SSRN Id4621630

1 A Semi-Automatic Approach for Joint Planes Recognition using 3D
ed
2 Traces Lattice Analysis
iew
3 Abstract
4 Identifying rock mass discontinuities and their plane orientation are crucial factors when determining rock
5 mass characteristics. Rock mass discontinuity mapping is fundamentally dependent on joint trace
ev
6 surveying since traces are most often the only visible features in rock outcrops. Traditional methods of
7 joint trace surveying using tape and a geological compass have proven to be challenging, time-consuming,
r
8 and hazardous. Fortunately, non-contact measuring techniques offer the advantage of generating
9 accurate objective records of rock masses and enable the measurement of discontinuities from digital
10 er
surface models and 3D point clouds of outcrops without direct access to the rock mass and associated
pe
11 constraints. This paper presents an innovative approach for identifying discontinuity planes in rock
12 formations using 3D trace data. The paper introduces the concept of curved and straight traces, with a
13 curvature index indicating a trace's accuracy in representing its discontinuity plane. Additionally, the study
ot
14 identifies co-planar traces by analyzing intersecting straight traces, further contributing to discontinuity
15 plane determination. The methodology's effectiveness is established through validation using a

tn
16 predefined 3D trace lattice resulting from discontinuity planes with known orientations on a 3D digital
17 rock outcrop model. The methodology is then applied to trace data collected from an actual rock outcrop.
rin
18 The algorithm successfully matches more than 66% of traces with their corresponding discontinuity
19 planes. After clustering, 80% of the identified planes align with principal joint sets within the rock mass.
20 These identified planes accurately align with expected jointing patterns, validating the robustness of their
ep
21 orientations. Despite challenges presented by discontinuous and complex trace segments obtained from
22 semi-automatic trace detection techniques, the algorithm effectively processes such traces, allowing for
Pr
23 a comprehensive understanding of the rock mass's jointing system. This enables swift identification of
This preprint research paper has not been peer reviewed. Electronic copy available at: https://ssrn.com/abstract=4621630
24 main joint orientations. The research leverages stereonet analysis to identify principal joint sets using
ed
25 kernel-based and fuzzy c-means clustering techniques. The study represents an important advancement
26 in the characterization of rock mass structural properties.
iew
27 Key Words:
28 Curved Traces, Traces Curvature index, Co-planar traces, Coplanarity of traces, 3D trace lattice, Joint trace
29 detection, Discontinuity planes, Discontinuity orientation, Kernel clustering, Fuzzy C-Means clustering,
ev
30 Principal joint orientations.
31 1 – Introduction
r
32 Discontinuities play a significant role in slope stability, and accurate information about fracture networks
33
34
er
is crucial for predicting groundwater flow, improving mine blasting quality, and providing better slope
stability and underground excavation conditions. When all the orientation, location, size and shape of
pe
35 discontinuities are known, a deterministic geometrical reconstruction of the rock mass can be done.
36 Otherwise, only a statistical reconstruction is possible (Ferrero et al., 2009).
37 Acquiring accurate geometrical information from rock mass is mostly dependent on field measurements.
ot
38 Discontinuities can either appear as planar surfaces or as embedded traces. Planar surfaces are flat and
tn
39 easy to identify, while embedded traces are more difficult to detect (P. Zhang et al., 2019). Among the
40 parameters recommended by the International Society for Rock Mechanics (ISRM, 1978), the
41 discontinuity trace stands out as a significant factor in describing rock fractures, and is also a parameter
rin
42 required in most rock joint analyses. But, it is still challenging to identify traces in rock mass. Traditionally,
43 acquiring information about traces involved conducting geotechnical field surveys using tape and a
ep
44 geological compass (scanline surveys and window surveys) (Priest, 1993). However, recent advancements
45 in non-contact methods have revolutionized the efficiency of in situ data collection pertaining to rock
Pr
46 mass geological and structural characteristics.
47 Trace survey can be conducted using digital image processing. Most digital joint trace surveys use rule-
ed
48 based image processing techniques according to changes of pixel intensities, but they are sensitive to
49 environmental variables and have limitations in detecting joint traces on uneven rock surfaces (Franklin
iew
50 et al., 1988; Reid & Harrison, 2000; Hadjigeorgiou et al., 2003; Ferrero et al., 2009). It is also difficult to
51 reduce projective distortion and lens distortion which are caused by uncalibrated cameras as well as the
52 simultaneous highlighting of shadows and surface markings on intact rock (Li et al., 2016). In addition,
ev
53 these approaches typically provide 2D estimates of trace length and other probability statistics. However,
54 they cannot measure the orientation and spatial distribution of discontinuities in 3D (P. Zhang et al., 2019).
r
55 Therefore, reliable joint trace surveys require the use of three-dimensional point cloud data.
56
57
er
Discontinuity traces detection from 3D surface models have been the subject of several research in recent
years (Gigli & Casagli, 2011; Roncella et al., 2005). Various techniques are currently available for creating
pe
58 high-resolution 3-D representations of rock surfaces. These include photogrammetry and terrestrial and
59 aerial LiDAR. Laser scanning (LiDAR) directly obtains 3D coordinates but have limits in distinguishing joint
60 traces on rock outcrops due to lack of RGB color data or point resolution. Thus, laser scanning studies
ot
61 mostly analyze joint parameters through detection of joint planes rather than joint traces (Q. Feng et al.,
62 2001; Q. H. Feng & Röshoff, 2004; Slob et al., 2005; Vöge et al., 2013; Riquelme et al., 2014; J. Chen et al.,
tn
63 2016; Han et al., 2017; Farmakis et al., 2020; Li et al., 2016; Wu et al., 2021). Meanwhile, photogrammetry
64 uses digital images to generate three-dimensional point cloud data that can incorporate high-resolution
rin
65 RGB color data. However, joint plane detection is also the primary focus in most photogrammetry studies
66 (J. Chen, Huang, et al., 2021; Kong et al., 2021; Salvini et al., 2020; P. Zhang et al., 2018; Hagan, 1980).
ep
67 Therefore, for outcrops dominated by embedded discontinuity traces and where discontinuity plane
68 exposure is absent (due to weathering and erosion or mechanical excavations), existing techniques are
69 typically ineffective.
Pr
70 To address this issue, some studies have integrated image and point cloud data to analyze joint traces on
ed
71 uneven surfaces (J. Guo et al., 2019; P. Zhang et al., 2019; Bolkas et al., 2018; Umili et al., 2013; Deb et al.,
72 2008). Rule-based image processing techniques are used to detect joint trace pixels in digital images (Reid
iew
73 & Harrison, 2000; Kemeny & Post, 2003; Lemy & Hadjigeorgiou, 2003; Weixing Wang, 2005; Wang et al.,
74 2007; L. Guo et al., 2012; Tang et al., 2021). However, this technique is also sensitive to rock textures,
75 illumination conditions, and threshold settings, and have a disadvantage in that performance may be
ev
76 significantly degraded due to environmental variables such as shadows and bushes.
77 To mitigate this concern, researchers are utilizing deep learning techniques, namely convolutional neural
r
78 networks (CNNs) for joint trace detection considering their high performance in image recognition
79
80
er
(Ronneberger et al., 2015; J. Chen, Zhou, et al., 2021; Lee et al., 2022; Shi et al., 2023). Deep learning-
based classifiers showed relatively accurate results for flat rock surfaces (over 98% accuracy versus human
pe
81 intelligence identification) (Shi et al., 2023), but still their performance relating to the detection of joint
82 traces on uneven rock surfaces is limited. This suggests that deep learning techniques may have limitations
83 in accurately detecting joint traces in certain types of rock surfaces. However, this paper proposes an
ot
84 updated data structuring technique to overcome these limitations and improve the accuracy of joint trace
85 detection on both 2D images and 3D rock surfaces, and lastly, it will assess the outcomes in comparison
tn
86 to human evaluations.
87 Automatic joint trace mapping is an emerging technique, but achieving complete automation in mapping
rin
88 rock mass discontinuities is still a challenging task. In this study, the semi-automated trace detection
89 method proposed by Lee et al. 2022 is improved for measuring 3D traces' poly-lines from 3D digital
ep
90 outcrop surface models. This method integrates both digital image data and three-dimension point cloud
91 data. Joint trace detection was performed using DeepLabV3+ (J. Chen, Huang, et al., 2021), a deep learning
Pr
92 network. Additionally, a three-dimensional data structuring technique was applied to utilize the pixelwise
93 data of joint traces detected by the trained classifier. In the three-dimensional data structuring process,
94 point cloud data (obtained using a commercial program) were used together, and data were structured
ed
95 through two-dimension thinning and segmentation, three-dimension projection, segmentation, and
96 segment linking. Finally, linked segments were treated as 3D polylines, where each polyline in the output
iew
97 corresponds to a trace.
98 When discontinuity planes do not have exposure and only their trace lines are visible, the only way to
99 determine discontinuity orientation is to analyze the joints' visible traces. In this study, the orientation of
ev
100 the discontinuities in the rock mass was measured by extracting the 3D lattice of traces and developing a
101 computer algorithm to analyze the traces in 3D space.
r
102 A photogrammetrically generated 3D model of a weathered and rounded rock mass was used to extract
103
104
er
the traces lattice. High-resolution 3D digital surface models and dense point clouds were generated from
the outcrop. The outcrop digital surface model was combined with the dense point clouds, and the traces
pe
105 were manually extracted using the trace tool of CloudCompare's Compass plug-in. Each trace was
106 considered a 3D polyline. To spatially analyze traces, a computer code was developed that separates
107 curved polylines from linear ones using a curvature index threshold. Following that, straight polylines were
ot
108 tested for spatial co-planarity. Detecting curved traces and co-planar traces in three-dimensional space
109 enables the orientation of discontinuity planes that belongs to those traces to be measured. Therefore,
tn
110 this method can be used to measure the orientation of multiple discontinuities in a rock mass with a 3D
111 visible outcrop. The paper also highlights the need for efficient clustering algorithms for computation of
rin
112 principal orientation of discontinuities from scattered pole points on a stereonet.
2 - 3D Digital Joint Surveying

