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Rock Mechanics 5, 129--149 (1973) by Springer-Verlag 1973

Undrained Shear Testing of Jointed Rock

By Richard E. G o o d m a n and Yuzo Ohnishi With 11 Figures (Received December 20, 1972)
Summary -Zusammenfassung -R6sum6

Undrained Shear Testing of Jointed Rock. Water pressures must change inside joints undergoing shear without perfect drainage. This paper describes a new direct shear machine in which jacketed samples with oriented joints can be tested under consolidated undrained conditions with pore pressure measurement. Triaxial compression techniques for such tests are also described and typical results with intact and jointed sandstone samples are compared with results from the direct shear tests. Whereas intact specimens displayed increasing pore pressure followed by dilatancy and pore pressure decline before peak loading, the pore pressure in jointed specimens continued increasing right up to the peak load. Sche~'versuche an kliiftigen Gesteinen ohne Drdnung. Wasserdruck in Klfiften muff sich ver~indern, wenn ohne perfekte Drfinage Scherkraft ausgei_ibt wird. In der vorliegenden Arbeit wird ein neuer, direkt wirkender Scherapparat beschrieben, in welchem ummantelte Pr~ifk/Srper mit gerichteten Kliiften unter Konsolidationsbedingungen ohne Drfinage untersucht werden k6nnen, wobei der Porendruck gemessen wird. Es wird auf~erdem die Technik yon Triaxialversuchen beschrieben und typische Ergebnisse mit ungest~Srtem und gekRiftetem Sandstein werden mit Ergebnissen aus direkten Scherversuchen verglichen. W~ihrend ungest6rte Proben steigenden Porendruck, gefolgt yon Dilatanz, aufweisen und der Porendruck vor der H6chstbelastung nachl~if~t, nimmt derselbe in gekl/Jfteten Proben bis zur H6chstbelastung st~indig zu. Essais de cisailIement non draind sur des dchantilIons de roche contenant une discontinuitY. Les pressions interstitielles ~ l'int~rieur des discontinuit~s doivent changer lorsqu'elles sont soumises au cisaillement et que le drainage n'est pas parfait. Cet article ddcrit une nouvelle machine pour essais de cisaillement direct permettant de tester, dans des conditions de consolidation non drainde, des dchantillons de roche gain6s comportant une discontinuitd d'orientation d&ermin6e. La machine permet la mesure de la pression interstitielle. L'article d6crit 6galement les techniques de compression triaxiale correspondantes et des r6sultats typiques obtenus sur des 6chantillons de gr~s intact ou travers8 par un joint sont compards ~i ceux provenant des essais de cisaillement direct. Alors que les 6chantillons de roche intacte montrent un accroissement de la pression interstitielle suivi de dilatance et d'une r~duction de pression avant que la contrainte de cisaillement maximum ne soit atteinte, la pression interstitielle dans les ~chantillons contenant une discontinuitd crolt jusqu'au droit de la contrainte de cisaillement maximum.
Rock Mechanics, Vol. 5/3


R.E. G o o d m a n and Y. O h n i s h i :

In jointed rocks, mechanisms of rock mass deformation include opening and closing of individual discontinuities. If the rock mass is saturated, and the shearing is fast, or drainage is impeded, water pressures must change inside the joints; in turn, this may accelerate or decelerate the deformation process according to the sign of the induced water pressure. If the joint apertures increase due to shearing ("dilatant" behavior), or due to extension normal to the joints (joint "opening"), the joint water pressure will drop. Converseley, an aperture decrease due to shear displacement ("contractant" behavior) or due to compression normal to the joints (joint "closing") will increase pore water pressure. (A pore water pressure increase is considered positive). As discussed by L a n e *5, pore water pressure changes are sometimes critical to the safety of engineering works on rocks, e. g. all kinds of dams; navigation locks; powerhouses; spillway excavations; reservoir slopes; and underground reservoirs for fluid withdrawal, or recharge. Several important failures of hydraulic structures and of natural slopes have been attributed mainly to the action of water pressure inside the rocks. It stands to reason that pressure changes within the joint water are involved in an important way; yet experimental data on induced pressures on rock samples with joints are very scarce. This does not originate from lack of appreciation of the problem's importance but rather, we suspect, from the inherent difficulties in such an experiment, involving as they do changes of small water volumes in relatively inaccessible locations within low permeability material under complex stress conditions. Dr. Kevin R o s e n g r e n studied joint sliding in triaxial tests with controlled joint water pressure"'. L a n e 15 discussed results of consolidated undrained tests on a fractured claystone. The induced pressure became negative at peak load with low confining pressures but remained positive at higher confining pressures," presumably because dilation could not occur on the fractures at the higher confining pressure. We report here new laboratory equipment and procedures for studies of joint water pressure during rock deformation. It is reasonable in rock joint tests to use direct shear and this has been our primary method. However as we know of no previous work on undrained direct shear tests in rock"*, it seemed wise to complement these with consolidated undrained triaxial tests for which a significant body of experience already exists. This experience record was recently reviewed by B r u h n a and by M e s r i , et aP 6. The effective stress principle is generally accepted as applicable to rocks 22, 9,1~. However, B r a c e and M a r t i n 2 showed that effective stress based upon global water pressure values can operate to descirbe response to increments of stress only if the strain rates are below a critical value (of the order of 10-7/sec for diabase, granite, gabbro, dunite, and dolomite and 10-4/sec for a dense sandstone':"=":'). At strain rates faster than the critical value, local water pressure ::" PhD Thesis, Australian National Univ., Canberra 1968. ::'"~ J o u a n n a la,14 described an apparatus in which he measured permeability of samples of schist and of joints under varying combinations of principal stress. :':<" "Strain rate" refers to the longitudinal shortening rate in cylindrical compression specimens and is not fundamentally related to the shear strain rate along the eventual slip surface.

Undrained Shear Testing of Jointed Rock


transients radically alter the rock behavior producing a strengthening termed "dilatancy hardening" if the induced pressures at peak load are negative. R o b i n s o n and H o l l a n d 19 argued that the effective stress principle is strictly valid only for rocks with boundary porosity of unity whereas some dense rocks, such as an Indiana limestone they studied, can be demonstrated to have lower boundary porosity, particularly at high confining pressures':'. It is reasonable to expect that jointed rocks do possess boundary porosity of unity, at least at low confining stress levels, and therefore that a given effective stress value (8 = a - p ~ ) is sufficient to determine joint shear strength uniquely. Our first interest here is to describe water pressure buildup in joints and fractures undergoing undrained shear. For soils and intact rock specimens undergoing "triaxial" compression (i. e. axysymmetric with al =longitudinal stress) S k e m p t o n ' s empirical pore pressure parameters 7i and B give the induced pore pressure pi as follows 21 **
pt = B A aa + X (A ~1 - A ~a).


