Rock Mechanics and Rock Engineering 17, 83--95 (1984)

Rock Mechanics and Rock Engineering 9 by Springer-Verlag 1984

Continuous Failure State Direct Shear Tests

By A. Tisa and K. Kovfiri Swiss Federal Institute of Technology, Zurich, Switzerland Summary The paper deals with a new testing procedure aimed at determining the failure envelopes for peak and residual strength in direct shear tests. In a "continuous failure state" direct shear test the specimen is maintained in a state of permanent sliding while the shear and normal stress are being steadily changed. First of all, the specimen is brought to a state of failure in the conventional manner at a chosen constant normal stress. Then under monotonously increasing shear displacement the normal stress is continuously adjusted so that a straight line is produced in the shear stress-displacement plane. Both an increase in the stresses and a decrease is possible. The proper selection of the inclination of the straight line may involve a stress path which corresponds closely to the failure envelope of the specimen. In the case of smooth joint surfaces or in the residual strength state of rough surfaces it is possible to determine exactly the failure envelope with the aid of a single test specimen. The paper also describes a newly developed shear test apparatus suitable for combination with sophisticated servo-controlled loading machines generally available in rock mechanics laboratories. 1. Introduction If one compares the results of conventional triaxial tests with those of direct shear tests on joints or planes of weakness a considerable similarity may be observed. The curves representing the relationship between axial stress and axial strain in the triaxial test exhibit basically the same form as those for shear deformation and shear force in the direct shear test, including the characteristics for peak and residual strength (Fig. 1). These similarities are not merely superficial but are caused by the nature of certain physical processes taking place in the tests. Although the analogy has its limits, it is justified to investigate the possibility of applying analogous test procedures. It is in fact evident from the literature that procedures are occasionally applied in the direct shear test corresponding to those in the conventional and multi-stage triaxial tests. In the following it will be shown h o w the concept of the so-called "continuous failure state triaxial test" (Kov~iri et al., 1983) may be directly
6 Rock Mechanics, VoI. 17/2

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A. Tisa and K. Kov~ri:

adapted to the direct shear test. In triaxial tests the confining pressure and the axial stress are applied such as to cause the test specimen to be permanently in a state of failure. In this way it is possible with the aid of a single specimen to obtain at least parts of the failure envelope for both the peak and residual strength. Similarly, the new type of direct shear test aims at determining portions of the corresponding failure surfaces, rather than just some single points on them. Since it is advantageous to have servocontrol of the shear deformation when determining the peak strength, first

PEAK J w rr" ic/) CC W T

RE

,O.

/
SHEAR OISPLACEMENT d NORMAL STRESS 0

Fig. 1. Characteristic results of direct shear tests on rock joints indicating similarity to triaxial test results

of all the construction of an apparatus suitable for combination with a stiff servo-controlled loading machine is described. By this means an existing very expensive system, as such a machine is, may be utilized for direct shear tests as well. 2. The Direct Shear Apparatus L o m b a r d i and D a l V e s c o (1966) have reported on a shear apparatus which works together in combination with an ordinary in situ concrete testing machine. They have also discussed a testing procedure aimed at determining the friction coefficient of a joint by means of a single shear test. The apparatus described in this paper is based on a similar principle, but because of use in laboratory testing its details match the higher technical and scientific standards required. Fig. 2 shows the test specimen contained in a shear box. To transmit force to the specimen it is encastred in epoxy resin in the usual manner. The shear box fits exactly between two massive L-shaped steel pieces. The normal force (hydraulic jack) and the shear force (testing machine) are applied through one of these L-shaped steel pieces. The other L-shaped steel

Continuous Failure State Direct Shear Tests

85

piece provides the reactions, which are transmitted to a stiff horizontally lying frame and to the lower loading plate of the servo-controlled press. This is achieved by resting the L-shaped steel piece against the front side of the frame as well as on a cylindrical bearing which rests on the lower loading plate. The setting-up of the shear box with the encastred test specimen in the L-shaped steel pieces together with the stiff frame is carried out
S
i

tSPJ'{ERICAL JOINT LOADINGPLA i '

STIFF FRAME

JOINT

ROLL--- ~ '----'-

LOAD CELL . . . -. -. . /,,,___ . .

SPHERI~CAL JOINT
.