ep
113
114 This research focuses on 3D digital rock mass joint surveying, which utilizes drones to capture surface
115 features of rock masses. The obtained data is then processed and analyzed using computer programming.
Pr
116 The orientation of joints can be measured from this data, and the results can be visualized in 3D volumetric
117 models, generating realistic discrete fracture networks. A subsidiary objective of this study is to
ed
118 demonstrate that, compared to traditional methods, 3D digital rock mass joint surveying offers more
119 accurate, efficient, and comprehensive information.
iew
120 2 – 1 – Photogrammetric Rock Mass Surveying and 3D Modeling of Outcrop
121 In this study, to achieve a high-quality and accurate three-dimensional model of a rock outcrop, a drone-
122 based photogrammetric survey was carried out on a granite rock outcrop with a horizontal surface area
ev
123 exceeding 2,500 square meters at Gwanak Mountain in Seoul, Korea. A total of 483 photos were captured,
124 featuring a resolution of 3648 x 54720. These images were acquired from various angles and positions on
r
125 the surface of the rock mass. Additionally, 4 ground control points (GCP) were employed to ensure scale
126 accuracy and establish the true north direction. Finally, ContextCapture, a photogrammetry software
127
128
er
developed by Bentley Systems, Inc. in the USA, was employed for the purpose of aligning digital images
and creation of high quality three-dimensional digital surface model (DSM). Figure 1 displays the top view
pe
129 of the high-resolution 3D model of the outcrop. It is important to note that the y-axis corresponds to true
130 north.
ot
tn
rin
ep
Pr
ed
iew
r ev
131
132
er
Fig. 1 – 3D Digital Surface Model of rock mass obtained using photogrammetry (Gwanak Mountain, Seoul,
pe
133 Korea).
134 2 – 2 – Manual 3D Joint Trace Mapping on Digital Rock Mass Model

135 Rock mass joint trace mapping is a technique used in rock engineering to document the orientation and
ot
136 characteristics of discontinuities in a rock mass. The collected data from joint trace mapping can be used
tn
137 to plot detailed diagrams that illustrate the distribution and characteristics of joints within a specific rock
138 mass. Traditional manual mapping of rock mass joint traces involves systematic field observation and
139 measurement of joint orientations, lengths, infilling, and the other relevant attributes. On the other hand,
rin
140 the process of digital joints’ traces mapping involves tracking joints on a digital 3D model to create a three-
141 dimensional coordinate points for each trace. 3D coordinate points are used to reconstruct the poly-line
ep
142 of detected traces in three-dimensional space.
143 In this study, after conducting a survey of the rock mass and creating a high-resolution 3D model, the
Pr
144 manual mapping of joint traces was digitally performed. There are certain open-source software solutions
145 that provide easy and efficient detection and tracking of traces from digital surface models of rock
ed
146 outcrops. One such solution is CloudCompare, which can be utilized for detecting and characterizing
147 geometric features in the rock mass using a 3D high-resolution point cloud or a 3D digital texturized
iew
148 surface model. The compass plugin in CloudCompare software offers three tools for extracting geometric
149 measurements: the Plane tool, the Trace tool, and the Lineation tool. The Trace tool allows tracking a 3D
150 poly-line on a 3D point cloud. This tool proves useful for extracting profiles or cross-sections from point
ev
151 clouds, and it can also be employed for the extraction of joint traces. Consequently, in this study, the poly-
152 line associated with each trace was identified and recorded with this tool.
r
153 A total of 1777 distinct trace poly-line were detected and recorded within the selected rock mass outcrop.
154
155
er
The geometric characteristics of discontinuities, including orientation, spacing, persistence, and size are
assessed based on these 3D digitized traces. It should be noted that while methods and instruments used
pe
156 to map joint traces with a 3D digital surface model may differ from those used in manual on-site surveys,
157 the ultimate outcome should remain the same. In the meantime, digital joint mapping offers significant
158 advantages over traditional methods. It improves efficiency and eliminates inherent human biases and
ot
159 errors associated with field measurements, subsequently providing accurate and objective records of joint
160 characteristics. It also enhances 3D data visualization and enables engineers to better understand the
tn
161 structural geology of rock masses. Figure 2 presents the top view of the 3D traces manually mapped on
162 the digital 3D model.

rin
ep
Pr
ed
iew
r ev
er
pe
163
164 Fig. 2 – Results of manual 3D trace mapping on digital 3D model of rock mass (refer to the color version
165 of this figure).

ot
166 2 – 3 – Automatic Joint Trace Detection on 3D Rock Mass Surface Model

167 There are alternative semi-automated trace mapping methods available that can save time and effort in
tn
168 detecting and measuring joint traces, while delivering precise and reliable outcomes. One of the newly
169 developed methods, developed by Lee et al. in 2022, involves employing artificial neural networks to
rin
170 identify traces from digital images and determine distribution of trace lengths through three-dimensional
171 rock masses. This method employs the DeepLabV3+ network, a deep learning classifier which is a popular
ep
172 semantic segmentation network created by Google, to identify pixels corresponding to joint traces in
173 digital images and the primary focus was on determining the distribution of joint trace lengths through
Pr
174 the implementation of three-dimensional data structuring (Lee et al., 2022). The proposed method,
175 however, has some potential limitations, such as the inability to detect joints that are too faint or small,
176 and the need for significant computational resources to process large and complex 3D models, which
ed
177 could require modifications to the data structuring process in three dimensions.
178 For overcoming the classifier's limitations in detecting small and faint joint traces on rock surfaces, the
iew
179 training procedure was extended to enhance its ability to detect small and faint joint traces. A variety of
180 joints with different frequencies and orientations, as well as noise, were included in the training data,
181 which were gathered from rock surfaces in different regions. Then, the trained classifier was tested on
ev
182 images of both flat and uneven rock surfaces which showed better performance than the previous version
183 of the classifier.
r
184 In addition, Lee et al. (2022) introduced a novel data structuring technique that enables a semi-automated
185
186
er
conversion of joint traces, detected as pixel-wise data from digital images, into three-dimensional
polylines. For this purpose, digital images were used as input for the trained classifier. The classifier
pe
187 identifies two-dimensional pixels associated with joint traces and after two-dimensional thinning and
188 segmentation, the algorithm aligns pixel-wise traces with the three-dimensional points cloud, obtained
189 through photogrammetry. Then, after three-dimensional projection, the algorithm derives 3D trace
ot
190 segments from the trace points of the point cloud using Hough transform. Finally, detected traces’
191 segments are linked to form a continuous 3D joint trace.

tn
192 Our investigations on this approach showed that the performance of the segment linking step could be
193 significantly affected by the complexity of the rock surface or the quality of the input data. Therefore, in
rin
194 this research, the linking process of the segmented trace lines was modified to be more robust to various
195 input. In the original linking process, trace segments were linked when the distance between the segments
ep
196 was smaller than a single threshold value of 0.05m. In this research, an adaptive threshold is adopted
197 which considers a larger distance threshold when trace segments are closely oriented. Specifically,
Pr
198 segments with orientation differences within 45 degrees are linked when their distance is smaller than
10
199 0.05m; for more closely oriented segments with orientation differences within 22.5 degrees, they are
ed
200 linked when their distance is smaller than 0.25m (multiplier of 5). This adaptive thresholding scheme
201 ensures that traces are continuously linked even when portions of the trace are undetected by the
iew
202 classifier. It should be noted that the multiplier of the distance threshold can be optimized for various
203 degrees of trace segment linking.
204 In Lee et al.'s 2022 study, the orientations of the joint sets were manually measured beforehand and used
ev
205 as input for the algorithm. These orientations determined the linking direction of the segments, ensuring
206 the formation of a continuous joint trace in the correct orientation. However, the joint's plane orientation
r
207 is unknown in this research. The joint plane orientation is in fact the desired parameter to be derived, not
208
209
er
the input of the algorithm. Hence, the algorithm of Lee et al. (2022) was modified so that joint set
orientation information is not required or utilized in the algorithm’s three-dimensional projection, 3D

pe
210 Hough transform, and trace linking stages. Moreover, the code has undergone significant optimization,
211 particularly in terms of vectorization and parallelization, so that large and complex 3-D rock mass models
212 can be processed within reasonable computation time.