Under an increment of all around pressure, 3aa, the rate of increase of water pressure when there is no drainage was derived by B is h o p***
B =

Cw - Cg l+n-Cb-Cg


where Cg is the compressibility ot the grains, C,0 and C0 are the compressibilities of water and the bulk rock respectively and n is the porosity expressed as a fraction. In rocks Cw<C0 so that B is less than 1. As discussed by B r u h n , for Berea sandstone, bulk rock compressibility increases with aa, Cw/Co going from 1 to 5 for Berea sandstone as ca is increased from 0 to 5000 psi (34.5 MN/m~). Thus the value of B for rocks becomes smaller as aa rises, (reaching 0.17 for Berea sandstone at 5000 psi). Fig. 1 shows that in Lyons sandstone**** B fell from an initial value of 0.94 to 0.24 at 3500 psi, (24.1 MN/m2). At high pressures C0 approaches Cg and B becomes small. The presence of a rough joint in a rock specimen would intensify the non linearity of the B coefficient. At low values of aa, the bulk compressibility of the rock would reflect the contribution of the high normal compressibility of the joint, so that the value of B would approach 1. However, a modest confinement should close the joint greatly stiffening the rock and B should fall to a considerably lower value. If the rock porosity is contributed only by the joint however, the quantity n Cw/Cb will approach 0 at higher normal pres':" Mesri et al. 16 questioned whether Robinson and Holland's indicated pore pressure was representative of the intra-specimen fluid pressure. ':'* Pi is the portion of the total pore pressure pp that changes during the test. See Eq. (4). *'=': Inaugural Lecture, Imperial College 1966. **** The Lyons sandstone samples and the triaxia] testing equipment and procedures are described later.


R.E. Goodman

a n d Y. O h n i s h i :

sures causing B to return toward unity. These conjectural relationships are portrayed in Fig. 1 along with the observed data for intact specimens of Lyons sandstone. A similar analysis can be made for the pore pressure coefficient A. However, more fundamental than the varying value of Cw/Cb as a non linearizing parameter is now the variation of pore volume with increasing shearing strain*. As shown by B i e n i a w s k i 1 and confirmed by H e c k u, B r u h n a and others, the volume change of rocks undergoing increasing deviatoric stress is mirrored in the induced pore pressures. Initially, pore pressure rises as pores compress or fissures close. Then, as new cracks form and extend from points

B COEFFICIENT d Pi/d o"3 1.0

0.8 i~t


..... .3.-''?



IO00 2000 :5000 4000 5000 ALL-AROUND PRESSURE(o'3=o" I) psi


Fig. 1. Variation of pore water pressure parameter B with increasing all-around pressure (cra=erl). 1 porous rock - - actual data for Lyon's sandstone (n is almost constant); 2 jointed porous rock - - hypothetical curve (n is almost constant); 3 fissured rock (non-porous) - hypothetical curve (n approaches 0 with confinement) ~nderung des Porenwasserdruck-Parameters B mit steigendem allseitigem Druck (cra=cq) 1 Por6ser Fels, tats~ichliches Ergebnis fiir Lyons-Sandstein (n nahezu konstant); 2 gekliifteter por6ser Fels, hypothetische Kurve (n nahezu konstant); 3 gekliifteter (nicht por6ser) Fels, hypothetische Kurve (n n~ihert sich 0 mit Umschlingungsdruck) Variation du param&re de pression interstitielle B e n fonction de la pression hydrostatique

(~i =~3)

of stress concentration, and dilate as they shear, the induced pressures decline. Porous or fissured rocks at low initial effective confining pressure therefore exhibit positive A values initially and negative tangent A values eventually. Non porous rocks, or fissured rocks at higher initial effective confining pres* S c o t t z introduced a parameter X to identify this c o n t r i b u t i o n to pore pressures.

Undrained Shear Testing of Jointed Rock


sures, should display negligible induced pore pressure until cracking commences and then should exhibit negative induced pressure (negative tangentA). (Unless the porewater is pre-pfessured higher than the negative induced pressure that can develop, cavitation can result). B r u h n a reported values of initial

( q _ % )

I (q %)


O' #'
_1 0 1 ~ hi" DECREASE 4 - - - 0 ~ [ INCREASE I



Fig. 2. Induced pore pressure variation during shearing for intact (1) and jointed (2), (3) specimens in triaxial compression (hypothetical) Induzierte Porendruck-KnderungwSihrenddes Schervorgangesfiir ungest6rte (1) und geklii~tete (2), (3) Proben bei triaxialem Druck (hypothetisch).el axiale Verformung Variation de ta pression interstitietle produite lors du cisaillement dchantillons intacts (1) ou traversds par un joint (2), (3), soumis ~ une compressiontriaxiale tan A of approximately 0.1 which then decreased to - 0 . 5 or less at peak load for Berea sandstone in triaxial compression. Below 5,000 psi effective confining pressure, the final pore pressure was negative. In our experiments with Lyons sandstone, pore pressure at peak load was negative below c~a=3500psi. The presence of a rough joint in the triaxial compression test might increase the pore closure effect at the beginning of deviatoric loading as previously noted thereby increasing the initial positive A value. Sliding of the joint should produce sudden dilatancy so the tangent A value would then become negative after peak load (but not before). These relationships are portrayed in Fig. 2. In testing oriented joints in triaxial experiments it is difficult to isolate the separate contributions of joint and rock deformations. A physically based empirical pore pressure formulation for joint sliding is more natural to direct shear conditions where one can write:

pi=B1A~+A1 AT:


For an unfilled rough joint oriented parallel to the plane of the direct shear test, B1 would reflect mainly the closure of the joint under increasing normal stress and 2il would reflect mainly joint dilatancy (A1 <0) or contractancy (At > 0) during shearing at constant or. For unjointed rock specimens or clay-


R.E. G o o d m a n

and Y. O h n i s h i :

filled joints in direct shear, the situation is m o r e c o m p l i c a t e d as the local stre~s state within the shear z o n e w o u l d i n d u c e p o r e pressure in the r o c k or filling material w h i c h have their o w n values of -A a n d B. T h e direct shear m o d e m a y be a m o r e a c c u r a t e m o d e l of certain field situations, such as landslides, d a m f o u n d a t i o n s o n b e d d e d rock, fault m e c h a n i s m s , etc. It has been possible to m e a s u r e B1 a n d A1 directly for joints in r o c k , a n d f o r solid r o c k specimens, using a n e w shear m a c h i n e e m p l o y i n g a w a t e r tight c h a m b e r a r o u n d the shear box. T h e m a c h i n e a n d p r o c e d u r e s will n o w be described.