/ --/-- i 'LOWERACLE
CALL

,'~DRAUL, ...... OJ ~ A C K
,

LOWERABLEBALL CASTOR( A ) ~

' ~

ILOWERABLE '~' ~ IZYLINDRICALII

jROLLERS [C)II JOINT

'
MOVABLE ASSAMBLY TABLE

Fig. 2. Schematical view of the shear apparatus used in combination with a loading machine

on an assembly table beside the press. At the same time the transducers for measuring shear and normal deformations are mounted. With the aid of the lowerable ball castors (A) and (B) as well as the rollers (C) the shear apparatus, which is now ready for testing, can be easily inserted between the loading plates and the columns of the testing machine. After lifting up the ball castor (A) no further force transmission can take place at this point. The cylindrical joint transmits the vertical loading to the lower loading plate of the press. Since the bearing (B) can only transmit compressive forces the axis of the cylindrical joint and the centre of the spherical joint (above) must lie in a vertical plane. As an adequate measure to prevent lifting-off of the frame at the ball joint (B), a small eccentricity of the centre of the spherical joint (to the right of the vertical plane through the cylinder joint) is foreseen. An eccentricity of 5 mm for example is sufficient and does not influence the distribution of the normal stress on the joint surface to any appreciable extent. The shear apparatus is designed in such a way that both parts of the test specimen can displace and rotate with respect to each other without constraints. This is made possible by the load transfer through the cross roll and the spherical joint arrangement. The centre of the sphere is aligned with the centre of the joint surface at the start of the test. A fairly long hydraulic jack was chosen in order to minimize the component of the jack force due to its rotation under the action of the shear deformations. The hinged load cell placed between it and the specimen was selected on account of its high accuracy, simple calibration and its direct
6*

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A.Tisa and K. KovSri:

electrical signal. The measuring system consists of load cells (S and N) and 6 displacement transducers. The measurement of the relative displacement of the joint surfaces in the directions of N and $ is carried out directly at the joint itself, on both sides of the test specimen, i~ut also by observing the

Fig. 3. The shear apparatus resting on the movable assembly table

Fig. 4. The shear apparatus together with the servo-controlled stiff loading machine during a test relative movements of the loading plates and the L-shaped steel pieces. It is known that tim t w o measuring arrallgements give different resuks ( C r a w f o r d , 1980; L e i c h n i t z , 1981).

Continuous Failure State Direct Shear Tests

87

In Fig. 3 the shear test apparatus ready for use and resting on the movable assembly table is shown. Fig. 4 shows the apparatus in combination with the loading machine. The stiff four columned loading press with a capacity of 3000 kN may be seen on the left side of the figure. To its right is the electronic control and recording unit. In the foreground the stiff frame resting upon the movable assembly table and containing the relatively long hydraulic jack can be seen. Fig. 5 shows a close-up photo of the details of the shear box between the two L-shaped steel pieces with the arrangement of the three inductance type transducers for measuring shear and

Fig. 5. Close-up view of the shear box with the displacement gauges mounted directly on the joint normal deformation as well as any rotation. At the top of the picture is the spherical joint, having two parts, as well as the upper part of the cross-roll joint. Since the assembly table used for setting-up the test as well as the stiff frame which rests on it can be moved very easily, a shear test can be prepared very quickly and after its execution the shear apparatus may be removed so that the loading press is free for other purposes. The mobility of the shear testing apparatus is also very advantageous from the point of view of efficient use of laboratory space. The maximum normal stress and shear stress which can be applied to a joint surface of the size of 24 x 12 cm are 20 N/mm 2 and 100 N/mm 2 respectively.

88

A. Tisa and K. Kovdri: 3. Joints with No Drop in Shear Strength Due to Displacement

Joints with a small amount of surface roughness or joints for which the residual strength has been reached during the course of a shear test do not as a rule show any drop in strength with increasing deformation at constant normal stress. The idealized force deformation diagram of such joints is illustrated in Fig. 6 with a physical model of a sliding block coupled in series with a spring. The coefficient of sliding friction is # and the spring stiffness is K.
T
/

# O=const.

/
. . .

dP 2

. . . . . . . . . . . .

:/~!)