ot
213 Subsequently, all functions of the mentioned code underwent optimization and were integrated into a
214 user-friendly application through a simple graphic interface. The code was utilized to analyze 483 aerial
tn
215 photos, resulting in successful identification of the joint traces present in these images. By leveraging the
216 photo’s metadata and 3D points cloud data, the two-dimensional traces were then projected onto the
rin
217 three-dimensional rock outcrop. This projection process was found to be computationally demanding,
218 resulting in impractical computation time, so the size of the point cloud data was reduced through several
ep
219 measures. Vegetation observed in the outcrop model was manually removed, which also removed tree
220 branches and shadows that could be misidentified as traces, and the point cloud was randomly
Pr
221 subsampled multiple times to decrease its point density. With the downsized point cloud data,
222 computation time could be optimized with a marginal loss in trace detection accuracy, as illustrated in
11
223 Figure 3. a. By employing this technique, a total of 5500 distinct poly-line segments were detected and
ed
224 recorded within the analyzed dataset (Figure 3. b). These 3D digitized traces were subsequently utilized
225 to evaluate the orientation of the principal joint sets in the rock mass.
iew
r ev
er
pe
ot
226
227 Fig. 3 – Automated identification, segmentation, and linking of trace lines from a 3D rock mass surface
tn
228 model (refer to the color version of this figure).
229 3 - Spatial Geometric Analysis of the 3D Trace Lattice

rin
230 Geometric analysis of discontinuity traces on outcrops is crucial for determining the characteristics of rock
231 masses since traces are most often the only visible features in rock outcrops. Through the analysis of trace
ep
232 geometry, parameters such as orientation, persistence, spacing, and interactions among rock joints can
233 be identified and quantified. However, it is important to note that the analysis must be performed in 3D
234 or at least take into account 2D-3D stereological relations. As illustrated in figure 4, relying only on trace
Pr
235 data obtained from a single rock face (for instance, a joints’ spacing measurements) can result in a
12
236 considerable misunderstanding of the actual jointing characteristics of rock mass. Therefore, to ensure
ed
237 accurate assessments, it is crucial to adopt a three-dimensional observation approach.
iew
r ev
238
239
er
Fig. 4 – A schematic view of joints' apparent tracing patterns on different rock faces in a 3D rock outcrop
pe
240 (after Burg, 2018).
241 Employing advanced technologies can yield precise and comprehensive data on the geometric and
ot
242 mechanical properties of discontinuities and rock masses. Moreover, the obtained discontinuity
243 characteristics can offer valuable insights for rock engineering design and stability assessment. The core
tn
244 concept of this study is to devise a method for gathering geometric information from seed-trace lines of
245 joints on 3D outcrop surfaces. Seed-trace lines refer to the visible, discontinuous, and consecutive lines
rin
246 or curves in 3D space that pertain to a specific joint set. As presented in the previous section, traces were
247 successfully detected from the rock outcrop. And in the following, this paper presents a methodology that
248 utilizes spatial geometric analysis on traces to identify discontinuity characteristics, highlighting its
ep
249 significance in determining rock joint orientation.
250 First, the spatial relationship between lines is reviewed. In 3D space, two lines can exist in three possible
Pr
251 states: intersecting, parallel, or skew (Figure 5). Intersecting lines always form a single plane and intersect
13
252 at a single point, although they may or may not belong to the same finite plane (joint plane) (Figure 6. a).
ed
253 Parallel lines also form a single plane but do not intersect each other. Similarly, parallel lines may or may
254 not belong to the same finite plane (Figure 6. b). However, skew lines exist in separate planes and never
iew
255 cross or lie on same plane (Figure 6. c).
r ev
256
257
er
Fig. 5 – Three types of relationships between two straight lines in 3D space.
pe
ot
tn
258
259 Fig. 6 - Investigating the coplanarity of parallel and intersecting lines in 3D space. (a, b) Both intersecting
rin
260 and parallel lines may or may not belong to the same finite plane. (c) skew lines never cross and lie on
261 same plane.

ep
262 3 – 1 – Different types of joints’ traces

263 The actual shape and size of rock mass discontinuities are often unknown (L. Zhang & Einstein, 2010). The
Pr
264 boundaries of joints can have polygonal, circular, elliptical, or irregular shapes, but surface topography
14
265 can also influence joint boundaries near outcrops. Joint traces occur where joints intersect with a surface
ed
266 and can exhibit various patterns and orientations, depending on the discontinuity shape and rock mass
267 morphology. Some common types of joint traces include orthogonal, conjugate, radial, and columnar
iew
268 (Dershowitz & Einstein, 1988; ISRM 1978). However, this paper primarily focuses on traces resulting from
269 planar joints, such as bedding planes, foliation planes, or fault planes. These traces are observed in rock
270 masses in linear or curved configurations.
ev
271 Rock joints can be classified into joint sets or random joints, depending on their origin and formation
272 mechanism. Random joints lack a regular pattern or orientation and are typically formed due to local
r
273 stress concentrations or irregularities in the rock mass. They usually tend to occur at greater depths below
274
275
er
the surface and are less common and less influential compared to joint sets. Joint sets, on the other hand,
exhibit a common orientation or direction and can be categorized as tensional or shear structures. They
pe
276 often correspond to post-tectonic phenomena that develop as a result of uplift. Consequently, joints
277 encountered at shallow depths are more likely to be part of joint sets rather than random ones (Burg,
278 2018; Price, 1959). What we investigated in this paper is the rock mass composed of granite, which is
ot
279 generated at great depths. So, no one knows how much stress had been applied to the rock mass that we
280 investigated, which may have generated random fractures inside.

tn
281 When joint traces are represented as 3D polylines, obtaining discontinuity plane properties in the rock
282 mass requires either a completely curved trace or at least two intersecting or parallel traces to define a
rin
283 joint plane in 3D space. However, since intersecting traces may not always originate from the same joint
284 plane, simplifying assumptions are necessary to derive discontinuity planes from the trace data. In this
ep
285 study, two assumptions are made:
286 (1) All intersecting traces are coplanar and originate from the same joint plane.
Pr
287 (2) Intersecting traces on the same rock face do not originate from the same joint plane.
15
288 These assumptions are reasonable because most joints on rock mass outcrops belong to a specific joint
ed
289 set and share a common orientation in 3D space, making the assumptions representative of the actual
290 nature of the rock mass. The following section presents a method to analyze trace data and determine
iew
291 the spatial orientation of the corresponding discontinuity planes.
292 3 – 2 – Joints Orientation Calculation with Curved Traces

293 Finding the best-fitting plane that approximates the shape of the curved trace (or polyline) in 3D space is
ev
294 essential for estimating the joint's orientation. To fit a plane to a set of points (trace or polyline vertices)
295 in 3D space, there are various mathematical methods. One common approach is the principal component
r
296 analysis (PCA) method. PCA is a mathematical technique commonly used to find the principal directions
297 (eigenvectors) and their associated variances (eigenvalues) of a dataset (Miyagawa et al., 2018). However,
298
299
er
determining the degree of curvature of a polyline in 3D space that would qualify it to represent a single
plane remains an open question. This can depend on the specific characteristics of the polyline and the
pe
300 accuracy required for our application. A polyline with constant curvature (e.g., a circular arc) can be well
301 represented by a single plane, as all points lie on the same curved surface. On the other hand, if a polyline
ot
302 has varying curvature along its length (e.g., a trace of a rock joint with complex surface geometry), fitting
303 a single plane might not provide a satisfactory approximation.

tn
304 Joint traces exhibit lateral curvatures due to their inherent surface waviness and roughness and the
305 longitudinal curvature, which follows the overall shape and topography of the rock outcrop. For the
rin
306 purpose of determining the orientation of joints using trace data, neglecting the lateral curvature of trace
307 and assuming the joint surfaces as planes can be a valid and precise estimation because, in many cases,
ep
308 rock discontinuities do exhibit planar characteristics over certain lengths (L. Zhang & Einstein, 2010), and
309 fitting a plane can provide valuable information about the joint orientation. However, it is still essential
310 to consider the potential limitations of the approach. If the joint surface waviness is significant or there is
Pr
16
311 noticeable variation, it might be necessary to divide the joint trace into segments or apply more advanced
ed
312 methods to capture local variations accurately.
313 In this section, the focus is on understanding how to accurately fit a plane on a curved trace. The
iew
314 procedure starts by attempting to fit a plane on the traces’ 3D poly-line using the PCA method. Based on
315 the previous assumption, the trace points are projected onto the fitted plane, neglecting the lateral
316 curvature of the trace. Using the normal of this plane, a circular plane is drawn with its diameter equal to
ev
317 the distance between the start and end points of the trace, and its center located at the mean point of
318 the trace points (Figure 7). The enclosed area between the projected trace poly-line and the diameter
r
319 connecting the start to the end of the trace is then calculated. If the ratio of this enclosed area to the total
320
321
er
area of the circular plane is greater than 0.05 (or curvature index = 5%), it indicates a good plane fit,
suggesting the presence of a discontinuity plane. However, if the enclosed area is relatively small
pe
322 compared to the area of the circle, it implies that the trace does not align well with the plane, indicating
323 insufficient longitudinal curvature. In such cases, the plane fitted through PCA does not accurately
324 represent the discontinuity plane. Therefore, traces with this characteristic are considered straight lines
ot
325 and are earmarked for further investigation in the subsequent step.
tn
rin
ep
Pr
17
ed
iew
r ev
er
pe
ot
326
tn
327 Fig. 7 – The longitudinal and lateral curvature of a joint trace on a rock outcrop in 3D space.
328 3 – 3 – Orientation Calculation of Joints Using Spatial Co-Planar Traces

rin
329 In this section, planes are fit to intersecting traces. As aforementioned, a trace is considered to be a
330 straight line when the traces’ profile lacks sufficient longitudinal curvature to define its own plane. To fit
ep
331 a straight line to these traces, PCA is employed with the XYZ data of the trace vertices to determine the
332 principal direction of the polyline. The minimum and maximum values along each principal direction are
333 identified, and the line parameters are calculated. Then, the line points are generated iteratively within
Pr
334 the specified range of trace length using a uniform step size. The resulting line coordinates represent the
18
335 best-fitting line for the given 3D trace vertices. This approach effectively identifies the primary orientation
ed
336 of the trace and accurately fits a line to the trace.
337 In this study, the detection of intersections between two trace lines in 3D space was achieved through the
iew
338 use of the principle of least squares fitting. By calculating the normalized vectors between the start and
339 end points of the lines and calculating the cross product between the direction vectors, the algorithm
340 finds the intersection point as the solution to a least squares problem. This approach is highly efficient
ev
341 and accurate, and includes checks for skew lines, zero-length lines, and warnings for nearly parallel lines.
342 Additionally, a tolerance threshold was incorporated when determining whether the lines intersected or
r
343 not to ensure robustness against numerical inaccuracies. This threshold amount is directly influenced by
344
345
er
the average amplitude value of the surface waviness (or surface morphology) of rock joints. The optimal
threshold value can be estimated by engineering judgment or trial and error.

pe
346 After detecting the intersecting traces, the trace vertices are merged together and PCA is applied to
347 determine the principal directions of the merged trace vertices, resulting in the best-fitting plane of the
348 intersecting traces. Next, the mean point (C) and distance (D) between the start and end points of each
ot
349 trace are calculated. With the PCA-derived normal vector from the merged trace data, planes can be
350 drawn on each trace using C as the center and D as the diameter. This process facilitates accurate and
tn
351 best plane fitting with respect to the inherent distribution of trace’s vertices.
rin
352 4 – Method Validation

353 Validation is crucial to ensure the robustness of the proposed method's results in practical applications.
354 In summary, the method aims to assign a plane with a specific size, center, and orientation to every trace
ep
355 in the 3D trace map. If a trace is determined to not be represented by any plane, the trace is left with no
356 plane assigned. The flowchart of these steps is summarized in Figure 8.