Direct Shear Machine and Procedures

T h e direct shear m a c h i n e w a s built to p e r m i t shearing of joint samples up to 20 square inches (129 c m ~) in u n d r a i n e d conditions with s i m u l t a n e o u s m e a s u r e m e n t of joint w a t e r pressures. Design of a n y direct shear test represents a selection of priorities f r o m a m o n g c o m p e t i n g constraints including desire

Fig. 3. Schematic drawings of direct shear machine a) schematic section through direct shear machine 1 test chamber (see Fig. 3b); 2 normal force load cell; 3 shear force load cell; 4 shear force piston; 5 roller bearings; 6 flexible reaction rod; 7 ball and screw assembly; 8 drive gear; 9 bearings; 10 base (stationary); 11 chamber sealing bolts; 12 saddle; 13 resisting abutment; 14 and 15 linear potentiometers b) Sealing scheme for water-tight test chamber (diagrammatic) 1 water-tight test chamber - - free to move up and down; 2 shear box with potted rock specimens (see Fig. 5); 3 seal plate; 4 seal plate pressure rods, adjustable (actually centered on seal plate); 5 "0" rings for horizontal motion; 6 "0" rings for vertical motion; 7 saddle - moves only horizontally with piston; 8 piston; 9 reaction rod (see Fig. 3 a) Schematische Schnitte der Direkt-Schermaschine. a) L~ingsschnitt 1 Testkammer (s. Abb. 3b); 2 Normalkraft-Mef~zeUe; 3 Scherkraft-Mei~zelle; 4 ScherkraftDruckzylinder; 5 Rollenlager; 6 flexibel aufgeh~ingte Gegendruckstange; 7 kngelgelagerte Schraubenmutter; 8 Antriebsrad; 9 Drucklager; 10 feste Basisplatte; 11 Kammerdichtungsbolzen; 12 Schubklotz; 13 Widerlager; 14 und 15 Linear-Potentiometer b) Abdichtungsschema der wasserdichten Versuchskammer 1 Wasserdichte, vertikal frei bewegliche Testkammer; 2 Scherbiichse mit befestigter Probe (siehe Abb. 5); 3 Dichtungsring; 4 Dichtungsring mit nachste|Ibarem Spanngestfinge; 5 und 6 0-Ringe fiir horizontale und vertikale Beweglichkeit; 7 Schubklotz, nur horizontal beweglich, zusammen mit 8; 8 Schubvorrichtung; 9 Gegendruckstange a) Coupe longitudinale de la machine pour essais de cisaillement direct 1 Cellule d'essai - - voir fig. 3 b; 2, 3 Cellules des mesurer la charge verticale et horizontale; 4 Piston transmettant l'effort de cisaillement; 5 PallOr a rouleaux; 6 Barre de rdaction flexible; 7 Assemblage articul~; 8 Roue du diffdrentiale; 9 Plier; 10 Base (fixe); 11 Boulon de fermeture de la cellule; 12 Selle; 13 Butde; 14 et 15 Potentiometres lindaires b) Dispositif de fermeture de la chambre d'essai &anche (schema) 1 Chambre d'essai &anche; 2 Cellule dans laquelle est enchfisse l'&hantillon (voir fig. 5); 3 Plaque d'obturation; 4 Tringle assurant le maintien des plaques d'obturation; 5 Joint annulaire permettant des mouvements horizontaux; 6 Joint annulaire permettant des mouvements verticaux; 7 Selle - - ne pouvant se ddplacer qu'horizontalement avec le piston; 8 Piston; 9 Barre de rdaction (volt fig. 3 a)

Undrained Shear Testing of Jointed Rock


for independent control of: the three translational and three rotational modes of relative displacement, or their reaction forces; environmental conditions; the position and orientation of the applied load vector with respect to the joint plane through large displacements; and load or displacement rates. The selected design provides for control of shearing displacement and normal force. Lateral shear translation is prevented as are all rotations. The limitations on

Fig. 3 a




Fig. 3 b displacement and rotation are needed to permit sealing of the test chamber for internal water pressure. The normal load is stationary whereas the center of the contact area travels; thus large displacements are not feasible. Fig. 3a shows a schematic section through the machine. Shearing is conducted within a water-tight test chamber which is opened for inputting the sample by removing 8 machine bolts (11"). The sample with a horizontal joint plane up to 4.5 by 4.5 inches (11.4 by 11.4 cm) in area, is potted within a steel box which is rigidly connected to the horizontally travelling piston (4) through a saddle (2). The thrust of the front of the saddle against the lower half of the sample is resisted by the rear of the water chamber (3); the chamber and therefore the top of the sample is held stationary horizontally by reaction rods (6). These rods can rotate freely in the vertical plane to allow the water * Number references here refer to annotations on the appropriate figures.


R.E. G o o d m a n

and Y. O h n i s h i :

chamber to move vertically through a maximum amplitude of 3/8 of an inch (0.95 cm) as the joint contracts, dilates, or closes. The maximum horizontal shear displacement of t h e bottom of the sample past the top is 0.5 inch (1.27 cm). The horizontal displacement is created by a motor and variable speed transmission, yielding a maximum shearing speed of 0.275 inches per minute (0.012 cm/sec). The normal load is supplied by a hydraulic piston maintained at constant pressure by an accumulator. The maximum normal and shear loads are both 40,000 pounds (0.178 MN) This provides a maximum normal or shear stress on the largest specimen of 2000 psi (13.8 MN/m~). Loads are measured by strain gauge load cells (2) and (3) and displayed on a digital voltmeter, a printer, and an X Y Y plotter. Manual feedback of the normal pressure permits fine control on the normal force. The relative normal displacement between the top and bottom of the specimen is reflected in the relative movement between the water chamber and a point on the stationary base (10). A linear potentiometer (14) between these points thus measures the normal deformation of the specimen*. Shear deformation is measured by a linear potentiometer (5) between a point on the base (10)
* At first the chamber bottom itself was used as a reference; but expansion of the chamber when pressuring it with water added to the actual joint closure or opening. T o offset this, a bar connected to the lower corners of the water chamber, which do not balloon during pressuring, n o w serves as the upper abutment for the linear potentiometer.

