1.

INTRODUCTION
When evaluating the interaction of engineering
structures with rock mass, we are faced with the problem
of determining its elasticity effective characteristics.
The existence of scale factor, caused by structural
heterogeneity of rock mass, limits the use of
experimental methods of investigation, especially in
cases where large areas of rock mass are involved (for
example, high dams, large span excavations of
underground hydro power stations, etc.).
In such cases, provided that the scale of rock mass under
investigation may be considered representative, the use
of analytical methods for determining rock deformation
properties appears to be applicable. Representative
volume is considered to be the volume which further
increase does not materially affect or change its
mechanical characteristics.
Joint rock mass is also considered a structurally non-
homogeneous medium, especially when rock is dissected
by joint systems of various order. At present, analytical
methods based on the application of crack density tensor
are used to define effective deformation characteristics
of such medium (Merzliakov, Vlasov, 1993). Crack
density tensor (CDT) takes into account hollowness
induced by cracks, their orientation as well as the
volume of rock under consideration, cut out from the
rock mass. It is obtained by the following expression:

=
=
n
q
q q q
V
b n V
T
1
(1)
where n
q
- normal to crack mid-surface; b
q
- vector of
crack opening at the same point; V
q
- single crack
volume; V - average volume of the considered area.
The equality of CDT values at all points of the
considered area (provided that the volume under
consideration is representative) means that the material
within the volume may be considered quasi-
homogeneous and quasi-continuous. In many cases, it
makes it possible to represent with great reliability joint
rock mass and its separate fragments as equivalent
elastic-linear medium in engineering calculations.
At the same time, numerous investigations show that as
a rule, deformation of joint rocks is characterized by
essential non-linearity. Three deformation sections are
obvious at the deformation diagrams ) (
1 1
f = for a
fragment of gypsum sand blocks under biaxial
compression test (Shiriaev et al., 1976) (Fig.1).
Non-linearity of the first section is conditioned by
deformations of inter-block joints, their closeness and
the shear of blocks along joints. Numerous experiments
have demonstrated that, as a rule, the section upper
bound is equal approximately to 1/3 of peak stress
values.


ARMA 08-76

Influence of Structure and Mechanical Properties of Joint Rock Mass
Elements on Its Deformation under Compression

M.G. Zertsalov
Moscow State University of Civil Engineering, Moscow, Russia

Copyright 2008, ARMA, American Rock Mechanics Association

This paper was prepared for presentation at San Francisco 2008, the 42
nd
US Rock Mechanics Symposium and 2
nd
U.S.-Canada Rock Mechanics Symposium, held in San Francisco, J une 29-J uly
2, 2008.
This paper was selected for presentation by an ARMA Technical Program Committee following review of information contained in an abstract submitted earlier by the author(s). Contents of the
paper, as presented, have not been reviewed by ARMA and are subject to correction by the author(s). The material, as presented, does not necessarily reflect any position of ARMA, its officers, or
members. Electronic reproduction, distribution, or storage of any part of this paper for commercial purposes without the written consent of ARMA is prohibited. Permission to reproduce in print is
restricted to an abstract of not more than 300 words; illustrations may not be copied. The abstract must contain conspicuous acknowledgement of where and by whom the paper was presented.
ABSTRACT: Determining mechanical properties of joint rock mass under compression is a significant problem of rock
engineering caused by the non-linear quality of joint media deformation up to failure. Results of experimental research
demonstrate that non-linear diagrams of fragment deformation of joint rock masses ) (
1 1
f = in many cases can be divided at
three sections. It is proposed for determining the characteristics of joint rocks deformability to replace non-linear diagram of
deformation by three linear ones. This paper presents the method of developing such a deformation diagram ) (
1 1
f = of the
model consisting of blocks under compression and using equations for calculating secant modulus values of deformation within
every section, as well as values of stresses at the beginning of each section. Equations were obtained on the basis of numerical
calculations (FEM) and experiment planning methods. This paper also presents comparison of results of numerical and physical
experiments.