Pr
19
ed
iew
r ev
357
358
er
Fig. 8 – The simplified flowchart or schematic illustration of the key steps in the algorithm for extracting
pe
359 discontinuity planes from 3D trace data.
360 4 – 1 – Method Validation for Detecting Joint Planes in Regular Geometric Blocks
361 In this section, we validate and evaluate the proposed algorithm for analyzing 3D trace data and
ot
362 determining the spatial orientation of discontinuity planes in several regular geometric blocks. The
363 algorithm's effectiveness first is assessed by analyzing a 3D model of Rubik's Octagonal Barrel Cube (Figure
tn
364 9 a) assumed to have known discontinuity planes and clearly visible traces. The evaluation is carried out
365 upon various existing scenarios of joint traces, including intersecting persistent traces, intersecting non-
rin
366 persistent traces, and curved traces (Figure 9 b). The validation process includes fitting planes to curved
367 traces, identifying intersections, and assessing the reliability of the obtained orientations.
ep
Pr
20
ed
iew
r ev
368 er
pe
369 Fig. 9 – Three-dimensional representation of a Rubik's Octagonal Barrel with known joint planes and
370 traces.
371 The proposed algorithm for 3D trace data analysis and discontinuity plane orientation determination
ot
372 successfully fits planes to curved and intersecting traces, and considers the various scenarios of trace
373 characteristics, demonstrating the effectiveness of the algorithm. In the case study illustrated in figure 9,
tn
374 the orientation of the planes is already known. Thus, it can be visually concluded that the planes derived
375 from the trace analysis algorithm reasonably represents the orientations of the joint’s planes. Detected
rin
376 discontinuity planes after analyzing the 3D trace lattices of the Rubik's Octagonal Barrel Cube are shown
377 in figure 10.

ep
Pr
21
ed
iew
ev
378
r
379 Fig. 10 – Detected discontinuity planes after analyzing 3D traces Lattices of a Rubik's Octagonal Barrel.
380
381
er
This validation process illustrates the algorithm's capability to contribute to rock mechanics and geological
studies, enhancing our understanding of rock formations and structural behaviors. As illustrated in figure
pe
382 11, by systematically evaluating and validating the proposed algorithm's performance, we have laid a solid
383 foundation for its application in practical geological and engineering contexts. The following sections
384 highlight real-world examples and case studies that further demonstrate the algorithm's potential and
ot
385 usefulness.
tn
rin
ep
Pr
22
ed
iew
r ev
386
387
er
Fig. 11 – Three polyhedrons with known geometric properties showing detected discontinuity planes after
pe
388 analysis of their 3D traces map.
389 4 – 2 – Method Validation by Joints Orientation Detection in Rock Mass with a Pre-
390 defined 3D Trace Map
ot
391 To validate the accuracy and reliability of our joint orientation detection method in a real rock mass, we
392 adopted a novel approach using a pre-defined 3D trace map. The pre-defined trace map was generated
tn
393 by intersecting a series of discontinuity planes with known characteristics with the three-dimensional
394 digital surface model of a real rock outcrop. Specifically, traces were generated on the rock outcrop by
rin
395 scattering a discrete series of disk-shaped planes with known size and orientation in 3D coordinate space.
396 The plane's center points were evenly distributed in space, varying for each plane set. The traces were
397 ultimately obtained by recording the intersection polylines of the discrete disk-shaped with the digital
ep
398 rock mass surface model. The procedure, realized through computer coding, is outlined step-by-step in
399 Figure 12. The figure displays only the planes that have intersected with the model for the sake of
Pr
23
400 simplicity, while the centers of non-intersecting planes are shown as small red points to illustrate the
ed
401 spatial distribution of the planes.
iew
r ev
er
pe
ot
tn
402
403 Fig. 12 – Procedure for generating the pre-defined 3D trace map on the digital surface model of a real rock
rin
404 outcrop (refer to the color version of this figure).
405 The proposed joints orientation detection algorithm was then applied to the resulting 3D trace data to
ep
406 derive the orientations of joints within the rock mass. In this analysis, traces with a curvature index of over
407 5% (indicating sufficient longitudinal curvature to have their own plane) were considered as curved traces.
Pr
408 To check the coplanarity of intersecting traces, a threshold value of 1 centimeter was defined as the
24
409 criterion for determining intersection between traces, considering the complete planarity assumption of
ed
410 discontinuities in this example. A summary of the results of this analysis are presented in Figure 13.
iew
r ev
411
er
pe
412 Fig. 13 – Validation and performance evaluation of the 3D trace analysis algorithm for determining
413 discontinuity plane orientations in rock mass (please see the colored version of this image).
ot
414 There were a total of 166 pre-generated traces, which included 61 from J1, 35 from J2, 26 from J3, 25
415 from J4, and 19 from J5. After analyzing the 3D traces, a total of 152 planes were detected, with 57 from
tn
416 J1, 32 from J2, 24 from J3, 22 from J4, and 17 from J5. The algorithm successfully reproduced over 90% of
417 the original planes in this particular case. The accuracy of our method was also assessed by comparing the
rin
418 detected orientations with the pre-defined map. The results indicated a high degree of concordance
419 between the detected orientations and the orientations derived from the pre-defined trace map.
ep
420 The validation approach adapted in this study also highlights the usefulness of our approach in generating
421 predefined 3D trace maps with known joint distributions, which can be employed in statistical analysis
Pr
422 studies of various characteristics of rock joints, such as trace length distribution in 3D space, and so on.
25
423 5 – Case study: Granitic outcrop in Gwanak Mountain in Seoul
ed
424 In this section, the proposed algorithm is applied to the investigation of a granitic outcrop in the Gwanak
425 region of Seoul, Korea. This particular outcrop is located at Gwanak Mountain and is a weathered and
iew
426 rounded rock mass that displays a visible trace map. It is easily accessible and provides distinct three-
427 dimensional structural views, making it an ideal location for studying joint traces and their three-
428 dimensional relationships.
ev
429 In section 2-1, a comprehensive explanation of the data collection methodology is provided. Field surveys
430 were conducted to capture high-resolution images, which were used as a basis for creating a digital rock
r
431 mass model. The digital model accurately replicated the geological formations found in the granitic
432 outcrop (see Figure 1). Specialized digital geological tools were then utilized to accurately measure and
433 er
record joint trace data (explained in sections 2-2 and 2-3). The purpose of this section is to conduct a
pe
434 three-dimensional analysis of the trace data detected from the digital rock mass surface model, obtained
435 through manual and automated trace detection techniques.
436 5– 1 – Analyzing Manually Detected Joint Traces Data on Digital Rock Mass Model
ot
437 The manual detection of joint traces involved a careful analysis of the digital rock mass model, guided by
438 human intelligence and engineering expertise. In accordance with explanations in section (2) and the
tn
439 following sections, each joint trace was carefully examined to establish its orientation, potential
440 connections with other traces, and to cluster traces with similar orientations.
rin
441 A total of 1777 manually recorded traces were imported into the algorithm. Using a curvature index value
442 of 5%, curved traces were distinguished from straight ones. 3D trace data was analyzed, and a total of 358
ep
443 planes were identified by curved traces. In the second step of the analysis, considering a tolerance of 0.1
444 meter to account for joints’ plane irregularities, a spatial intersection test was performed on straight
445 traces to detect intersecting and coplanar traces. This led to the identification of 820 planes of
Pr
26
446 discontinuity. Thus, over 66% of the traces were allocated to joint planes. Figure 14 illustrates the findings
ed
447 of this examination.
448 With the knowledge of the discontinuities' orientations, valuable insights into the rock mass's jointing
iew
449 system can be gained. In order to accomplish this objective, in the next section, we will discuss the
450 statistical analysis of orientation data using stereonet analysis. The information derived from this analysis
451 forms a basis for comparing and validating the outcomes achieved by automated detection.
r ev
er
pe
ot
tn
rin
452
ep
453 Fig 14. Visualization of discontinuity plane allocation, spatial distribution, and orientation within the rock
454 mass.
Pr
27
455 5 – 2 – Analyzing Automatically Detected Joint Traces Data on Digital Rock Mass Model
ed
456 As mentioned before, by leveraging the capabilities of machine learning algorithms, an automated joint
457 trace detection process was implemented on the digital rock mass model. This process involved the
458 identification and extraction of joint traces from a 3D rock mass outcrop. In this section, we will utilize the
iew
459 5500 distinct poly-line segments detected as 3D digitized trace segments in section 1-3 to assess the
460 orientation of the principal joint sets within the rock mass.
ev
461 By employing a 5% curvature index threshold for curved trace differentiation, a total of 192 planes were
462 identified by curved traces. In the subsequent step of the analysis, by assuming a tolerance of 0.1 meters
r
463 for the accommodation of discontinuities surface irregularities, the spatial intersection test on the straight
464 traces resulted in 4731 discontinuity planes. In total, more than 89% of the traces were assigned to joint
465 er
planes. The outcomes of this examination are visually presented in Figure 15.
pe
ot
tn
rin
ep
Pr
28
ed
iew
r ev
er
pe
466
ot
467 Fig 15. Results of automated joint trace detection and its subsequent discontinuity plane allocation.
tn
468
469 5 – 3 – Clustering Discontinuities Plane Poles on Stereonet for Joint Sets detection
470 The statistical analysis of joint orientation involves the stereographic projection of poles associated with
rin
471 joint planes. This is achieved by calculating a normal vector for each plane and then transforming it using
472 stereographic projection. To identify the principal sets of discontinuities, which is the ultimate goal of
ep
473 orientation analysis, we utilized two distinct techniques: Kernel-based clustering and Fuzzy C-Means
474 clustering. These techniques identify the pole distribution density on the stereonet and finds the centers
Pr
475 of local maximum pole concentrations. Subsequently, for the clustering of neighboring poles with similar
29
476 orientation, a cone filtering approach was employed. For cone filtering, a cone deviation angle around the
ed
477 main pole was determined for each concentration. Poles were allocated to a cluster when its angle to the
478 main pole was smaller than this cone angle, while poles with larger angles were filtered out. Finally, we
iew
479 evaluated the precision of both techniques.
480 The Kernel Density Function (KDF) is one of several methods used in structural geology to cluster and
481 analyze joint orientations using stereonets. Other techniques, such as the fuzzy C-means clustering
ev
482 algorithm, are also utilized considering their strengths and weaknesses.
483 5 – 3 –1 – Kernel-based Clustering
r
484 Applying the Kernel Density Function (KDF) to cluster poles on a stereonet is a common technique used
485 in structural geology to identify clusters or high-density regions of structural data. The KDF is a non-
486
er
parametric statistical method that estimates the probability density function of a random variable. In this
pe
487 study, the Gaussian kernel density was computed using the Matlab function ‘kde2d’ (Botev et al., 2010).
488 This method identifies regions on the stereonet where joint poles are concentrated, indicating potential
489 structural features. A step-by-step explanation of how the KDF is applied to cluster poles on a stereonet
ot
490 is presented:
491 First, the KDF utilizes a parameter called the bandwidth. The bandwidth controls the smoothing of the
tn
492 data and influences the size and shape of the density estimation kernels. Selecting an appropriate
493 bandwidth is crucial as it affects the sensitivity of the analysis. Too small a bandwidth can result in noisy
rin
494 clusters, while too large a bandwidth can smooth out important features.
495 For each joint pole on the stereonet, the KDF calculates a density value. The density value is a measure of
ep
496 how many joint poles are located in the vicinity of a given point. The kernel function determines the shape
497 and extent of the influence of neighboring data points on the density estimation. The densities from all
Pr
30
498 data points are combined to obtain a continuous density field over the entire stereonet. Areas with higher
ed
499 densities indicate regions of concentrated joint poles.
500 Once the KDF has been applied, it is common to employ some threshold or contouring technique to the
iew
501 density field to identify clusters or high-density regions. These clusters represent areas where joint poles
502 are tightly grouped together, suggesting the presence of geological structures like joint sets. Riquelme et
503 al., 2014 employed two parameters to recognize high-density regions: the minimum angle between the
ev
504 normals of the principal joint planes and the maximum number of principal joint sets. These variables are
505 parameters used in the context of structural geology to identify and analyze joint planes:
r
506  The minimum angle defines the maximum allowed angular deviation between two joint planes
507
508
er
for them to be considered distinct and not parallel. If the angle between the normals of two joint
planes is less than or equal to this minimum angle, they are considered to be part of the same
pe
509 structural feature. A smaller value for it would result in a more stringent criteria for grouping joint
510 planes into principal sets.
511  The maximum number of joint sets defines the maximum number of principal discontinuity sets
ot
512 that the algorithm will attempt to identify and extract. In structural geology, joint systems in a
tn
513 rock mass can be quite complex, and it might not be necessary to extract all potential sets of joint
514 planes. This parameter limits the algorithm to finding and considering up to a certain number of
515 significant joint planes. By setting this value, the algorithm can focus on the most prominent or
rin
516 relevant joint planes within the rock mass.
517 It is worth noting that the effectiveness of the KDF analysis depends on the selection of an appropriate
ep
518 value for these three input parameters: the bandwidth, the minimum angle between the normals and the
519 maximum number of joint sets. In brief, opting for a low bandwidth value can lead to clusters with noise,
Pr
520 whereas a high bandwidth value might oversimplify critical features. For this study, a bandwidth value of
31
521 4 is recommended. The minimum angle governs the tolerance for identifying joint planes that are parallel
ed
522 or closely aligned; it was set at 30 degrees in this case. Meanwhile, the maximum number of joint sets
523 restricts the algorithm's analysis and consideration to a specific count of significant joint planes. By
iew
524 assessing the distribution of pole points on the stereonet, it was determined that a maximum of 4 joint
525 sets is viable. As shown in figure 16, this method of stereonet analysis enhances the recognition and
526 examination of rock mass joint planes, based on specific criteria and objectives.
r ev
er
pe
ot
tn
rin
527
ep
528 Fig 16. Stereographic projections and kernel-based clustering of the poles of normal vectors from (a)
529 manually and (b) automatically detected joints' planes.