Fig. 4. Direct shear machine a) top view, with cover removed; b) side view; c) during a test i Normal load cell and cover plate; 2 Test chamber - - can move only vertically; 3 Seal plate; 4 Seal plate compression rod (to put vertical motion"0" rings in commpression) ; 5 Roller bearings for horizontal motion of pistons inside chamber; 6 Shear force reaction rods, flexible in vertical plane; 7 Normal load system; 8 Specimen saddle; moves horizontally inside chamber; 9 Outlets, intra-specimen pore pressure lines; 10 Pore pressure transducers; i 1 Roller bearings to maintain horizontal motion direction; 12 Piston Direkt-Schermaschine a) Draufsicht ohne Abdeckung; b) Seitenansicht; c) w~ihrend des Versuches 1 Normalbelastungszelle und Deckplatte; 2 Versuchskammer - - nut vertikal beweglich; 3 Dichtungsring; 4 Dichtungsring mit Spanngest~inge; 5 Rollenlager zur horizontalen Bewegung der Gest~inge in der Kammer; 6 Scherkraft-Gegendruckstange; 7 Normalbelastungssystem; 8 Probenschubklotz (bewegt sich horizontal in der Kammer); 9 Fltissigkeitsausl~isse; i0 Porendruckanzeiger; /1 Rollenlager zur Einhaltung der horizontalen Richtung der Bewegung; 12 Schubvorrichtung Photos de la machine pour essais de cisaillement direct a) vue d'en - - haut; b) vue latdrale; c) pendant l'essai 1 Cellule de mesurer la charge verticale et couvercle; 2 Chambre d'essai - - ne peut se d6placer que verticalement; 3 Plaque d'obturation; 4 Tringle de maintien de la plaque d'obturation (met sous pression le joint annulaire permettant les mouvements verticaux) ; 5 Pallets ~trouleaux pour le mouvement horizontal des pistons fi l'int6rieur de la chambre; 6 Barre de r4action, flexible dans le plan vertical; 7 V6rin de mise en charge verticale; 8 Selle de l'6chantillon; se ddplace horizontalement ~t l'int~rieur de la chambre; 9 Tuyau d'~vacuation du liquide de mise en pression; 10 Appareil indicateur de la pression interstitielle; 11 Paliers ~trouleaux maintenant la direction du mouvement horizontal; 12 Piston

Undrained Shear Testing of Jointed Rock


Fig. 4


R.E. G o o d m a n and Y. O h n i s h i :

and the piston. (Jewelled dial gauges also give direct readings of these displacements). During a test the outputs of potentiometers (14) and (15) are connected to Y1 and Y2 of the plotter while X receives either the output of load cell (2) or (3) according to the stage of the test. The unique feature of the machine is the sealing mechanism for the water chamber, which sustains water pressure inside the chamber of up to 700 psi (4.83 M N / m 2) throughout the test, despite differential displacement across the sample of 0.5 inches (1.28 cm) horizontally and 0.375 inches (0.95 cm) vertically'*. Fig. 3 b shows how the seals work. The sides of the box have an opening larger than the actual piston (8) by the amount of the allowable vertical motion (3/8 inch) (0.95 cm). Close fitting seal plates (3) are pressed against the sides of the chamber by adjustable tension rods (4). The vertical motion of the chamber is accommodated by sliding between the seal plates and the sides of the chamber while horizontal motion of the piston is accommodated by sliding between the seal plates and the piston. The friction introduced by "0" rings (6) is significant at higher pressures, even though teflon "0" rings are used, so for tests at lower chamber pressure, the seal plate pressure rods (4) are loosened by adjusting the nuts with a torque wrench. The direct shear chamber is shown with the cover and load cell removed in Fig. 4a. Fig. 4b shows a side view. During a test, the cover is bolted on and the machine is lifted by hydraulic jacks pushed along its tracks until the chamber is centered under the normal load press (7) and lowered onto the table of that press. Fig. 4c shows the machine during a test. For undrained tests, jacketing of the specimens is neccessary**. Fig. 5 depicts the jacketing arrangement developed after numerous trials and modifications. Circular samples four inches in diameter, are saturated under vacuum and enveloped in a motorcycle innter tube and resaturated. Aluminum discs (6) with circumferential "0" rings (7) are fitted under the inner tube against both ends of the specimen and hose clamps (8) are tightened over them. After a final resaturation to remove air bubbles through the measuring holes in the bottom disc, the specimen is potted in sulfur inside the shear box. Two pore pressure piezometer holes 3/32 inch (0.238 cm) diameter are cored to intercept the center of the joint plane. The shear box is then bolted in place on the saddle (2). (The piezometer holes and filters (Fig. 5, (11)) can be seen clearly in Fig. 4a (9)). Fig. 6a shows the components of the shear box. The assembled specimen before potting in the shear box is shown in Fig. 6b; the two halves separated after a test are shown in Fig. 6c. The water pressure supply and control circuits are represented schematically in Fig. 7. Chamber water pressure pc, supplied by an air pump, is required * The actual maximum internal pressure is limited by leakage, not by structural integrity. To approach the safe upper limit of 2000 psi internal water pressure requires so much force on the seal plates as to introduce unacceptable friction in the test apparatus. Accordingly 700 psi has been adopted as the practical upper limit. ** Originally it was considered possible that low joint permeability would permit joint water pressure to be measured in quick shearing of unjacketed specimens. This did not prove to be true. (A maximum Pf of 25 psi (172.5 KN/m 2) was measured).