L~ K

/ dp

, d

K arcilln

Fig. 6. Simplified model for smooth joints or rough joints in residual strength state

(d)

-TA

\F(O,~:) : o

SHEAR DISPLACEMENT d

NORMAL STRESS (~

Fig. 7. Different shear-displacement paths (a, b and [ (d)) resulting in portions of the failure envelope

The displacement of the end of the spring d is made up of the spring compression d e and the displacement of the rigid block dr. If one assumes that the normal stress ~r is kept constant then one obtains the stress-displacement diagram, shown on the right of Fig. 6, after one cycle of loading and unloading. The condition for initial slip of the block and thus for reaching the limiting stress r* is thus given by d~ > 0. As long as the normal stress ~r is kept constant the shear stress-displacement relation can only take the form of the horizontal (r* =const.) or the descending straight line of slope K which means no slip ( - 3 * <r<~*). Slip of the block, however, can also occur under the action of continuously changing normal and shear stresses. In Fig. 7 the point A on the left diagram can be taken as the starting point for a new shear test. The stresses r and r~ are such that slip may

Continuous Failure State Direct Shear Tests

89

immediately occur i. e. the point A lies on the failure envelope F (0, r) =0. If the stresses o and r are now increased simultaneously such that in the r - d plane the straight line a with a slope 0 < fi < e is described then any increase in r is accompanied by a slip. For a monotonous increase of r* by Ar the corresponding permanent displacement is given by
Adp=Ar

(cot f l - c o t e)

i.e.

Adv>O.

The straight line a on the left (Fig. 7) corresponds to the curve a which is part of the failure envelope F (0, r) =0. Similar considerations are valid for the straight line b involving a decrease of the stresses. For the simple slip model under the condition of monotonously changing normal stress the following generalised relations are valid: - (H-e) <fl<e
or

Ad>Ad ~

A d ~ > O --*F (0, r ) = 0

(1)

0<fl<e -(H-e)<fi<0 fl=0

F(G'c)=0, F(o,r)=0, F (o,z)=0,

0>0A,

"r>'~A (Linea) r<rA "C=rA

O<OA, O=OA,

(Lineb) (Point A)

One can easily show that the condition (1) can be generalised in that instead of the straight lines a and b (Fig. 7) also curves can be produced by experimental techniques. The condition that a curve z = [ (d) corresponds to the slip condition (F (0, r) = 0 in the stress plane means that the inclination of its tangent remains at any point in the region defined in (1), i. e.
- (H0~) < [' (d)
<

c~.

It is not necessary for the derivative of the curve r = f (d) to be continuous.

SHEAR D I S P L A C E M E N T

Fig. 8. Real shear stress-displacement diagram with a curved transition to the horizontal The question now arises as to what extent the above conceptual model agrees with reality. As may be seen from Fig. 8 the main difference between the ideal elasto-plastic model and the shear behaviour of the rock consists

90

A. Tisa and K. Kov~ri:

mainly in the transition from the straight line portion of the curve with the slope ~ to the horizontal portion corresponding to slip. Instead of an abrupt transition (Fig. 6) one observes with actual material a rounding-off of the curve. Thus if one wants to obtain accurately the limit condition F ((r, r) = 0 then the slope should be confined within the limits -~o ( H - a ) <fl <~o~, where in the author's experience the value co =0.5 gives results well on the safe side. The knowledge gained from the simple model can be put into practice with shear tests on joints having smooth surfaces or to determine the residual strength envelope. Since the specimen is always in a state of slip during this type of test it is appropriate to employ the term "continuous failure state" (CFS) direct shear test. The experimental arrangement required is shown schematically in Fig. 9. It is necessary that the shear stress, normal

S~

SE~I T

XY

NT

S Shear force,

Fig. 9. Schematic diagram of the test monitoring arrangement ST Load transducer, N Normal force, NT Load transducer, displacement transducer, X Y Recorder

DT

Shear

stress and shear displacements are monitored continuously. The two x - y recorders enable the separate recording of the shear stress-shear displacement development and that of the corresponding stress path. Examples of CFS-direct shear tests for residual strength determination are given in Fig. 10. Sawn planar surfaces of granitic specimens (15 x 12 cm) were selected. As shown in the figure the test No. 1 started at the selected normal stress of (r =1.0 MPa which was kept constant until the shear stress had reached the level of ~:~0.43 MPa (point A), necessary to cause plastic displacements along the discontinuity. Hereafter the specimen is subjected to a constant rate of shear displacement, whereas the normal stress is continuously increased in such a way that the pen of the x - y recorder actually follows the chosen line a. As a result the curve a is described in the stress plane being identical with the failure surface of the tested joint surface. The test No. 2 started at the selected normal stress of 0"=4.0 MPa and proceeded from the point B downwards along the line b involving steady decrease of the normal stress. The agreement of the tests results are not surprising considering the lack of asperities of the artificially prepared joint surfaces. The

