Laboratory modelling of shear

behaviour of soft joints under

constant normal stiffness conditions
B. INDRARATNA, A. HAQUE and N. AZIZ
Department of Civil & Mining Engineering, University of Wollongong, NSW 2522, Australia
E-mail: b.indraratna@uow.edu.au
Received 25 June 1997
Accepted 28 November 1997
Summary
Shear behaviour of regular sawtooth rock joints produced from casting plaster are investigated under
constant normal stiffness (CNS) conditions. Test results obtained in this investigation are also
compared with the constant normal load (CNL) tests. It is observed that the peak shear stress
obtained under CNL conditions always underestimates the peak shear stress corresponding to the
CNS condition. Plots of shear stress against normal stress show that a nonlinear (curved) strength
envelope is acceptable for soft rock joints subjected to a CNS condition, in comparison with the
linear or bilinear envelopes often proposed for a CNL condition. Models proposed by Patton (1966)
and Barton (1973) have also been considered for the predictions of peak shear stress of soft joints
under CNS conditions. Although Pattons model is appropriate for low asperity angles, it
overestimates the shear strength in the low to medium normal stress range at higher asperity angles.
In contrast, while Bartons model is realistic for the CNL condition, it seems to be inappropriate for
modelling the shear behaviour of soft joints under CNS conditions. The effect of inll material on
the shear behaviour of the model joints is also investigated, and it is found that a small thickness of
bentonite inll reduces the peak stress signicantly. The peak shear stress almost approached that of
the shear strength of inll when the inll thickness to asperity height ratio (t/a) reached 1.40. This
paper also introduces an original, empirical shear strength envelope to account for the change in
normal stress and surface degradation during CNS shearing.
Keywords: Joints, laboratory tests, models, shear strength, testing methods.
Introduction
The correct evaluation of shear strength of rock joints plays an important role in the design
of excavations in rocks, stability analysis of rock slopes and design of rock-socketed piles.
The shear behaviour of planar rock joints can be investigated in the laboratory by using a
conventional direct shear apparatus where the normal load is kept constant (CNL) during
the shearing process. However, for nonplanar discontinuities, shearing results in dilation as
one asperity overrides another, and if the surrounding rock mass is unable to deform
sufciently, then an inevitable increase in the normal stress occurs during shearing.
Therefore, the CNL condition is unrealistic in circumstances where the normal stress in the
Geotechnical and Geological Engineering, 1998, 16 1744
09603182 1998 Chapman & Hall Ltd
eld changes considerably during the shearing process. In view of this, the direct shear
apparatus was modied to accommodate the change in normal stress with dilation during
shearing, thereby making the mode of shearing occur under constant normal stiffness
(CNS).
In the past, shear behaviour of hard concrete and cement mortar joints as well as natural
hard rock joints has been investigated using the CNS technique by Johnston and Lam
(1989), Ohnishi and Dharmaratne (1990), Archambault et al. (1990), Skinas et al. (1990)
and Habereld and Johnston (1994). It is well known that under the CNL condition, the
shear strength of rock joints decreases signicantly due to the presence of inll materials
(Bertacchi and Zaninetti, 1986; Papaliangas et al., 1993; de Toledo and de Freitas, 1993).
However, only limited studies are found in relation to CNS testing of inlled joints, such
as Cheng et al. (1996) who argued that the shear stress against the normal stress response
is purely frictional and is independent of the inll thickness. This study is an attempt to
further investigate the shear behaviour of soft joints under CNS conditions, with special
reference to the inuence of inll.
Applicability of the constant normal stiffness method
The presence of joints in a rock mass can affect its mechanical behaviour depending on the
underground situation. When dilation of the rock joints during shearing is constrained or
partially constrained, an increase in the normal stress over the shear plane occurs which
substantially increases the shear resistance. Figure 1 shows an underground excavation
where potentially unstable rock blocks are constrained between two parallel dilatant rock
joints. The sliding of such block inevitably increases the normal stress, and also, dilation
becomes signicant if the joint surfaces are rough. The increase in normal stress on the
shear plane is equal to k.d
v
, where k is the stiffness of the surrounding rock mass and d
v
is the dilation. Tests conducted under constant normal load (CNL) condition yield shear
strengths that are too low for such practical situations (Goodman, 1976).
As another example, Figure 2 shows a rock socketed pile where the interface between
the concrete and the socket is considered to be rough. When this pile is loaded vertically,
the side shear resistance develops as a function of the variable normal stress associated
with the dilation of the rough joint surface. The deformation mechanism and the simplied
2-D models are given in Figs 2b, 2c and 2d.
In general, the CNL condition is only realistic for shearing of planar interfaces where
the normal stress applied to the shear plane remains relatively constant such as in the case
