the sUliace. constant speed V (Fig. to-77a). The mass will remain at rest relative to the
the critical stress is reached on a reproducible and cyclic basis. plane until the force F exerted by the spring reaches the value given by the
The elbove explanation assumes that after a cenain (but perhaps quite large) equation
displacement or repeated displacements when the two surfaces become truly
F=f.lW (10.56)
parallel. then the stick-slip phenomenon should disappear.
It is at this stage that the second factor comes to playa dominant role. When At this time it will slip zmd its motion will be resisted by the force of dynamic
the surfaces are truly flat. their cohesion is very high and they behave similar friction fl'W. During slipping, if V is !>mali, its displacement Xreiative to the
to met:lls. That is why oscillations have been observed either in rough surfaces plane is approximateiy given by
or in case of extremely smooth surfaces.
x = (y. - fl') W [1 - cos nt]p. (10.57)
HOSKINS. JAEGER and ROSENGREN (1968) analysed these oscillations in terms
of a model of mass M pressed against a surface by a force Wand moved along wheren= (l/M)'/'.

~f
 104 MECHANICAL BEHAVIOUR OF JOINTED ROCK
BEHAVIOUR DlJR!:-lG SLlDI:-lG ALONG JOI0JTS 10'
IL.
G)
A

~.lli:'
(.l

5
00­
/"-w
(2)4'-),)­
o 0'000:5"
--L--J­ c
O~~i displacement X t
e
(0)

(0) (b) S c)
Fig.. 10-77. (a) Simple model for stick-slip oscillations

(b) Force-displacement curve

(c) Displacement-time curve

(after HOSKINS. JAEGER and ROSENGtUrN. 1968).

:50_
---L-~;....
The mass comes to rest agair, at time 1 = nln. approximately, and the spring
begins to compress again. The displacement X at each slip is given by (b)

Fig. 10-73. (a) One cycle of the oscillation of Fig. 10. 74b on an enlarged scaJe.
,)W (10.58) (b) The same showing displacement against time
X= 2(p-p ;. (after HOSKINS. JAEGER and ROSENGREN. 1968).

The force F" exerted by the spring when motion has just ceased is given by High speed records have shown that slippage takes place in a time less than
2 ms com:.sponding to n > 1500/s.
F* = (2p' - p) W (l0.59) It shall be seen from Fig. 1O-74b that the displacement X at each slip increases

It follows from Eqs. (10.56), (10.58) and (10.59) that

with the amplitude of the oscillation and the mean value of ( F ~F'" 1should
represent the stiffness of the machine (Table (3). The values\.re in 'l~e range
x (F-F*)
(10.60) of625.6 to 876.0 x 106 N/m (3 to 5 x tOO Ibffin) which are in good agreement.
/.
,
From Eqs. 10.56 and 10.59 the coefficient ofdynamic friction I" is the arithmetic
mean of ,LI and I'''' (Table 13).
and the period of oscillations is
HANDIN (1972b) conducted tests at stmin r:Hes (axial shortening of precut
2 (II-II') W cylinders in a triaxial apparatus) varying from 10- 7 to 10 3;S. At a contining
(10.61)
i.v pressure of 14 MPa (140 kgf/cm 2 ) (2030 lbf/in':') and rate of strain of ! 0 - "/s
the stress drops at stick-slip were approximately 1 to 2 MPa (10 [020 bars)
The force-displacemenl curve is given in Fig. 10-77b and the displacement­ (145-290 Ibf/in l ) and when the strain rate was decre-.lSed to 10-"is, the mess drar
time curve in Fig. 10-77c. increased to 10 MPa (100 bars) (1450 lbf/in~) (Fig. 10-79). At a strJin r..tte 01
to- 3. 'there was almost a complete suppression of the stick-~Iip. SimiLtr resulls
It shall be seen that the actual curves so obtained have a close resemblance
were reported by DIETERICH (1970) and SCHOLZ. MOL:'-JAK ami JOHNSON (1')72).
to the theoretical curve (Fig. 10-78). The oscillations take the form (TAC in
ll1e vulue of the strain rate at which stick-slip will disappear dcremh uron Illl:
which O'A represents the small displacement when the load is building up, AC
method of preparation of the specimen. rock type. confining pressure and a host
represents the slipping phase and Be is the effect of machine pendulum.
of other features.
 BEHAV[OUR DURLNG SLIDING ALONG JOINTS 107
106 MECHANICAL BEHAVIOUR OF JOINTED ROCK
Tests were conducted by BYERLEE and BRACE (1968) on the influence of v;J.rious
factors such as rock type. pressure. strain rate and stiffness of [he system on
the phenomenon of stick-slip. They found that cerrain rock types (g:r:-anile,
gabbro. gr~nodiorite. dunite. etc.) give rise to stick-slip and the stick-slip
sandstcme
amplitude incre.o.ses with incr~se in pressure (Fig. 10-80). At low pressures the
Tennessee
Pc: '" 140 ba...

type I
shorten1no rote 10-4 /",

L
8
fJ)
.... IZ
Z 4 <5 o
.Q
.Q

.x:

10

L..

vi a
.B fJ)
ill
....
1ii
WW1·"b
III

III

GI

L.. \ Pc: :§
'i ....00 Pc: C
QI

Q'S3kb

E
C lIhonenlno rate
10-"'/", -I..

QI

.....
'6
Q·42.kb

-"
GI
o 1<--_--'_ _....1._ _......_ _ _ __
... /
t...
CD

!: 0 z <5 8
o !)

axial
10 15

strain, percent
=
Fig. 10-80. Differential stress versus axial strain for San Marcos gabbro.
The value at toe end of each curve gives the confining pressure in kilo bars
_4
10 (after BYERl..EE and BRACE. 19681.
I
BOO
rocks give stable sliding and only at intermediate and high pressures do these
give stick-slip. In otherrocks (e. g. Solenhofen limestOne. marble. granite. rhyolite
tuff. Spruce Pine dunite. etc.) no stick-slip occurs even at pressures up to
500 MPa (5 kb) (72.500 lbf/in~) (Fig. 10-81). They concluded that stick-slip
is controlled by mineral type and porosity. Stick-slip does not occur with high
0-::' en> porosity rocks like tuffand is also absent in rocks containing calcite. serpentine.
etc. The increase of 3 % of serpentine in two dunites tested by them completely
alidinQ dio;pacement
changed the frictional charnctenstics. The presence of Jarge amounts of mir:e:-als
of I such as mico and chalcocite has little influence and as such they concluded that
o 2 4 <5 8 the role of alteration is not certain. They also found that the stiffness or [he:
system has influence on the phenomenon of stiCk-slip and that very eiJ.sri"
shor'tenina. percent
systems shall give rise to a greater drop in the stick-slip (RAm:-1owICZ. 1965).
Fig. 10-79. Differential stress versus shonening for T ennessce sandstone deformed
The maximum.stiffness of the system used by BYERLEE and BRACE (1968) '.vas
at a constant rate ofshonening oflO-"'/$ and lO-'/s. TestS were done at 140 bars

confining pressure (Pel and room temperature.

however of the order of 19.618 x 10'" Njm (20 x 10'" kgficm) (111. 9 x 10"- Ibf:ir;)
Specimens contained a saw cut at 35' to the load axis

(after HANDIN. 1972b).

IO~ MECHANICAL BEHA VI OUR OF JOINTED ROCK.

BEHAVIOUR DURING SLIDING ALONG JOINTS IU')

O"~l "·~1 ~
c;; =-2-99 ko/C'::r."'\::
IZ 002:':)1 c2~1 ~---------------------
...
Ctl
0
.0 0'2:>] O"2!1o~
o r·
cr '::II~39k.o/CJ'Tt':
..2 O.2~~
n ...........

X "':0:> '---­
.; a o.~]
~",~lOOek~m;:

~ <>z~j ~~
E o.~ 0=1
iii

:~~::1~~'

"5

C ...

f
....
III
....
'ti
, T ,
1'0 I'" Z<l
o ~~~----~~----~I~O~--~I~~~--~20~---
(0) ,. - 1'2Zmm/min (b) ; . . 0'12 mm/rn,n
axial strain. percent
Fig. 10-81. Differential stress versus axial strain for Spruce Pine dunite. The value at the

end of each curve gives the confining pressure in kilobars

O'~:l _ _ _ _ _ _ _ _....:<:T:!:":..-..:<l::....::-_k..:w_cmz:~ ~z
(after BYEJU.EE and BRACE.. 1968).
o.z~i
a,,"~kQ.Ic:rri' o''''''j ~':59""""",,,
0":1
which was of the order of the specimen stiffness and the lower range was of
the order of 1961.8 x 10" N/m (2 x 104 kgf/cm}(11.19 x let Ibf/in).
~ ~eo1
o.~ N\
Tests conducted by LAMA (1975a) on models of marble surface obtained in a
Brazilian test using plaster.water mixture as a model rr..aterial showed distinct
O·:i~%o:l ~.
sLick.slip phenomenon on these highly rough surfaces as well as on polished -~ 0-1~
surfaces. The amplitude of stick-slip is related to the normal stress and the
shear displacement rate. Fig. 1()...82 shows parts ofthe shear-displacement curves
at a total displacement of 2 mm at different shear displacement rates and
non:nul stresses for the same joint surface reproduced every time using silicone
0':1. ~~':~=.~:<V~"r
o.~o ' , \I"!\j\J"!
rubber mould. The amplitude decreases with increase in shear displacement
rate and increases with normal stress. The SLick-slip amplitude seems to be r , r
"0 I'" Z<l '·0 I...,
"...,
dependent upon the ma:;:hine stiffness and decreases with increase in the shear
<c) . . . O'OIZrnlTl/lTlin (dl ,;, -O·OOO!5IT'1tT1/r""n
stiffness ofthe machine.
Fig. I0.82. Slick-slip as;,l function of displacement rate and nonn:.!1 stress in the

COULSON (1970) tested specimens in the stiffness range from 350.4 x 104 to displacement ranges I to 2 mm

6657.6 x 104 Njm (1 x 10-> to 38 x 10" Ibf/in) (i.e. stiffness systems much lower (after LAMA. 1975a).

than those used by BYERl.EE and BRACE. 1968) and found decreased stifTness
increased the severity of the stick-slip. The stifTness of the faul1..S in the earth's
crust is of abollt 4 to 5 order of magnitude smaller than the laborator; testing
The equipment used by HOSKINS. JAEGER and ROSENGREN (1968) h:ld stilTnesses
machines (W ALSH. 1971) and hence stick-slips occurring in nature shall be much
of 625.6 to 876.0 x 10 6 N/m (3 to 5 x 106 Ibl/'in) and even with this high
more severe.
stitTnesses they observed stick-slip in trachyte. granite and gabbro.
 FRACTURE OF JOINTED ROCK IN U'NIAXIAL COMPRESSION 111
110 MECHANiCAL BEHAVIOUR OF JOINTED ROCK

The presence of water and pore pressure will reduce the effective stress and 10.5. Fracture of Jointed Rock in Uniaxial Compression
hence cause reduction in the stress drop. BRACE and MARTIN (J968) found that
violent stress drop disappears under high pore-pressures at low strain rates. BORElTI-O~YSZKIEW[CZ (1966) studied the effect of direction of ioading In
COULSON (1970) also found that stick-slip is more common for dry specimens relation to bedding planes on the compressive strength of sandstones in both
than for wet surfaces. air-dry and water :saturation conditions. When the specimens were rested by
loading along the bedding planes. the strength was considerably less (han
The influence of temperature (30 to 20{Y C) (86 to 391" F) on stick-slip at normal when loaded at right angles (0 the bedding planes (Table 8. Vol. I).
pressures of 0.073 to 1.958 MPa (0.75 to 20 kgf/cm l ) (10.65 to 284lbf/in':!) was
studied by DRENNON and HANDY (1972). They found that an increase in tem­ GOLDSTEIN et ill (1966) tested composite specimens of differen t sizes nude from
perature of the rock undergoing stick-slip caused an increase in stick-time. a cubes of plaster of Paris and sand mixtures of different strengths (element::l1
corresponding increase in the Ilmgth of the individual slips and an increase in cubes were of 2 em x-:2 em x :2 em (0.79 in x 0.79 in x 0.79 in)). They design:Hed
the amount of relaxation of the shearing load upon slip. On decrease in tem­ the ratio of the length of the model (L) to the length of the element (/) as (he
perature. the amount of stick-slip and load relaxation decreased (though non­ "block index (L10 (joint spacing) and the results obtained by them are given
linearly) until smooth slip fmally occurred. The temperature at which stick-slip in Fig. 10-%33. According to them. these results can be represented by [he
relationship
disappears depends upon the normal load.
The gouge present in the fault plane influenc::s the stick-slip behaviour.
Saw cut granite specimens tested at conflning pressures of 0.75 kb­ -£=..=a+b
(T
(Tc.
­
L
(/)P (10.62)
6.72 kb (10.900 Ibf/in:!-92,lOO lbf/in") with gouge thickness of 0.25 mm­
4.0 nun (0.01 in- L6 in) showed that stick-slip was absent at low confining where (Te~ = compressive strength of the mode! (composite block)
pressures (0.75 kb) and appears at higher pressures only. The pressure at which (Ye. = compressive strength of the elemen t constituting the block
this transition takes place increases with increase in gouge thickness (BYElU.EE I = length of each element
and SUMMERS. 1976). This influence of gouge probably explains why certain L = length of the model and
investigators observed stick-slip with clean swfaces only (ENGELDER.., 1973). The a, b. P = constants, where fJ < 1 and b = (l-a) (Fig. 10-84).
interaction with the normal pressure _is important. The gouge material which
ismore orless granularunde:rgoes rompaction at higb.er pressuresand then dilates
under shear (BYl:RI:EE, 1968b). If the transition from high pressure compaction
to dilatation at comparatively high pressure leads to weakening ofthe material, ~ ..
then it is possible that this mechanical instability caused is responsible for
stick-slip.
It is also anticipated that stick-slip in rough joints is associated with the ':>'6
-----
frd.cture of the asperities. The influence of time for which as asperity indents
- - - - - - - - - - II
into the opposite swface under both normal and shear loads will naturally show n·..:.
some creep depending upon the stress and the creep properties of the rock. Its
penetration increases the contact area and hence requires higher shear force -....------- m
0·2
for sliding. This suggests that dynamic and static frictional V"d.lues should be velo­
city dependent and o'l:leY some form of logarithmic creep law. TIlis is likely to o I ! I r
happen only if the asperities remain undamaged under these high stresses. 2 4 is a 10 12
Tests conducted using diamond asperities on different rock surfaces tend to L./I
support it (SCHOLZ and ENQELDER. 1976). Fig. 10.83. The rdative strength of the composite specimens
I <To - 10 kgf/cm'::
Shear stiffness of the system and the brittle fracture are important contributing [[ rr: = 20 kgf/cm'::
factors which should not be ig;lored. m "':. =- 30 kgf/cm'::
(after GOLDSTEIN et al. t 966).
204 MECHANICAL BEHAVIOUR OF JOINTED ROCK
99. SKTSNER. A. E.: A nott! on the influence of interparticle friction on the shearing:
strength of a random assembly or spherical panicles, Geotecnnique. Vol. 19. 1969.
pp. 150-157.
100. SOWERS. G.F.. WILLIAMS. R.C. and WALl.ACE... T.S.: CompressibililY of broken
'rock and the settlement of rockfills. Proc. 6th lnt. Conr. Soil Mech. Found. Eng..
MomTe<ll. 1965.
101. SUDAKOV. V.B. et al.: She<lT characteristics of horizontal expansion joints in the
Toktogul hydro-electric station dam. SOy. Min. Sci•• Vol. 10. 1974. pp. 4Oi-403 ..
102. SWANSON. S.R. and BROWN, W.S.: The mechanical response orprefractured rock
in compression. Rept., Mecb. Eng. Dept.. Univ. Utah. Salt L.ake City. 1971,
103. TSYTOVTCH. H.A.. UKHOV. S.E. and KORNlt.LOV. A.M.: Deformation of fissured
rock. Proc. 3rd Budapest ·Conf. Soil Mech. Found. Eng.. Budapest. Oct., 1968.
pp. 2Z7-241.
104. WANO. C.Y. and MORRISON. H.F.: Electrical resistivity of granite on frictional
sliding: application to earthquake prediction. Geophys. Res. Letter. Vol. 2. No. !2.
1975. pp. 525-528.
105. WlTHERS. J. H.: Sliding re~istanee along discontinuity in rock masses. Ph. D. Thesis.
Univ.IlIinois. Urbana. 1964.
106. W I"I'TK.l':. W.: Influence of the she<lr strength of the joints on the design of prestressed
anchors to Stabilise a rock slope. Proc. Geotechnical ConC Shear Strength Properties
of Natural Soils and Rocks. Oslo. 1967. Vol. I. pp. 311-318.
107. Wu. T.H.. Doucil.....s. A.G. and GOUClHNOUll. R.D.: Friction and cohesion of
saturated clays. J. Soil Mech. Found. Div•• Am. Soc. Civ. Eng.. Vol. 88. SM 3.
June. 1962, pp. 1-32.
CHAPTER 11
Classification of Rock
11.1. Introduction
With the developments in rock testing techniques and the int1uence of [he
individual parameters on the mechanical response of a rock. there has been
a need to consolidate the data acquired together to give some simple nwnerical
indices reliable enough for a practical rock engineer to detennine the st:lbility
of his excavd.tions and design a support system. Any amount of data obtained
from testing has no meaning as long as it is not correlated with each other to
give a meaningful picture of the rock mass as a whole and related to the
type of e.....cavation which is to be placed in it. These facts have been recognised
for quite some time md attempts have been made by geologists and engineers
to syntheSIse their experience in certain numerical values. Attempts h:lve been
made to classify rocks according to a combination of field :lnd laboratory
studies with the laboratory tests being limited to cen:lin simple index tests.
It is here tlmt the geologists and engineers try to speak :l language under­
standable to each other. 111ere Imd been a wide gap between the prJ.ctising
rock engilleer. the research scientist and the geologist :lnd this gap has been
slowly decreasing. In the last 15 years a number of classific:ltion systems have
been put forward and improved upon. Because of th& large number of para­
meters involved and the inherent variability in the rock properties a general
classifiC'.ltion which pennits to arrive at a final decision whether :l slope or
an excavation is stable or requires to be bolted or lined is still very
difficult. The long tenn stability of an unsupported opening. the design of J.
support system or the corrective measures to be adopted for ;1n existing slope
is still a difficult question. Till now no classification system has been put
forward to take into account the time-efTect. The design of underground
caverns is still largely based upon precedent and the con:;truction 01' large
chambers under conditions not previously encountered is heavily based Oil
extended previous experience coupled with observations during construction
to confinn the suito.bility of the design. In spite of the highly developed
;:!O(, CLASSIFICATION OF ROCK

MINERALS AND ROCKS

::;'07
numerical techniques. experience overweighs several times the calculal'::d re­
sults. the basic reasons behind this being that
TABLE24a
1. the input data to the analysis are very meagre and are not very reliable when
Important elements constituting earTh's crust

extended to large dimensions

(after CLARKE. 1924)
2. the relative influence of the various values obtained from tests when con­
sidered altogether is not sufficiently known Element Percent
3. the structural variations in the rock cannot be sufficiently accurately deter­
mined from surface observations or drilling and exploratory work with the Oxygen 49.78
techniques available presently and Silicon
:26.08
4. the influence of time on these pammeters has still not been sufficiently Aluminium
7.34

investigated.
Iron
4.11
Calcium
In spite of these difficulties. much has been gained and more can be gained ~,
3.19
Sodium
if both the geological considerations of the area and the mechanical response 1.33
of the rock mass are considered simultaneously both in space and time. Potassium
2.18
Magne;;ium
This chapter contains a general appreciation of the origin of rocks and the 2.24
r Hydrogen
defects in rocks from the point of view of rock mechanics. Emphasis is laid 0.95
Titanium
on the genetics of defect-structure in rocks such as folds. faults. joints and 0.35
Chlorine
rock weathering. Joints, joint surveying and errors in joint surveys are dis­ 0.21
Carbon
cussed. The classification of intact rock and rock mass is discussed in detaiL 0.19
The classification of in situ rock from the point of view of tunnels and under­ Phosphorous
O.ll
ground excavations is described and its use in determining the pressure on the Sulphur 0.11
support explained.
Total
This chapter should be read in conjunction with other chapters especially 99.19
Chapter 6 (Volume II), Chapter 8 (Volume III) and Chapter 10.