Pr
32
530 5 – 3 –2 – Fuzzy C-Mean Clustering
ed
531 Fuzzy C-means (FCM) clustering serves as a valuable technique for automatically analyzing and
532 categorizing joint orientations (or identifying joint sets) on stereonets (Hammah & Curran, 1998). This
533 algorithm typically necessitates an initial determination of the number of targets sets and cluster centers.
iew
534 In situations where cluster boundaries are ambiguous, selecting appropriate initial cluster centers can be
535 challenging, potentially leading to unreliable results. A common approach recommended for obtaining
536 more valid results is to run the algorithm several times and assess the feasibility of the resulting clusters
ev
537 manually (Xu et al., 2013; Yan et al., 2022). FCM clustering is a dynamic clustering method that assigns
538 data points to clusters with varying degrees of membership. However, unlike K-mean (KM) clustring which
r
539 computes the cluster centers as the averages of the data points belonging to each cluster, FCM calculates
540
541
er
the cluster centers as the weighted averages of the data points based on their membership values. This
introduces non-linearity and greater sensitivity to the affiliation of data points to different clusters. The
pe
542 Fuzzy C-Means clustering technique separates a dataset into clusters by minimizing the fuzzy objective
543 function (Bezdek 1981).
544 FCM is a soft clustering algorithm, meaning it assigns data points to clusters in a probabilistic manner. Like
ot
545 KM, this algorithm also requires an initial estimation of the number of target sets. In addition to the input
tn
546 data and the number of clusters, in this clustering algorithm, to control the accuracy of the output, the
547 maximum number of iterations and the desired error tolerance for convergence can be set. Finally, each
548 data point is assigned a membership value indicating the likelihood of it belonging to each cluster.
rin
549 Regarding joints’ orientation, FCM groups similar orientations into clusters based on the cosine similarities
550 of joint planes.

ep
551 In this study, Fuzzy C-Mean clustering was conducted using the Matlab function ‘fcm’ (Bezdek, 1981). The
552 algorithm iteratively adjusts these centers and membership confidence values to minimize the squared
Pr
33
553 distances between data points and cluster centers. In this study, the distance matrix was computed using
ed
554 cosine distances among pairs of normal vectors and employed as input for the fuzzy clustering algorithm.
555 Following the FCM analysis of joint orientation data, clusters of joint orientations are obtained along with
iew
556 corresponding membership values. Clusters with significant membership values might indicate prevalent
557 joint orientations or structural patterns within the geological context. The outcomes can be visually
558 represented through color-coded clusters on a stereonet, facilitating the identification of trends and
ev
559 associations. The cluster centers represent mean joint orientations within each cluster. Figure 17
560 illustrates how applying Fuzzy C-Means clustering enhances the recognition and analysis of joint plane
r
561 orientations on a stereonet.
er
pe
ot
tn
562
rin
563 Fig 17 –Stereographic projection and Fuzzy C-mean clustering of the poles of normal vectors from (a)
564 manually and (b) automatically detected joint planes.

ep
565 5 – 3 –3 – Exporting Principal Joint Sets and Comparing Clustering Results

566 The assessment of the 3D trace analysis algorithm results and the comparison of the two clustering
567 techniques can be done through visual examination of their ability to separate trace data into distinct
Pr
568 clusters representing different joint sets. This involves exporting clustered discontinuity planes into
34
569 separate sets and plotting these planes along their corresponding traces on the 3D digital surface model
ed
570 of the rock mass. This visual assessment offers insights into the clustering results' quality and the accuracy
571 of the plane-trace fitting. Figures 18 and 19 provide a clear demonstration of the effectiveness of our
iew
572 proposed algorithm. The figure 18 shows the identified joint planes and their corresponding traces for
573 principal joint sets when using manually detected traces. The figure 19 demonstrates the same results
574 when using automatically detected traces. These figures not only provide a tangible representation of the
ev
575 algorithm's capability to delineate distinct principal joint sets but also serve as visual proof of its
576 proficiency in accurately fitting the detected planes to the corresponding trace data.
r
577 It is worth noting that manually detected traces have a much higher level of accuracy than those detected
578
579
er
automatically. Because, in a manual trace survey, by investing more time and costs, using another third-
party software, trace lines are carefully tracked on a 3D model using human intelligence. This means that
pe
580 in manual trace mapping, there are long curved traces that start from one side of the outcrop, pass
581 through several faces, and end on the other side of the outcrop. However, in the automatic trace detection
582 algorithm, the same trace is usually divided into multiple segments. This is because it is challenging for
ot
583 the proposed automatic trace detection algorithm to accurately follow a single trace in 3D. As a result,
584 any analysis conducted on the manually detected trace data is likely to be more precise. In the following
tn
585 sections, the factors contributing to the low accuracy of the automatically detected traces are discussed.
rin
ep
Pr
35
ed
iew
r ev
er
pe
ot
tn
rin
586
ep
587 Fig 18 – Visualization of Principal Joint Sets and Traces on 3D Rock Mass Model - Manual Detection
588 Approach (refer to the color version of this figure).