Fig.1. The results of block fragment study (Shiryaev and
others, 1976) relationship
1
=(1) experiment
The second section has been characterized by the increase
in deformation modulus of the fragment being analyzed.
The relationship
1
= (1) at that section may be
considered linear, where deformation of the block
fragment is determined mainly by deformation of the
blocks. The shown incidental non-linearity may be
explained by insignificant shear of blocks and
continuous crack closing.
As far as the third section is concerned, the non-linear
deformation in this case is defined both by shear
processes along joints and micro-cracking processes in
the blocks developing at that loading section.
Non-linearity of rock mass deformation, especially
under conditions of high loads, (i.e. within the range of
special interest for engineers) poses the problem of
developing constitutive models for joint medium (for
example, by plotting the curve
1
= (1)) within the
range of all three sections of deformation).
Modeling the processes of rock mass deformation with
appropriate algorithm for computer-aided calculation
may be considered a possible solution of the above
stated problems. Taking into account the increasing use
of numerical methods of analysis, such approach is
considered to be very progressive as it allows solving a
number of problems of deformation and fracture of rock
masses.

2. DETERMINATION OF FACTOR
DEPENDENCIES FOR PLOTTING DEFORMATION
OF BLOCK FRAGMENTS
The methodology of determining deformation
characteristics of rock block fragments under conditions
of uniaxial compression at various sections of their
deformation was developed by planning numerical
experiments based on the finite elements method
(Zertsalov, Sakaniya, 1997). The dimensions of the
fragment and the blocks that form it were selected so
that the volume of the fragment was representative.
Factor dependencies, where the modulus of elasticity of
the block fragment was taken as a response function
within the range of each of three deformation curve
sections
1
= (1), were defined by the results of
numerical analysis. The values of modulus of elasticity
(E
1
, E
2
, E
3
) corresponded to the tangents of secant slope
angle, which connected the beginning and end of each
section respectively (Fig.2). Besides, factor dependences
were defined, where stress values
1
* and
cr
1
,
corresponding to the beginning of the second and third
sections of the deformation curve
1
= (1), were
assumed as response functions.

Fig.2. Parameters characterizing the curve of block fragment
deformation under uniaxial compression
Two sets of numerical experiments were conducted. In
the first set compression direction coincided with the
direction of one of the crack systems (Fig.3a). In the
second set, the compressive force was applied at an
angle of 45
0
to the directions of mutually orthogonal
crack systems (Fig.3b).
In the first set the varying factors in the numerical
experiments were:
b/a - ratio of average joint width to the block size;
l/l - ratio of the length of inter-joint bridge to the crack
length, i.e. dashed joint;
j
E /E
bl
the ratio of joint deformation modulus to block
elasticity modulus.

Fig.3. Tested blocked fragments.
These experiments showed the following factor
dependences, making it possible to determine the
selected response functions for sections 1 and 2 in the
conditions of uniaxial compression under any
combination of the prescribed factors within the range of
their variation:
Section 1
j bl
E
l
l
a
b
a
b
E E

+
+ =
74 . 0 88 . 0
1 1
1
(1)
Section 2
bl
bl
j
bl
j
E
E
E
l
l
a
b
E
E
E

+ + = 151 211 . 0 50 470 574 . 0

2
(2)
j
E
l
l

+ = 2 1
*
1
(3)
When calculating the modulus of deformation in section
3, it was considered that under loading conditions
adopted in the first set of experiments, all the inter-block
joints were closing during deformation within sections 1
and 2.
Hereinafter fragment deformation is being defined only
by the behavior of solid rock blocks composing the
fragment.
With that determination, the value of stress
corresponding to the beginning of the section (the start
of micro cracking) and the modulus of deformation in
section 3 can be calculated respectively by means of
formulae used when examining deformation of
undisturbed intact rock, modeled by isotropic medium
which is weakened by elliptical micro-cracks (Orechov,
Zertsalov, 2001).

=
2
1
1
4
t cr
(4)
[ { + + =

t
cr
bl
V E E

6 4
3
7610 . 2 10 42 . 5
2 1 1

( ) ] ( ) + +

min max
2 8
2
1
3
10 48 . 6 1 10 26 . 3
t
cr

( ) [ ]