11.2. Minerals and Rocks
A rock is a mineral or an aggregate of minerals. A mineral is a natura I
inorganic substance of a defmire structure and chemical composition. The
most important elements that constitute about 99 % of crust of the earth
extending to upper 16lan (10 miles) are given in Table 24a. These elements and
others (about 60 or so) which form the remaining 1 %. occur in ahnost 1500
combinations called minerals. From the point of view of rocks, only 20 or 30
of these combinations are important (fable 24b).
A mineral usually occurs in crystals of characteristic shape representing iIS
atomic structure. In a mass made up of many crystals crowded together. the
crystal shape may not be evident. though an eX2l1linauon of individual grain
will show consistency in the atomic structure. Certain minerals. however. may
!'lat develop any definite crystal shape due to very rapid cooling giving
amorphous structure (e.g. glasses).
Some of the most important constituents of rock forming miner.:lls are sili­
,(II'
cates. oxides. carbonates. sulphates. chlorides. phosphates. sulphides and
native elements. Silicates are the most important and occur us metusilicates
(H 1 Si0 3 -pyroxenes. amphiboles. ieucites. etc.), orthosiliCltes (H !SiO.. -mica.
olivine. anorthite. nepheline, garnet. etc.) or products of H..SiOJOS (such as
orthoclase and albite). The silicates of base elements such as AI,. Fe. Mg. C:J..
Na. K occur as anhydrous or hydrous depending upon the we'..lthering proc.
esses to which these have been subjected. The chief anhydrous silicates in
igneous rocks consist of feldspars, feidspathoids. pyroxenes. amphiboliles.
mica and olivine which on weathering give rise to hydrated products such as
kaolinite. chlorite. serpentine, erc. The metamorphic rock siiiC'..ltes usually :..tre
sillimanite, kyanite. andalucite, scalprolite, epidote, etc.
i-' Oxides are the next most imPOrtant constituents of which qUi.lrtz (SiO~)
dominates and exists in various forms such us chalcedony, cristobolite. tri­
dymate as anhydrous and opal as hydrous. Another group of oxides is that
of iron such as magnetite and hematite as anhydrous and limonite as hyd rous.
~OR CLASSIFICATION OF ROCK
MINERALS AND ROCKS 20')
TABl.E Uh

Chemical Ulmposition ofigneous :md sediml..'f1fary rocks

(aflerGII..I-UI-Y. WATERS and WOm)FORD. !959)

~l~;~t ~;ti ~~ !~2 •.,j ~

]~~¥
i1:>-.r:.:::
.;;. ".J

t!~fl.~~
u

en
W.J
~~
0'>
j~~ ~]~~
i[fi
.~
;:: g...; =1'- '
u
;:; =....;. t
SEDIMENTARY ::: :=
CONSTITUENT IGNEOUS ROCKS ROCKS '"
'-lJ
0.. ~.$g~.~~.~ 8~ E~~~
...... >..>"­ f.4.
oex: :;~ O::J~

:;­02 ... · . ~~t! =-= ~.2 ~.

..Q_ '5
a.. I,J

SiO, 59.14".. 57.95"" =: .c,~

lililll
t!J -
:.=r=o":= -~-; ~ ~
Tic), 0.57 8 -~"=-E
1.05
;:: at --
­ ~.J
...;:: '..,)

~Ij~~
'-' VI.Q
'- ....
AlzO) 15.34 13.39 C 0 : : ;-;::;;:

3.08 3.47
VI c..:::".J "".:;::
Fe:O,
.::: 2 ~
~"§ ~~ -<0

FeO 3.80 2:08 o t: :> t...I ""

~i.! ~
MgO 3.49 2.65 >1­ t; 81 ~~'~
CaO 5.08 5.89 ....
NuzO 3.&4 1.13 . ...;
o.._ N­
,...
"" ...'",
....
K:O 3.13 2.86
tIl(,j! (""i N ....
;;: N N
H.O 1.15 3.23 '"
-.; ......
P20S 0.30 0.13 ...<=... ~
6", ..,.
CO2 0.10 5.38 eco
'"
ci et:~
~z
J, '"
....,
N
'"
..;
S03 0.54 .s Ii: Q
'=!

...e
BaO
C
0.06
0.66 .s:
..:l:
~ ~~[
~ i"B ';:;
... u
~~ ~
1::.1)< t.I ..::r=
""
"'"
Total 99.56 99.93
II"l 0
..... ..." ..
-.::1
<= '-lJ
o
«
~t:J~
~~-'2
t."
"'.­
"" ~
.£~
~~1~
~g
u~

"> '"

"""""-i5
Note: The compositions in Ihe table above are based on 5.159 analyses of igneous
rocks compiled by F. W. Clarke. and on selected analyses of sedimenLury rocks com·
- '"
t'.:J
Q
-< ~~
E­
""
'E
1:
0
'"
''""'
I­
>
«
'-lJ
-'
U
~~
""
~1...
~~

~ ~.Eg
­ vi
"~
-..!!
"'''''
~~
t.~
E~Jr
~ o~
"
. "

t:...~N ~ -
:.s=
;:, ."'......:..
u ~~
;~~

"t ~

piled by C.K. Leith and W.F. Mead. The sedimentary rocks have been weighted in· ;;: >­ ~ ~;