Undrained Shear Testing of Jointed Rock


to p r e v e n t b l o w o u t of the jacket d u r i n g application of initial p o r e pressure (backpressure) p~. T h e b a c k pressure supplied f r o m a w a t e r reservoir pressured by a n i t r o g e n cylinder is i n t e n d e d t o increase the degree of s a t u r a t i o n
[7////////////////////////////// ////J j 7



Fig. 5. Arrangement of sample inside shear box 1 rock sample - - upper portion (4 inch diameter cylinder); 2 joint surface; 3 rock sample - lower portion (4 inch diameter cylinder); 4 3/32" diameter water pressure measurement bore hole (2 holes); 5 inner jacket - - bicycle inner tube; 6 aluminium disc - - 4 inches diameter by 1/2" thick; 7 "0" rings; 8 hose clamps; 9 sulfur potting material; 10 shear box; 1i porous brass filter; 12 saddle connected to testing machine piston (see Fig. 3b); 13 piezometer holes in shear box
Anordnung des Priifk6rpers in der Scherbiichse 1 Gesteinsprobe, oberer Teil (4" Zylinderdurchmesser); 2 KluftflSche; 3 Probenunterteil; 4 2 Bohrungen (3/32") zur Wasserdruckmessung; 5 inhere Umschalung; 5 Aluminiumscheibe, 4" Durchmesser, 1/2" dick; 7 0-Ring; 8 R6hrenklemme; 9 Schwefel-Vergufgmasse; 10 Scherbiichse; 11 por6ser Messingfilter; 12 Schubklotz, verbunden mit der Schubvorrichtung (siehe Abb. 3 b); 13 Piezometerbohrungen in der Scherbiichse Disposition de lchantillon a l'int&ieur de la cellule 1 Echantillon de roche - partie superieure (cylindre de 4" de diametre); 2 Surface du joint; 3 Echantillon de roche - p a r t i e infdrieure (cylindre de 4" de diamhtre; 4 Trou d'un diam&re de 3/32" pour la mesure de la pression d'eau (2 trous); 5 Enveloppe interieure - chambre air de bicyclette; 6 Disque en aluminium - 4" de diametre et 1/2" d'epaisseur; 7 Joint annulaire; 8 Collier de serrage ~ vis; 9 Lit de soufre dans lequel l'dchantillon est enchfisse; 10 Cellule; 11 Filtre en laiton poreux; 12 Selle relied au piston (voir fig. 3 b); 13 Ouverture pour pidzometre and to insure positive p o r e pressure p~ t h r o u g h o u t the test despite negative i n d u c e d pressure. pp = pb + p~ w h e r e p~ is the initial b a c k pressure p,,: is the i n d u c e d p o r e pressure at a n y time pp is the p o r e pressure at a n y time D u r i n g the shear test, the difference b e t w e e n p o r e a n d c h a m b e r pressure ( p ~ - p c ) is m e a s u r e d by differential pressure gages l o c a t e d close to the test c h a m b e r . R u p t u r e of the jacket is signalled by a zero r e a d i n g of these gauges. (4)


R.E. G o o d m a n

and Y. O h n i s h i :

T h e c o m p l e t e r e c o r d of a shear test includes a description of the r o u g h n e s s a n d waviness of the joint surface, c o m p u t e d f r o m digital height m e a s u r e m e n t s using a mill bed. (The p e r m e a b i l i t y of the joint can be m e a s u r e d at intervals

Fig. 6. Test sample and preparations: a) components for preparing a jacketed specimen 1 bottom disc with "0" ring edge grooves and pore pressure holes, protected by "0" rings (7) (top disc 8 lacks measuring holes); 2 hose clamps; 3 side for lower half of shear box with side grooves for bolting to testing machine; 4 bottom plate; 5 upper sides; 6 top plate. b) Assembled jacketed saturated specimen ready for potting in shear box c) Jacketed specimen halves after shear test; note water pressure measuring holes connecting shear surface with base of sample box Priifk6rper-Vorbereitungen: a) Bestandteile des ProbengeMuses 1 Bodenscheibe mit Randnut fiir den 0-Ring und 0-Ring-gedichteten Porendruck-Bohrungen (7), 8 Deckscheibe; 2 R6hrenklemmen; 3 Umrandung der unteren ScherbiichsenMlfte mit Nuten zum Verbolzen mit der Testmaschine; 4 Bodenplatte; 5 oberer Scherbiichsenrahmen; 6 Deckplatte b) vollst~indiger, ummantelter, testbereiter Prtifk~Srper c) ummantelter Priifk6rper, Ober- und Unterseite, nach dem Scherversuch. Beachte die Wasserdruck-Metgbohrungen, welche die Scherfl~iche mit der Basis der Scherbiichse verbinden Photos illustrant la pr4paration de l'&hantillon a) E16ments n&essaires ~ la pr6paration de l'6chantillon 1 Disque infdrieur dont la tranche en forme de gorge sert de si6ge au joint annulaire; (7) Trous de prise de pression interstitielle munis de leur joint annulaire; (8) Disque sup&ieur sans trous; 2 Collier de serrage avis; 3 Paroi laterale de la moiti6 infdrieure de la cellule, rainurde pour permettre le boulonnage fi la machine de cisaillement; 4 Plaque inf6rieure; 5 Paroi lat&ale de la moitid sup&ieure; 6 Plaque supdrieure b) Echantillon satur6 rev&u, pr~t ~t &re enchfiss6 darts la cellule c) Deux moiti4s de l'4chantilonl sdpar4es apr~s ]'essai rioter les trous reliant la surface de cisaillement fi la base de la cellule et permettant la mesure de la pression interstitielle d u r i n g the test by f l o w i n g w a t e r f r o m one p i e z o m e t e r hole to the o t h e r a n d then t h r o u g h a f l o w m e t e r o r into a burette. I n t e r p r e t a t i o n of these d a t a to yield p e r m e a b i l i t y coefficients requires c o m p u t a t i o n t a k i n g into a c c o u n t the p o s i t i o n of the p i e z o m e t e r holes in the joint plane).