of rock slope stability problems. However, for situations as illustrated in Figs 1 and 2, the
development of shear resistance is a function of constant normal stiffness (CNS), and the
use of CNL test results for such cases leads to underestimated shear strengths.
Laboratory investigation
In order to study the shear behaviour of soft rock joints under a constant normal stiffness
(CNS) condition, tests were conducted on gypsum plaster joints of identical surface
proles. A view of the test apparatus developed at the University of Wollongong, which
can perform both CNS and CNL testing, is given in Fig. 3. The plaster joint (in two halves)
was cast within the twin-box assembly, where the bottom box can move only in the
18 Indraratna et al.
horizontal direction, while the top box can move only in the vertical direction during
shearing. The sizes of the joint specimens that can be cast inside the top and bottom boxes
are 250 75 150 mm and 250 75 100 mm, respectively. The apparatus has normal
and shear load capacities of 180 kN and 120 kN, respectively. In the current study, shear
loads were applied through a horizontal strain controlled device, and a strain rate of
Fig. 1. Joint behaviour at the top of an excavation
Modelling the shear behaviour of soft joints 19
0.50 mm/min was used for all tests. Changes in normal and shear stress during shearing
were recorded through digital strain meters tted on the axial and horizontal load cells. An
assembly of springs of known stiffness (k 8.5 kN/mm) was used to simulate the constant
normal stiffness of the rock mass surrounding the joint, as shown in Fig. 3.
Fig. 2. Idealized displacement behaviour of pile socketed in rock (after Johnston & Lam,
1989)
20 Indraratna et al.
Model material
Gypsum plaster (CaSO
4
.H
2
O hemihydrate, 98%) can be used to make idealized soft rock
joints, mainly because this material is universally available and is inexpensive. It can be
moulded into any shape when mixed with water, and the long-term strength is independent
of time once the chemical hydration is completed. The initial setting time of plaster is
about 25 minutes when mixed with 60% water by weight. The basic properties of the
model material were determined by performing many tests on 50 mm diameter specimens
Fig. 3. The constant normal stiffness (CNS) shear testing apparatus
Modelling the shear behaviour of soft joints 21
after a curing period of two weeks at an oven-controlled temperature of 50C. The cured
plaster showed a consistent uniaxial compressive strength (
c
) of 11 to 13 MPa and a
Youngs modulus (E) of 1.9 to 2.3 GPa. It is found to be suitable for simulating the
behaviour of jointed soft rocks such as coal, friable limestone, clay shale and mudstone. A
comprehensive evaluation of the gypsum plaster rock based on dimensionless strength
factors is given elsewhere by Indraratna (1990).
Commercial bentonite was used as an inll material between joint interfaces. Direct
shear tests were conducted on this inll material, and the results showed that its behaviour
is similar to a compacted earthll with a peak frictional angle of 34 and a residual value
of 32. In a separate study, Phien-wej et al. (1990) veried that bentonite is representative
of an array of prototype inll materials in relation to the shear strength.
Specimen preparation
The top and bottom moulds were detached from the shear apparatus for casting the
specimens inside it. Plaster was initially mixed with water in the ratio of 5:3 by weight.
Subsequently, the bottom mould together with the collar at bottom was lled with the
mixture and left for at least an hour to ensure adequate hardening before casting the upper
specimen. The bottom of the collar was shaped according to the desired surface prole,
and in this study, triangular asperities with an angle of inclination (i) of 9.5 (Type I),
18.5 (Type II) and 26.5 (Type III) were tested as shown in Fig. 4. Although triangular
asperities may not ideally represent the more irregular or wavy type of joint proles in the
eld, they still provide a simplied basis for comparing the CNL behaviour with CNS.
After one joint prole was cast in this manner, the top mould was then placed over the
bottom mould and lled with the plaster mixture, and the whole assembly was
subsequently cured for another hour at room temperature to complete initial setting. A thin
polythene paper was inserted between the two moulds separating the two fully mated joint
surfaces. During specimen preparation, mild vibration was applied to the moulds
externally to eliminate any entrapped air. Once initial hardening had taken place, the
moulds were stripped and the specimens were cured at 50C inside an oven for two weeks.
Before testing, the specimens were allowed to cool down to the room temperature.
Inll joints were prepared by lling the specially designed collar which was externally
tted to the top of the bottom specimen. The collar has the same geometric prole required
for the joint surface, and it can be adjusted to give any predetermined thickness. The
extended portion was then lled with bentonite having a moisture content of 8.5 (1)%.
The surface of the inll was levelled carefully and inserted inside the shear box. Once the
lower joint surface was prepared, the top half of the joint specimen was placed over it to
complete the joint assembly.
Test results and discussions
Type I joints: Sawtooth interface with inclination (i) of 9.5
Tests were conducted on many specimens of identical regular sawtooth proles in the large