~tif
"::1"
:5 ~ £,.~ ~ ~;.:
~~~ l~
0 "')
thc properties of 82 per cem shale. 12 per cent sandstone and 6 per cent limestone. r... ~ >.-.= ~-g'B
The compositions are reported as o.-.:ides. which is the conventional system for '"
.5: ...
...J
..

'c­E O u -L c:
;~ ~
reporting data on the composition of rocks and minerals. 0'­
.......
~

0 ~ .;::0 ]> ."..,­

Note:Tables24 b.::!s.26.29 and 30are reproduced with permission from "PRI NCIPLES :t <:: 0>
0'"
..,~

.:;::'!I '-' '" ; t: ~ J'I

B·~~~
"",0
~ ~
OF GEOLOGY. Fourth Edition. bv JAMES GII-WI-Y. AARON C. WATF.RS and ... :::~
C ­

A.O. WOODFORD. W.H. Freeman and Comp:.!ny. Copyright:[:; \975. ~

.",

C
>­
::<
ex:
ou...
•
_ 0
;O u":::' ... .s:'0 ~ ~~~
~~E
::1..::
-=~..:;. .:
i §~~£
G ~2 ~
Carbonates occur chiefly in sed~entary rocks in the form of calcite. dolomite ":l!
-=o ~ :n S In
... ,-,"" •'-'"'"= ">. s·- ~..::;;
.,.... 'j

~~.5
U 0 0
;;
and siderite and as we;:lthering products in igneous rocks. Gypsum and ~.si-- ­ E~
~
'J
i ~.~§
~ ~~
..;
anhydrite are sulphates and pyrite and pyrrhotite are sulphides. Table 25 gives "'-i:"
o l!: :: .•
.,g e.cJ~ .E
~
"
'..I

~.~~ ;
Q 0 - ~ ~ ;:
a summary of the propenies of these basic mineral constituents. ..e t ~~: ~.::2 ~
e.... u
..
,mit

From the engineering point of view. the products of we;:lthering of the silicates o

J" .~
C
~
are important. Under the action of water..md carbon diox.ide. feldspars alter ~ e:" "o
into clay minerals or white mica. The presence of clay at the site of a rock ~ ..J '" e
<:n
«
structure always places the engineer or the geologist on alen because of its ~ '"
U.I
e
"
.~
'"
·u
-; u· e
very complex behaviour and marked influence on the stability. The cluy min­ ~ Z
;3
u::; ~
"'"
~~
u....,
"-",

:.lB5 -~ ~z
~

~ ~;;~ -: := :: ~
erals are essentially hydrous aluminium silicates or occasionally hydrous
... ­
:.l !:~u -'C
~1
_ :11_

~Hm
.!::. ~;

magnesium or iron silicates occurring in the [orm of flakes und can be divided
~
i b8
::;10
.<:"""
02::;:
~,~e
;:)­

C/'loJ:.
0..-=
,;; :;:~
u c (..;

"~JUX PERPUSTAi!':.:I
'l'AIII£ 25 (Cunl) 1.,1

( ,1/11/11"/1 (·ill'/t"".,/...,. SlIlli,,.,.!, ('1,1",';"" .•• rI".1 (), ;,I"s . - e.tlllillll<'" o

._------,,-_.. ,"­

MINERAL fORM CLEAVAOE liARD· sr. OTIIER PROPERTIES

NESS em.
CII,\I.ct!)!)N\'. (Cry-plo, Cryslals 100 line 10 be vIs· None; COIICl'Oid"I {roc. 6-6.5 2.6 Color commonly whi!c or lighl gruy, but
cr)'slnllin~ quarlz.) Stllcon Ible: som~lill1es con5pic\l· U/rc. mlly be anrtolor owing 10 impurities. Dis·
dioxide. Si0 1• o(lsly blinded, or In musses. lingulshed from opal hy (1111/ or ('1(lI,tled
11I,lIer.
_..--------._---_.
QlIAln'?. (Rock cryslll!.) Sill· 51.Nit/I·d prlIllllllk err.l/tlb. NClnc or ~efy poor; con· HiS COlUlllonly c"I""lrn Of while, hUllIlay be
CCIi dio~idc. SiO , . Icrllllnaled by 6-sided Iri· ('/wM,,1 {raClllft. yellow. pink. ulnelhyst, snlo~y·tra"slucelll n
angult'f races; also massive. brown, or even black, i'ramptlrelll 10 r'
opnque. Vilrelll(,< 10 gf(.'(I.\)' 11I.lffr. )­
Ul
Ul
1Il,\!:NE1'ITF« A ~ombin:\!ion Wen·rormed. 8-heed crys. Noue; conehoid'll or un· 5.5-6.5 5,0-5.2 BI"c'-. Op:tque. Mel~\liclosublllct"lIielus· =i1
of rcrric nnd rerrous oxides. 11I!S, more commonly in
\'cJO~. compact D~grcgntes. dis·
evtn rractures: may
show Brough parling reo
lef. BIIII'k sl"'I,k. SlrIt1Igl,r lIf1r11rll'l/ "-" a
magllel. Magnelite iss" iml'Oflanl ifonore.
n
seminaled ~rnillS Of loose sembling cleavage, ~
grnins in sllnd,

I n:MATITE. Ferric iron oxide, lIigbly "·,,ried. «lUll'llel, None, bIll librous or mi·
--------_..
5-6.5
__._--._...----------_._._-
4.9- 5.3 Stccl.~my. rcd.lish·bmwn. Icd. or I,,'n·
5
z
h}O,. grlllllll.lf. fihf('US. or ellrtb)', eliceous srecimens may blllC~ in colot. Melllllie 10 earlhy luster. o'T!
nliclIccOIIS: mrcly In wdl· show purling resembling Clltlrarl.·riIli.-I"....·lIi.II.·«,.I.flrt'tlk. Ilellls·
formed u)'slliis. cI~Dva~e: splintery 10.
uneven rraelure.
tile is Ihe ntost importallt Iron ore. ~
n
('::
"1.11110!'lITE." Micrnscoplc Compact or earthy masses; None: conchoidal or 1-~.5 3.4-4,0 I'dl" II'. brown. or blnc~ in color. Dull
stlldy shews that Ihe nlale­ may show radially librous earthy fracture, earthy lusler, which distinguishes it rfOIl1
rial cI'lIcd limonite is nol a sllucturc. bemalhe. Clrartlrlm:flic 1·[·/I.III,·bro....1
single mineral. Most "limon· sumk. A common iron arc. .
q
Itc is d "cry finely cryslal.

line "lIridy of Ihe mineral

(;OF.Tllrn: containing ab·

s(lrbcd wuln. lIydrous rerric

oxide wilh miuor umouniS of

olh~f demenls, 10llg11ly

Fe,O, - U,O.

In:. lIydrogen o~ide, 11,0. Irregular ~rains; lacdike None; conchoidal rue­ 1.5 0,9 Colorless. while or blue. VilteOlls luSler.
fi~kes wilh hexagonal sym· lure. MI,/a ((/ W C. $0 is liquid ~I roo III lem·
nlctry; mussive. perolure, Lo....</",,·!fk grtlf'il),.

T AntE 25 (ConI)
COIUIIIO" Rock·formillg SilimUl

I'OTASSIUM fElDSI'AR. IInxlilc ~ryslals; mussivc, One perfeci and I 800d 6 U-2.6
(Orthoclase, microclinc. anJ "ilh c,cdk.u dca\'lI~c. Commonly Jl'hilf. graJ', pil'k. or pale yel­ $:
cI~avage. making UII an­ low; rarely c<llorkss. Commonly opaqu~
sallidinc.) I'olassium alumi. glc of90'. L
num silicalc, KAISi..O •. bUI IIllly he lnollsparell! in volcilnic wets. m
Vilrcolls. r<.trll' 11I~lcr 011 h<lI<r clo-avagc. ?J
lJHlill1;:ui.\1"'11 /rl'll' pluN;oda.\"(' ItJ ,,/I\'('n('('
1~(l/fill{hUlX.
»
r
til
I'LAGIOCI..,SE fEl.OSI'AIl. III wdHnrmcu crysluls and 1'11'0 good C/t'fW(lg('S /H'ar/J' 6 6. \ 2.6 2.1
;­
(Soda·lime r"''''pars.) A soliJ in deav:ohlc or sranular Commonly whilt' or gl'll)" bUI Ill.}' he "Iher Z
III rig/II allglrs (86·'J. culo.-s. Some gray "arielie. show a phi)' of
'OIUlioll group of sodium nwss~s. May be p,wr in SOIll< o
ca"'ium aluminium silkales. cHlors c.lIkd oI'Uh·,\H'IICl'. Tfllll!'illilf'l!IU ill
\'okanic rocks. SUIH\:: volcanic rucks. Vilf~nns tu p(~,d}'
?J
NaAISi,O. Itl caAVi;,o•. o
I"skl. lli'lin~tlbhc<1 fnlll1 urlhochbc hI' I)
.h~ nfCSCIlI.·\:: un Ihc: lJell(',. c/('af'tl.t:'· 'illf/at (' r,
(If ,\ufolion'i. til

~IIJSCOVITE. IWhile mica;

2·) 28-l1 C"I"rless, hilI may be SlUY. ~rccn. or light
isingla,s.) A complex pOlas· 5<.:al),.
shun aluminum silicalc, h(()\\'o in (hick pieces. Trnlltpart'IU to UOI/t­
K.-\I,Si,O",{OIIl. approA;'
IUn'lIf, Pearly 10 vitreous Iusler.

maid)" but "aryillg.

1l101TfL {ilIad mica., A Thin, 2.\ }

':~lfl1pkx s;ilir:uc (If r'h)las· (tlllln 1 1 1.1 BI..ck 10 dark brown. TraIlSIIl,""t 10

)ohlin. IhHl. ahlllliniuHI. and ~c.II>.

flp;lljI.lC. Pearly It) \,jlr.:ou~ lu\h:r. \Vhlil"

m<lgncijuUl. \";.triable in I.:Otn.

1,1 t,;(':L:ui.sh ~ln.."I~.

Ihbilj.,". hUI "rl*"lm:tld),

Ktt-.I~.I'<I, AIS"lI,,,t Olll,.
'J
TAIlI.F 25 (C01lt)
('11//1111'11' Iltlrk·I-i"'lIIill.~ Si/imlt'.l·- flllltillllffl !::!
1.J

MINERAL FORM CLEAVAGE

liARD· sr. OTIIER rll.Ol'I~RT1ES
NESS GR .
. .' _._._----------.__ ..- ...... -.._--------_.
nnOXf:NF.. A ~olid-~r.hllion Commonly In shorl. 8-sided, twa ffrm'tlllf.! tti nfarl), S /\ 3.2·3,6 Commonl)' IrCeni!h 10 hl"ck in color,
~I'<IUI' "f silicnlCs. Chidly ~iIi­ rrist1l1UIc crlslllls: IIII! (II/fllt 110', Clcnvngc nol nlwlIYs VIlreous 10 dull hillcr, Gml"~fcen slrc;lk.
c.II~$ I.f cnlcillUl, nl:1@llcshllll. 111.'111'1"'/1 111"'r/I(I/~ /it("('S wcll dCI'~'llp~d: In some ()i~lllIgtlishcd rrom Ilnlilhihole by Ihe
tmd ifllll. wil II I nr)'ing IICIIII), \111', Abcl III compllel ~l'ccil11ens. concho!dnl or r;IIIIf"Ill~lc' ("/.·IIt·tll1'·. ,'•.1;,1",1 1'(.1'."<11.1. ,md
IIttlnltllB I.f I'lher clcmcnls. IlIUS$CS lind di~~cmlnnlcd uncI'cn rruclure. h)' Ihc fllcl Ihul l11I'sl crl'slills :uc ,11ll1'1
The Clltnl1lllllCsl I'llriclies lire ~fllinl, URII 510111. rnlhcr lImn IOIlG. Ihin I'riSIUS. ()
IIfI.~it!' tlnd 1.,I'I,,'/',ul"·IIt', 115 In IInlphlholc. r­
)­
---.-------.----------------. VI
,\I\II'IIInOU:, A gr'1up (If l.!IlI.~. S-6
,.,.1.11111111<". 6-!;,frd TIm 1I00d cltllt'CIllt.! lIIee/­ 2.9-3.2 Color blllck 10 li~hl greer.; or c"cn color­ !:!2
complex, solid·snhnion sili· n:I·.,wl.t; also ill I1brollS or illg II/ (ltlilfts oJ J6' and less. Opaque. Tlig",.;· 1'il""/II.< 1,"1<'1' ()II 'TI
ClItes, chidly of calciulI1, nmg· Irregulllr nmsses or inler- IU·. I'Ir<I/'(/~C .lIfr/i,..t.<. Dislinguished from Py· ()
1105111111. iron, lind IIll11ninium. luckin@ erl's!:!ls nnd in dis· roxene by the dll]i'r(I/('f III rim/ "II" (//I~I(
Sil1lilllr lu I') rnxenc in com· scmimlled grnins. "lid In cryst"l form. Amphibole also has ?:i
l'oSilloll. bill eontllillin~ a
lillic hydroxyl 1011' I Ion.
much heller delll'nge and higher luster
Ihan pyroune.
oz
1he COl1l1l1oncsl of Ihe mltny
mriclics of I1ll1l'hibolc is o'TI
IwmM,·//,f,'.
';Q
OI.!\'INF.. Mugneslum Iron Commonly in small. tlns.l), So poor Ihul it Is rarely 6.S-7 12-3.6 Jlllr/'IIU JlltldCJ or &,,'rn. nlso yellowish:
o
()
silicalc. (Fc,MghSiO,. flmi"., and sranular agere· seen: cllltcll"ltIal/rn"trtrt. (lpaltScenl and brownish when sli&hll)' al­ ~
!l.ues. lered. rTlfll.!p"rtllllo ItunslUCClI1. I'i,,('oll.l
II/,I/er. Rescmblcsqllurtlllt small rragmcnts
bllt IlllS dlftracl~ri.l11r /:rrj·/Ibf.I'olor, unless
ahered .
... _------_.
(;,\ ItNf.T. A ~rmll' of ~olid 50- Conllnonly In w(II·formed Nunc; ('OIIr1lalclul or lin· 6.S-7.S 14,4,) Co 111m only rt.I, 1"'''''11. or .l'rll,,,,'. bill mny

hni"'l silknlcs h;lIil1~ "aria hie 1'//'tl'tlil/l"".li",ml crblol.. ~I't'lIrrac"'u. be olher cnlor5, Trnnslllcrni 10 opaque.

1'1'I'I,orlinIl5 (If dilrclcnl mc­ btll nlso massive and gra· /{t',1inmu w ..i,,("ott., {JUte'r.

Ilillie clemenls. 'fhe mosl nular.

COll1mlln I'Rrlely ronlainl cal­

tillm. iron, nnd nluminltm.

bill gamell m~y con lain

mallY olher demenls.

SII.l.lt'll,\N1TE:. (Fibrolile.) TIf f01f1( J/I'If.trr cr.1'JIIl/J. or POlallel 10 lenglh, bUI 6-7 12 Gray, while, greenish·sray. or colorkss
Alum!,,",,\ smc~le. AI;SiO,. JihrtllIJ. rarely noticeable. Sit-nt/a ,.ri.fltfulit' ("')"f/a/J or lit (IfdInt maU
,!t:fif,cr.•. SlrclIk while or colurless.
---------------------_.. _.-._-­

TAnl.E 2S (Coni)
Oll/IIIU'" Rock-formillg Silicaus-ColII;lIIlftl

KYANITE. (Dislhene.) AI· Long. bill/iolike ('f}'rlals, One perfect, and one 4-7 ),$-3.7 Colorless, while, or a ,/inillf'Ii.,c 1",1.: bl"e
uminum silicatc, AI,SiO,. POUf cleavage. bOlh P;If­ cul"r. Cun oe scralched by knife rarallel
allcl 10 lenglh of crys­ 10 cleavage. bUI is harder Ihan Slee acrosS
tals; and a crude paning deavage.
acmss the cryslals.
----------------.------------.--------------­ :;:
STAUROI.ITE, Iron·alumi· Siubby pri,lIl/tllit' (·r}'flalJ. Poor nnd inconspicuous. 7-7,5 1.7 Red-brown or yellowIsh·brownlo brown· Z
num silicilh:. and in c.....u·sl/CIp..f 1I!'iIU, ish black. Generally ill wcll->hapcd rn
Ft(OIlI, (All SiO,h. lab lar~cr Ihal1 Ihe mincrals III' ,he ';Q
cncl()sin~
.------- ..­
II,cm.
-.-~ ... ­ ----,.-_.----.-.- ~'.
»
r
V!
EPIOOTE. A complex !roup SlIorl. 6'Ji,led ffys/ilIJ or ru· One goofl cleav~ge; ill 6-1 ).4 Charnelcrislie y"I1''''';''/'-WI'I'1i (piw<I,,/iill
of cakium. iron. aluminum diule crystal groups and some specimens, a sec­ K/'("'/I) coloI'. Vitreolls IlIslcr. »
7.
r.;ilicill($. in granular or compact ond poorer cleavage al
Ca,( AI. F el.(5iO,1,( OHJ. masses, an angle of II S· wilh o
;U
Ihe firsl.
o()
CIlU1RITE. A compl~, group Communly ill it,/ill""/ or Om' PC~/('fl d,'w1tI,-W, 1-2.5 2,6 -3.0 Gwu'-Xn'('11 tll Mnt'kixil-Kft','ucnlor. TrailS' T­
of b}uruus illa~nc:sium alu· SC'H/.r ilWJ.\'('j: ma) occur ill yielding Ihin, fle,ible, hu;cn~lfJdpat!tlc Gfeclli~hs(rca~" V,lrl:ous V!
minum sllic~1lc!5 containing I"bular, 6-sidcd Cf)'Slals r~' bUI indaslk. scales. hlSIl!f, "{'IT 1.>(1\ ill' l/ifiw('CI'(lJt'd
irun and ulher elem<nls in scmbling mica.
sm,IH 'ImdnnlS.

SERPENTINE. A complex Folialed or fibrous, usually Cnllll1lonly only one 2.5-4 2,5-2.65 f(,t,/{ .'\twl()lh, 1(JtHl.'lilHtIgn'1I1),. Color /I''''{­
~r~Hlp of h)urous milgncsium m:tssivc!. ck.!I.lg". bul may be gn'('JI 10 bllIfll\h'gn'('u hut vHlying 10
sllil..'alcs. rlHI~hl}' in prisills. fr"clUre usu· hrowlli~h·ft:ll. yt:llow, Clc. 1.11\1t"1" ft'dlliltll
II,Me,Si,O.•. ally conchuidal Of splin· (0 ofiaqul.!. SlI'l.!ak
lery.
TA LC, H}drtHl) m;q~n~siliUl ,Ii,lil/(I'" rnd"J ancl Olle perfect rltlll'lIge. 2B \Vhilc or s,llvCIY whill.! 10
;ihc.t1c, ~I~ ,IOIII,Si,n,,.. compaci ",.. sscs, fornllng Ihin scales Hnd Jolt. wil II ;1 gr(l/\ r kef
I~
shreds ckav;It'1!
T..\ III. F. 25 (("onl) !:!
.b.
(','flUUrm Urlf'£./~lnl"'f,1!. SUhttln C"tJff/;mlttl

MINERAL FORM CLEAVAGE liARD· sr.

OR. .O~IU:R rROI'ERTI(;S
NfSS
._-_. __ .....---_ .. - _. ~~-'. - -.~--.-- _._ ..... ­
K.\OUNln:. ">'drous uhunl· (~ommol1'Y in son, compact. ('ryslnls always so small 1-2 2.2· 2.6 While color, bill nllly be stained hy 1m.
ollln silicntc. 1I,,'I l SI I O•. rllu/,.I' /II(I.!.\(',. IIml cleuvaGe Is Invisible purities. Gren.I,I·/rtf. At/herr.! 10 thr Ilmg"~.
Rqllcscnlntil'c or Ihe ) or 4 wilhout microscope. and /1('1'11111('.1 1'/(l.IIi(·b ,,·/1t'I1 111,,;.11('/1('.1.
similar ntinernls common In "('/I1.1"ik,," od." when re.llited urou
chl)'s.

III'I"or'III" Orr AI illt'r,,/.!

(J,\I.ENA. lend SlIlIide, PbS, ClIbiccrrSI"lscollllllon. bul ""r/cfl fublc cfcol'llgt 2.S i J-1.6 SiI'...r.l·-~"r.I' co,l(lr. Mclallic lusler. Silvery­
mnstl>' In coarse to fine (tllrce cleavages mulu· gmf to ttrnyish-black weak. Chi~f ore or h
gmnu!;Ir l11a~~es. nlly at righl angles). Icud.
r­
;-t>
-------_. tn
SrllAl.ERIlE. Zinc sullide' C',slals common, bul Six /ligltll' per/te' cletll" ).5-4 3.9-4.2 Color rnnp.cs fm", while 10 b!llcK bl!' is ~
Incarly olwnys conlaining a cllIelly In finc 10 coarse· ages 11160' 10 olle nt,olll<r. comm.ml), "'('11""·,..1,./."",,,. 1i'/ll''/I1('('11110 :;:!
liule ironto ZoS. ,rUflull1lm.sses. opaline. Rr.lilllll1.1 10 <I,I({""""i,,.- '1/\1<',.
Sirelll: while, I,"k ydltl\\, or hr"w". ~ lost ~
..;
Q

Imrorlllol ore 01' zinc.

.-._- .... ~-. '_I_'~_~"_' ___ "'_~'_________ ~. ~."~·. _____ "'W_ _ _ _ _ ~ . - - - ­
(5
1'\'IIIl£. ("Fool's 8old."llron ' If'r/l~(/lIIII",1 ",.wII/.1. com· Nnne; uneven floeture. 6-6.S -t9-U !'ale "rll.t.~I··,·.'lIoll· (Il/llr: may larnish Z
slllli,le.l'eS,. . monl)' cubic. "illt str1;t\ed
faccs: "Is<I grlt"ular masses.
!>m",,,. Opaql1e, MeMlit IlIsler. Grccllisl1·
blad or !Jrownlsb·blacl: slreak. 8riule.
o
."
Nol a SOIlIeC of hon, bUI used In the :;x::J
nlllnufachire nf slIlruric acid. Commllnly o
n
CIIAt.COP\·nITE,
... -._ .. _.- .. __ ._---_. __._-----------------­
Copper Compile! or disseminaled N,.ne; Uneven rr8cture. 3.5-4 4.1· 4.)
associated wilh ores of sevcrul different
melliis.

Urassy 10 I:"""·"·),cll",,·. T'rrI,b/'fS 10 blue.

;r:

iron·sulfitle. (uFeS,. masses. rarely in wedge­ rurrle. und retldish iridescent films. Orecn·
sh:lpcd crystllis. ish-hlack Slteak.lJ!slin~uished from pyrile
bydeel'~r )'ellolVcolor.lnd sortnes!. f\ com·
ilion C<lppcr ore.
CIIAI.COCIlE. \Copper Massh-e. rarely in crystals Indislinct. rardy ob· B-) 5.5-5.8 IIInc\;ish.gray In sled tray, COlllll1only lar·
@Ianee., Cuprous sullide, or roughly hex:tponal sh:lpc. served. I';""''! Itl Jlrn'lI fir MIl(~, !Jark gray slleak.
(ulS. May be t,"nished nnd ""ry l,ed"Y. Melallic lusler. An impOII:,n(
slained 10 blue rond green. ore or copper.

TABLE 25 (Cont)
b"I'''''"1I1 Off' .llill,',."" -eIl/Hilll",.1

COPI'ER. (Native copper.} T.. ·jSl~J amI di<((J(/!'III,,/II'('$ Noue. 2.5 3 U-H.II "UN't'#' ("0/01', bUl comnhlldy
("/",nJr#('fUlif
All demenl. Cu. Imd "'irclikclilfllt$ :1'''''('11(',1 $Il1illl'''!:n·{'II.Ili.~'li),(I,,(rileltnd
lOillleablc.
,Ir '(lWlllct/ gW;UJ. Excdlenl collduclor of heitl and ckclridly.
!"t·rylwllI')'.
s::
GOI.O. An elemenl. Au. Massive or in Ihin plales;
also in flul/ened grains or
None. 2.5-) 15.6-'9.3 CIWffl('lrri.fI;" gtlid'}'rl/oll' color 111111 <I((IIA, Z
Rllfe!.,' ill rr.l·sldl.r. £,wrc",c/,' hew')'. Very rn
leaks; distinct crystal. very malleable and ductile. ;:0
rare. ;.,
r
Vl
SILVER. An ekment. Ag. In flattened ~rains and None. 2.5-3 10-11 Colo,. (1111/ Slrt'llk /Ire sj/l~rJ'-II'/lile, bill may ;.,
scale.; rarely In wirelike be tarnished gray Or bhleK. lIig/,/,' rlllc/ile Z
forms. or in irregular needle­ "ml m<lllcab/r. Vcr)' /i"'"'J'. Mirrorlike me- o
lile cryslllh. 1"lIie lu;l<r Oil unlOirnished slIrfaces.
-------­ -_.._ - - - - - - ­ ..­ - - .... --­ ... ;:0
o
C\SSITERITE. Tin dioxide,
SuO,.
Well-formed. 4.. sided pris- None; curved 10 irreg"­ 6-1 7 lusler. While
I)roll'(IIO blllck..·/t/tI/,u""ltle n
malic eryslals lamillal(d lar fracture. to pak.ycll"w streak. Chief ore or lin. r:
Vl
by pyramids; 2 crystals
may be inlergrown 10 form
bh:...· -sklp.. . ti l\\ in~~ <It\d a...
rounded peubles in SHearn
gril\'ds.
- .. _.­ -----­
1IIUNINrrE. (Pilchblcnde.) Rcgul. r a-sided or cubic None; fraclure uneven 5-6 65-10 Color bl;.cl 10 brownish-blnck. 1.""C(
Uraniuill oxide. IJO, 10 crrs.tal~:massive. 10 conchoidal. suholCwllic. ('ildO/ike. or dull. Chicf Ill;·
U.• O, ncr.a' soun:1! of ur;HliulH, fiUhUllI, ctc.
C\RNOTITE. POlassium ura· ['artily powuer. Not apparent. Very 4.i 8(iIlillll/ C/l1/f/f)·-.....II"... ,.Illor. All ,),e or '·i'·
nrl u""J .• ((. sort urr'ox. 1I.l(liliOl.10<1 Hf~lflium.
K,(UO,l,IVO,I,·811,0
216 CLASSIFICATION OF ROCK
into kaolinites (single tetrahedral silica sheet and smgle octahedral alumina
sheet. a combination repeating itself). montmorillonites (alumina octahedral
sheet between two silica tetrahedral sheets). and illites (similar to mont­
morillonite except t."'mt it occurs as an ag.,"Tegate I)f smaller panicles).
Kaolinites are subject to minimal expansion on contact with water and have
a larger angle of internal friction than other clay minerals. Sometimes the clay
minerals occur in round and flattened tubes such as halloysite which when wet
actsJike a pile of rollers and starts to flow.
Montmorillonite sheets being loosely bound. water molecuies enter in between
these sheets causing swelling.. lowering internal friction giving high plasticity