Undrained Shear Testing of Jointed Rock


Triaxial Compression Machine and Procedures

The triaxial test chamber used is the U. S. Bureau of Reclamation cell (designed by O. Olsen)*. Fig. 8 shows a t w o inch (5.08 cm) diameter jacketed specimen attached to the head of the triaxial cell (it is inverted in this view). Bicycle inner tube is slipped over the rock and over "0" rings on steel end pieces, and an oil resistant rubber outer jacket is fastened d o w n with hose clamps. Porous stainless steel end discs are used to collect water in pressure





-7 ,- . . . . . _L . . . . JACKET (Pc)l


i i




, ,, ".,ll.llk,tk

Fig. 7. Simplified scheme of water pressure measuring and control circuits C water chamber; @ valve; DPT differential pressure transducer, 0--500 psi; A P T absolute pressure transducer, 0--2000 psi; SG sight glass; N2 nitrogen bottle; M manometer (Bourdon type) Vereinfachtes Schema fiir Wasserdruck-Mef~-und Steuerschaltungen C Wasserkammer; @ Ventil; DPT Differentialdruckgeber; A P T Geber fiir den Absolutdruck; SG Sichtglas; N2 Stickstoffflasche; M Manometer Plan simplifi6 des circuits de contrgle et de mesure de la pression interstitieile C Chambre d'essai; @ Soupape; DPT Appareil indicateur de pression diffdrentielle,0--500 psi; A P T Appareil indicateur de pression absolue, 0--2000 psi; SG Regard; N2 Bouteille d'azote; M Manom~tre (type Bourdon) lines at both ends of the specimen. The upper line passes directly through the head while the lower line runs through the confining fluid inside a spiral line and then through the head. The oil and water pressure supply and regulating system was built, with few modifications, from drawings of the Missouri River Division Laboratory of the Corps of Engineers and is as described by N e f f ]7, D e k l o t z et aP and H e c k 11. Procedures used are similar to those * De.scribed in the U. S. Bureau of Reclamation Report No. SP-39.


R.E. Goodman

and Y. O h n i s h i :

d e s c r i b e d b y B r u h n a. F o r tests w i t h j o i n t s , p i e z o m e t e r h o l e s w e r e d r i l l e d f r o m b o t h e n d s t o i n t e r c e p t t h e j o i n t p l a n e as s h o w n in Fig. 8.

Fig. 8 a Fig. 8. Jacketed rock specimen triaxial test apparatus 1 Head of triaxial cell; 2 joint in rock sample; 3 3/32" drill hole for water pressure measurements; 4 stainless steel high pressure tubing; 5 strain gauge leads; 6 porous stainless steel disc; 7 inner jacket, bicycle inner tube; 8 outer jacket, oil resistant rubber; 9 hose clamp Triaxialversuchs-Anordnung f/.ir ummantelte Gesteinsprobe 1 Kopfteil der Triaxialzelle; 2 Kluft in der Gesteinsprobe; 3 3/32"-Bohrloch zur Wasserdruckmessung; 4 korrosionsfeste Hochdruckverrohrung; 5 Verformungs-Met~vorrichtung; 6 por6se, korrosionsfeste Stahlscheibe; 7 innere Umschalung; 8 Auf~enmantel aus 61festem Gummi; 9 R6hrenklemme Echantillon de roche rev&u pour l'essai triaxial 1 T&e de la cellule triaxiale; 2 Surface du joint; 3 Trou de 3/32" de diamhtre pour la mesure de la pression d'eau; 4 Tube & haute pression en acier inoxydable; 5 Cfible de la jauge de mesure des d6formations; 6 Disque en acier inoxydable poreux; 7 Chemise int6rieure, chambre air de bicyclette; 8 Chemise ext6rieure, caoutchouc resistant ~ l'huile; 9 Collier de serrage fi vis


S h e a r T e s t i n g of J o i n t e d



Fig. 8 b

T a b l e 1. P r o p e r t i e s

of L y o n s


O v e n dried

Saturated in water*

Unit weight . . . . . . . . . . . . Porosity . . . . . . . . . . . . . . . Air permeability . . . . . . . . W a t e r permeability . . . . . . M o d u l u s of elasticity**"~.. Poisson's ratio**** . . . . . . Brazilian tensile strength . M o d u l u s o4 r u p t u r e . . . . . Cohesion ........": . . . . . . . . . . Friction angle***** . . . . . . Friction angle of sawed joints . . . . . . . . . . . . . . . . . * ** *** **** *****

2.20 g m / c m a

19.6% 106 millidarcies*':

2.37 g m / c m a 17%

49 miltidarcies** 0 . 6 x 106 psi (4.1 x 10 a M N / m =) 0.36 x 10 ~ psi (2.5 x 103 M N / m 2) 0.30 0.26 260 psi (1.79 M N / m 2) 135 psi (0.93 M N / m 2) 520 psi (3.58 M N / m ~) 230 psi (1.58 M N / m 2) 250 psi (1.72 M N / m 2) 450 psi (3.10 M N / m ~) 490 560 340 340

v a c u u m saturated at r o o m t e m p e r a t u r e ; 1 millidarcy equals 9.87 x 10 -12 cm~-; t a n g e n t to stress strain curve at 50% of peak load; at 50% of peak load; the cohesion a n d friction angle given describe the average line for the initial p a r t of the M o h r envelope, w h i c h actually is curved. T h e equations of the M o h r envelope, for dry specimens (in psi units) are 3 = 2 1 . 6 cr2/a (;> 500 psi 3 = 5.46 + 4 5 0 or< 500 psi Saturated specimens tested at a strain rate of 10 -2 per second in u n d r a i n e d conditions s h o w s s o m e w h a t smaller strength.


R.E. G o o d m a n and Y. O h n i s h i :

Typical Test Results

Results of testing with various rock types will be presented in a later paper. Here we present some illustrative results of triaxial and direct shear tests using specimens of quartzose sandstone of the Lyons formation (Permian of Colorado). Samples were sawed from a homogeneous large block. The sandstone is a fine-grained, well-sorted, orthoquartzite, weakly cemented with iron oxide. The properties are influenced by saturation as shown in Table 1. Fig. 1 showed changes of the B coefficient of intact Lyons sandstone measured in the triaxial test. The hypothetical curves for jointed samples also shown in Fig. 1 proved accurate in detail as shown in Fig. 9. The B coefficient,


_ d P [ / d o'3





0 0

I I [000 2000 ALL-AROUND

; I I 3000 4000 5000 PRESSURE (o-3=G I) psi

I 6000

Fig. 9. Variation of B coefficientmeasured for intact and jointed samples of Lyons sandstone in undrained triaxial compression i Porous rock; 2 jointed porous rock _Knderung des KoeffizientenB, gemessen an ungest6rten und gekliKtetenProben yon LyonsSandstein im Triaxialdruck ohne Dr~inung 1 Por6ses Gestein; 2 gekliKtetes,por6ses Gestein Variation du coefficient B mesur4 pour des 6chantillons de gr& de Lyon intacts (1) ou travers4s par un joint (2) et soumis 5 un essai triaxial non drain4 for a triaxial specimen with an inclined saw cut and sandblasted joint, was initially 1.0; the jointed specimen behavior became identical to that of the intact specimen above ~ =2800 psi. The measured changes of induced pore pressure with deviator stress are given in Fig. 10, and should be compared with Fig. 2. As premised earlier, the data show a positive pore pressure at the moment of joint slip, whereas the intact sample dilated long before peak loading. Tangent A values initially were 0.11 for both intact and jointed samples. The A value determined by a secant to the peak positive pore pressure was 0.7 for both samples.