shear apparatus under constant normal stiffness (k 8.5 kN/mm), as well as under
22 Indraratna et al.
constant normal load (CNL) conditions. The same initial normal stresses (
no
0.16, 0.30,
0.56, 1.10, 1.63 and 2.43 MPa) were used in all tests to compare the results of CNS with
CNL condition. It is found that CNL tests always underestimate the peak shear stress, and
also at higher normal stresses, they indicate a more pronounced strain-softening behaviour
(Fig. 5). Therefore, in practice, the CNS test results will yield more economical design in
jointed rock masses. Skinas et al. (1990) also reported similar observations based on sand
barytescement joints, which, however, are more representative of harder rock types rather
than soft joints.
The variation of normal stresses was recorded through a digital strain meter as shearing
was progressed. For various initial normal stresses (
no
), tests were conducted to derive the
relationship between the normal stress and the horizontal displacement (Fig. 5). The
normal stress generally increases when the asperities on the top half of the joint override
those on the bottom half, until the peak to peak contact is made to give the maximum
dilation. The subsequent downward movement indicates a gradually decreasing normal
stress as shown in the lower part of Fig. 5. However, at considerably higher normal stress
levels (
no
2.43 MPa), this trend is not observed because of the shearing of asperities.
The dilation of the joint in relation to vertical movement was measured together with the
corresponding horizontal displacement at a given
no
(Fig. 6) for both CNL and CNS
conditions under the known normal stiffness of k 8.5 kN/mm. It is observed that the
CNL condition always overestimates the dilation of joints, thereby underestimating the
Fig. 4. Interface proles of Type I, II and III joints
Modelling the shear behaviour of soft joints 23
Fig. 5. Variation of shear stress and normal stress with horizontal displacement for Type I joints
(i 9.5)
24 Indraratna et al.
actual peak shear stress corresponding to the eld conditions. The gradient (linear) of the
dilation-normal stress lines (Fig. 6, right-hand side) is representative of the normal
stiffness applied to the joint specimens. It is observed that at elevated
no
values, as
expected, the measured dilation becomes smaller.
The variations of shear stress against normal stress for selected tests under both CNS
and CNL conditions subjected to the same
no
values are plotted together in Fig. 7 for
comparison. It is observed that the bilinear CNL peak stress envelope represents an upper
bound for all tests, whereas the linear peak stress envelope is more suitable for the CNS
condition, with regard to the initial normal stress range between 0.16 and 2.43 MPa. As
observed in Fig. 7, the pre-peak stress path of a CNS test tends to follow the strength
envelope before the maximum shear stress is approached. In other words, the pre-peak
behaviour of one CNS test is often adequate to give a good indication of the gradient of
the failure envelope, especially under low normal stress levels. In contrast, for the
conventional CNL approach, several tests are required to be conducted under different
normal stress levels to obtain the complete shear strength envelope. Similar observations
have also been reported by Ohnishi and Dharmaratne (1990) for cementsand joints
simulating hard rock surfaces.
Type II joints: Sawtooth interfaces with inclination (i) of 18.5
Several tests were conducted on Type II joints under the same initial loading conditions as
in Type I. The initial normal stress (
no
) was varied from 0.05 to 2.43 MPa. As shown in
Fig. 8, a well dened peak shear stress curve is observed for all the tests, and the maximum
shear stress is attained at a lower horizontal strain as the initial normal stress is increased.
The rate of increase in normal stress during shearing seems to be more pronounced under
low initial normal stress. At high initial normal stresses (e.g.
no
2.43 MPa), signicant
shearing of asperities is associated with an almost constant normal stress in comparison
with the curves corresponding to lower
no
values. In fact, this behaviour is similar to the
conventional shearing of planar surfaces at constant normal stress.
The effect of initial normal stress and stiffness on joint dilation is also investigated and
illustrated in Fig. 9. It is obvious that dilation increases with decreasing initial normal
stress. Also as expected, the Type II joints (i 18.5) cause a greater degree of dilation for
the same normal stress levels, in comparison with the Type I (i 9.5) joints previously
illustrated in Fig. 6.
Type III joints: Sawtooth interfaces with inclination (i) of 26.5
Tests were conducted on Type III specimens under the same initial normal stresses as
applied for Type I and II joints. As expected, well-dened, peak shear stress curves were
obtained corresponding to small shear displacements. The rate of increase in normal stress
is signicant at low initial normal stress, and shearing through asperities occurred at
elevated normal stress levels (Fig. 10).
The shear stress and normal stress relationship for Type I, II and III proles are plotted
in Fig. 11 for comparison. It is observed that a nonlinear peak stress envelope is more
applicable for interface Type II and III, whereas a linear envelope is sufcient for Type I
Modelling the shear behaviour of soft joints 25
Fig. 6. Effect of initial normal stress and stiffness on dilation of type I joints (i 9.5)
2
6
I
n
d
r
a
r
a
t
n
a