and high cracking on drying. As a result heavy damage may occur to struct!.lIes
placed on these either due to expansion and contraction or due to creep and
flow.
When mica occurs in some rocks. these have to be given proper attention
since easy cleavage of rocks containing this mineral may result to rapid
deterioration after it is exposed to weathering (e.g. mica schist).
Certain hydrous silicates such as serpentine, chlorite. talc, illite require atten­
tion. Serpentine may be competent or soft and greasy having a low friction
angle and even when competent can rapidly deteriorate into soft incompetent
material under atmospheric action. Chlorites an: not so hazardous as serpen­
tine. but when present in joints may greatly decrease the frictional values and
cause instability. Talc is very soft and is a very poor foundation material.
Among the oxides quartz is the most durable and reliable constituent of rocks
and an increased percentage of this is an indication of greater stability of the
structure placed in it.
11.3. Geological Classification of Rocks
From an engineering view point 'rock' means a compact semihard to hard
mass of a variety of minerals. but the geological classification of rocks is
based upon their origin and rocks are divided into three major groups: igneous.
sedimentary and metamorphic. Igneous rocks an: formed by the solidification
of molten magma. Sedimentary rocks are derived from the weathering and
denudation of igneous or other old rocks which may be eirher left in place or'
tr.msponed and deposired somewhere else and later consolidated and cemented
together under depositional loads and percolating mineral wdters. MeUlInor­
phic rocks are formed from pre-existing igneous and sedimentary rocks under
the action of heat and pressure. These two factors act individually or together
in combination with rime.
GEOLOGICAL CLASSIFICATION OF ROCKS 217
Igneous Rocks
Igneous rocks a.re classified either depending upon the silica coment or the
mineralogical composition or the texture. On the basis of the silica coment
igneous rocks are subdivided into the following groups'
Acid igneous-~iIica content> 66%
Intermediate igneous-silica content 52-66 %
Basic igneous-silica coment 45-52 %
Ultrabasic igneous-silica content < 45 %
Using mineralogiCJl composition as a classifying method. acid igneous rocks
conmin quartz in excess of 10%; intermedia.te igneous rocks cont:lin less than
10 %; in basic igneous rocks. quanz is either absent or is present only as an
accessory mineral and in ultrabasic rocks quartz is completely absent. The
presence of ferromagnesian minerals imparts colour to the igneous rocks and
they tend to be darker as they pass from acid igneous to ultrabasic. Alkali
feldspars (e.g. orthoclase. microcline and albite·rich plagioclase) are dominant
in the intermediate igneous rocks while in basic rocks talc-alkali-feldspars
(Plugioc1ases) are the important constituents.
Some igneous rocks have a massive structure i.e. their minerals are nor ar­
ranged in parallel or distinct layers while others may show defmite flow struc­
ture. Depending upon the rate of cooling, their texture may be glassy (rapid
cooling-e.g. outer surface of lava flows), fine grained or felsitic (rather rapid
cooling but not so quickly to prevent crystallisation), granular (coarse grained
crYstals of more or less the same size) or porphyritic (large crystals embedded
in a fine grained ground mass. Table 26 gives the classification of igneous rocks
depending upon the composition and environments effecting texture. Table 27
gives the minerals associated with common igneous rocks.
During volcanic activity, with the ejection of lava, SOme air bubbles may be
trapped giving vesicular texture and which may later be even filled with some
other minerals. Volcanic ashes and tufTs so ejected may get solidified giving
volcanic breccia embedded in a matrix of rapidly cooled lavJ. giving pyroclastic
texture.
Igneous rocks on solidification develop tensile joinLS as their mechanical con
s[raints change depending upon their depth and e;o;.isting stress field.
Sedimentary Rocks
There are four groups of sedimentary rocks, namely 1. Breccias and mechanic:.!1
sediments not limestones 2. Limestones J. Organic remains and 4, Evaporite::;.
Many times sedimentary rocks are grouped depending upon the sedimentation
environments such as:
:m; CLASSIFICATION OF ROCK
GEOLOGICAL CL-\SSIFICAnON OF ROCKS ~ l!)
TABLE 16

Classifielltion of ignl!('us rocks

TABLE 27
(ilfterGn.LULY. WAT!!RS& WOODfORD. 1959)
Minernis :lSSOCi:lt~ with igneous rocks
(after DUNCAN. 1969)
Predominant M incr.!ls
Granite - the essential minernis are quartz and feldspar. Commonly, mica is present
Te~tures Felclspar and Feldspar Ferro­ F.:rrC\·
Quartz Predominales mal!ncsi.m mac.nesian either as ~uscovite or biotite. Hornblende and tourmaline may be present.
{no quartzl Mi~er:lls and Mi~crab The same minernlogical composition applies to the other acid. alkali.feldspar do.
Fddspar Ino quartz minant rocks. namely: Quartz porphyry. microgr..tnite. rhyolite. obSIdian and
(no quartz) or f.:ldspar) pitchstone.
Granexiiorire - the essential minemls are quartz and plagioclase feldspar. OrthOclase
P~Toclastic Vole-.mie tuff (fragments up t04 mm. in di:lmeter) Rocks ofthe lex· feldspar. hornblende and biotite. are common.
Volemic Breccia (fT".!gments more than 4 mm. ture and COOl­
in diameter) position fepre· The same minemJogical composition applies to the other acid. calc-alkali felspar
dominant rocks namely: Microgmnodiorire and dacite.
senu:d by this
Glass)' Obsidian (ir massive glass) B:Js.ait Glass pan of lilt: lUbic L:.:
Syenite - the chief constituent is orthoclase feldspar. usually forming wel! over half
Pumice lif a glass rroth) are rare or un· N of the rock, Plagioclase: present in sII'l:lller amount. Hornblende. biotite and some­
known. en times augite may be present.
Aphanitic Rhyolite and Andesite Basalt Z
The same composition applies to the other intermediace. alkali-feldspar dominant
(genemlJy Dacite <
e:: rocks. namely: Microsyenite and tr:lchYle.
porphyrilic- . o Diorite- the essential minerals are plagioclase feldspar and hornblende. Some biotite.
aphanitic) o ortboclase feldspar and quartz are present frequently.
z
Granular Granite Diorite Gabbro Peridotite (with Vi The same composition applies to the other intermediate. calc-alkali.feldspar do­
potassium both olivine and ;:5 minant rocks, namely: Microdiorite and andesite.
feldspar pre· pyroxene) e:: Gubbro - essential minerals are plagioclase feldspar and augite. Hornbiende :lna

U
dominates) and Doleritcor Pyroxenite Z olivine may be present. Alkali gabbros may contain orthoclase feldspar.

Granodiorite Diabase (with

(plagioclase (ir fine grained) (pyroxene only) The same composition applies to the other basic rocks. namely: Dolerit!' :lnd hasu/t.

reldspar Scrpes!line I wilh Dunite - olivine is the main constituent.

predominates) altered olivine Peridotite - olivine is the main constituent. possibly with augite. hornblende and
and pyroxene) biotite.

-DECREASING SILICA CONTENT----·---->

Picrite - contains some feldspar with olivine. auglle and hom blende.

(a) ComillC!l7Io/ e17l:ironmems: Le. essentially land areas. such as:

(i) Fluviatile-deposits laid down by rivers: (ii) Estu:lrine-deposits formed in estuaries of rivers:
(ii) Lacustrine-deposits offresh-water lakes: (iii) Shore deposits-rormed along coast lines
(iii) SuIt lake-deposits fonned by the shrinking and eVdporation orsalt-water
(c) Marine environments: i. e. essenrially deep warer £l.re::l.S :
lakes:
(i) Continental sheif-deposits:
(iv) Glacial-morainic debris. i.e. material deposited by glaciers
(ii) Shallow water-deposits of the Conrinental shelf:
and
(iii) Deep water-deposits fonned in depths ofwarer less [han 6.000 rr
Fluvio-giacial deposits which are ronned of material w.lShed out or (1830m);
glaciers. and although originating as a result or ice action are later
(iv) Abyssul-deposits fonned in depths of water greater than 6.000 ft
u.. .m sponed and deposited by water: (1830 m).
(v) Aeolian-deposits transported and deposited by wind
(b) Im£'m1ediwe ent·ironmenfs. such as: Because of the very mode of their fonnation the shape and size of grJ.ins of
mechanicnlIy fonned sediments depend upon the original shape or the material
0) Deltaic-deposits rormed in deltas: supplied by the older rocks (e.g. quartz-angular. feldspars-bounded by cleavage
220 CLASSIFICATION OF ROCK
GEOLOGICAL CLASSIFICATION OF ROCKS i""'1!

planes 'and irregular mica flakes). method and amount of tmnspon (air-highest
rounding. ice-least rounding, water-mediwn rounding). The various gTolin sizes TABLE Z9

found in sedimentary rocks are given in Table 28. Classification of se<liment::u'Y ro<:k~

(artc:r GILLULY. WATERS & W(X)I)FORD, i 959)

TABLE 28

Fragment and grain sizes and corresponding sedimentary rock

Clastic St'!dimentary Rocks
(after KR)'NINE and Juoo. 1957)
Consolidated Chief !vi ineral Original Di~mc!cr ot'
Rock or Rock Unconsoiid'll<!d Fr:..l:;mcnts
Components Debns
Unified classification
Material grading Wemwonh grading Rocl;
Conglomerate Quartz. and rock Gravel (rounded
fragments pebbles I \1orc l:'l;Ji1 : :11n';,
Boulders 12 in 250mm Boulderstone
Cobbles 3-11 in Breccia Rock frngmcnts Rubble (.. mgular
64-256mm Cobblestone
fragments)
Gravel 1/.. -3 in 4-64mm Conglomerate Sandstone Sand ~lOT;; mIn,
Granules 2-4mm Conglomerate Quanz SandsLOne Quartz Ouartz-rich sand
Sand 0.003- 1 / .. in 1/16-2 mm Sandstone Arkose Quanzand feldspar Feldspar·rich sand
Gr:lywacke Quanz. feldspar. "Diny sand." with
Silt Less than 0.003 in 1/256-1/16 mm SiltStone
day. rock rrag­ clay :lnd rock
Clay Less than 0.003 in Less than 1/256 mm Claystone ments, volcanic fragments
debris
Shale Clay minerals. Mud. clay and silt Less lhan f;; mm,
quartz
Cwtic Umestone Calcite Broken and rounded V;.!ri;.!bk
Depending upon the grain size, texture and structure, the rocks are divided shells :lnd calcite
into clastic (composed of fragments of pre-existing rocks and minerals), fme grains
crystalline (mostly with organic admixtures). amorphous and biofragmental Organic and Chemic:lI Sedimentary Rocks
(Table 29).
Consolidated Chief Mineral Oril!inal Nature Chcmkal C<lInpo.
Because of the very mode of formation of the sedimentary rocks. they are Rock or Rock of Material sit ion of lJomina"l
bedded or stratified and separation planes are associated with the mode of Components Material
deposition such as regular beddings and laminae. current bedding. cross bed­ Calcite Shell~: chemical ;:Ind C;:ICO,
ding. graded bedding, slwnp bedding, current ripple marks and sun crocks organic precipitates
(Fig. 11-1). Dolomite Dolomite Limeswne. or un', Cai'vlgtCO,):
The mechanically plaa:d sediments may be unconsolidated or consolidated and consolidated
calcareous oozc,
cemented. Consolidation takes place with increasing depth. gradual sinking. altered by solutions
dewatering followed by cementation and even welding of individual grains and Pe:Jt and Coal Organic materials PI;.!nt fragments C. plu, ct\lI1p"Ulltb
recrystallisation at greater depths and tempera',ure or in the presence of cenain oCe. H. ()
solutions. Chert OpaL chalcedony Siliceous shells and SiO: and SiO;" H:O
chemical
The most common cements found in sedimentary rocks are siliceous (SiO;). precipitates
calcareous (CaCO J ). ferrogenous and argillaceous (clay). Siliceous cement is Evaporites. or Suit Halite. gypsum. Evaporation Varieo.c:ili..:lly
most resistant to weathering and water action while clay is the least dur.:1ble Deposits anhydrite residues from the NaCI ~'Ild
bonding material. Calcareous cement generally makes a dumble rock but may ocean orslllin.::l:.tkc~ C01S0.2H ,()
be leached by acidic waters or those containing carbort dioxide. Ferrogenous
cemented rocks are also liable to T"d.pid weathering.
~~::! CLASSIFICATION OF ROCK GEOLOGICAL CLoi"SSIFICA no" OF ROCKS ::':2]

(c) r-­ ( b)

r Iamince1.

Sedimentary rocks may at a later stage be subjected [0 tectOnic stress.::> reo

suIting in folding and faulting with more than one set of joims introdw.:<..!d ill
them.
J

-
From the engineering point of view, quartzite. siliceous and calcareous S<.lnd­
stones. arkose. and graywacke are competent rocks. Conglomer::nes. unkss
F"""""""'"- -==
well cemented. may weather severely when exposed. Shales. claystones. mud­
stones and siltstones are of most concern to a rock mechanics enaineer. nlClr
strength and durability vary within wide limits. Sitlstones in ge~eral dGilll<:­
grate very quickly on contaCt with water while shales may be quite hard :tnd
durable. AlI these when subjected to alternate dry and wet cycles reven to
(c) (d)
origina.l clays.

~~.~ Limestones and dolomites are in general competent materials for structures
except when they contain clays. Cavernous limestones occurring under a re:;er­
voir or a dam may cau:>e excessive leakage. Limestone is liabk to decompose
under heat and is not suitable as an aggregate in air strips for jet planes.
Chalk is a weak variety of limestone and is not suitable for heavy structUT"CS.
This is also true of marl.
Chalk with saturation moisture of about 20% often does not exhibit swelIing
on absorbing water. Non-c:J.lcareous rocks containing moisture behave J.S
competent. but rocks containio.g argillaceous materials tend to be incompetent
(0 and require ;>roper attention.
(e)

E?3
Almost 'all sedimentary rocks have a preferred fabric orientation and hence
their properties are direction sensitive.

Met:lmorphie Rocks

~
There are two groups of metamorphic rocks: 1. Contact metamorphic. pro­
duced by local heating of country rock adjacent to igneous intrusions. 1. Re­
gionally metamorphic rocks extending to over great distances and metamor­
phosed under (he action of pressure and temperature. Metamorphic rocks :J.re
classified mostly on the basis of their mineralogy and texture. Tubl\!.30 gives (he
principal metamorphic rocks.

Fig. 11.1. Depositional features ofsedimenmry mcks
(a) Regular bedding
(b) Current bedding
(c) Graded bedding
(d) Slump bedding
(e) top-Wave ripple marks
bottom-Cum:nt ripple marks
(f) Sun cracks
(after DUNCAK 1969)..
The texture produced in these rocks is the result of heat and pressure ;.JCll ng
simultaneously. Hornfelsic texture is produced due to heat in the vicinity of
igneous rocks and alters shales into hornfels. Under the inf1uem:e of directed
stresses. rocks develop slaty cleavage. Cleavage is also associated with changes
in rock fabric and strong folding. Under the inf1uence of both h<!at and
pressure. the fluids in pores may migrate and crystallise on the frJcture sur­
faces with their long axes aligned parallel to the cJeuvag\! giving ;.J silky
appearance or phyllite texture. Extensive folding and conrinued directed
:::!24 CLASSIFICATION OF ROCK. DEFECTS EN ROCK.S ::5
TABLEJO
stresses as in mountain building regions may further convert the texture lOW
Clas.'iilicalion of melamorphic rocks
schistose and gneissose. Recrystallisation occurring under hydrostatic pressures
(afterGII.LULY. WATEKS& WOOJ>fORD. 1<,159)
and heat gives rise to granulites (granulite. quartzite and marble).

Name Texture Commonly Chief Minerals

Derivcd from
11.4. Defects in Rocks
Unfoli:ued or FainLly FoliaLed
All features. starting from ultra microscopic to macroscopic. thal inrluence
Hornfels Homfclsic Any fine-gr-olined Highly variable the strength and deformation properties of the rocks em be called defectS.
rock. The influence of these defects is to decre-J.Se the load carrying capacity of rocks
Quartzite Gr-olnoblaSLic. Sandstone- Quanz and c:luse concentration of stresses in certain directions around an e:'(~vation.
fine gr.lined
:Yl:!rblc Grolnoblastic Limestone. dolomite Caleitc. m:lgnesium DefectS in rOCks can be grouped into the following categories: I. Fabric defects
and C'ollcium silic:nes and 2. Structurnl defects.
Tactile Gr.moblasLie. but Limestone or Varied: chiefly
coarse :lnd dolomite plus silicates of iron.
variable magmatic emanaLions calcium. and mag­
nesium. such as !tame!. 11.4.1. Fabric Defects
epidoLe. pyroxe~e. The component pans of a material may be arranged in some irregulllr or
amphibole
regular order relative to each other which defines what is known as rock
Amphibolite. Granoblastic Basalt. gabbro. luff Hornblende
and plagioclase. fabric.
minorpmel Fabric therefore refers to the spacial data about the grains constituting the
andquaru
rock mass. their orientation. mutual relationship to each other or p3cking.
Granulite Granoblal'tic Shale. graywacke. Feldspar. pyroxene.
or igneous rocks garnet. kyaniLc. The measure of the fabric is therefore the orienration of the grain (inclination
and other silic:nes of a fIXed direction. axis or plane within the grain) to a fIXed direction outside
it. The c-axis of quartZ gr.lins is a typical example of the use of the cryst.:lllo·
Foliated gr.lphic plane with the geogr.lphic North as the exterior reference ::lAis. An­
other way of describing the orientation of the grains is to refer apparen t long
Slate land Slaty ShOlle. Luff Mica.quanz
axes of the grnins with reference to the bedding planes or the geographic North.
Phyllite)
Basalt. andesitc. Luff Chlorite. plagioclasc. Obviously, therefore. there are two ways of analysing the orientation rubric.
Chlorite schist Schistose
to slaty epidote the crystallographic or petrographic fabric referring to internal crystallogr..lphic
~ tic:! schist SchiSiose Shale. luff. rhyolitc Muscovite. quartz. structure and the other relating to the morphology of the grain. As such 4 dif­
biotite ferent types of fabric structure may be recognised (Fig. 11-1).
Amphibule Schistose Basalt. andesite. Amphihole.