+ +

2
1
4 7 5
1 10 95 . 3 10 05 . 4 10 55 . 6
cr
t

2
min max

(5)
where:
t
- tension strength of rock block material;

cr
- density of block micro-cracks;
V - block volume;
cr
1

- stress at the start of micro-cracking;

max
and
min
- crack slope angles to the direction of
compression, limiting the sector within which micro-
cracking is observed.
In the second set of experiments, another experiment
domain was selected. The first two varying factors that
define the value of crack density tensor were the same as
in the first set of experiments (b/a ratio of average
joint width to the block size and l/l ratio of the length
of the inter-joint bridge to the crack length,
characterizing the dashed joint).
However, since under block fragment loading in the
second set of experiments deformation of block
fragment was largely defined by shear of blocks along
joint planes, the parameter E
j
/G
j
(ratio characterizing
deformation normally to joint plane and along it) was
specified as a third factor (Sakaniya, 1997). The
numerical analysis results in the following factor
dependences:
Section 1
j
j
j
j
j
bl
E
G
E
l
l
a
b
G
E
a
b
l
l
a
b
a
b
E E

+ +

+ =
444 . 0 494 . 0 23 . 0 53 . 0
1 1
1
(6)
j
E
l
l

= 6 . 0 1 . 2
*
1
(7)
Section 2
j
j
j
j
j
bl
E
G
E
l
l
a
b
G
E
a
b
l
l
a
b
a
b
E E

+
+ =
444 . 0 508 . 0 13 . 0 03 . 0
1 1
2
(8)
j
j
j
E
G
E
l
l
l
l

= 15 . 0 5 . 0 4 . 3
*
2
9)


Section 3
+

+
+ =
543 . 0 44 . 0 0004 . 0 46 . 0
1 1
3
l
l
a
b
l
l
a
b
E E
bl

j
j
j
j
j
j
j
E
G
E
l
l
a
b
G
E
l
l
G
E
a
b
+

365 . 0 00018 . 0
(10)
Using equations 1-5, as well as 6-10, we can plot
diagrams for fragment deformation respectively for
values of angles between compression and joint systems
directions 0
0
and 45
0
(Fig.4).

Fig.4. Diagram ) (
1 1
f = based on results of 1 and 2
experiment sets.
3. DEFORMATION OF BLOCK FRAGMENT
UNDER ARBITRARY INCLINATION OF
COMPRESSIVE LOAD TO THE DIRECTION OF
BLOCK JOINTS
Curves 1 and 2 correspond to the diagrams of block
fragment deformation when compression is directed
along one of the joint systems. Cases of dashed (l/l =
1.0) and solid (l/l = 0) joints with the equality of factors
bl j
/ and b/a are analyzed. Comparison of the
diagrams shows that the absence of inter-joint bridges
reduces significantly the deformation modulus within the
first section range (Fig.4).
Diagrams of fragment deformation (curves 3 and 4),
corresponding to the slope of joint plane to compression
direction at an angle of 45
0
, are given in the same figure.
The curves have been plotted for the case of solid joints
l/l = 0 with the same value of factor b/a as used in the
first series of calculations. Curve 3 was plotted with the
value of factor
j j
G / = 1.0 and curve 4 with the value
j j
G / = 10.0, respectively.
Comparison of the curves shows that changing the angle
of compression load direction relatively to the planes of
fragment joints by 45
o
reduces noticeably fragment
deformation characteristics, which are significantly
affected by shear deformations of blocks along crack
planes.
Herewith, the mode of the deformation curve changes, as
well. The curvature of the first section is hardly obvious
and the second quasi-linear section is practically absent
(curve 3). Besides, reduction of shear modulus value
along the joint in the ratio
j j
G / results in increasing
of shear deformation along joints and reduces the
deformation characteristics of the fragment. Reduction
of joint shear modulus by 10 times (curve 4) reduces
effective modulus of block fragment deformation at
different section of diagram by 1.5 2.0 times (Fig.4).
The block fragment under study is characterized by
coincidence of main axes of fragment crack density
tensor with the direction of mutually perpendicular
systems of joints. In this case the block fragment may be
considered as orthotropic medium, provided that joint
walls have no asperities (smooth contact) (Merzliakov,
Vlasov, 1993). The latter makes it possible, using
dependences of orthotropic body elasticity theory, to
study deformation of block fragments with arbitrary
orientation of main axes of crack density tensor to the
line of compressive load action.
In his paper (Sakaniya, 1997) based on the studies
(Lekhnitsky, 1981) and (Uhov, Merzliakov, 1986), Prof.
Sakaniya proposed the following equation for
determining mechanical characteristics of block medium
under any slope of main axes of crack density tensor to
compression direction:

2 2
45
0 4 4 0
cos sin 8 4 cos sin

+ + =
Y
Y
Y
Y
(11)
where: Y
0
- one of the functions in formulae (1,2,5);
Y
45
- its relevant function, defined by formulae (6,8,10);
Y

- relevant function with arbitrary loading angle .