Undrained Shear Testing of Jointed Rock


The direct shear results are shown in Fig. 11. Fig. 11a gives the compression of the intact rock and of the sample with a sawed joint during normal loading. Figs. 11b, c, and d give the normal displacement, shear displacement and induced water pressure during the shearing phase of the test. Since the direct shear machine is normal stress controlled, rather than normal displacement controlled, the sample is free to dilate or contract during shearing, except
P[ 0 -200 -400 -600 -800 -I000 /(c5 - 0"3) l PSI I i ~ 7 ~-15,000

600 400




~ - / I

0005 0010 0015 0.020 LONGITUDINAL SHORTENING (IN/IN)

Fig. 10. Undrained triaxial test results with intact and jointed samples of Lyons sandstone under deviatoric loading Ergebnisse yon Triaxialversuchen ohne Dr~inung mit ungest6rten und gekRifteten Proben von Lyons-Sandstein unter Belastung mit ungleichen L~ings- und Seitendriicken Rdsultats d'essais triaxiaux non drainds sur des dchantillons de grhs de Lyon intacts ou travers6s par un joint of course for the inertia of the water. Initially, the non-jointed rock contracted very slightly; then it began to dilate. Until one third of the peak shear deformation, the pore pressure increased uniformly at a rate given by A1 equal to approximately 0.13 (see Eq. (3)). After approximately two thirds of peak displacement the tangent A1 value because negative as the induced water pressure decreased from the maximum of 60 psi (414 KN/m2). At peak load the induced pressure was - 6 0 psi. As in the triaxial test, the peak load in the jointed specimen was not preceded by a reduction in induced pressure. The water pressure induced in the joint was at its maximum value of 51 psi (351.9 KN/m 2) at the peak shear load of 480 psi (3.31 M N / m ~) (tangent A1 at peak equal to 0.12). Discussion and Conclusion The purpose of this paper being to present a new experimental technique for study of joints in the laboratory, only a brief discussion of the results presented is appropriate. These data are typical of the test results obtained. Joint water pressure is generated in the compressing pore space of the rock; at high nolmal pressures the joint itself apparently contributes additionally as a pressure source. At low confining pressures, the dilating joint will drain the pore water and the induced pressure can be negative. The joint strength is
R o c k Mechanics, VoL 5/3 10


R.E. Goodman

and Y. O h n i s h i :

reduced by a positive pore pressure in accordance with the effective stress principal. After joint slip initiation, the joint aperture increases and the water pressure drops. Presumably, this automatic joint water pressure decline could relock the joint walls generating a stick slip behavior; this has not been studied. Experimental results with joints in non-porous rock could produce different results. The direct shear machine allows important experiments with jacketed or unjacketed joint specimens; it could be called a universal testing machine for
NORMAL STRESS, Gn (PSI) I00 200 500 400 500 600 700 800 SHEAR DISPLACEMENT, u (INCHES) 0.05 010 025 0.20 0.25 0.30

J b

_z _o uJ

IC 15

7 5
o_ IC








~ 3o g

~ ~5
z 4O 1800 1600

35 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


_~ 1400 ~1200 u~ I000 LU ~m800 600



60 d ........ 4 2


oq 40

g 0_




0~0 0'~5 00 05

400 200

o -20

~ o


005 0.10 0.15 O. 0 O. 5 0.30 SHEAR DISPLACEMENT, u (INCHES)


Fig. 11. Undrained direct shear test results with intact (1) and jointed (2) samples of Lyons sandstone a) Normal displacement during normal loading; b) normal displacement during shear loading (orn const); c) shear displacement during shear loading (~rn const); d) induced water pressure during shear loading (~rn const) Ergebnisse eines Direkt-Scherversuches ohne Dr~inung an ungest6rten (1) und gekliifteten (2) Proben yon Lyons-Sandstein a) Normalverschiebung bei Normalbelastung; b) Normalverschiebung bei Scherbelastung, cru konstant; c) Tangentialverschiebung bei Scherbelastung, %~ konstant; d) induzierter Wasserdruck bei Scherbelastung, crn konstant Rdsultats d'un essai triaxiaI direct non draind sur des &hantillons de gr~s de Lyon intacts (1) ou travers& par un joint (2) a) D@lacement normal sous charge normale; b) Ddplacement normal sous effort de cisaillemerit (orn constante) ; c) Ddplacement au cisaillement sous effort de cisaillement (c% constante) ; d) Pression interstitielle produite sous l'effort de cisaillement (~rn constante)

Undrained Shear Testing of Jointed Rock


joints. Drained and undrained shear test, joint permeability tests under controlled normal and shear stress, and normal consolidation tests on filled joints can be accommodated. The triaxial test with joint samples between porous end discs also has untapped capabilities. For example introducing a longitudinal joint, its permeability under controlled normal stress can be measured. Introducing an unjacketed hollow cylinder sample, Habib-Bernaix radial permeability tests can be performed 22. The triaxial test can safely employ higher normal stresses whereas the direct shear test can permit larger shear displacements. In both tests, measurement of joint water pressures necessitates drilling small holes in the specimen, introducing incompletely determinate interferences. We feel that the capabilities for controlling environmental conditions in laboratory joint tests, as shown here, make laboratory testing of joint samples attractive for practical engineering work.