gabbro. tuff plagioclase Preferred morphologic:Il orientation of grains in a rock is the result of sever:J.l
schist factors such as their mode of origin and initial shupe (arrangement of pehbks
Gneiss Gneissose Granite. shale. Feldspar. quanz.
diorite. miC'..1 mi::ll. amphibole. and cobbles in a stre:un deposit. JOHANSSON. 1965) and their strain his [ory.
schisl. rhyolite. elc. gamel.etc. This is a result of the kinematic processes which the rock has undergone. The
~1i::matitc Coarscly banded. Mixtures of igneous Fcldspar. amphibolt:. crystallographic fabric is the result of the stress field at the time ofcrystallis;..1! ion
highly variable and metamorphic quanz. biotile or recrystallisation of the mineral gr.lins und develops under sustained con­
rocks ditions of stress and temperature or both. [n general the fabric dcveloprnenr
of one kind is coupled with the fading of the other fabric but the traces 0(- this
may be retained indic:lting thereby whole deformation his(Qry or the ("ock
recorded in its "inherited fabric" (TURNeR and WEISS. 19(3).
:!16 CLASSIFICATION OF ROCK
DEFECfS IN ROCKS
no p...n..r...... d pet ro""rapn Ie or
{c) "..or;:>oolooi=1 orientation ref..renc.. direction

(b)
p .. ,rooraahic
morphoiooicai
orienta'ion; no

o
"
--',-"
------,
-- ~
........
\ /

deQ,.....
//

//
/'
--
---
-:;-- -
ISO"
-"-
-90­
\\\ /
,,\ \\\\ /Y//,­
..::::\\\
o
///.:: ­
+90"
(a )
( c)
morphologic::ol orientation;
(e) no petrogro/:ll'>ic frequency by nyrnt::..­

both l'OI"roo rcpnlc and

(d)
"..crPholOO icci or'.",at Ion
Fii-o 11-2. Types offabric structures in aggregateS. o dOQ,.".a teO" -SO" o +90°
, b )
The usual method of determination of the fabric is to observe the thin sections (d)
under a microscope. though sometimes. examining hand specimens in the field Fig. /1-3. U nimodaJity produced by rotation of reference directions

using a magnifying glass and establishing the number of micas per unit area (a) Orientation of long 'a' axes: reference direction bedding

(b) U-shaped frequency distribution from ta)

showing their basal sections (high lustre planes) could give an idea about (c) Orientation oflong 'a' axes measured as devi::ltions from bedding:

morphological fabric. If the field of the hand specimen is taken as a unit area reference direction rolated 90·'

and. the number of mic:lS are determined on the three different faces of hand (d) Unimodal frequency distribution from (c)

specimen. one could get a rough idea of the fabric. If the rock is layered, (after GRIFFTnls. 1967).

there shall be a preferred direction with a pronounced maximum number of

micas. Same is true if other nonspherical grains are studied in a hand specimen.
In the study of crystallographic fabric. measurements are carried out on a
single mineral entity such as quartz. mica. feldspar. calcite. hornblende which
have easily recognisablecryst.lllographic propenies such as cleavage of mica.
optical axes of quartz and hornblende. twinning planes of calcite.· etc. The
measure of the fabric orientation is the measurement of deviation from tr.e
reference direction leading to a range of measurements both of declination
and bearing (Fig. 11-3). The degree of preferred orientation is estimated by
the standard deviation (variance) and the variance ratio test (GRIFFITHS. 1967)
gives a suitable method for testing significance of orientation. The smaller the
variance. the higher the degree of orientation.
Crystallographic fabric studies have been found to be r:elated to the stress
field. TURNER et al (1956) found a close relationShip belween the imposed
stress system and c-axis orientation of recrystallised calcite. Crystallographic
fabric that develops in an anisotropic mineral is dependent upon the stress
field in such a way thar the potential energy of the external forces ilnd [he
potential energy of the system ilre minimised. The potential energy of an an­
isotropic miner..!l in an ilnisotropic field is a function of the orientation o[ lh~
mineral relative to the stress field and will be minimwn for certain orient:.ltions
which this mineral will tend to take. Applying MACDoNAW'S (1957) thermo.
dynamic predictions. BRACE (1960) showed that the (1011) plane for c::Jicl1<:.
[1012] plane for high quartz. and the [O?';I] plane for low quarrz sh;;l/ oc
oriented such that in a single component of stress these shall be perpc::ndicul;.Jr
to the stress. In a triaxial nonhomogeneous stress field the orientation is
dependent both on the stress difference and the confining prCS$urc which
indicates that theoretically similar fabric orientations ilTe possible:: in rock::;
with same stress difference but different confining pressures. The ..:quilihriul1l
orientlltion of ice in different stress fields is given in Fig. 11-4. Work OfGKI(j(;S.
TURNER and HEARD (1960) showed that in the recrystalJis.:.!tion or cakile
marble. grains have a strong preferred orientaeion rlaral!..:1 to the maximum
 CLASSIF1CATION OF ROCK DEFECTS IN ROCKS 229
218
principal stress. This is also in accordance with the theoretical inrerpret:.uions
o of K.,1.1,U3 (1959). In uniaxial compression tests, the c-axis of calcite is found to
be perpendicular to the stress axis and in triaxial extension (with cylinders
elong.lted in the direction of their axes and compressed mdially) c-axis of the
recrystaHised grains is perpendicular to the axis of the cylinder and in rhe plane
of greatest compression.
tr tl.H
In practice, however, there has been little success in predicting stress from
0'
II
fabric studies. In some cases it has been possible to correlate the extreme stress
o history (only the last cycle) to the fabric orientation utiiising the c-axis of quartz
(PRICE. 1975). but the full objectives have not been realised. It has been often
\-> found that the orientation diagrams of dilTerent minemls in the same slide have
~v dilTerent symmetries. for instance, mic.l planes are more or less pamlld to main
CJ!'
to: ~
'"
"',-
'" u
. slip planes (s-plane) of schistosity showing monoclinic symmetry but the quartz
grains shapes are inclined to this plane. The explanation very often put for-yard
.::: 0

'" on

Pz ~5
is that quanz is very mobile and that this dilTerent symmetry of quartz is due
~ .':::;
to later orientation of quartZ. Similarly, in microfolds. it has been found th:u
o l: u
ih·~ several kinds of deformations may have occurred in the same structure. The
~ c......:. preferred orientation of minernls can assume the two basic patterns: maxima
.5:!;!g
".,,,,,
lI!.c ­
or girdles. There may be more than one maximum in a section but more than
t5 ~.~ t:f one girdle is quite common. There may be maxima enclosed in a girdle pattern
c E < (Fig. 11-5).
0 ... ..:
II .=-= Q

b'"
F; - '" .,
::1
C
.,
~
t::._
~

t::. ....
Some orientation patterns in tenns of tectonic or growth structure are given
.-
0;;­
- co:;:
in Fig. 11-6 (De SITTER, 1964). The various features in Fig. 11-6 are explained
]]'" below:
~
~
.,

.... ""~
.... ".:"",
c.. L A concenrralion o[poles in one rnaximum(m).
..:.>"'"
..... (a) Presence of a single set of s planes, the pole of which coincides with In •
-:] commonly shown by (00l) ofmic.l either bec.luse of growth in a plane
.!!'­
u.. of lea.st resistance or for mechanic.ll re::tSons; common for (00 1) in mica
and (0112) ofcalcite (IA).
o (b) Presence of a single set of s planes within which m coincides with direc­
tion of slip. Very common in quartz (0001) eIB).
(c) Presence of a 'b' axis whose pole coincides with In, either for mechanical
reasons or because of fabric growth of prismatic crystals in that diret:­
ct" tion: (001) in hornblende, for instance (IC).
o
c o II. An arcuate girdle o[ concenrrarion in a grear circle. The measured optical
directions tend to fall within II plane surface.
(a) The same c.lSe as in IA, but the single set of s planes ha:; been folded:
f.t the fold axis is then the axis of the girdle (00 I) in mica and chlorite.
(0112) in C'.llcite, (000]) in quam: (IIA).
of'
230 CLASSIFICATION OF ROCK
DEFECTS !N ROCKS
c 231

r~~
ZC
b

br---- '-"11> I>

.. JO~~2
bl .~--
+
bio~ CluorT.t~ , __
c
C .... 6 c I A
c F c cz.

:;;:-ory..v.v".
<> Q4A·
c ...." c
KA
c
Fig. 11-5. Different patterns of preferred ori~ntation
(A) Biotite axes' maximum vc:nical to schistosity plane­

Garnet schi$t from S. Valpurp. d'Ultimo

bIUC! ~l
(B) Quartz coaxes maximum parallel to 'a' axis in graqile mylonite, Odenwald

(C) Girdle of quartz c..axes in 'ac' plane. Quartzite from the eastern Alps

(0) Girdle in 'ac' plane of muscovite cleavage. Mica schist from Schimborn

(E) Two small girdles of quartz optical axes. Granulite from Saxony

(F) Two crossing girdles of quartz optical axes. Granulite from Finland
I ~. ia
(after NICiCiLl. 1948).
l[
(b) Intersection of s...-veral sets of s planes in a line coinciding with the axis
of the girdle (b axis): (OOt) in mica and chlorite, (0112) in calcite, (0001)
in quartz (lIB).
(c) The same case as in IA or IB. but the faces or c1eaw.ge parallel Lo the
axes of the prismatic minerals. and not the axes themselves.
(d) Grov..1h of elongated crystals with their longest dimension (e.g.. 001 in
hornblende) oriented at random in a plane of minimum resistance to
growth.. which coincides with the plane of the girdle (lIe).
Ill. A girdle which is nOT a greal circle, bUI a small circle of lhe sphere? of prer
jecrion. The measured opticallines thus tend to lie on the surface of a cone
(III). . (Fig. 11-7a) and this orientntion can be maintained during deposition and
(a) The measured optical direcLion makes an angle with the crystnl face
oriented in s. This is essentially the same case as lAo except that some
optical angles and not. the crystal faces. are me:.\sured. as. for instance.
the (0001) axis of calcite. which is orienLed in the s plane accordi;)g [0
itS (0 112) faces. The dillmeler of the ring is then 52'·.
"
Fig. J 1·6. Preferred orientation patterns ofdifferent structural fe:ltures
(after DE SITTER. 1964).
(b) The b axis is an axis of rotation, the pole of which coincides with rhe
centre of the ring, Quartz diagrams very often show this amJ.ngemem.
A concise idea about [he fabric types in the different types of rocks is given
below.
In sedimentary rocks, if the detrital material is dimensionally anisotropic, then
during transport it moves with the longer axis parallel to the CUrrent direction
if in suspensi:.Jn and at right angles to the current direction if in tracrion
subsequent compaction and cementation with some influence of the size of
the substrata, its own (particle) shape and size and packing, erc. (CAII.LEtIX.
1938; HurrA, 1956). Structural fabric of sedimemary rocks also gives an in­
dication of the environments at the time of deposirion(Fig. 11-7b). Beach and
river deposits show pronounced preferred orientation and different degrees of
imbrication of their particles (CAILLEUX. 1938). Glacial deposits are similarly
 232 CLASSTFICATION OF ROCK
DEFECTS IN ROCKS ".
_,J_'

'transPOrt decx:ush ion beaCh ri....or Folds

0
="""
3>~
;;; "",0,-,0=£
=>-0 =~ Folds c:ln be defined as undulations in rocks and are features observed in
.• .­
~Q. ~-.r-
::I & O"'uvi1"y
~I
alump
layered rocks. The individual folds vary in dimensions from a few millimeters
[0 many kilometers .

Folds have been classified in many ways. Descriptive or geometric classi.

1!/lIZtl­
-.. Oll-r­
c: 6i..,,;;,?fi.::.~' ".:::,
~ ~:J,,~.\_ .. ~ fiC'J.tion is based upon the attitude of the limbs. axial surface and fold axis.
u ";W:J'\...~_""; . .' :.
D
- --- :t " .......... ...

(c) (b)
Fig. 11·7. Orientation of grains
(a) influence of transport medium
(b) Influence of environment
(after GRIFFITHS. 1967).
influenced by the dominant directions of current (HOLMES, 1941) and so also
the panicles sliding in a gravitational field along a slope (MINER, 1934).
Sediments with disturbed struCtures, sometimes called slwnp sediments, show
patchy orientation patterns.
Crystallographic fabric and morphological fabric both are well developed in
most of the metamorphosed. rocks. The cleavage and schistosity in metamor­
phic rocks are classical examples of crystallographic and morphological fabrics.
Slaty cle:l:vage is a planar fabric that is a pervasive propcny of slate. and is
formed perpendicular to the direction of maximwn finite shonening of the
rock being produced by the mechanical reorienmtion of the panicles with some
new growth of micaceous mineraL Schistosity in more highly metamorphosed
rocks is produced by more or less recrysmUisation of the components (TURNER,
1948: RAMsAY, 1967),
The amount of strain that the rock must undergo is important for the devel­
opment ofschistosity. Ex?Crimental studies ofCLOOS (1947) indicate that about
30 % is the deformation required fot the development of slaty cleavage.
11.4.2. Structural Defects
Structural defects in rocks are of three types; folds. faults and joints. From
the point of origin. these are the result of tectonic stresses to which rocks have
been subjected during lhe course of their history. A general description of
these is given below:
Morphologic:ll classification is based upon the shape of folds and their relative
number of anticlines and synclines, etc. Mechanic. kinematic and tecconic
cIassifiC:l.tions are important from the rock mechanics poim of view for Lhey
permit an insight into the tectonic regime, the forces involved and the mechanism
ofdeformation.
The classific'ltion based upon external kinematics and tectonic forces recognises
the subdivision of the folds and the associated structures denendin2: UDon the
mechanism of formation. The following processes have' bet!n ~ec~gnised
(BADGLEY, 1965):
1. Folds related to vertical tectonics and gravity gliding
2. Folds resnlting from differences in specific gravity
3. Folds resulting from differential subsidence
4. Folds due to pluton emplacement
5. Folds resulting from block uplift
6. Folds due to lateral compression
7. Folds due to regional coupling or simple shearing
Looking at the mechanics of their development. these processes may be grouped
under two basic mechanisms, namely,
(i) flexure folding. (ii) shear folding (Fig. 11-8). In flexure folding or flexur.ll
slip folding (SANDER. 1930), the mechanism involves sliding of beds past each
other. The higher competent stram slide upward towards anticlinal crest areas.
The force causing this folding is considered to be lateral compression (or uplift)
or coupling (Fig. 11-8b). In shear folding shearing or slipping occurs along
closely spaced fractures (secondary s-surfaces) not parallel to the original bed­
ding (primary s-surfaces) (Fig. 11-8a). The strain field at the two limbs of the
fold changes both in value and direction as one moves away from the crest
(Fig. 11-8b). At the interface of the adjacent beds displacement occurs.
The movements of different points during the development of a fold are given
in Fig. 11-9. At the initial stages (in open folds) each poine moves upward
followed by a horizontal movement culminating in their final pOsition!;. [n
isoclinal folds the motion is predominantly venicaL Extensive thickncs:; chapges
in folding take place. In isoclinal folds possibly large horizontal movements at
the earlier smge-of their development are followed by relief from the core to the
surface crest of the fold.
 134 CLASSIFICATION OF ROCK
DEFECTS fN ROCKS 235

(Q) (cl)

(b)
I

{b}

- (b)
z.
Fig. 11-8. Mechanism offolding

(a) Shear or slip folding

(b) Flexure folding (Oexural slip) mechanism involving concentric shear motion

(after BADGl..EY. 1965).

The movement.history at low displacement rates ranging in the order of 10- 14 (c)
to 10- 16 mm/s influences the 'inherent fabric' of rock producing a nt::W 'defor­
mational fabric' as described earlier and is also responsible for the development Fig. 11·9. (a) Stages in the evolution of a fold from an Original

of certain oriented fractures. horizontal sheet of rock to an eventual isoclinal position

(heavy solid linel.

As the fok!ing strain under the influence of horizontal stress progresses rurther
(b) and (e) The arrows show the movements from various points

resulting in buckling of the beds (Fig. 11-10). multiple folds develop and the
on the original sheet to their final position
""-ave length of these is dependent upon the competency of the bed undergoing
(after BADGl..EY, 1965).
folding: and the surrounding rocks. Both theoretical and experimental investi­

gations have been conducted to interpret their wave lengths and shapes (BlOT.
layers slip over the inner layt:rs (Fig. 11-11) giving homogeneously distributed
ODE and ROEVER, 1961: BlOT. 1964. 1965: CURRIE. PATNODE and TRUMP. 1962:
strain or inhomogeneously distributed strain with more movement on the byer
. RAMBERG. 1960. 1961. 1963). The wave length is directly proponional to the
boundaries than in the centre of the layers (Fig. 11-11) giving: slickens.ide :J.nd
thic!kness of the competent layer (CUR.RIE, PATNODE and TRUMP, 1962). sigmoidal tension fissures (Fig. 11-12). These fracrores are inclined Ut un ungle.
A very important aspect of folding from an engineering point of view is the the inclination of which changes with respect [0 the bedding planes as one
str.lins associated with it. For instance. durin~ the buckling of beds the outer moves away from the crest (Fig. 11-12). The amount of slip is greatest at the
limbs of the fold and is proportional to the layer thickness. These ~(ructures
:;36 CLASSIFICATJON OF ROCK DEFECTS iN ROCKS 2J7
~~~,''-:'~''~ ' ..:..~i..~.~"( _<;.~' .. ~. ...,'''''''1:.\:;. ;1:"''"''.: ..;.. -:",,'
r.;" ",,~~,,_i. . ~. ..,,)"" ,c, ~. ..-' '·r .•.. :.'Ir.' ' ., ­
r;:' -:;!....:;.. ~ T~~~":' . - ": ..\;.,;." . :t.,....,f.~ ' ....
:"~J; ~'!~~' •. '-~~~'
~~t;::;;.I'•. }"~M"" 'I"'~ ~' ~ .I~)...' .. It..,,;.... ~~"' .... ~ . . . . . i'~:-:"':·-:'.
""l.:::::-,