Thus, using the results of computations of the first and
second set of experiments and obtained relationship
Y
0
/Y
45
, the curve of block fragment deformation
1
=
(
1
)

may be plotted for cases of smooth inter-block
contact at various slope angles of main axes of crack
density tensor to the direction of compressive load.
4. INFLUENCE OF JOINT ASPERITIES ON
DEFORMATION OF BLOCK FRAGMENT
As stated above, in the computations of the first and
second series, fragment joint walls were smooth. In case
roughness of joint walls is present, the block fragment
acquires the properties of a body characterized by more
general anisotropy and cannot be considered an
orthotropic one (Merzliakov, Vlasov, 1993).
To evaluate the effect roughness has on block fragment
deformation the third and forth sets of calculations were
conducted. As roughness effect appears to be most
pronounced under shear along joints, we considered a
case of fragment loading when the most shear
displacements along inter-block contacts were observed,
i.e. the direction of compression was at an angle of 45
0

to directions of main axes of crack density tensor
(directions of joint systems).
To solve the above problem two more parameters,
characterizing form and size of asperities, were added to
the three parameters used in the second series of
calculations (b/a, , / l l
j j
G E / ) (Fig.5):
tg i
0
- tangent of dilatancy angle with stresses normal to
joint plane equal to zero;
b/h - parameter characterizing the degree of joint
closure, where b is the value of real joint opening, h is
maximal vertical opening of the joint equal to the height
of roughness projection.

Fig.5. Parameters of idealized rough joint: i - dilatancy angle,
b - real opening of the joint, h maximal opening of the joint.
Under shear along rough joints two kinds of
displacements normal to the planes of crack walls are
possible:
joints are contracted under shear contraction (the
third series of calculations);
joints are opened under shear dilatancy (the forth
series of calculations).
After variation limits of the above mentioned five factors
were prescribed, full factor experiment for the third and
forth calculation series was performed.
Taking into consideration the limited volume of this
paper as well as cumbersome nature of design factor
dependences, we only present as an example expressions
of determining stress value at the beginning of the third
section, as well as elasticity modulus within the third
section of block fragment deformation in case of
opening of joints (dilatancy).

2
* = (3,5 - 0,4
2
+ 0,3
4
+ 0,03
5
-94
1
X
2
- 0,3
2

4
-
0,16
2

5
- 0,34
4

5
+ 94
1

3
+ 94
1

2
4
-
1

5
-
0,12
2

5
+ 0,24
2

5
-94,
2

4
+ 12
1

2

5

+
1

2

5
+ 0,12
2

5
- 12
1

3
4

5
)
j
(12)
1/
3
= 1/
bl
+ (0,11 + 96
1
+ 0,08
2
+ 0,57
3
+
0,97
4
+ 0,069
5
-69
1

2
- 120
1

3
- 812
1
4

-
9,8
1
5

- 0,54
2

3
- 1,01
2

4
- 0,049
2

5
- 6,5X
3
X
4
-
0,506 X
3
X
5
- 0,924 X
4
X
5
+ 116X
1
X
2
X
3
+ 867X
1
X
2
X
4
+
27,4X
1
X
2
X
5
+ 1291X
1
X
3
X
4
+ 92,7X
1
X
3
X
5
+ 800X
1
X
4
X
5
+
6,62X
2
X
3
X
4
+ 0,467X
2
X
3
X
5
+ 0,935X
2
X
4
X
5
+ 6,45X
3
X
4
X
5