Pr
36
ed
iew
r ev
er
pe
ot
tn
rin
589
590 Fig 19 – Visualization of Principal Joint Sets and Traces on 3D Rock Mass Model - Automatic Detection
ep
591 Approach (refer to the color version of this figure).
592 5 – 4 – Comparative Analysis of Findings

593 The comparative analysis between manually and automatically detected joint orientations yielded
Pr
594 considerable insights. The manual identification displayed evident primary joint sets, and the automatic
37
595 identification demonstrated efficiency and consistency in handling large data. Both methods resulted in
ed
596 overall similar outcomes, but there were also some discernible disparities. The differences can be
597 attributed to the computational constraints previously mentioned, as the automated algorithm lacks the
iew
598 necessary precision to identify joint traces that closely correspond with the manual observations,
599 ultimately failing to capture intricate details.
600 The first noticeable contrast among outcomes is clearly visible in Figure 16, highlighting the disparity
ev
601 among scattered pole points on the stereonet. What can be noticed in this figure is that joint poles derived
602 from manual trace data tend to group around specific orientations on the stereonet, indicating the
r
603 presence of principal joint sets. Conversely, joint poles acquired from automatically detected traces are
604
605
er
more dispersed across the stereonet and visually do not imply any distinct orientation. However, it should
be noted that while such visual distinctions are apparent, statistically, the data exhibit a rather
pe
606 comparable distribution, as shown in figures 16 and 18.
607 The second important difference between the results is that the detected clusters exhibit a significant
608 difference in the frequency of planes belonging to each cluster (figures 16 and 17). The cluster of poles
ot
609 corresponding to joint set 1, despite having the lowest number of populations in the manual method, has
610 the highest joint population in the automatic trace analysis. For the manual trace data analysis, the
tn
611 number of planes clustered per each joint set are J1: 346, J2:276, J3:203, and J4:111. These numbers for
612 the automatic trace data analysis are J1: 864, J2:747, J3:741, and J4:699. Although the poles density peaks
rin
613 are numbered from the highest to the lowest value of the density function, the clusters derived from
614 analyzing automatic traces are almost similar in population. Furthermore, the discrepancy between
ep
615 manual and automatic results highlights the limitations of automated trace detection methods.
616 For the purpose of comparing the two methods of pole clustering (Kernel based clustering and C-mean
Pr
617 clustering), the assessment of the resultant cluster centers is an effective approach for investigating the
38
618 similarities or disparities between each method. The list of cluster centers is presented in Table 1. The
ed
619 global (or absolute) accuracy of cluster centers obtained by each method is not the focus of this study and
620 necessitates a distinct investigation. Instead, the objective of this study is to ascertain the degree of
iew
621 alignment between the principal joint orientations derived from manual and automatic traces data
622 analysis.
623 Table 1 – Cluster Centers Comparison for Kernel-Based and C-Mean Clustering Methods.
ev
Manually detected traces Automatically detected traces
Cluster Centers Cluster Centers
r
Joint Set
Kernel Clustering C-Mean Clustering Kernel Clustering C-Mean Clustering
J1
J2
113°/72°
174°/83°
116°/69°
177°/82°
er J4
J3
125°/81°
006°/84°
J2
J3
119°/80°
185°/79°
pe
J3 044°/69° 041°/76° J2 054°/81° J4 055°/75°
J4 253°/34° 263°/24° J1 252°/34° J1 222°/24°
624
ot
625 As illustrated in figure 20, both methods have demonstrated proficiency in pinpointing cluster centers.
tn
626 However, the kernel method involves a higher number of input parameters, and adjustments to these
627 values can lead to variations in clustering outcomes. Despite identifying 4 main discontinuity sets using
rin
628 this method on the given pole distribution, adjusting the kernel method's input parameters leads to slight
629 shifts in cluster center positions. On the other hand, c-mean clustering tends to produce more robust
630 results. Analyzing 1178 discontinuity plane poles is nearly instantaneous using both methods. Clustering
ep
631 4923 poles on a stereonet through the kernel method is also executed instantly. However, processing the
632 same data with 100 iterations using the c-mean method takes approximately 15 seconds (with AMD Ryzen
Pr
39
633 9 7950X 16-Core Processor 4.50 GHz), indicating that the c-mean method carries a higher computational
ed
634 cost.
635 The c-mean method is considered by researchers to be more effective at identifying cluster centers and
iew
636 requires fewer input parameters. However, both methods require the number of clusters to be
637 determined beforehand and neither automatically detects the number of principal joint sets. When visual
638 detection of poles concentration is difficult, trial and error may be necessary to assume the numbers for
ev
639 possible discontinuity sets. Comparing the resulting clusters can then help determine the major
640 orientations in the rock mass.
r
er
pe
ot
tn
641
rin
642 Fig 20 – Cluster centers comparison for (a) kernel-based and (b) c-mean clustering methods on the
643 stereonet.
ep
644 6 – Summary and Discussion

645 This study aims to use 3D trace data to identify discontinuity planes, as traces often provide the clearest
Pr
646 and most measurable features in various rock formations. The results of the research show that this
647 objective has been successfully met. The methodology presented in this research was validated using a
40
648 predetermined three-dimensional trace lattice of discontinuity planes with known orientation. In this
ed
649 assessment, where plane orientations (or stereonet pole positions) were already known, the algorithm
650 demonstrated a precise capability to identify planes that effectively corresponded to the pre-defined
iew
651 discontinuity orientations. Results showed that more than 90% of visible traces can be placed on a plane,
652 which represents the discontinuity plane corresponding to that trace. As depicted in Figure 13, the
653 application of the kernel clustering method illustrates clear and accurate clustering of normal vector poles
ev
654 into five distinct discontinuity sets, aligning with anticipated outcomes.
655 After validation, the analysis was implemented on a lattice of 3D traces obtained from a real 3D outcrop
r
656 of a rock mass. By applying the proposed algorithm to manually collected 3D trace data, it was observed
657
658
er
that more than 66% of the traces effectively represented their corresponding discontinuity planes. After
the clustering process, it was determined that 80% of the identified planes align with one of the main joint
pe
659 sets present in the rock mass.
660 The agreement between the identified planes on the trace lattice and their consistency with the rock
661 mass's jointing patterns demonstrates the efficacy of this approach. The remaining 20% of the identified
ot
662 joint planes relate to random joints. While the orientations assigned to these planes lack statistical
663 evidence for them to be classified into a principal joint set, their accuracy is supported by visual inspection
tn
664 and specific case observations. As these identified planes intersect the rock mass within the 3D model,
665 their alignment further enhances the reliability of the obtained orientations.
rin
666 The results of the analysis conducted on traces automatically extracted from the rock mass further
667 demonstrate the capability of the presented algorithm, despite the fact that these detected traces do not
ep
668 meet an acceptable accuracy standard in terms of continuity; trace segments were roughly three times
669 more abundant than manual results due to a lack of continuity. According to the results, the joint clusters
Pr
670 estimated from the manual and automated methods are almost identical, although the numbering differs.
41
671 This would imply the automatic method's applicability, which could extract more fracture segments from
ed
672 the outcrop, but eventually produce almost the same result in terms of joint sets. So, the automated
673 method is better than the manual method the proposed algorithm adeptly processes numerous
iew
674 discontinuous and complex rock mass jointing traces, providing a valuable overview in a rapid and cost-
675 effective manner.
676 This investigation provides a foundation for further research in structural geology and rock engineering,
ev
677 facilitating enhanced insights into rock mass behaviors and contributing to advancements in practical
678 applications. For instance, the method can be applied to rock masses with a mixture of exposed
r
679 discontinuity planes and traces, and by combining the results obtained from the analysis of 3D traces with
680
681
er
the analysis of point clouds, a more realistic understanding of the rock mass' geometrical state can be
achieved. Such comprehensive characterization is critical for understanding the mechanical behavior of a
pe
682 rock mass.
683 7- Conclusion
684 Recently, researchers have developed ways to identify exposed discontinuity planes from 3D point clouds.
ot
685 However, there are some cases in rock masses where discontinuity planes are not exposed and only
686 discontinuity traces are visible. Consequently, analyzing the visible traces is the only way to determine the
tn
687 orientation of discontinuities in those types of rock mass. To address this challenge, this study has
688 developed an algorithm that measures the orientation of the discontinuities by extracting the 3D polylines
rin
689 of traces and by analyzing the traces in 3D space. The findings of this study can contribute to a better
690 understanding of rock mass structural condition and improve safety in mining and civil engineering
ep
691 projects.
692 Generally, the traces in rock mass can be divided into two groups; curved traces and straight traces. In
Pr
693 this research, a novel concept named the curve index was used to identify curved traces. Traces with
42
694 curvature index greater than 5% were found to be capable of determining its discontinuity plane. On the
ed
695 other hand, if a discontinuity's trace profile lacks sufficient longitudinal curvature to define its own plane,
696 the trace could be considered as a straight line. If each straight trace is assumed as a line in 3D space, by
iew
697 identifying the intersecting lines, discontinuity planes can be determined by those intersecting lines or
698 traces. These traces are called co-planar traces and since the planes of discontinuities in rock mass are not
699 completely planar and have undulations, spatial skew lines were also considered to be co-planar when
ev
700 their Euclidean distance is smaller than a certain threshold value. The case study conducted on a granitic
701 outcrop has successfully demonstrated the synergistic potential of combining automated joint trace
r
702 detection techniques with the proposed traces lattice analysis algorithm to quickly and accurately identify
703 discontinuity orientations within a rock mass.
704
er
Since proposed approach yields the geometric features of discontinuity planes in three dimensions,
pe
705 stereonet was employed to identify the principal joint sets, and we achieved this by utilizing two distinct
706 techniques: kernel-based clustering and fuzzy c-means clustering. These clustering methods only identify
707 the centers of the local maximum pole concentrations. Subsequently, for the grouping of neighboring
ot
708 poles with similar orientation, a cone filtering approach was employed to separate the principal joint sets.
709 Although both clustering techniques demonstrated proficiency in pinpointing cluster centers, both
tn
710 methods require the number of clusters to be determined beforehand and do not detect the number of
711 principal joints sets automatically.