~ ~;~:, . _.-~';--::: .~ \.... "" . c.. {' .'.;. ~_ .~\ 't

'~!':'.}(:'>,­ /' /
__ . , : " " '. . . . . . ...
././

~~~4:'\:,::,:':".~'"t:.,..,., .. : ..~'\ii, , ..... ~~ ~;.-:::\·~'\.·"".i'-'''·­ (o ) ~

l'!'<"~'~""-'
~~ . .: :....:_<~,,.,-.....
" "\_ ~........... "
. .--. . . .:;.~~ .:~ . _:"\
"(>
.' - .,,~ .
,'t'
• ••••
,.
. . •,
• .".
... ... . ~.=
.,-" \. . ~ _}..:
.~~
•
;
~~":'f 't·$
",I. '\.
j ••
......'~-J
~R~~~':"
)..~ ...":);-
M-.........." "'l-
0'.
.•:-.. .,' '::.
. ' •• -- "
_
~'.J.'\;.( .r·"Q. •••• '•. " .... -..<
. . .;;'ii1I:1 ~._ ;=:.::-,.'

~...", .• ..".__ '.., ., ,.ifn...~ ,.~;::'JIt.•. ,.~.

~~
~.;.~.:: . . . .(:t'
'.'::_\.~ '" • ':•. '~" ", ~.
.,.
'.*
l~'\..· ..........~to':;',,~­ o@ - ,~

~...... 'io-~'i '.-,..:. .. ~.::.:.-' \·:t·· " '. ,.~.,.._:2

_. • I. \

'.':..:' .......",'
,-::;,;:).=:: ::.--;:·r . "-~;f ,;'-~~?---
1.... ~ .. ,_,~,;::
~ ~~!~, ~!:'~<;. .. .. - - . , '
'f: . ;':,.• •. :
,""""'.. .~'?-.'
~~),
~ ,f

, .. ,.,," .. ~
t~.. .j~~"'~ ~ '.\ ~' ..:.. " : ~ .'"'-. ~1'
t

'*. ,.,.'
............. -~.' \ ,~

. ~~:t~~i':~;~::~s~':,,;~: .

; ' \,
( b)

\'~' ... :'"-~' ".

. . ~ ..... , .. ~.­ ', .. "'.: . '\ ....

..,~~, _.:,L·~~2~5~;,:~\_
, ' .•~ -_£.-....":~ ~.

~ \. .., ...
~:-.\:~
1 \ ~~ I
"._- "'.-;
- - ""~:-!'''''' .-.~-',..
~\~~I
..,110 .....
........

.... _ L ~

(c)

Fig. 11·10. Varying wavelengths of folds produced by buckling pegmatite

sheets of vanable thickness in a mica. schist matrix.

Fig. 11.12. Progressive development of sigmoidal tension tissun:s and

Pcnnine Alps. Ticino. Switzerland

slaty cleavage as a rciult of progressive fold development with

(after RAMSAY. 1967).

internal deformation by nexural now

(afeer RAMsAY, 1967) .

• licKenaldea on thrust surface

(Fig. 11-13). The amount ofdeformation (shortening) that the beds have u.nder­
gone can be determined by me:lSuring along the length of any lithological unH
on the boundary of or inside the competent layer. Another method of deter­
mining the amount of deformation that the rocks have undergone is the study
of deformed. oolites and fossils (CLOOS, 1947; BR.EDD IN, 1956a, b, 1957) which
change their shape under strain imposed upon them.

Faults
Faults are large discontinuities in geological formations along which in ter­
Fig. 11-11. Development of thrusts in a flexur.il.slip fold sected. beds have moved past each other to produce certain displacements.
(after RAMSAY. 1967). From the genetic aspects. most faults are planes of shear fractures broLJg:ht
about by stresses and hence their direction and dip bear a definite relationship
are best developed in the fold limbs at the boundaries of the thickest and most to the stresses that were in existence at the time of their formation. According
competen.t beds and die aw-.i1y tow-d.rcis the hinge of the structure. Besides the to MOHR'S criterion (Chapter V, Volume I). it has been poimed out that rail ure
development of tensional sigmoidal fissures. tensional joints may develop in will occur at the point where the MOHR circle is a tangent to the MOHR envelupe
layer progressively folded at the upper and lower boundaries of the beds and and that thcr inclination of this plane of failure with respect to the grca cest
the depth to which they extend depepds upon the position of the neutral su.rface principal stress for this condition is represented by the line joining the ce~ ere
::!38 CLASSIFICATION OF ROCK
DEFECTS IN ROCKS 2.39

(0)

a; cr,
t •
T I'r

h j \
\'"
/
!

"\fri \'~o-/
~CT ~-1 2«~ T~
cr,
I
""J--f l l ~',r:T '" Q', Z""G. i<>l
'Y\". (a)

L\.
(c)
\

finite neutral a", ..10co ze\~

Fig. 11-13. Structures developed in Il.layerprogrc:ssivc:ly folded and
61: r. 3
. 1
defonnc:d by lIlngc:ntiallongitudinal strain
""
(after RAMSAY, 1967).
a;
q',

of the circle and the point of tangent on the MOHR envelope (Fig. 11-14). If
it is uniaxial tension. then the failure plane is at right angles to the direction
of this force. If it is a case of a triaxial StresS field. the angle 20 varies depend­
ing upon the nature of the stress field. The angle between the conjugate shear
surfaces (20) increases as the lateral compression .incn:ases. If it is assumed
that failure had occurred only under a compressive streSS field. it is then pos­ crll
<1",
sible to interpret the dirc:tion of maximum principal compressive stress and
gain some idea about their ratios from the direction of the fault. Accordingly.
therefore. the various types of faults would be then classified as follows:
(a) N onnal faults: when greatest principal stress acts venically and the least
principal stress is horizontal. 4
<5
(b) Wrench faults; when the greatest and least principal stres...es act horizon­
tally. cr, <S',
(c) Thrust faults: when greatest principal stress is horizontal and the least ~

principal stress is vertical.

Besides this simple explanation which is associated with brittle fracture of Fig. 11-14. (a) Resolution of forces acting on failure planes in rock>.

hard rocks. faults occur as a result of large displacements produced under The lateral fcree(.,. J) is tensional in the first three examples (I. 1. J) but the "onlining

stresses in semibrittle and softer rocks. For example. in the case of a normal pressure ( "'1) grndually increases from example4 through roe:-:amplt: 6. N,)(e (hal (he ,h"ar

fault the cause of the greatest principal venical stress and least principaJ components ('r) of the external forces are additive in e:-:amples':: and 3 hut Oppo,e
each other in examples 4,5.6. The nonnal components (tT) oppose t:ach other
horizontal stress directions may be radial (outward) stret.ching over the crest in examples 2 and J but are additive in examples -1.5 and o.
~40 CLASSIFICATION OF ROC:Z
DEFECTS IN ROCKS 241
l'

rNO~~tn •• abillfy
~~~

reoion of
_tObUII),
(b) ':)1-­
,.,

'tr.

Mo"" eireh!
01" totl",..
tor
a
l~.f eire••

. ,::;~~~~~~fr(: . -~
,~.... <,.,.;.;;

-~'-"·"':7·;j." .. ~~:. ~'.

--­

,.n-..o"CiJ1 cofftCJlf"'Clt• •ionol

';'leI 'Ielel

Fig. 11-15. Experimental graben produced in a cake of ~Iay arched over a balloon
Fig. 11-14. (after CLOOS. 1936).
(b) In the: corresponding MOHR circles (examplcs 1-6) note: the: gradual dc:c:rc:ase: in 2 0
value as <7\ - <73 dccrcasc:s. The: circle: offailure bc:c:omcs tangent to the MOHR e:nvelope in
the: case: of the: smallest circle
(after B..ux;l.EY, 1965).

··~~~~:C'·:/II~
r-.. _:_~~
.
_ .'iJ.-~
~j
,
_".
~;'.~~:":""'....:.-=-~
7 /,/ _/I'.'_~' "' . .~'"~>
......... >-.~.

-"
- ...
.......... '

of an anticline as result of folding. It may also be due. to the expansion of the
canh's crust which results in decreasing the net horizontal confining pressure.
Such faults are formed on the limbs of an anticline and their intensity decreases
as one moves towards the centre of the 2J1tic1ine. Such faults are also common
at the edges of geosynclines giving features such as graben and horst structure
(CLOOS, ]936) (Fig. 11-15).
Wrench faults and thrust faults are dominated by horizontal stresses. As a
resull of the continued action of the horizontal thrust the beds develop folds
and as the development of the fold continues, the bending accompanying the
development of an asymmetric fold (Fig. 11-16) weakens the steeper limbs
shc;lring it apan with dragging against the fault.
~.""'::--....
~":.~-:::-- ~ . ~'"
...........
Fig. 11-16. Development ofa break thrust. The strata are too competent to becom"
overturned and stretched. The: folding weakens the fore:limb of the anticline
by te:nsion fmcturing. Continued application causes a tbrust to develop and utilises the
already existing fractures
(after WrLus. 1893)
Joints
Joints are fractures in rocks along which there has been little or no displace­
ment or a very slight movement nonna! to the joint surface.
There are two type:> of joints; systematic joints and nonsystcmatic joints
(Fig. 11-17). Systematic joints occur in sets in which individu:il joints :ire
 24:; CLASSIFICATION OF ROCK
ay..tel"nntic. join1'S
,..., I ... nonsyatomctic joints
FiS. 11-17. Typical plan view of systematic and nonsystc:malic joints.
parallel or sub-parallel to each other. Nonsystematic joints do not have any
definite pattern and frecjueinly terminate at systematic joints.
Joints which cut through a number of beds or rock units and which can be
followed several tens or hundreds of metres are termed master joints and
those which are an order of magnitude smaller but are still large enough may
be called major joints. Still smaller and relatively unimportant fractures may
be called minor joints and those of only up to a few centimetres (like cleavag.e
in coal) are called micro-joints. The joint set that is more developed (i. e. more
frequent and larger) is called a primary set ofjoints and the other set is called
a secondary set ofjoints.
Joints are secondary features of the rock tectonics and as such have a definite
relationship with the regional structure. They are generally related to the
predominant structural trend of the region such as fold axes and thrust faults,
basin rims, monoclines, mountain uplifts or swell structures. Joints roughly
parallel to the fold axis are formed due to tensIle stress at high angle to the
beddings (Fig. 11-18). These are called longitudinal joints. CrosS joints are
roughly perpendicular to fold axes and generally terminate against systematic
joints. They have a more irregular 'surface than systematic joints (HODGSON.
1961). Diagonal joints £eneralJy occur in pairs more or less symmetrical to the
longitudinal and cross joints with high angle to bedding and are the result of
.. shear failures .
The genetics of joint formation under a general stress field is explained in
Fig. 11-14. Obviously therefore. there may bt; tensional joints or shear joints.
Shear joints are cut across the crystals and are commonly slickensided
(Fig. 11-19) or a narrow cataclastic zone with offsetting on opposite sides of
the fracture (Fig. t 1-20). Tensional joints. on the other hand. have clean.
gr::mu)ar breaks and may have plumose markings (Fig. 11-21).
From Fig. 11-14. it is clear that for2:r= 180". i.e. contained angle between the
fractures to be zero (tensional joints) at least one of the principal stresses need
to be zero or tensile. This means that tensional joints are near-surface features.
DEFECTS IN ROCKS ::.f)
inf"erm-..:llat*
-.k:.:'
/f - ~ ~
nl mylT'l
maXlm"lT'I
str-t!tss systelT'l
dlaQOnClI JoinT
Joint
dlcQonai joint
IonQitudinc I joint
Fig. 11-18. Geometric orientation oflongitudinal. cross and diagonaljoims relative to
fold axis and to principal Stress axes
(after WILUS and Wlu..ts, 1934).
During the ~Iy Stages of folding., the stress distribution in folded rock changes
gradually, the compressive stress near the fold axis slowly changing from
compressive to tensile and joints shall be first formed at the anticline ridge
top while in deeper parts of the anticline limbs a higher stress difference will
be required for. failure. As joint development extends to deeper lying regions
the critical stress circle will be larger and conjugate shear angle (contained angle
between the joint sets 28= 180-27.) will become larger and larger. The con.
jug-,J.[e shear angle is therefore an indication of the depth of occurrence and the
ratio of the maximwn and minimwn stresses that co.used these joints.
If simple gravitational force is considered to cause jOinting, it can be proved
that ;jointing will occur only down to a certain depth and will cease as the realm
of plastic deformation is reached or the stress difference to bring about
necessary shear stress falls below the required value (PRICE.. 1959). ­
There are different types of mechanism Qusing the development of forces tha (
result in jOinting. These !11.ly be gravitational forces due [0 the weight of the
overlying strata. regional compression associated with thrusting, regional
coupling.. crustal shifting and non tectonic forces such as shrinkage due CO
cooling, dessication. etc.
In bedded formations only one set of shear is generally presenL This occurs
when the beds have been subjected to rotational stresses~ Sludies on joint
development using clay as a model material conducted by CLCX)s (1955) expbin
this very clearly. In Fig. 11-22 the surface of the clay was sprinkled with walcr
to decrease surface tension and in the nonrotational experiment tension rr.:Jc.
2~ CLASSIFICATION OF ROCK DEFECTS IN ROCKS 145

7i
.,.