Continuous Failure State Direct Shear Tests

91

expectations from the simplified model behaviour (Fig. 6) are completely fulfilled by these tests. The behaviour of slicken sided joint surfaces where asperities or teeth have already been sheared through is similar to that of
~3D. :E 03 2 a B r

I.\ "'.~/ / " ./'~" 03 9 L U 0 3 E

/b

t;.r

I.03 <r 03

~'./7"
/No. 1 /'

\..

\.
"~'.
'~..

P 03
LU
/

..//~A

"j~
1 NORMAL

,
2 STRESS O

,
3 (MPa)

SHEAR

DISPLACEMENT

(mm)

Fig. 10. Two CFS-direct shear tests with sawn planar granite surfaces providing failure envelope

sawn planar surfaces. Therefore, the same procedure may be applied to determine the residual shear strength envelope. Further results presented in the next section demonstrate clearly the validity of the CFS-direct shear test concept for such purposes. 4. Joints with Peak and Residual Shear Strength Irregular joint surfaces exhibit due to the roughness or interlocking teeth a drop in shear strength with increasing deformation. The diagrams shown in Fig. 1 are typical for such discontinuities, although the shear displacements required to reach residual strength level may vary considerably for different rock types and probably also for different degrees of surface irregularities. The gradual loss of apparent cohesion is a very complex process involving fracturing of the asperities and teeth and also the simultaneous development of sliding friction. So far experimental studies have been limited to the condition of constant normal stress during this progressive failure. As in rock structures any failure process - - even in rock slopes - - also involves changes in the state of stress, it is desirable to investigate the effect of continuously varying normal and shear stresses during failure. Therefore, a series of tests on two types of materials with a different degree of surface interlocking have been carried out. These experiments were also intended to find out how the "continuous failure state" (CFS) test concept can be adopted to determine the peak shear strength envelope of rough joints. To facilitate sample preparation a commercially available type of brick with tensile fracture surfaces and cast cement mortar specimens having a regular set of teeth have been selected. The uniaxial compression strengths of these materials are very similar, ranging from 29 MPa for the brick to 32 MPa for the cement mortar. The irregularities on the fracture surfaces

92

A.Tisa and K. Kov~iri:

of the brick were within _+2 mm for a specimen size of 15.0 x 9.5 cm. The geometry of the teeth of the cement mortar specimens is shown in Fig. 12 and Fig. 14.

Testing Procedure:
The experimenting technique is based on the concept of CFS-triaxial tests which has been dealt with in detail elsewhere (Kov~tri et al., 1983). The CFS-direct shear tests however may be carried out both with increasing and decreasing normal stress. In Fig. 11 the results of two such tests

6 ~

6-

9 conventional

teat

5-

o. 4 =E

o.

4-

Lu Cc I-

3-

uJ " I,uJ

3A

I11 ::I:: 2 -

w z 2

\No.

0.4 SHEAR

0.8 (ram)

I 1

3 STRESS (MPa)

DISPLACEMENT

NORMAL

Fig. 11. Two CFS-direct shear tests compared with results of conventional single failure state tests (brick with tensile fracture surface) carried out with brick specimens are shown. The sample No. 1 reached the first failure state at the selected constant normal stress of 2.0 MPa. Subsequently, at a given rate of shear displacement the normal stress was increased such as to describe a straight line. As a result the line ~ describing the stress path was obtained. The sample No. 2 reached the first failure state at a constant normal stress of 4.0 MPa at point B. Hereafter the normal stress was continuously decreased causing decrease in shear stress. For the unloading curve b the stress path b was obtained. The line b shows a good agreement with the results of conventional tests whereas the line differs considerably. The explanation is seen in the larger shear displacements per unit shear stress involved in the generation of line a in the shear stress-displacement diagram. For straight lines a having a slope corresponding to that of the linear portion of the initial shear stress-displacement dia-