e
t

a
l
.
joints. Benchmark tests were also conducted on planar interfaces at different normal
stress levels where an average basic friction angle (
b
) of 37.5 was obtained. The
behaviour of Type II and III joints (i 18.5 and 26.5) represented by the nonlinear
envelope can be explained as follows. At low normal stresses, the apparent friction angle
is signicantly greater than
b
because of the enhanced shearing resistance offered by the
angular asperities. However, at elevated stress levels, increased degradation of asperities is
associated with a reduction of the apparent friction angle, which tends to approach the
basic friction angle for planar surfaces at high stress levels after considerable shearing. In
contrast, Type I joints (i 9.5) are less frictional due to the smaller angle of asperities,
and their behaviour does not indicate a pronounced nonlinear trend. The apparent friction
angle remains relatively constant at around 47. Moreover, as discussed earlier for Type I
joints in Fig. 7, the CNS stress paths (pre-peak) tend to follow the strength envelope in the
case of Type II and III joints as well, particularly at lowmedium stress levels
(
n
1.5 MPa).
Fig. 7. Shear stress versus normal stress curves for Type I joints (i 9.5) under CNL and CNS
conditions
Modelling the shear behaviour of soft joints 27
Fig. 8. Variation of shear stress and normal stress with horizontal displacement for Type II joints
(i 18.5) under CNS conditions
28 Indraratna et al.
Fig. 9. Effect of initial normal stress on dilation of Type II joints (i 18.5) under CNS conditions
M
o
d
e
l
l
i
n
g