r:' i

::.:...,;.;. 1.1•.
Fig. t 1-20. Fuuit in St. Peter sandstone. Longitudinal compression (vertical).
·~':tL:;';~~r -'''~:~!,':I:' Confining pressure of 5000 bars. interstitial- water pressure of 1000 bars. temper.:l.IUre of
'''~ft .... ~ .•..
500° C. shortened 40 percent. Note lhe wide zone of mylonitised quam:. There
'.....'
.~. I.
~. ':'~,'
"",,,,
.... ;'1"'...."
.~...... -: t· "'t
is very little groin bn::akage away from the mylonitised zone
(after GRIGGS and HANDIN. 1960).
~~~ .~I~ ~ ~. ;'t~' .
~
.:.,~.,
'" ... .
:-, -..
• .. "I. _ .. ~-..~,
.:~ .
••
."".
' !; ~ ._.\.... ~, : ---..
l. . . ~:. ~ " .. '~.~
~\~, - ~ -I:' t .. w

t.;\, l ' ',. L,

. ~~ ,,,.~
:.: '\:7 tures were formed (Fig. 11-22a). When the clay surface was left dry the
-:':" .'\,

" . '" . application of rotational stress produced conjugate shear fractures making 60°
Fig. 11-19. Slickensides and small steps or ridges developed on shear surfaces incersection angles initially (Fig. 11-22b). As deformation continued one of
(after PATERSON. 1958). . the two sets of fractures rotate to different angles. the conjugate shear angle
20 to more than 90° and one of the fractures develop more than the other.
The reason for, the poor development of the second set unci! 20 = 90" is due
to the space requirements of individual cleavage mullions (Fig. 11-22c) which
~46 CLASSIFICATION OF ROCK
A 247

~.-:~-a,
0"1

t
f
r .,
'4),
,
r'1','/ I "
!
".~/I./
'fl . ~
t\ I

, ,\. j" /'

Fig. U"21. PlumoSl: structure on the faces of joints

(after HODGSOK 1961).
-- t
O"j
i
t, " ·r
---'-.
I .
\' . .l
,
~-,
f
, ~

(0)

pcne-s of no
dlsotorTion
"sr.-Oi" thec:w-y"
'/ ,
\
:\ '

will have to rotate against the normal component of regional stress. The second
set of new fracture planes which is now parallel to beddingpJane 'does not
\.
\ '\,
'-.'
. ',,( - I
develop funher because of the pre-existing bedding planes along which slip is
concentrated.
."\ '"
~'-~--
-' '\ . \
Joints due to cooling and shrinkage are relief fractures and split the rock mass
into columns. If rocks are perfectly homogeneous and if cooling (or drying) is
'~
i
..

~
j
also unifol1ll, then cooling or drying centres shall be equally distributed in the
rock (Fig. 11-23). The distances between the centres being equal. this results
I
0-
1
(b)
\\,\
in equal tensional stresses with joints forming hexagonal shapes in plan. How­ C
ever, in practice, varied shapes occur due to nonconformity of cooling.
However. some polygonal fractures could also be of tectonic origin (?RAn,
1958). .
Cooling joints are more closely spaced near the margins of igneous bodies \'-,

and become widely spaced as one moves into the interior and even may
" '. I
disappear at depth.
, "
1-:---,,0""3
Some sheet structures and large foliations may be associated with unloading.
JAHNS (1943) and CHAPMAN alld RIOUX (1958) found sheet structure with the

>~ .'
thickness of individual sheets inereasing from almost 25 to 50 em nQr the sur­
face to several metres at depth and the sheet structure runs parallel to {OPo­ ,,·.·.w .r;"'r::(:
. '.' 1ft.(;'~" ,
0"1
grnphy. (c) ~~.. ..!..~')~~~"~.::'" .\1.

Concentric and radial jointing occurs in rocks overlying magmatic domes or
surrounding the domes due to sagging of the roof into the magma reservoir
or in the thrusting of the magmatic dome upv,ard developing radial and
tangential tensile stresses in the roof (Fig. 11-24).
Fig. 11·22. Non-rotational deformation of wet clay. The surface of the clay was kept wet
with water. in (al. toeliminate surf:lce tension in the clay. It will be noted that the
shear fractures have angular relations which are in agreement with I hc so-called
'stress theory of failure'
(after CLOOS. 1955).
248 CLASSIFICATION OF ROCK JOINT SURVEY AND JO[NT .-\NAL YS!S :.4CJ

..,.,.--- ...... ,....-. ""-, -""""'- - ........... ---­ ..... 11.5. Joint Survey and Joint Analysis
/
/, ~-~-......o;,.<:

\
/""-
1/ \ /
/ ',
/ I / \
In the analysis of any rock structure. a sample of joints at various positions
I \1 1 I \

,--- --y..... ----\!..- ---.,I

' \

in the rock mass made accessible by drilling, outcrops. trenches. shafts. tunnels.
/ ' 1'\ /'1\" / ,,~, It',
etc. is surveyed to assess the various properties of interest. The sample should
I' 1 1\ , 1 I \,,, 1 / \
be sufficiently large so that the information obtained is sufficiently accurate.
I I \ \ \

I ", I / / \ 1/ /1 \ \ 1 \ Depending upon the size of the region involved. the number of observations
~~ 'f... ~/
\'-
-J.-.-.

\ 1\
I
--=-~-. -:-!"A,-- --;~-- :-~
I, 11\ I
may run co several thousands (9000 in de Beer's mine. South Africa. RO!lER:rsOS.
1970; 24000 in C.S.A. mine. Cobar. N.S.W, Australia. BARTON. 1975a. b)
\.. \ /1" 1 / I
"..(_ 'V
-------,,~/ _---­\, /
While conducting field survev, it is always advisable to divide the exposures
----""""'" .......
into difTererlt zones of equal' area (say 3 m x 3 m [10' x 10']). The joints that
Fig. 11-23. Uniform cooling or dryinlf in a homolleneous materi:l.1 occurs about
intersect this face of limited size are recorded. Sometimes line sampling tech­
centres which are equally distributed throughout a material in plan view (all centres are
nique is adopted in which:llI the joints which intersect a given line are recorded.
equidistant). Fractures develop at rilfht angles to the tensional pull between centres.
Sampling a line of given length yields a smaller sample and hence is more
and individual fractures intersect to form symmetrical hexagons about each centre
economical to implement where extensive surfaces are :lvailable for sampling.
(after BADGLEY. 1965).

The various aspects that have to be considered in ajoint survey are as follows:
(a) Joint frequency
(b) Joint length and joint continuity
(c) Joint roughness and
(d) Joint thickness.

-,..~-/"
v---fI
\52 \\\b..-Yff (a) Joint Frequency

1?!!;(1 Joint frequency or degree of jointing is a term used to indicate the number of
intersections of one particular joint set encountered in a linear transverse at
right angle to the joint plane. From the point of view of definition. a straight
line (tape) of length I is stretched out on the surface on which the joint fre­
(a) \b) quency is to be measured (Fig. 11-25) arid the number ofjoints (11) intersecting
the line are counted starting from the flrst joint to the last joint on the line.

rf£};;\
rr·:· 0'1..,; }
1_
The inclination of these joints (0) with respect to the stretched line is measured
using geological compass and the frequency (In ) is given by

0~<Y
'\..'1 i _ '\ J = ncosO
n
(11.1)
I
(c) (d)
The equation ILl holds good only if the survey line is placed at right angle
to the joint plane. In other cases the value so obtained will have to be corrected
Fig. ·11-24. Jointing in the country rock above and around a magmatic dome
(a) and (b) Roof sags into magma reservoir giving radial and concentric joints to account for the dip direction. Placing a SUlYey line at un angle to the joint
(c) and (d) Radial and concentric joints developed due to tension in the roof plane results in a greater number of joints which are normal to the line to be
as a result of uplift. sampled and those parallel to the line are completely missed. In a general case
 :::50 CLASSIF1CAT10N OF ROCK
JOINT SURVEY AND JOfNT ANAL YSfS
joint'S 251

..
/~
J:
2. 3 n

/1
A ~,J
-
/ ,I

8:"
--;---~--7.1
~
~./
dIrectIon
of I,n ...
""''''Pi

.' I. ".')(""'''~,,/
A", / ..

,~))
, I"
I
! n~rTT'I 01
~ to
JOInt ,..,.,.

~. I I
1 I
{:Li'/el 1//
/ ,.-"
,,~,I't; ............. I I I
/ I
91,"",9)
. ' "" "
I } ' }III
I

-----" ~--_.L~¥-VJ'
I /
c " I I
" I I
Fif!. 11.]5. Joinl survey. ~I
--------- L..,l

y
if a line has a dip of bI and a dip direction of 81 (Fig. 11-26) and is used to
survey different sets ofjoints and if the joint spacing of any joint set is J•• then Fig. ! 1·26. Three dimensional representation of normal to joinr set and

sampling direction

I· cos oj . cosO} (after ROBERTSON. 1970).

J. (11.2)
n the bed thickness. For example, in two dolomite beds in the same locality,
1 the one having joint frequency of 0.33 has a bed thickness of 3.0 m and the
The frequency is given by Jn
=J­ (11.3) other having joint frequency of 1.0 has bed thickness of 0.33 m. A linear rela.
s
tionship between bed thickness and joint interval (inverse of joint frequency)
has been reported by B<XiDANOV (1947), NOVIKOVA (1947) and KLROUOVA
In practice. however. the OJ and dj are not fixed numbers but have a cenain

(1949) (Fig. 11-27). FocARDI et al (1970), however, report a nonlinear reb.

distribution and a suitable method is to use the mid of the class interval

tionship. The phenomenon has been explained by PRICE (1966) as a result of

selected in correlating the spacing or the frequency. For example. if the fre­

friction that exists between jointed bed under consideration and the adjacen'
quency calculated of any class interv-dl from the above line is given by I n (C)j. OJ)

beds. The higher the friction between the beds the smaller the free gap between
. for the class interval defined by the midpoints c)j and OJ, then the corrected

frequency of this class I n · (c5j. OJ) can be given by (ROBERTSON, 1970)
J o (c)j. tJj)
(11.4)
I n • = cos (01- OJ) x cos [(<>1+ (5)) --- 90]
While comparing joint frequencies obtained using different lengths of survey
lines. the frequency should be reduced to a standard length of say unity or
hundred. Most research workers use unity as the reference length.
M eusurements have sho\\''11 that joint frequency is dependent upon rock type
and stress intensity causing jointing. HARRIS, T AytOR and W AL.PER (1960)
found that for a given rock lithology. joint frequency is inversely related to
the development of required tensile stress and the I st tensional joint and lower
the unit tensile stress when distributed to the full thickness of the bed
(Fig. 11-28). The higher the rock strength the lower is the frequency
In case of shear joints, the frequency is dependent upon (stress field/rock
strength) ratio. The higher this ratio the higher the frequency. In case of
joints developed due to fOlding, the degree of tectonic deformation plays an
important role. A comparative idea of the operating stresses could be obtained
by comparing the joint frequency in different areas of similar bed thickm:ss
having same lithology and strength.
Joints are mapped in the field using the usual geological compass ;.md deter.
mining their artgle of dip, strike direction and other parameters. TI1ere :.Ire two
methods of plotting the joints: l. Equal area plQ( and 2. Rose diugr:lm. The
151 CLASSIFICATION OF ROCK JOINT SURVEY AND JOINT ANALYSIS 253
<II
z·o method 01' representation of a plane on an equal area plot is given in Appen­
Ct) ,/ dix V. The number of concentrations of poles to joints indicate the existence
CI)
.... ,/ of the numbers of joint sets. For ex.:.unple. Fig. 11-29 indiwtes two COncen­
-; /
E 6/ trations of poles of joints with intersections plunging at a small angle from
"D ....... / ' the horizontal.
..8 ~lIf!

...... "e"
-.,
o
1·0

'l . . . -.
f ,,-:
The rose diag:rn.m. sometimes called star diag:rn.m or joint rose. is a useful
repres.:::ntation when the directions of a large number of joints have been
measured but the dip values are not known (e.g. in aerial photography). The
III
; 4 distance from the centre (concentric cirdes) represents the number of measure·
~
c
~ ment,;> (20. 40. 60. 80. etc.) and radial lines represent the strikes measured from

-
:c
o ,·0 z·o
the North in the clockwise direction (Fig. 11-30). In this plot the total number
of joints are counted in each 10 degree sector and plotted on a radial line
bisecting the sector :md lines are drawn connecting the poinrs in the various
distance between joints, sectors. Fig. 11-30. for example. represents rose diagram of two sers of joinrs
metres with strikes nearly at right angles with one set having a higher frequency than
Fig. 11-27. Relationship between bed thickness and distance between joints the other. The method has a drawback that it does nor give any information
(after PRICE.. 1966).
(0)

- -- ----
-- --
~~~l~~~;k:; ~
N
O-T

10;,
(b)
- -- 't'

I ! ~ /~~N3~
~~
- - :il.::-I:=-=--===-==
--- - --;:; ~
; f~
.'
~.:

~~.

A
to-,.. . ,
.
e'
"
(c)

•A - ­

i or.
.-- _ _
r....
...I:.­
~ 0",..

• wI ,( , ,r~j. .J Z ~ dip
I c:

z
- ---- ----- - crT
_F

A~--;;;;;;;;;';;-- --­

1crl"l 't"......" '" "',,' 0"1"1

Fig. 11-28. (a) Uniform tensile Stress (;T acting in a single competent unit.

(h) Indicates the reduction in tensile stress due to the formation of a single joint coupled

with the development of shear stresses along the bedding planes which prevent
s
excessive opening of the joinl.
Fig. 11-29. Contoured equal-area plot of a joint system containing two
lc) Details of stress intensity in section of competent bed length L and thickness Z
. joint sets. Lower hemisphere
(after PRICE. 1966).
(after WAHLSTROM. 1973).
 254 CLASSIFlCATION OF ROCK
JOINT SURVEY AND JOINT ANAL YSIS
255
in which 200 is a scale factor chosen arbitrarily and found to be useful in
practice. The unit density of jointing a = I corresponds to the occurrence of
0.5 % of the total number of joints.
The stereoplots have been adopted for computer print Out for handling a
large amount of data (ROSENGREN. 1968). but rectangular plots formed by
a cylindrical equal spaced meridional projection (Fig. 11-31) (Pc-<cus. 1951,
I -r'I
"
Iii
""',-~
I I
illlll/?! ,,',
I --. "-
~
(a) I I I I 'r I I
~l ! ~I
I r-HJ '.11-J.' .
1J.1
F r-'i"""'i""'" E • I
, ,
I .

;"'-;-i--'-~;"";"_1:""";"'4 .~ 1 I I .
!~ ;: I ! : : : I ~L_,~,I=,:::t.

----t',
~, ~=
,; M_TI....
'.,.
"'"' I i

. =r,·f: .
(1:»

. '11110.'· ~~;