- 1397X
1
X
2
X
3
X
4
75,9X
1
X
2
X
3
X
5
- 824X
1
X
2
X
4
X
5
-
1258X
1
X
3
X
4
X
5
6,5X
2
X
3
X
4
X
5
+
1331X
1
X
2
X
3
X
4
X
5
)/(100E
j
) (13)
The effect of roughness on block fragment deformation
for the compression direction being at an angle of 45
0
to
the joints direction is shown in Fig.6 and 7.
Fragment deformation diagrams were plotted for cases
of smooth contact as well as for joint dilatancy and
contraction. As was stated above, three factors (b/a, l/l,
j j
G / ) in each of considered cases remained constant.
In cases of dilatancy and contraction varying factors
were added, characterizing joint roughness geometry
(b/h and i
0
). Analysis of diagrams showed that joint
roughness had significant effect on fragment
deformation, but that effect was different depending on
the particular case. In case of dilatancy of joints with the
increase of the value of factor i
0,
essential decrease of
fragment deformation was observed. The same effect
was recorded under reduction of factor b/h, but to much
less extent (Fig.6).
On the contrary, under joint contraction with the increase
of factor i
0
fragment deformation increases appreciably.
Fragment deformation also increases with the growth of
factor b/h, but its effect is as insignificant as it is in the
previous case (Fig.7).
Taking into account the essential effect of roughness
factor of inter-block joints on fragment deformation, as
shown by the calculations of the third and forth series,
dilatancy and contraction can be predicted to exert
essential influence on the fragment behavior in case of
other angles of joint system slope to the compression
direction. However, additional study needs to be
conducted in order to confirm that assumption.

Fig.6. Influence of dilatancy on deformation of the
fragment.

Fig.7. Influence of contraction on deformation of the
fragment.
As stated above, direct use of factor dependences for
analysis of response functions is a very time consuming
process. With that in mind, nomograms were plotted
based on the results of calculations of the 1
st
and 2
nd

experiment series. They make it possible to conduct
rapid calculations of both the values of elasticity
modulus within the boundaries of each of three
deformation sections, and the values of stresses at the
boundary of block fragment diagram sections for any
combination of the initial factors.
Knowing these parameters, we can study the non-linear
character of joint medium deformation under the
conditions of uniaxial compression within the entire
range of loads up to the values at peak strength.
The results obtained by proposed analysis method were
compared with the results of physical experiment
(Urustembekov, 1996). The block fragment dimensions
were 120x120 cm. The dimensions of blocks composing
the model were 3x6 cm. The fragment was tested under
conditions of biaxial compression. The horizontal stress
remained constant in every test, while the vertical stress
increased up to the value, corresponding to peak stress
values. There was no roughness in inter-block contacts.
Diagrams
1
= (
1
)

were plotted for every test. The
diagrams of fragment deformation under uniaxial
compression, plotted on the basis of experiment and
analysis data, are given in Fig.8.