t
h
e

s
h
e
a
r

b
e
h
a
v
i
o
u
r

o
f

s
o
f
t

j
o
i
n
t
s
2
9
Fig. 10. Variation of shear stress and normal stress with horizontal displacement for Type III joints
(i 26.5) under CNS conditions
30 Indraratna et al.
Shear tests on sawtooth (Type I) inll joints
Tests were carried out on bentonite lled joints for various thicknesses (t 1 to 4 mm)
using Type I joint proles under an initial normal stress of 0.16 MPa and 0.30 MPa. The
variation of shear stress with horizontal displacement are shown in Figs 12a and 13a. It is
observed that even a small inll thickness of 1 mm is capable of reducing the peak shear
strength of fresh joints by approximately 50%. As the inll thickness is increased further,
the peak shear stress is found to decrease accordingly, ultimately approaching the shear
strength of pure inll at a thickness of 4 mm (t/a 1.40). The effect of inll thickness on
the joint dilations and normal stress increments was recorded during shearing, and is
plotted in Figs 12(b, c) and 13(b, c). It is observed that as the inll thickness increases, the
change in dilation and normal stress with horizontal displacement becomes gradual. In
fact, when the t/a ratio is equal to or greater than unity, the shear behaviour becomes
similar to the tests conducted under the CNL condition. For a t/a ratio of 1.60 (i.e. inll
Fig. 11. Shear stress versus normal stress curves for Type I, II and III joints under CNS
conditions
Modelling the shear behaviour of soft joints 31
Fig. 12. Shear behaviour of inlled Type I joint under
no
0.16 MPa
32 Indraratna et al.
Fig. 13. Shear behaviour of inlled Type I joint under
no
0.30 MPa
Modelling the shear behaviour of soft joints 33
thickness of 4 mm), the reduction in normal stress is associated with joint compression
(negative dilation) as shown in Figs 12c and 13c.
The peak shear stress vs normal stress relationships reported by Papaliangas et al.
(1993) and Phien-wej et al. (1990) reveal that the friction angle determined by CNL testing
decreases with an increase in inll thickness, and it becomes equal to that of the inll at
a certain stage. In contrast, test results reported by Cheng et al. (1996) on i 22.5
asperities of concreterock joints under CNS conditions indicate that the apparent friction
angle is independent of the inll thickness. Based on the current study conducted on soft
joints, the variation of shear stress against normal stress for different inll thickness is
plotted in Fig. 14. It is observed that the apparent shear strength of the joint decreases
rapidly with a small amount of inll. At a t/a ratio of 1.40, the shear strength of the joint
becomes equal to that of the pure inll as shown in Fig. 17.
Shear tests on sawtooth (Type II) inll joints
Five tests were conducted on Type II joints for various inll thicknesses (t 1.5 to 9 mm)
under an initial normal stress of 0.30 MPa. The shear behaviour of all the tests are plotted
in Fig. 15 for comparison with that of the no inll joint. The drop in peak shear stress of
the inlled joints becomes insignicant as the inll thickness is increased beyond 7 mm or
as t/a exceeds 1.40 (Fig. 15a). The increase in normal stress is observed until the t/a ratio
exceeds 1.0, beyond which a decrease in normal stress is noted (Fig. 15b). This is
associated with the joint compressive behaviour (Fig. 15c) suggesting that the inuence of
asperities is now negligible.
The shear deformation corresponding to the peak shear stress for various t/a ratios (Fig.
15a) show that the horizontal displacement drops signicantly as the t/a ratio of 1.40 is
approached. Therefore, the t/a ratio of 1.40 can be considered as critical for

no
0.30 MPa. A similar type of behaviour was also reported by Phien-wej et al. (1990)
for tests carried out under a constant normal load (CNL) condition. However, for CNL
tests, the actual t/a ratios were observed to be much higher (exceeding 2), even at small
normal stresses.
The variation in shear stress with normal stress is plotted in Fig. 16, representing typical
stress paths. It is observed that once the t/a ratio of 1.40 is exceeded, the corresponding
stress path plots to the left (i.e. reduction in both shear and normal stress). If the critical t/a
ratio is not exceeded, then the stress paths plot to the right indicating an increase in normal
stress at all times.
The peak shear stress obtained for Type II inlled joints is plotted against t/a ratio
together with the no inll joints in Fig. 17. It is observed that the joint strength decreases
by almost 50% due to the addition of a thin layer of inll (say, 1.5 mm). As the inll
thickness is increased further, the peak shear stress continues to drop gradually, and after
a certain value of t/a ratio is reached (1.40), further decrease in strength becomes marginal.
Figure 17 clearly illustrates that as the t/a ratio increases, the overall joint strength
approaches that of the pure bentonite inll (or becomes asymptotic). Furthermore, the drop
in peak shear stress is much steeper for Type II joints than for Type I joints. This is
naturally because of the higher asperity angle.
34 Indraratna et al.
Fig. 14. Stress path plots for inlled Type I joints under CNS conditions
Modelling the shear behaviour of soft joints 35
Fig. 15. Shear behaviour of inlled Type II joint under
no
0.30 MPa
36 Indraratna et al.
Models for peak shear strength envelope
Patton (1966) conducted a series of tests on regular sawteeth articial joints under constant
normal load conditions (CNL). A bilinear shear strength envelope tted these tests results
very well. This envelope can be rewritten in the following forms:
For asperity sliding:
p(CNL)

n(CNL)
tan(
b
i
0
) (1)
For asperity shearing:
p(CNL)
c
n(CNL)
tan(
b
) (2)
where, CNLconstant normal load condition,
p
peak shear stress,
n
normal stress,

b
basic friction angle, c cohesion intercept and i
0
initial asperity angle. According
to Patton (1966), the sliding of asperities takes place under low normal stress, but after a
certain magnitude of stress is exceeded, shearing through asperities takes place. In
contrast, other researchers considered simultaneous sliding and shearing to obtain different
strength envelopes (Barton, 1973; Maksimovic, 1996). It has been observed that the peak
shear strength predicted by Pattons model at lowmedium normal stress generally
overestimates the actual strength.
Barton (1973) introduced a nonlinear strength envelope for nonplanar rock joints for the
constant normal load (CNL) condition as