rin
712 The derivation of discontinuity plane orientations through the analysis of a three-dimensional trace lattice
713 is an innovative approach that overcomes the constraints of point cloud-based discontinuity sets
ep
714 extraction techniques. The method can be developed by employing machine learning techniques to
715 automatically detect joint trace segments from 3D texturized digital rock mass models, and rapidly and
Pr
716 objectively estimate joint plane orientations and joints’ spacing. The approach developed in this study
717 holds significant implications for both geological research and practical engineering applications. The
43
718 comprehensive joint trace data analysis contributes to a deeper understanding of the structural behavior
ed
719 of rock masses. The integration of automated traces detection techniques paves the way for accelerated
720 data processing in geotechnical assessments, slope stability analyses, and other engineering endeavors.
iew
721 By employing these new technologies, engineers can make informed decisions, optimize engineering
722 designs, and implement effective mitigation measures to ensure the stability and safety of rock
723 engineering projects.
ev
724 8 – References
725 Battulwar, R., Zare-Naghadehi, M., Emami, E., & Sattarvand, J. (2021). A state-of-the-art review of
r
726 automated extraction of rock mass discontinuity characteristics using three-dimensional surface
727
728
er
models. Journal of Rock Mechanics and Geotechnical Engineering, 13(4), 920–936.
https://doi.org/10.1016/j.jrmge.2021.01.008
pe
729 Bezdek, J. C. (1981). Pattern Recognition with Fuzzy Objective Function Algorithms. Springer US.
730 https://doi.org/10.1007/978-1-4757-0450-1
731 Bolkas, D., Vazaios, I., Peidou, A., & Vlachopoulos, N. (2018). Detection of Rock Discontinuity Traces Using
ot
732 Terrestrial LiDAR Data and Space-Frequency Transforms. Geotechnical and Geological
733 Engineering, 36(3), 1745–1765. https://doi.org/10.1007/s10706-017-0430-6

tn
734 Botev, Z. I., Grotowski, J. F., & Kroese, D. P. (2010). Kernel density estimation via diffusion. The Annals of
735 Statistics, 38(5). https://doi.org/10.1214/10-AOS799

rin
736 Burg, J.-P. (2018). Structural geology. ETH Zurich. https://doi.org/10.3929/ethz-b-000279493
737 Chen, J., Huang, H., Zhou, M., & Chaiyasarn, K. (2021). Towards semi-automatic discontinuity
ep
738 characterization in rock tunnel faces using 3D point clouds. Engineering Geology, 291, 106232.
739 https://doi.org/10.1016/j.enggeo.2021.106232
Pr
44
740 Chen, J., Zhou, M., Huang, H., Zhang, D., & Peng, Z. (2021). Automated extraction and evaluation of
ed
741 fracture trace maps from rock tunnel face images via deep learning. International Journal of Rock
742 Mechanics and Mining Sciences, 142, 104745. https://doi.org/10.1016/j.ijrmms.2021.104745
iew
743 Chen, J., Zhu, H., & Li, X. (2016). Automatic extraction of discontinuity orientation from rock mass surface
744 3D point cloud. Computers & Geosciences, 95, 18–31.
745 https://doi.org/10.1016/j.cageo.2016.06.015
ev
746 Chen, Y.-C. (2017). A tutorial on kernel density estimation and recent advances. Biostatistics &
747 Epidemiology, 1(1), 161–187. https://doi.org/10.1080/24709360.2017.1396742
r
748 Deb, D., Hariharan, S., Rao, U. M., & Ryu, C.-H. (2008). Automatic detection and analysis of discontinuity
749 geometry of rock mass from digital images. Computers & Geosciences, 34(2), 115–126.
750
751
https://doi.org/10.1016/j.cageo.2007.03.007 er
Dershowitz, W. S., & Einstein, H. H. (1988). Characterizing rock joint geometry with joint system models.
pe
752 Rock Mechanics and Rock Engineering, 21(1), 21–51. https://doi.org/10.1007/BF01019674
753 Farmakis, I., Marinos, V., Papathanassiou, G., & Karantanellis, E. (2020). Automated 3D Jointed Rock Mass
ot
754 Structural Analysis and Characterization Using LiDAR Terrestrial Laser Scanner for Rockfall
755 Susceptibility Assessment: Perissa Area Case (Santorini). Geotechnical and Geological
tn
756 Engineering, 38(3), 3007–3024. https://doi.org/10.1007/s10706-020-01203-x
757 Feng, Q. H., & Röshoff, K. (2004). In-situ mapping and documentation of rock faces using a full-coverage
rin
758 3d laser scanning technique. International Journal of Rock Mechanics and Mining Sciences, 41,
759 139–144. https://doi.org/10.1016/j.ijrmms.2004.03.032
760 Feng, Q., Sjögren, P., Stephansson, O., & Jing, L. (2001). Measuring fracture orientation at exposed rock
ep
761 faces by using a non-reflector total station. Engineering Geology, 59(1–2), 133–146.
762 https://doi.org/10.1016/S0013-7952(00)00070-3
Pr
45
763 Ferrero, A. M., Forlani, G., Roncella, R., & Voyat, H. I. (2009). Advanced Geostructural Survey Methods
ed
764 Applied to Rock Mass Characterization. Rock Mechanics and Rock Engineering, 42(4), 631–665.
765 https://doi.org/10.1007/s00603-008-0010-4
iew
766 Franklin, J. A., Maerz, N. H., & Bennett, C. P. (1988). Rock mass characterization using photoanalysis.
767 International Journal of Mining and Geological Engineering, 6(2), 97–112.
768 https://doi.org/10.1007/BF00880801
ev
769 Gigli, G., & Casagli, N. (2011). Semi-automatic extraction of rock mass structural data from high resolution
770 LIDAR point clouds. International Journal of Rock Mechanics and Mining Sciences, 48(2), 187–198.
r
771 https://doi.org/10.1016/j.ijrmms.2010.11.009
772 Guo, J., Liu, Y., Wu, L., Liu, S., Yang, T., Zhu, W., & Zhang, Z. (2019). A geometry- and texture-based
773
774 of Rock Mechanics and

er
automatic discontinuity trace extraction method for rock mass point cloud. International Journal
Mining Sciences, 124, 104132.

pe
775 https://doi.org/10.1016/j.ijrmms.2019.104132
776 Guo, L., Liao, J., Zhong, F., Dong, K., Liu, X., Tao, J., & Chen, J. (2012). A semi-automated methodology for
ot
777 rock mass discontinuity trace map construction. 2012 International Conference on Image Analysis
778 and Signal Processing, 1–5. https://doi.org/10.1109/IASP.2012.6424980

tn
779 Hadjigeorgiou, J., Lemy, F., Ct, P., & Maldague, X. (2003). An Evaluation of Image Analysis Algorithms for
780 Constructing Discontinuity Trace Maps. Rock Mechanics and Rock Engineering, 36(2), 163–179.
rin
781 https://doi.org/10.1007/s00603-002-0041-1
782 Hagan, T. O. (1980). A case for terrestrial photogrammetry in deep-mine rock structure studies.
783 International Journal of Rock Mechanics and Mining Sciences & Geomechanics Abstracts, 17(4),
ep
784 191–198. https://doi.org/10.1016/0148-9062(80)91085-2

Pr
46
785 Hammah, R. E., & Curran, J. H. (1998). Fuzzy cluster algorithm for the automatic identification of joint sets.
ed
786 International Journal of Rock Mechanics and Mining Sciences, 35(7), 889–905.
787 https://doi.org/10.1016/S0148-9062(98)00011-4
iew
788 Han, X., Yang, S., Zhou, F., Wang, J., & Zhou, D. (2017). An Effective Approach for Rock Mass Discontinuity
789 Extraction Based on Terrestrial LiDAR Scanning 3D Point Clouds. IEEE Access, 5, 26734–26742.
790 https://doi.org/10.1109/ACCESS.2017.2771201
ev
791 International society for rock mechanics commission on standardization of laboratory and field tests.
792 (1978). International Journal of Rock Mechanics and Mining Sciences & Geomechanics Abstracts,
r
793 15(6), 319–368. https://doi.org/10.1016/0148-9062(78)91472-9
794 Jaboyedoff, M., Couture, R., & Locat, P. (2009). Structural analysis of Turtle Mountain (Alberta) using
795
796
er
digital elevation model: Toward a progressive failure. Geomorphology, 103(1), 5–16.
https://doi.org/10.1016/j.geomorph.2008.04.012
pe
797 Kainthola, A., Singh, P. K., & Singh, T. N. (2015). Stability investigation of road cut slope in basaltic
798 rockmass, Mahabaleshwar, India. Geoscience Frontiers, 6(6), 837–845.

ot
799 https://doi.org/10.1016/j.gsf.2014.03.002
800 Kemeny, J., & Post, R. (2003). Estimating three-dimensional rock discontinuity orientation from digital
tn
801 images of fracture traces. Computers & Geosciences, 29(1), 65–77.
802 https://doi.org/10.1016/S0098-3004(02)00106-1
rin
803 Kong, D., Saroglou, C., Wu, F., Sha, P., & Li, B. (2021). Development and application of UAV-SfM
804 photogrammetry for quantitative characterization of rock mass discontinuities. International
805 Journal of Rock Mechanics and Mining Sciences, 141, 104729.