Fig.8. Comparison of results of experiment and
calculations: -------- experiment, calculations.
Comparison of the results has shown quite satisfactory
agreement. The calculated and experimental curves of
fragment deformation are very proximate qualitatively;
any discordance in numerical values of stresses and
deformations in various points of curves does not exceed
10-15%.
5. SCALE FACTOR CONSIDERATIONS IN
STUDYING DEFORMATION
CHARACTERISTICS OF JOINTED ROCK
MASS
When defining mechanical characteristics of structurally
non-homogeneous rock masses, scale factor becomes
one of the main issues to be considered. Using
purposeful numerical methods, particularly the finite
elements method, allows us to develop one of the
possible solutions to the above problem.
The following paper (Uhov et al, 1986) formulates
approach to investigation of mechanical properties of
scale - inhomogeneous rock masses. This approach can
be summarized as follows:
According to the data of engineering and
geological investigations of a specific rock mass,
typical structures were described, characterizing
rock mass volumes of different size. They shall
manifest structural peculiarities of those
Smooth
contact
Smooth
contact
[MPa]
experiment
calculations
volumes and have inclusion of typical structures
of less volume into typical structures of greater
ones. In this case the volume of typical structure
of each level shall meet the requirements of
quasi-homogeneity, i.e. shall be representative.
The smallest structures are considered to be the
ones which characteristics can be determined
directly by physical experiment.
Numerical experiment for determination of
effective characteristics of the least typical
structure is implemented by the methods of
mathematical modeling. It shall replicate the
physical experiment as exactly as possible.
Coincidence of experimental results and analysis
data confirms the validity of schematization for
selection of typical structures of the least
volumes, as well as the possibility of defining
effective mechanical characteristics of typical
structures with higher level of heterogeneity.
Sequence of computations, when typical
structure of each next level consists of finite
number of typical structures of the previous one,
makes it possible to extend the analysis of
effective characteristics on the basis of
mathematical modeling to rock masses as large
as possible. It has to be noted that the
requirement of quasi-homogeneity shall be
fulfilled while analyzing at each level. The latter
makes it possible to avoid the influence of the
scale effect on the reliability of the obtained
results.
The above approach is easily implemented when
studying behavior of heterogeneous rock mass with
block structure, where selection of typical structures
with various level of heterogeneity does not normally
appear to be difficult. In this case typical structures are
usually considered linearly deformed quasi-
homogeneous, quasi-continuous medium. For those
cases where deformation of typical structures is
characterized by considerable nonlinearity, the above
considered procedure may be recommended for
determining effective deformation characteristics of
block fractured medium.
6. CONCLUSIONS
Numerical modeling with the experiment
planning makes it possible to conduct
comprehensive study of the properties of scale -
heterogeneous rock masses analyzing
combinations of various factors which represent
both structural peculiarities of rock mass and
mechanical characteristics of its structural
elements and its deformation.
The results of this study show that specific
structure of joint rock mass as well as
deformational properties of structural elements
composing the mass resulted in appreciable
nonlinearity of its deformation. Selection of
typical structures allows us to study nonlinear
behavior of block rock mass under compression
conditions. Deformation of various level typical
structures can be analyzed with the use of the
proposed factor dependences. Their deformation
characteristics can be obtained within all the
sections of deformation diagram.
The described experiments have also shown that
roughness of block fragment joints has
substantial influence on its deformation nature in
the case when the angle between compression
direction and main axes of crack density tensor
is 45
0
. Here, the effect of joint dilatancy and
contraction is pronounced differently. Dilatancy
decreases deformability of rock mass,
contraction increases it. It also follows that
roughness of joint has substantial effect on block
medium deformation at other slope angles of
compressive load to joint planes. However,
additional experiments and analysis are
necessary to confirm this.
Selecting typical structures in heterogeneous
rock mass so that the typical structure of each
next level consists of finite number of typical
structures of the previous one makes it possible,
by using numerical modeling, to extend the
analysis of effective deformational
characteristics to any volume of rock mass
within which typical structures of various levels
may be selected. Here the volume of typical
structure of each level shall be representative
and meet the requirement of quasi-homogeneity
and quasi-continuity.
REFERENCES
1. Merzliakov V., Vlasov V. Influence of Rock Mass
Joint Nets of Polygonal Shape on Deformation
Characteristics of Rocks. Osnovania, Fundamenti i
Mechanica Gruntov, 3, 1993 (in Russian).
2. Shiriaev R. et al. Model Study of Strength and
Deformability of Joint rocks. Izvestia VNIIG, v.137,
pp.51-59, 1976 (in Russian).
3. Zertsalov M. Sakaniya B. Numerical Modeling of Non-
linear Deformation of Joint Rock Masses under
Compression. Hydrotechnicheskoe Stroitelstvo, 5,
1997 (in Russian).
4. Orekhov V., Zertsalov M. Fracture Mechanics of
Engineering Structures and Rocks. A.A.
Balkema/Rotterdam/Brookfield, 2001.
5. Sakaniya B. Investigation of Joint Rock Masses
Deformation by Numerical and Physical Modeling.
Dissertation, Candidate of Technical Science, Moscow
State University of Civil Engineering, 1997 (in
Russian).
6. Lekhnitskii S. Theory of Elasticity of an Anisotropic
Body. Mir Publisher, Moscow, 1977.
7. Ukhov S., Merzliakov V. Theory of Elasticity Formulas
in Calculations of Stresses of Anisotropic Rock Masses.
Prilogenie Chislennich Metodov k Zadacham
Geomechaniki, Proceedings of MSUCE, pp.136-156,
Moscow, 1986 (in Russian).
8. Urustembekov B. Investigation of Underground
Excavations Stability in Joint Rock Masses by Physical
Modeling. Dissertation, Candidate of Technical
Science, Moscow State University of Civil
Engineering, 1996 (in Russian).
9. Ukhov S. et al. Experimental and Theoretical Method
of Determining Mechanical Characteristics of Rocks.
Prilogenie Chislennich Metodov k Zadacham
Geomechaniki, Proceedings of MSUCE, pp.6-22,
Moscow, 1986 (in Russian).