CNL
tan

b
JRClog
10

n(CNL)

(3)
Fig. 16. Stress path plots for inlled Type II joints under CNS conditions
Modelling the shear behaviour of soft joints 37
where,
b
(d
n
s
n
), d
n
peak dilation angle which decreases with an increase in
normal stress and s
n
angle due to shearing of asperities which increases with an increase
of the normal stress as more surface degradation occurs. JRCjoint roughness coefcient
and
c
uniaxial compression strength.
The method suggested by Xie and Pariseau (1992) can be used to dene the value of
JRC for the Type I, II and III sawteeth proles in the current study, as explained
below:
JRC85.27(D1)
0.57
(4)
where
D
log(4)
log

1 cos tan
1

2h
L

In the above, Dfractal dimension, h average height of asperity and L average base
length of asperities. Accordingly, JRC values of 4.2, 9.0 and 13.8 were calculated for Type
I, II and III joints, respectively. These values are very close to the simplied method
suggested by Maksimovic (1996) where the JRC value is considered as half of the initial
asperity angle (i.e. i
o
/2).
Fig. 17. Variation of peak shear stress (
peak
) with (t/a) ratio for inlled Type I and II joints
38 Indraratna et al.
Assuming that at the peak shear strength under the CNS condition, normal stress
momentarily remains constant, Equation 3 (Barton, 1973) can then be employed to
estimate the peak shear strength. The shear strength predicted in this manner for a range
of normal stresses seems to underestimate the laboratory measurements (Table 1). Seidel
and Habereld (1995) reported similar conclusions when Bartons model was employed to
predict the peak shear strength of hard concreterock joints.
In order to incorporate the effect of asperities on the extent of dilation and surface
degradation, the behaviour of Type I, II and III joints could be represented by the
following equations adopted from Jing et al. (1993) and modied to suit the CNS
condition:
Type I:

i

p
i
0

n(CNS)

0.19
(5a)
Type II:

i

p
i
0

n(CNS)

1.5
(5b)
Type III:

p
i
0

n(CNS)

3.0
(5c)
Table 1. Experimental and model predicted results of peak shear stress
Experimental results Predicted peak shear stress (MPa)
Asperity type
Initial
normal
stress,

no
(MPa)
n
(MPa)
peak
(MPa)
Barton
(1973)
Patton
(1966)
Proposed
model
0.16 0.53 0.49 0.53 0.57 0.57
0.30 0.69 0.66 0.64 0.74 0.74
Type I 0.56 0.94 1.01 0.85 1.00 1.00
(i 9.5) 1.10 1.50 1.54 1.32 1.61 1.60
1.63 1.83 1.80 1.60 1.97 1.95
2.43 2.54 2.72 2.24 2.82 2.78
0.05 0.37 0.57 0.46 0.55 0.55
0.16 0.85 1.30 0.95 1.26 1.18
Type II
0.30 0.92 1.36 1.02 1.36 1.27
(i 18.5)
0.56 1.29 1.86 1.36 1.91 1.73
1.10 1.65 2.25 1.68 2.17 2.16
1.63 1.97 2.44 1.96 2.41 2.52
2.43 2.57 3.12 2.47 2.87 3.15
0.05 0.61 1.07 0.83 1.13 0.98
0.16 0.71 1.14 0.98 1.40 1.18
0.30 1.05 1.61 1.30 2.00 1.59
Type III 0.56 1.13 1.68 1.50 2.41 1.84
(i 26.5) 1.10 1.36 2.05 1.83 2.57 2.23
1.63 1.88 2.82 2.16 2.83 2.59
2.43 2.58 3.35 2.75 3.35 3.16
Modelling the shear behaviour of soft joints 39
where, i