ep
807 Lee, Y.-K., Kim, J., Choi, C.-S., & Song, J.-J. (2022). Semi-automatic calculation of joint trace length from
Pr
808 digital images based on deep learning and data structuring techniques. International Journal of
47
809 Rock Mechanics and Mining Sciences, 149, 104981.
ed
811 Lemy, F., & Hadjigeorgiou, J. (2003). Discontinuity trace map construction using photographs of rock
iew
812 exposures. International Journal of Rock Mechanics and Mining Sciences, 40(6), 903–917.
813 https://doi.org/10.1016/S1365-1609(03)00069-8
814 Li, X., Chen, J., & Zhu, H. (2016). A new method for automated discontinuity trace mapping on rock mass
ev
815 3D surface model. Computers & Geosciences, 89, 118–131.
r
817 Miyagawa, S., Yoshizawa, S., & Yokota, H. (2018). Trimmed Median PCA for Robust Plane Fitting. 2018
818 25th IEEE International Conference on Image Processing (ICIP), 753–757.
819
820
https://doi.org/10.1109/ICIP.2018.8451752 er
Price, N. J. (1959). Mechanics of Jointing in Rocks. Geological Magazine, 96(2), 149–167.
pe
821 https://doi.org/10.1017/S0016756800060040
822 Priest, S. D. (1993). Discontinuity Analysis for Rock Engineering. Springer Netherlands.
ot
823 https://doi.org/10.1007/978-94-011-1498-1
824 Reid, T. R., & Harrison, J. P. (2000). A semi-automated methodology for discontinuity trace detection in
tn
825 digital images of rock mass exposures. International Journal of Rock Mechanics and Mining
826 Sciences, 37(7), 1073–1089. https://doi.org/10.1016/S1365-1609(00)00041-1

rin
827 Riquelme, A. J., Abellán, A., Tomás, R., & Jaboyedoff, M. (2014). A new approach for semi-automatic rock
828 mass joints recognition from 3D point clouds. Computers & Geosciences, 68, 38–52.
ep
830 Roncella, R., Forlani, G., & Remondino, F. (2005). Photogrammetry for geological applications: Automatic
831 retrieval of discontinuity orientation in rock slopes (J.-A. Beraldin, S. F. El-Hakim, A. Gruen, & J. S.
Pr
832 Walton, Eds.; p. 17). https://doi.org/10.1117/12.587822
48
833 Ronneberger, O., Fischer, P., & Brox, T. (2015). U-Net: Convolutional Networks for Biomedical Image
ed
834 Segmentation. In N. Navab, J. Hornegger, W. M. Wells, & A. F. Frangi (Eds.), Medical Image
835 Computing and Computer-Assisted Intervention – MICCAI 2015 (Vol. 9351, pp. 234–241). Springer
iew
836 International Publishing. https://doi.org/10.1007/978-3-319-24574-4_28
837 Salvini, R., Vanneschi, C., Coggan, J. S., & Mastrorocco, G. (2020). Evaluation of the Use of UAV
838 Photogrammetry for Rock Discontinuity Roughness Characterization. Rock Mechanics and Rock
ev
839 Engineering, 53(8), 3699–3720. https://doi.org/10.1007/s00603-020-02130-2
840 Shi, Y., Ballesio, M., Johansen, K., Trentman, D., Huang, Y., McCabe, M. F., Bruhn, R., & Schuster, G. (2023).
r
841 Semi-universal geo-crack detection by machine learning. Frontiers in Earth Science, 11, 1073211.
842 https://doi.org/10.3389/feart.2023.1073211
843
844
er
Silverman, B. W. (2018). Density Estimation for Statistics and Data Analysis (1st ed.). Routledge.
https://doi.org/10.1201/9781315140919
pe
845 Slob, S., Van Knapen, B., Hack, R., Turner, K., & Kemeny, J. (2005). Method for Automated Discontinuity
846 Analysis of Rock Slopes with Three-Dimensional Laser Scanning. Transportation Research Record:
ot
847 Journal of the Transportation Research Board, 1913(1), 187–194.
848 https://doi.org/10.1177/0361198105191300118
tn
849 Tang, Y., He, L., Lu, W., Huang, X., Wei, H., & Xiao, H. (2021). A novel approach for fracture skeleton
850 extraction from rock surface images. International Journal of Rock Mechanics and Mining
rin
851 Sciences, 142, 104732. https://doi.org/10.1016/j.ijrmms.2021.104732
852 Umili, G., Ferrero, A., & Einstein, H. H. (2013). A new method for automatic discontinuity traces sampling
853 on rock mass 3D model. Computers & Geosciences, 51, 182–192.

ep
Pr
49
855 Vöge, M., Lato, M. J., & Diederichs, M. S. (2013). Automated rockmass discontinuity mapping from 3-
ed
856 dimensional surface data. Engineering Geology, 164, 155–162.
857 https://doi.org/10.1016/j.enggeo.2013.07.008
iew
858 Wang, W., Liao, H., & Huang, Y. (2007). Rock fracture tracing based on image processing and SVM. Third
859 International Conference on Natural Computation (ICNC 2007), 632–635.
860 https://doi.org/10.1109/ICNC.2007.643
ev
861 Weixing Wang. (2005). An Edge Based Segmentation Algorithm for Rock Fracture Tracing. International
862 Conference on Computer Graphics, Imaging and Visualization (CGIV’05), 43–48.
r
863 https://doi.org/10.1109/CGIV.2005.16
864 Wu, X., Wang, F., Wang, M., Zhang, X., Wang, Q., & Zhang, S. (2021). A New Method for Automatic
865
866
er
Extraction and Analysis of Discontinuities Based on TIN on Rock Mass Surfaces. Remote Sensing,
13(15), 2894. https://doi.org/10.3390/rs13152894

pe
867 Zhang, L., & Einstein, H. H. (2010). The Planar Shape of Rock Joints. Rock Mechanics and Rock Engineering,
868 43(1), 55–68. https://doi.org/10.1007/s00603-009-0054-0

ot
869 Zhang, P., Li, J., Yang, X., & Zhu, H. (2018). Semi-automatic extraction of rock discontinuities from point
870 clouds using the ISODATA clustering algorithm and deviation from mean elevation. International
tn
871 Journal of Rock Mechanics and Mining Sciences, 110, 76–87.
872 https://doi.org/10.1016/j.ijrmms.2018.07.009
rin
873 Zhang, P., Zhao, Q., Tannant, D. D., Ji, T., & Zhu, H. (2019). 3D mapping of discontinuity traces using fusion
874 of point cloud and image data. Bulletin of Engineering Geology and the Environment, 78(4), 2789–
875 2801. https://doi.org/10.1007/s10064-018-1280-z

ep
876
Pr
50

SSRN Id4621630

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

SSRN Id4621630

Uploaded by

Copyright:

Available Formats

1 A Semi-Automatic Approach for Joint Planes Recognition using 3D

15 plane determination. The methodology's effectiveness is established through validation using a

26 in the characterization of rock mass structural properties.

36 Otherwise, only a statistical reconstruction is possible (Ferrero et al., 2009).

46 mass geological and structural characteristics.

101 computer algorithm to analyze the traces in 3D space.

112 principal orientation of discontinuities from scattered pole points on a stereonet.

2 - 3D Digital Joint Surveying

119 accurate, efficient, and comprehensive information.

134 2 – 2 – Manual 3D Joint Trace Mapping on Digital Rock Mass Model

142 of detected traces in three-dimensional space.

162 the digital 3D model.

165 of this figure).

166 2 – 3 – Automatic Joint Trace Detection on 3D Rock Mass Surface Model

183 of the classifier.

191 segments are linked to form a continuous 3D joint trace.

203 degrees of trace segment linking.

orientation information is not required or utilized in the algorithm’s three-dimensional projection, 3D

212 can be processed within reasonable computation time.

228 model (refer to the color version of this figure).

229 3 - Spatial Geometric Analysis of the 3D Trace Lattice

249 significance in determining rock joint orientation.

261 same plane.

262 3 – 1 – Different types of joints’ traces

270 masses in linear or curved configurations.

280 investigated, which may have generated random fractures inside.

285 study, two assumptions are made:

292 3 – 2 – Joints Orientation Calculation with Curved Traces

303 a single plane might not provide a satisfactory approximation.

328 3 – 3 – Orientation Calculation of Joints Using Spatial Co-Planar Traces

threshold value can be estimated by engineering judgment or trial and error.

352 4 – Method Validation

356 plane assigned. The flowchart of these steps is summarized in Figure 8.

377 in figure 10.

404 outcrop (refer to the color version of this figure).

428 dimensional relationships.

435 through manual and automated trace detection techniques.

483 5 – 3 –1 – Kernel-based Clustering

510 planes into principal sets.

516 relevant joint planes within the rock mass.

529 manually and (b) automatically detected joints' planes.

543 function (Bezdek 1981).

550 of joint planes.

564 manually and (b) automatically detected joint planes.

565 5 – 3 –3 – Exporting Principal Joint Sets and Comparing Clustering Results

588 Approach (refer to the color version of this figure).

591 Approach (refer to the color version of this figure).

592 5 – 4 – Comparative Analysis of Findings

599 ultimately failing to capture intricate details.

Cluster Centers Cluster Centers

J4 253°/34° 263°/24° J1 252°/34° J1 222°/24°

640 orientations in the rock mass.

644 6 – Summary and Discussion

675 effective manner.

703 discontinuity orientations within a rock mass.

711 principal joints sets automatically.

723 engineering projects.

733 Engineering, 36(3), 1745–1765. https://doi.org/10.1007/s10706-017-0430-6

735 Statistics, 38(5). https://doi.org/10.1214/10-AOS799

736 Burg, J.-P. (2018). Structural geology. ETH Zurich. https://doi.org/10.3929/ethz-b-000279493

742 Mechanics and Mining Sciences, 142, 104745. https://doi.org/10.1016/j.ijrmms.2021.104745

744 3D point cloud. Computers & Geosciences, 95, 18–31.

747 Epidemiology, 1(1), 161–187. https://doi.org/10.1080/24709360.2017.1396742