The development of the direct shear machine described here reflects numerous contributions from colleagues. Dr. Karel D r o z d conceived of the sealing mechanism; Professor Evert H o e k and Dr. David P e n t z freely discussed design of their shear machine and furnished shop drawings (which were not used). Dr. Hugh H e a r d and Mr. Duane N e w h a r t helped to evaluate differing design concepts. The biggest step was made by Mr. K e n n e y of Kenney Engineering Co. (1301 South Shamrock Avenue, Monrovia, California), who drew up original designs based upon numerous conferences and then built the prototype. Professor T. L. B r e k k e contributed in discussions with Kenney Engineering. Major modifications were made by Mr. Q u e n t i n G o r t o n , including redesign of the inner shear box, placing the frame on tracks, installation of controls on the normal load press, and design of a hydraulic compensating system to counter the weight of the water chamber and upper shear box. Most of the instrumentation, including the hydraulic control circuit, was installed by Kenney Engineering and later modified by the authors as noted in the text. Dr. Francois H e u z d contributed to development of procedures for sample preparation and testing. Two blocks of Lyons sandstone obtained and shipped by Professor David Snow supplied the samples for testing. The machine design and the program of sampling and testing were funded under a grant from the National Science Foundation (Grant GK-2979). Modifications to the machine after design were made as part of Contract H0210020 from the Advanced Research Projects Agency (ARPA) of the U.S. Department of Defense, monitored by the U. S. Bureau of Mines. (The views and conclusions are the authors' and do not represent policy of either ARPA or NSF.) The triaxial compression water control and oil pressure supply and regulating circuit was fabricated by Mr. B. Riley of the University of California, Civil Engineering Department shop from plans of the Corps of Engineers published in [6]. The triaxial chamber was fabricated by Riehle Testing Machine Company using plans provided by the U. S. Bureau of Reclamation


R.E. G o o d m a n

and Y. O h n i s h i :

and described in U. S. Bureau of Reclamation Report No. SP39. T h e free access to these shop drawings and cooperative spirit of personnel of these agencies are greatly appreciated. Mr. Andre K o 11b r u n n e r and Lou T r e s c o n y established procedures for the triaxial compression tests. References 1 B i e n i a w s k i , Z. T.: "Mechanism of brittle fracture of rock", Report MEG 580 CSIR, Pretoria, South Africa, 1967. 2 Brace, W. F., and R. S. M a r t i n : "A test of the law of effective stress for crystalline rocks of low porosity", Intl. Journal of Rock Mech. and Min. Sciences, vol. 5, no. 5, p. 415 (1968). 8 Bruhn, R. W.: "A study of the effects of pore pressure on the strength and deformability of Berea sandstone in triaxial compression", Corps of Engineers, Missouri River Div. Lab., Tech. Report MRDL 1--72 (1972). 4 Byerlee, J. D., and W. F. B r a c e : "Recent experimental studies of brittle fracture of rocks", Proc. 8th Symposium Rock Mech. (AIME), p. 58 (1967). 5 C o r n e t , F., and V. F a i r h u r s t : "Variation of pore volume in disintegrating rock", Proc. Symposium on Percolation Through Fissured Rock, ISRM, Stuttgart, September 1972. 6 D e k l o t z , E. J., W. J. H e c k , and M. J. A l d r i c h : "Development of equipment for studying pore pressure effects in rock", Missouri River Div. Lab., Corps of Engineers, Tech. Report No. 3--68 (1968). 7 G o o d m a n , R. E., and J. L. D u b o i s : "The duplication of dilatancy in the analysis of jointed rocks", Journal Soil Mech. and Found. Div., Proc. ASCE, vol. 98, no. SM4, p. 399 (1972). 8 H a b i b , P., and B e r n a i x J. : "La fissuration des roches", Proc. 1st Congress ISRM, Lisbon, vol. I, p. 185 (1966). 9 H a n d i n , J., R. V. H a g e r , Jr., M. F r i e d m a n , and J. N. F e a t h e r : "Experimental deformation of sedimentary rocks under confining pressure: Pore pressure tests", Bull. AAPG, vol. 47 (1963). 10 H e a r d , H. C.: "Transition from brittle fracture to ductile flow in Solenhofen limestone as a function of temperature, confining pressure; and interstitial fluid pressure", in Rock Deformation, Memoir 79, GSA, p. 193 (1960). 11 Heck, W. J.: "Development of equipment for studying pore pressure effects in rock", Proc. 10th Symposium on Rock Mechanics, (AIME), pp. 243--266 (1972). 1~ Jaeger, J., and N. C o o k : Fundamentals of Rock Mechanics, Chap. 8: "Fluid pressure and flow in rocks", p. 195--214 (1969). 13 J o u a n n a , P.: "Effet des sollicitations mdcaniques sur les dcoulements dans certains milieux fissures", Thesis for Doctor of Physical Science, Toulouse University (1972). 14 J o u a n n a , P.: "Essais de percolation au laboratoire sur des echantillons de micaschiste soumis a des contraintes", Proc. Symposium on Percolation Through Fissured Rock, ISRM, Stuttgart 1972. 15 Lane, K. S.: "Engineering prob due to fluid pressure in rock", Proc. 11th Symposium on Rock Mechanics, (AIME), p. 501 (1969).

Undrained Shear Testing of Jointed Rock


16 Mesri, G., R. A. Jones, and K. A d a c h i : "Influence of pore water pressure on the engineering properties of rock", Report to ARPA from University of Illinois, Dept. of Civil Engineering (1972). 17 N e f f, T. L.: "Equipment for measuring pore pressure in rock specimens under triaxial load", ASTM Spec. Tech. Publ. 402, p. 3 (1965). 18 R o b i n s o n , L. H.: "The effect of pore and confining pressure on the failure process in sedimentary rock", Proc. 3rd Symposium on Rock Mechanics, (Qtly. Colorado School of Mines, v. 54, p. 178 (1960). 19 R o b i n s o n , L. H., and W. E. H o l l a n d : "Some interpretations of pore fluid effects in rock failure", Proc. 11th Symposium on Rock Mechanics, (AIME), p. 585 (1969). 20 Scott, R.: Principles of Soil Mechanics, Addison Wesley, Chapter 6 (1963). 21 S k e m p t o n , A. W.: "The pore pressure coefficients A and B", Geotechnique, v. 4, p. 143 (1954). 22 S k e m p t o n , A. W.: "Effective stress in soils concrete and rock", Proc. Conference on Pore Pressure and Suction in Soils, Butterworth, London, p.4 (1960). 2a T e r z a g h i , K.: "Stress condition for the failure of saturated concrete and rock", Proc. ASTM, vol. 45, p. 777 (1948).

Address of the authors: Richard E. G o o d m a n, Associate Professor of Geological Engineering; Yuzo O h n i s h i , University of California, Berkeley, CA 94720, U. S. A.