p
total dilation angle at peak shear stress under CNS condition,
n(CNS)
normal
stress corresponding to peak shear stress for a given
no
,
c
uniaxial compression
strength, i
0
initial angle of asperity.
The increase in normal stress under CNS condition is governed by the amount of
dilation of the joints during shearing. In Fig. 18, the measured dilation (d
v
) is divided by
the height of the asperity (a) to demonstrate that the normalised ratio (d
v
/a) has a unique
relationship with the initial normal stress (
no
) for a given joint prole. It is veried that
an exponential relationship exists between the ratio, d
v
/a and
no
, represented by the
following empirical equations:
Joint Prole Type I:
d
v
a
0.67 exp( 0.78
no
) (6a)
Joint Prole Type II:
d
v
a
0.63 exp( 0.97
no
) (6b)
Fig. 18. Variation of d
v
/a with initial normal stress for prole Type I, II and III
40 Indraratna et al.
Joint Prole Type III:
d
v
a
0.38 exp( 1.02
no
) (6c)
The normal stress
n(CNS)
corresponding to peak shear stress under the constant normal
stiffness (CNS) condition can be computed by knowing the associated dilation and normal
stiffness of the joints. In order to compare with experimental results, the predicted dilation
for different proles were corrected by the normal compliance of the apparatus which was
determined independently.
Once the angle i

p
is known, the total friction angle () corresponding to the peak shear
stress can be evaluated from (
b
i

p
). The peak shear strength can then be obtained by
replacing i
o
in Equation 1 with the value of i

p
obtained from Equation 5. Based on this
analysis, the authors propose the following strength envelope for CNS testing of soft
joints:

CNS
tan

b
i
0

n(CNS)

(7)
where,
n(CNS)
(
no
k.d
v
/A) normal stress corresponding to peak shear stress for a
given
no
under constant normal stiffness condition, k normal stiffness (kN/mm),
d
v
dilation corresponding to peak shear stress (mm), Ajoint surface area (mm
2
) and
is a surface property which accounts for the degradation of joints.
Equation 7 is employed to predict the peak shear strength for Type I, II and III proles
for the range of
no
from 0.05 to 2.43 MPa. It is veried that the proposed model predicts
the shear strength more closely, especially in the low to medium stress range, than other
models (Table 1). The stresses obtained from Equations 1 and 2 (Patton, 1966) and
Equation 7 proposed by the authors are plotted together with the experimental results in
Fig. 19. It is evident that the proposed nonlinear equation describes the peak shear strength
envelope more closely than Pattons bilinear model, for constant normal stiffness
conditions.
Application of the stressdilation relationships
For a given joint stiffness, Equations 5 and 6 can be used to predict the total dilation angle
and the dilation corresponding to peak shear stress for the Type I, II and III proles. The
incremental normal stress (k.d
v
/A) for each test is then calculated, and subsequently, the
shear strength relationship given by Equation 7 is employed to determine the peak shear
stress at the corresponding normal stress. Table 1 summarizes the measured and predicted
values of peak shear stress and the corresponding normal stress for Type I, II and III
proles, under constant normal stiffness (k) of 8.5 kN/mm. Based on this approach, Fig. 19
illustrates a comparison between the measured and predicted strength envelopes. In
general, the predicted strength envelopes are in good agreement with the observed results.
However, for a wider range of normal stresses (e.g. in the case of hard rock joints), this
model may not be directly applicable for describing the shear behaviour of joints.
Modelling the shear behaviour of soft joints 41
Conclusions
This investigation veries that the shear behaviour of soft joints under constant normal
stiffness (CNS) is different to the conventional shear response observed under constant
normal load (CNL) conditions. In CNL testing, the measured dilation is always greater
than the CNS testing, hence, CNL data underestimate the peak shear stress of joints. The
CNS experimental results dene a nonlinear shear strength envelope for soft joints in
contrast to a bilinear envelope observed for CNL testing. It is of interest to note that prior
to attaining the peak shear stress, the stress paths corresponding to CNS tests tend to
propagate along the strength envelope, especially at low to medium initial normal stresses
(
no
1.5 MPa). Pattons (1966) equation overestimates the peak strength for higher
asperity angles where joint degradation is inevitable during sliding. Bartons (1973) model
seems to underestimate the shear strength under CNS conditions, although it is adequate
for describing the shear behaviour under CNL conditions. A nonlinear empirical strength
Fig. 19. Experimental and model predicted peak shear stress envelopes for prole Types I, II and
III
42 Indraratna et al.
envelope is proposed for soft simulated joints which includes the effect of asperity
geometry and the extent of dilation during shearing.
The shear strength of inll joints is observed to decrease rapidly with an increase in
inll thickness. The variation of peak shear stress with inll thickness/asperity height ratio
(t/a) conrms that the peak stress decreases by approximately 50% for t/a 0.40, and
becomes equal to that of the inll for a t/a ratio approaching and exceeding 1.40.
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