'111£ ~.
___ ~ ~f
~~~..~~--------' ,...,.
!
(<01
lbl
Fig. 11-30. Joint rose showing number ofjoints counted in each I Cklegree sector.
The plot shows tWO sets ofjoints with average strikes about N25°E and N6S'W
(after WAHLSTROM. 1973).

about the angle of dip of the joints and hence rarely used in engineering
geological investigations. It is commonly used in coal mining in comparing
the cleavage development in different coal seams. ( c: I

Many times. when comparing the results of one set of observations at a place
to another set at the same place or at two different places. difficulties arise in
using the equaJ-area plots because of the different number of observations at
two places. This can be overcome by calculating the density of jointing L1
defined by the relationship (DA SILVEIRA et al, 1966)

L1 = 200n (11.5)
N
,.
where n == number ofjoints covering 1% o~ the area of the hemisphere and Fig. 11-31. (a) Cylindrical equal-spaced meridional projection
(b) The physical imerpretation of the rectangle plot
N ::: total number of observations (c) Comparison of the stereo and rectangle plots
(after PINCUS, J951, 1953: ROBERTSON, 1970).
 MECHANICAL BEHAVIOUR OF JOINTED RO<;K
BEHAVIOUR DURiNG SLIDiNG ALONG JOINTS

As for the displacement. the results of laboratory and fieJd investig-ations show
that maximwn resistance is developed within about 0.15 to 38 mm (0.0 I to
1.5 in) of the displacement. In the laboratory tests on specimens of size 15 (0
c) _ _nc!-ord.... 1.....Qulcriti...
30 em (6 to 12 in) the peak resistance is reached in a fraction of a centimetre
~.t., .. (GOODMAN, 1969). In large laboratory tests on specimens 40 em x 40 em
(15.7 in x 15.7 in) (K..Rs.\IANDVIC and LANGOF. 1964). results show that the
maximwn sh<=lr strength is developed. at 0.05 to 0.20 mm (0.002 to 0.008 in)
In some of the in situ shear tests. the maximwn resistance is developed at :l
displacement of 1.5 to 5.0 em (0.6 to 2.0 in) depending upon the joint surface.
In the model tests conducted by BARTON (1971 a). the displacement at maximum
resistance is scale dependent and he gives the value as approximately 1 % of the
length of the joint. The applicn.bility of these model test results has ~n
questioned by several investig-.ltors though it looks as though that these results
are not very much off the mark when one takes the extreme values obtainea
in large in situ tests.

fi,..., -orcJ.er irreQuioritie..

b)
10.4.5. Physical Process of Sliding between Joint Surfaces
Almost all workers investigating the process of friction and sliding of rock
surfaces reported the presence of the following features.
1. Rock flour loose or compacted
2. Gouge and gouge zones
opproxirno,. .cote 1 j in ., I ft 3. Polished areas
Fig. 10-68. An example of 11 discontinuity illustrating first - and second-
4. Indurated crusts.
order irregularities
. .­ BYERLEE (1966) examined the physical process of sliding between twO blocks
(after PATTON. 196611).

SERAFlM and GlJERRElRO (1968) analysed in situ shear tests on different areas
of cross-section of the specimens [5 m~ (53.8 ft::\ 16 m~ (172.2 ftl) and 30 m~
(322.9 ftl»). The 16 m l (172.2 ftl) tests were perfo;'11led by JIMENEZ SALAS and
URlEL (1964) in Spain and 30 m l (322.9 f(1) by RUIZ and DE CAMA~GO (l96?)
in Brazil. More detailed discussion of size effects and test techmques of 10
situ shear is g;jven in Chapter 8. section 8.10. It is suggested that for the strength
of masses that have joints separated by large disL:.mccs. an area of the order .
of tens of square metres (yards) is probably the maximum that can.be u~ed.
When studying the strength along faults. joints or pla~.e:> of stmuficauon.
probably an area of some tenths of a square metre (- 5 fr- J IS adequate.
in detail from the point of view of the mechanism associated with brittle
materials. He found that.in the case of polished granite specimens sliding over
each other, the damage to the surface within the first 0.1 mm (0.004 in)
displacement was confined to the isolated regions. When the displacement
corresponding to the maximwn or peak value of friction was reached. there
was minor damage to the whole of the specimen surface with the presence
of a fine layer of crushed material. Beyond this maximwn. the layer of com­
minuted material on the surface increased in thickness and the friction coefficien t
measured in this region was that required to shear through the layer of loose
particles on a substratwn of solid materiaL This comminuted material consisted
of finely crushed grains of rock having optical continuity and sharp angular
edges. The thickness ofthe layer ofground material was much less than thatofthe
height of the asperities on the surface. BYERI..EE concluded that the interlocking
of irregularities must be sheared-off as a result of the development of high
tensile stresses. If the contact area is smaiL the force required to she-.lr the
94 MECHANICAL BEHA VIOUR OF JOINTEQ ROCK

asperities is small and vice-versa. The physical process involved in the slicing BEHAV[OUR DURING SLIDING ALONG JOINTS 95
when the contact between the surfaces is confined to isolated regions is no
different from the physical process when the contact is made over the whole aur1'oce d~Qq.
CIO • • ,ticQfl0n
of the surface.
..vet's Q~<;Ilf·H''' O'V8r > fO-/o of o rltoO ,
PATTON' (1966a) when examining the influence ofthe number ofteeth considered G7 eKrans.",. o .. tornol compOCflOn of

that when two surfaces have asperities sheared off. the shearing force acts rOCk 110yr OutSide QOUQ • .rone.

primarily on the external teeth and these are sheared off before the full length ~.v."e QOuQIt"lQ Ov.... >'0°/.. of crea,
of the central teeth can be utilised. The phenomenon of frictional sliding is G6 Jiftl. Or no 8xternc:u comC)Qcaiol"'t
then of progressive failure ~f the asperities with displacement and not the failure of rOCk tfout" OUUJide <;,):)U<;I. ZQn • •

of all the interlocking asperities at one time. lOCO! Qot..lQlnQ OV.r < fO·I",. 0'1' oreo,
...Ten.p,.,. ."f.rnOl Cot"'l""lpCI'Cflon 0'1'

HOSKrNS. JAEGER and ROSENGREN (1968) found a great deal of surface damage rock "ol,Jr O\Jtsld. QO~. ;ron• •

and slickenside with rough surfaces. but for smooth surfaces on which stick-slip JCH:Oi QOUQ;nc; OVa'" < 10 "Y. ot a,..o~
oscillations have taken place there WdS very little evidence of surface damage. <34 Itffle Or' no • • t .... f"HlI compactIon

The me<lsured surface roughness did not increase and there was little evidence ot reek 1'lour out$td. QOuC;. zon ••

of detrital material or fracturing of crystals. hord rock sur foe • • • • p.arat.d by

G3 loy.1"" ot .xTernOlfy eCl'T"tPOCted
JAEGER (1971) concluded that with sliding of rough surfaces which are at first
in intimate contact (completely interlocked), the contact is lost except in a few
regions where intense shearing and 'removal ofmaterial take place. This sheared G2
.
g-
I"'OCk 'ftour. .Ul""toc. ,POl"'e. ttll.d

rack tloul"" l"U;no .urfc:::c. J;JDI""••

inc:ornQ'.l'e~y, &Qn'te 100.. ~r
material fills the hollows giving the end result a surface of gouge material. In "
Q
_.0" aurlace
'0
C
cases. where the rough surface !>lides over a relatively flat surface, the highest
spots of the rough surface are worn down and may also score the originally flat
GI " Qroin. loo• •n.cs: or
but noy trOctul"".d
d'.lodQed

surface. In such cases. the same regions ofthe rough surface are aJways in contact
with the opposite and the result is a gradual increase in the contact area with '"u
progress in displacement. At places of contact where profuse gouge material is "...
fonned the rubbing blocks may fail by indirect tension caused by local stress
'.~'
at contacts.

COULSON (1970) examined the phenomenon of surface damage in quite detail.

He classified the types of damage or wear of the sliding surface into 3 main .urlcc. J;JOli.ned, tittl.
categories (Fig. 10-69) namely. polishing. induration. and rock flour and gouge. 01"" t"IO PO~r

COULSON found that gouging and generation of rock flour is chiefly associated
II Surl'oc. poH...n~"
with rougher and sandblasted surfaces. tin. PQ'oIItd.... and' /0'"
t"Y''Unol"' OOUQ_

Under a microscope. it was observed that the gouge material and rock flour"
consists of small discrete angular panicles which could" be separated from
their neighboUrs with absence of any fusion in between them. indicating the
absence of any plastic defonnation. (COULSON'S tests were conducted at
and the rocks tested by him were limestones. sandstone and gr'dnite.) The
compacted gouge nour in the gouge trough gives the appearance of a typical
slickenside (Fig. 10.70) and charter marks similar to those associated with rock
being abraded at the base of moving glaciers. At lhe bottom of the gouge
I.2 .rndul"Cl't.c:l ~c. et"U.'.
m.nor oouc;ino
Fig. 10-69. Surface damage classific,uion system
(after COULSON. 1970).
material appear step like features opposing the direction of shear (con[mry
t~ that o~the structu~J geology concept) wich dip of 17-1/2' and an average
dip of20·. These step like features are similar to the "RIEDEL shears" observed
by-many investigators (first reponed by CLOOS (1928) and Rl!::DEL (1929)). the
 258 CLASSIFICATION OF ROCK
. JOINT SURVEY AND JOINT ANAL YS[S ~5c)

JoinT ,,,,"" S as a function of the total area is called the joint continuity (PACHER. 1959:
TERZAGHI. 1962).
-e
C
GI
From the dum obtained on joint spacing J, and joint length
tinuity (X.) can be calculated. For circular joints
4., the joim con.
•
Q.
joCnf .., A

.::• xc==(tY (11. 9)

o
'5
E
:l For continuous joints .l.c == 1 and for discontinuous Xc < 1. It is pcssible that
~ different joint sets have differerit continuity values (Fig. 11-34).
u

..2
The planar joint continuity surface 1.eo (Ebener Kluftfl5:chenanteil-PACHER.
1959; MOLLER, 1963) of a joint set is given by the product of mean joint
log (IenQth. em)
continuity factor x. and joint frequency I n , ,
Fig. 11-33. Frequency distribution of two joint sets having tWO different mean
lengths and standard deviations.
l.p = x. x I n, (11.10)
which fonns the simplest case. the mean trace length L, is not the mean joint
length and acom::ction factor need to be applied using the relationship based and represents the joint continuity surface per unit area. In a given rock
upon the assumption that the trace determined is the cord of a set of approxi­ volume, intersected by three sets of joints K[, K l , K 3 • the planar continuity
mately GAUSSIAN distributed circles factor of a given plane paraHel to a given set is given by the average of the
planar joint continuity surfaces of the other two sets of joints such as
(Fig. 11-34)
L.,.= 125L, (11.6)

where L.,. - mean length of the joint. eePt ; Xee,) or (l.p,; 1.e J) or CePJ; X.Pt)
e
The area of planar continuity of circular shape is given by (ROBERTSON and
STAMER, 1968; RoBERTSON, 1970) for the planes parallel to the set K 3 , K[ and K l •

16 , The volumetric continuity factor representing the total area of the geologica!

Ac=;?" A (11.7) separations in a unit volume of rock is given by

where A' = joint area calculated from the visible mean trace length. or 7.. ev = ( lePt + lep>
J + l<!" )
(1 1.l1)

4
Ac=-L2
7t '
The above correction factors are valid only on the assumption that the dia­
meter of the joints are the same and hence are only an approximation.
The joints are not always continuous and their continuity is dependent upon
the severity of the forces causing jointing and the amount of defonnation that
the rock has undergone. The area of the intact rock lying between the dis­
continuous joints is called the 'gap' or the 'bridge' and tbe effective joint area
(11.8) The planar continuity factor of the different joint sets gives an ide:.! of the
strength of the rock mass and permeability in different directions. The
volumetric joint continuity factor gives an idea of the dilation pcssibility.
porosity and permeability of the rock mass as a whole. A much clearer pic[Ure
of the rock l,.l1IlSS influenced by the joints and their continuities emerges when
their various values are represented for different joint sets against each ocher
as in Table 31 which makes clem- the use of above concepts in the form of an
example.
Total planar continuity E7.ep == 8.55 m;!/mJ
 ::60 CLASSIFICATION OF ROCK JOINT SURVEY AND JOINT ANALYSIS 261

TABLE 31
Spee~l QUIIDtification of tbe joint from the
indices or indi\'~d\lal joints
·(afterPAcHn.19S9)

Attitude Planar
. Joint Joim joint Joint .
Jomt Strike D' frequency continuity continuity friction Jc:;n~ Remarks
set direc- Ip JII', m - I Xc of the set coefficient con mon
tion 1..".m;jm J

K, o 10 4.5 1.0 4.5 1.0 Filled

with coal
K;, 35 80 4 1.0 4 0.84 Closed Domi·
nant
joint sct
KJ 120 80 0.2 <0.25 0.05 Fig. 11·34. Planar joint continuity, /. for the different joint sets
(after PACHER. 1959).

Planar continuity factor

Xep. + Xep, _ 1
2 It may be pointed out here that while considering joint continuity as a factor
in determining the cohesion of a rock, its proportional effect should not be
X.p. + X. p> = 0.62 taken (as is usually done) until the stress field direction has been ascertained.
2 TERZAGHI (1962), for example, considers that the effective cohesion Cere can
be given by
Xep, + X. p • = 0.62
2 C.cr= c, Ag (11.12)
A.
Volumetric continuity factor == ( XeV! + Xl + Xm ) where C = cohesion of intact rock
Ag = total area of gap within the section and
=0.72 A = total area ofsection through the rock
There are several re:J.Sons that can be put forvvard against this. Firstly the joint
• A ver.lge block size = _Jl x _Jl x _Jl == 0.27 m 3 tips form points of high stress com::entrntions and secondly it has been found
n"l 0*2 0'3
that joint propag.!.tion does not take place from tip to tip but may give a step
like structure (Fig. 11-35). The direction of propagation of the joints depends
Ratio ofjoint frequencies I n • ! :In ' 2 : I n ' 3 =4.5 :4:0.2 upon the orientation of stress field and propagation cakes place in such a way
that it aligns itself in the direction of maximum compressive stress (M OLLER.
1974 and 1975). The effect of this shall be to incre:J.Se the C.rr value. Also (he
If the values of I n • in the three directions are equal then the rock mass em be concept of joint ccntinuity is valid only if joint propagation cakes place from
described as blocky and if the two values are equal and the third greater. end to end. In other cases. its value will depend upon relative incerval between
then the rock mass can be described as prismatic and jf twO values are small the adjacent joint sets or some other point on the joint to which the prop;Jgating
and the third value is high, it has a platy structure. fmcture meets depending upon the relative orientation of the stress field.
 261 CLASSIFICATION OF ROCK
JOINT SUR VEY AND JOINT ANAL YSIS 263
. The volume of a unit block (Vus) referred to as the smallest homogeneous
TABLE 32
rock unit produced as <J result of various joint systems is given by
'M\! CI:lSSification of joint spacing

VUB =. ( 1) (1 )x(1J"'3-)
-
I n,!
X -
I n '2
(11.13)
(after DEERE. 1963)

Description Spacing of joints

where J"'j, In,z and I n '3 are the frequencies of three onhogonal joint sets,
Very close < 5 cm «:2 in)
A number of joint sp&.-ing classifications have been proposed and the classi­
Close 51030cm(2to 12ini
fication by DEERE (1963) has been widely accepted (Table 32). The thickness of
beds in sedimentary rocks may be described in terms of the spacing between Moderately dose 30 em to I m (I to 3 ftl
them and a classification is given in Table 33. Classification of joint spacing Wide 1 to 3 m (3 to 10ft)
and block size suggested by I.S.R.M. (1975) is given ill Tables 34 and 35 Very wide > 3 m (> 10 ftl
respectively. There is basically no difference in the various classifications
proposed.
TABLE 33
CI:lSSification of bed thickness
(c) and (d) Joim RoughnessfJlldJoinl171ickness (after DEERE. 1963)
Joint roughness influences both frictional resistance of joint as well as joint
dilatation. The mic:ro-.asperities influence friction angle and mac:ro-.asperities Description Thickness of bed
influence dilatation. Total resistance to sliding (without separating the influence
Very thin < 5 em «:2 in)
of dilatation) increases as joint roughness increases. A measure ofjoint rough­
Thin 5 to 30 em (2 to 12 in)
ness is the dilatation that the two surfaces will have on displacement along their
Medium 3U ..:m lU I III (I to 3 [t)
length. Various techniques for measuring joint roughness are given in Chap­
ter 10. From rock classification point, asperity height. thickness of filling, and Thick 1 to 3 m (3 to 10 fn
nature of the flliing material in the joints are important. Depending upon the Very thick >3m(>IOft)
thickness and the asperity height, either the joint filling material may control
the behaviour of the joint completely or it may not. Clay fillings with other
granular materials are particularly critical because of the danger of internal
erosion. Clay ruling may also result in liquifaction under dynamic loadings TABLE 34
and will have to be properly studied. ,O:lSSification of joint spacing
(after r.S.R.M., 1975)
When joints are very rough (macro-roughness or waviness) and roughness
varies in different directions, this will result in keying action in one direction
• and relativelv easier movement in the other direction. This is also influenced Classification Joint spacing
even in smo~tl: joints in rocks with well defined fabric orientation. The platy
form of grains aligned in any direction will favour slip in this direction and Extremely close < 3cm
hinder in other directions. Studies conducted on phyllites have shown that Very close 3 to 10 em
friction angle for sliding parallel to lin~tion is 40" and across the lineation 42< Close 10 to 30 em
(Fig. 11-36). Residual angle':> of friction decrease due to fracturing of the 'keys' Medium 30 to lOOcm
and the brokeri material falling in between the surfaces acts as rollers except Wide Ito3m
in very soft rocks where the difference in the value is negligible. When it is not Very wide 3 to 10 m
possible to delennine the toughness (Section 10.4.). the geologist can define Extemcly wide- > 10m
the roughness into five categories. These categories of roughness which can
 264 CLASSIFICATION OF ROCK
JOINT SURVEY AND JOINT ANAL YSrS
,. 265
TABLE 35 in,rtal
Classifical ion of block size

""
(after I.S.R.M .. 1975) ,oar
Classification Joint volume. m- 3 slidIng ocross
ItneaftOn
Massive < 1.0 :0 fOOl­
l..arge blocks 1103 !

Medium size blocks 3 to 10 \II

eo
Small blocks
Very small blocks
10 to 30
>30 -

01
c: :)0'­
Renmrk :-J.V. > 60 represc:1ts crushed rocks typical of clay free crushed zone. 'i:
g sliding porallel
.c: to lineotlon
!II

0';> 100 .:.0

nOrTnol force. lof

Fig. 11-36. Frictional behaviour or phyllite
(after DUNCAN, 1969).

.ik:k.,....id.d (CCl1~Ory l (A, -0"')

"W7mm J))i.YJJwn; C:Or"rl3ltton

-""""--,,, 3(;>''' O"'I:'j;;'>;'»,)~

_moo'"
"'*;,\III<Wh
(_
~------~\C~W~X~\~if~»~
z I a:5'4 0

Fig. 11-35. Joint propagation in a certain hyPotheucal stress field (CClf.QO¥'';t :5

Calculated joint continuity 1. .. 1: ,.,.,. --.."..

--
_.-..:""'_-::::::r-__ -;JJ&1JJ\w// ­
t C:Ct-oory
-m.~

4­

Actual joint continuity i: "" ~

,..;. , ~Y;I
--""....;.~-- - , , - .
- --"~I"'="'''';>,)'''X\'>1"""'''';7l,,or
I'COf~ry ~
-,,­
......... ~
_-..-::::0_
. be classed easily in the field are given in Fig. 11~37. The waviness of joint can
o c,..,. ... ..... Ie)
Fig. 11-37. Illustration of relative roughness of the five categories
be detennined by plotting the amplitude against the length measured by using (after PrrEAu, 1970).
a straight edge (1 m Jength) placed on the exposed joint roughness can be best
described by stating the value in tenns of the angle.i.. (Fig. 11-3&). due to shear movement along undulating joints. Knowledge of apertures IS

important to determine loosening and hydraulic' conductivity.

Aperture Measurement of aperture can be made by a graduated rule or a feeler gauge.

The surface of the exposure is cleaned propedy to remove extraneous dirt

Aperture n:fers to such joints where the intervening space is filled with water filling the normally open joints. In bore holes, rubber packers may be pressed

or air or where·:the filling material has been washed away or the material has against the walls to obtain the impression and after withdmwing the packer.

been dissolved by migrating waters or solutions or to an opening developed the width can be measured (FAlRHURST and ROEGfERS, 1972).

 :!66 CLASSIFICATION OF ROCK

ERRORS TN JO[NTSURVEYS ::6i
T
.d;"'~:IO" Of dip ~_.-
~5TrOIQ,.\t .oqe ~ , on'u;>IIh,ld. ..".. ..­ 11.6. Errors in Joint Surveys
~'~
'·"'Oft"! • z:e . H :
-"l :J I
t ~..:::-- --- Some important points need to be considered when carrying out a joint survey.
Ca) As long as plenty of irregular outcrops or excavations running at different
01'nOfltUCI. __ -=-2.f angles to each other are available for examination. the joint survey dam is
~X<Y;%t--.... rz:;:::;
•
I
.'I'"..ion< -"'0_
~ ;"'}> \ /__
I~
I
,
~
likely to present a reasonably fair sample of the joints. However. if the outcrop
is fairly unidirectional or if the joint survey is made only from holes drilled in
u
I
1-
'_"9th L.::: 36
:
,
one particular direction (say vertical), the joint survey is unlikely to provide
Cb) even an approximate data of the area.
Fig. 11-38. Measurement of waviness ofajoint plane
(after PlTEAu. 1970). When joint survey is conducted from the driU records. the angle ;;u which the
joints intersect the bore hole is an imPOrtant factor and appropriate correction
has got to be applied as already indicated in the surveying of outcrop (Sec.
tion 11.5.). If this correction is not applied and the results are compared with
Hydraulic conductivity gives a much bener idea of the joint apenure. if tme the results of the joint survey conducted on the outcrop, one is likely to get
length of the joint is known and if test can be conducted in a single joint. a polar diagram (Fig. 11-39) with an erroneous interpretation that the joints
However. dead areas caused by asperity contacts will create difficulties in its at depth are quite different than on the surface. Such diagrams can be redrawn
estimation (SHARP and MAlNl. 1972). When integml sampling technique by using a correction factor
(ROCHA., 1972) is adopted forwea.k-rocks; the width of the aperture can be
very easily measured from the core obtained. The apenurcs can be classified N~
as given in Table 36. N90 = sin a: (11.14)

where N90 = nwnber of joints intersected at 90° for a bore of length I

Nil. -= nwnber of joints intersected at an angle a: for the same bore
length and
TABLE 36

a: =- angle of inclination between joints and the borehole.

Classifi=tion of :lpertures

(after LS.R.M., 1975)

Aperture width Description Remarks

1".k:n1v. d~I'Y

<0.1 mm Very light

0.1 10 0.5 mm Tight Joints
0.5 LO :!.5 mm Moderately wide
• ~.5l0 10mm Wide
>10mm Very wide

~
1 LO JOcm urge Out washes
10 to l00cm Very Jarge discominuiLies and
>lm Cavernous joints dispu.ced by (<II ( til
tensile movements or Fig. 11·39. Idealised contoured polar diagrams of r:lndom joinls observed

major shears (a) on horizontal outcrop and (b) in a vertical drill hole. Figures indic:lle relative density

of pores. i. e. number per unit area. on an arbilrary scale from 0 to 10

(after TERUGHI. 1965),

 268 CLASSIFICATION OF ROCK ROCK WEATHERING AND CLASSI FICA nON ::'69

1':
However. when IX is zero (i. e. the joints are parallel to the borehole), no com:c­ 11.7. Rock Weathering and Classification
tion can be applied and even a corrected version of the polar diagram wii! fail
to indicate such joints or abundance of gently dipping joints wl'ich only O:le Rock weathering is a process causing alteration of rock under the action of

'!'
or more might have been intersected in the borehole of a li.mited length a.--:d water, carbon dioxide and oxygen. The effect of weathering is not limited to

could be an important joint seL As a result a borehole. depending upon its surface but extends deeper depending I.lpon the presence of channels pennitting

orientation. will give a blind zone, which is a great circlf! 90" from the axial flow of water and communication with atmosphere. Weathering results in

point of the hole as defmed in the section of the reference sphe~ (Fig. 11-40). decreased competency of rock from the engineering standpoira <:.r.: the "

The width of the blind zone (in tenns of the angle) is dependent upon the to whicr- weathering extends is important to determine in foundation work

length of the bore and the spacing of joints. of structures. Weathered zone may exist even under unweathered younger

N
sedimentary rocks particularly beneath major unconformities and their deter­

mination requires a careful study of the geologic histOry of the :JIe:J..

The final product of weathering is an oxidised mineral residue or an aqueous

pore solutipn containing the elements derived from the weatheting process.

The rate of weathering depends upon the freedom of movement of the

weathering agents. the prevailing temperature and the mineralogiCll com­

position of the rock.

w E
The minerals most susceptible to weathering are those which concain abun­

dance" of magnesium. calcium and iron. Magnesium and calcium are fust

oxidised into a!.kalis and are later removed by flushing or diffusion or may

be converted to carbonates under the action of carbon dioxide. Iron after

oxidation generally remains in the rock. Aluminium, silica and iron break

down, giving clay minerals and related fme grained micaceous minerals plus

s hyd:mted oxides of aluminium and iron. Under extreme conditions even silica

Fig.. 11-40. Layout of a cluster of three drill holes pcnnitting adequate observation
may be leached leaving iron oxides and aluminium hydrates giving laterites.

of all joints. shown in equal-area projcction Feldspars break down to give clay minerals.

(after TERZAGHI. 1965). Some of the common minerals in igneous and metamorphic rocks or con·

stituents of clastic sedimentary rocks are grouped into 3 groups depending

To avoid these errors in surveying it is important that at least one borehole

0 upon their resistances to weathering (Table 37). It shall be cie'.lr that rocks

should be available which intersects the joints at an angle not less than 30 •
rich in minerals having low weathering resistance decompose more easily rhan

When a number ofboreholes have been drilled at different angles. the corrected
others.

values of the poles (N90) can be marked on the polar diagram and near the
blind zone in anyone diagram either the corrected count from one, or the The various weathering processes are concisely described below:

• average of the corrected counts from the others is substituted. Final inter­
pretation should be based upon a collective diagram constructed from all the
Mechanical weathering is the disintegration of rock due to the temperature

changes (high and low temperatures). frost action. water cycles (wet and dryi.

boreholes at the place where each number inscribed in this diagram is the sum expansion caused by trees and plant roots. etc. The influence extends to only

of the numbers of poles divided by the number of borehole'), In the blind zone a couple of metres.

the sum of the poles from individual plots shall be divided by (n-1) where 11 is
the number of holes or individual plots. Where two or more blind zones inter­ Chemical dissolution under the influence of surface or underground water is a

sect (Points A. B and C in Fig. 1l-40) the sum total of pole points in that powerful weathering process. Removal of certain elements may take place by

common blind zone will need to be divided by the number (n-m) where m is actual transport of water through rock cracks. joints or through pores along

the number of holes which have blind zones intersecting giving a common large distances or by diffusion and capillary transport through shOrt dislo.nces

blind zone arel. in stagnant environments. Hydrothermal solurions may result in bre:.tkdown