Continuous Failure State Direct Shear Tests

93

gram a good agreement with conventional test results is expected. In Fig. 12 the recording of a complete CFS-shear test is presented indicating the technique to determine both the peak and the residual strength envelope with the aid of just one single specimen. The test starts from the initial peak failure state at the selected normal stress 3.0 MPa at point B. The shear displacements measured directly at the joint (dl) and at the loading plate of

61
s a /1

convontona est
i

w 3-~|

I 2mm

3 (MPa)

SHEAR DISPLACEMENT(mm)

NORMAL STRESS

Fig. 12. Results of a CFS-direct shear test to determine peak and residual strength envelope dl: displacements at joint, d2: displacement of the plates of loading machine (cast mortar with regular teeth)
the testing machine (d2) differ by a factor of an order of magnitude. The difference is brought about mainly by the deformability of the epoxy resin surrounding the specimen in the shear box and less by the compressibility of the steel components of the apparatus. Although further displacements of the loading plate d2 at point B were prevented a differential movement of the joints (dl) occurred during the continuous decrease of the normal stress. The decrease of normal stress coupled with continuous slip on the joints caused a decrease also in shear stress. The corresponding stress path shown on the right agrees fairly well with the conventional test results. At point C the normal stress was again abruptly brought to the value of 3.0 MPa. At constant normal stress the specimen was subjected to large shear displacements until the residual strength value at D was thought to be reached. Starting from this point the residual shear strength envelope was determined according to the procedure outlined in the previous section. It is worth mentioning that the shear displacements dl starting from the point B were simultaneously accompanied by normal displacements causing dilatancy. In

94

A.Tisa and K. Kov~ri:

Fig. 13 the results of a series of CFS-shear tests carried out b o t h with increasing and decreasing stresses are shown. T h e scatter in residual strength
6-

o. 4 u) o0 uJ r 3 I~o

o3

9 conventional ~

test

I 1

I 2

I 3

I 4

I 5

NORMAL

STRESS

(MPa)

Fig. 13. Brick material. Results of conventional tests and CFS-tests

g:3-

f
conventional I 1 L 2 I 3 test J 4

NORMAL

STRESS

(MPa)

Fig. 14. Cement mortar. Results of conventional tests and CFS~tests was confined to the n a r r o w shaded area. T h e p e a k strength of this material, however, exhibits a considerable scatter irrespective of the type of the e x -

Continuous Failure State Direct Shear Tests

95

perimental procedure. Single failure states of peak strength are indicated by the full and the hollow circles, the latter being the starting point for CFSshear tests. In Fig. 14 the four CFS-shear tests applying decreasing stresses show reasonable agreement with the results of conventional tests. The dashed line differs considerably from the other curves due to the greater amount of slip permitted during these tests (Fig. 10). The residual strength results from all of the tests are again confined to a narrow band.

Conclusions
The concept of "continuous failure state" (CFS) direct shear test was shown to furnish the exact failure envelope for the residual shear strength. The determination of the peak strength envelope of rough surfaces or those with teeth seems also to be possible provided that only a small amount of slip per unit shear stress is permitted during the tests. A series of tests on two different materials with different degrees of interlocking has shown very encouraging results. The new shear test apparatus for combined use with a servo-controlled loading machine which is now available in most rock mechanics laboratories has proved to be very useful in conducting CFS-direct shear tests. References C r a w f o r d , A.M. (1980): Rate Dependent Behaviour of Rock Joints. Ph. D. Thesis, University of Toronto. Kowlri, K., Tisa, A., Attinger, R. O. (1983): The Concept of "Continuous Failure State" Triaxial Tests. Rock Mech. and Rock Engng. Vol. 16/2, 117--131. Leichnitz, W. (1981): Mechanische Eigenschaften yon Felstrennfl~ichen im direkten Scherversuch. Ver6ff. d. Inst. f. Bodenmechanik und Felsmechanik der Universit,it Fridericiana in Karlsruhe, Heft 89. Lombardi, G., Dal Vesco, E. (1966): Die experimenteUe Bestimmung der Reibungskoeffizienten fiir die Felswiderlager der Staumauer Contra (Verzasca). Proc. 1st Congress of the Int. Soc. Rock Mech., Lisbon, 571--576.