Engineering Geology, 14 (1979) 241--254 241

© Elsevier Scientific Publishing Company, Amsterdam -- Printed in The Netherlands

A SIMPLE FAILURE CRITERION FOR ROUGH JOINTS AND COMPOUND

SHEAR SURFACES

H. BOCK
Department o f Civil and Systems Engineering, James Cook University o f North Queensland,
Townsville, 4811 (Australia)
(Received July 31, 1978; accepted January 25, 1979)

ABSTRACT

Bock, H., 1979. A simple failure criterion for rough joints and compound shear surfaces.
Eng. Geol., 14 : 241--254.

The subject under investigation is the strength of a single shear plane which exhibits a
regular, asymmetric roughness pattern. In the shear direction the asperities are so steeply
inclined that the joint becomes mechanically non-effective with the result that the asperi-
ties are sheared off. Against the shear direction the asperities are only gently inclined. It
is shown that this particular roughness pattern is of some general importance in geomechan-
ics (examples: unconfined compression test; shear plane with secondary fractures).
Simple analytical considerations allow the formulation of a shear criterion, which is de-
pendent on friction angle ~m and cohesion cm of the intact rock and on the inclination At
of the gently inclined parts of the asperities which are dipping against the shear direction.
In the Mohr-diagram the criterion results in envelopes which converge at high normal stresses
against the envelope of intact rock. Furthermore, the criterion expresses that both the
slope of the envelopes and the dilation angle continuously decrease with increasing normal
stress. Therefore the criterion adequately describes features which are regarded as most
important when shearing rough joints or compound shear surfaces.

INTRODUCTION

T h e e v a l u a t i o n o f t h e shear s t r e n g t h o f p o t e n t i a l failure surfaces, w h i c h m a y

c o n s i s t e i t h e r o f c o n t i n u o u s w e a k n e s s planes s u c h as b e d d i n g p l a n e s o r o f a
m o r e c o m p l e x p a t h f o l l o w i n g in s o m e p a r t s d i s c o n t i n u i t i e s a n d in o t h e r p a r t s
i n t a c t r o c k , is o f basic i m p o r t a n c e in a l m o s t e v e r y r o c k c o n s t r u c t i o n . Con-
s e q u e n t l y , m u c h e f f o r t has b e e n d i r e c t e d t o this p r o b l e m , r e s u l t i n g in i m p r o v e d
shear-testing t e c h n i q u e s , a b e t t e r general u n d e r s t a n d i n g o f t h e s h e a r b e h a v i o u r
o f r o c k masses, a n d t h e f o r m u l a t i o n o f s o m e a d v a n c e d s h e a r - s t r e n g t h criteria.
T h e s h e a r s t r e n g t h o f failure surfaces is c o n t r o l l e d b y a large n u m b e r o f
factors. S o m e i m p o r t a n t f a c t o r s are t h e stress s t a t e ( p a r t i c u l a r l y t h e e f f e c t i v e
n o r m a l stress % a c t i n g across t h e failure plane), t h e m a t e r i a l p r o p e r t i e s ( m o s t
c o m m o n : f r i c t i o n angle ¢ a n d " c o h e s i o n " c), e n v i r o n m e n t a l c o n d i t i o n s (e.g.,
w e t o r d r y shear surfaces), a n d t h e r o u g h n e s s o f t h e s h e a r - p l a n e surface.
R o c k m e c h a n i c s r e s e a r c h in t h e last d e c a d e has d i r e c t e d p a r t i c u l a r i n t e r e s t
t o w a r d s t h e p a r a m e t e r " r o u g h n e s s " o r s h e a r p l a n e s a n d its i n f l u e n c e o n t h e
242

shear strength properties (most recently: Fecker, 1977). This paper is a further
contribution to this continuing problem.

FORMULATION OF THE PROBLEM

The papers concerned with the formulation of roughness-dependent friction

laws may be classified into two groups.
Group 1. Consideration of a regular roughness pattern as indicated in Fig.la
and b. The most notable contributions to this case were by Patton (1966) and
Goldstein et al. (1966).
Group 2. Consideration of an irregularroughness pattern as indicated in
Fig.lc. This case was considered by authors such as Ladanyi and Archambault
(1970) and Barton (1973).
In both groups the theoretical considerations of the shear strength prop-
erties either directly (e.g., Patton, 1966) or indirectly {e.g., Barton, 1973) are

TYPICAL ROUGHNESS PROFILES for JRC range:

0-2

N
"~ 2-4

4-6

4 ~ 6-e

® ~ ~ 1o-,2

9 p - ~ . _ ~ - - - - ~ - - - ~ 16- 18

IO ] 18 - 2 0

o 5
L .IjI) cm $¢/IL|

©
Fig.1. Surface roughness pattern of shear surfaces considered in previous investigations.
Regular pattern with: (a) sawtooth asperities of the shear plane (after Patton, 1966),
(b) compound shear surface (after Goodman, 1976); (c) irregular pattern: roughness
profiles of natural joint surfaces (after Barton and Choubey, 1977).
 243

based on the angle i which measures the inclination o f the asperities with re-
spect to the mean shear surface (Fig.la). The literature does n o t explicitly de-
fine the range o f the angle i, b u t it is usually considered to lie between 0 ° and
+45 °.
Without d o u b t the choice of this parameter i is meaningful for a great
variety of different rock situations, particularly under certain natural joint
patterns (compound surfaces, as indicated in Fig.lb) or when correlating the
roughness angle i with the dilation angle ~ of a shear test. However, there are
some situations in rock mechanics in which the formulation o f the shear
strength of rough joints in terms of the inclination angle i appears to be less
favourable. Such a situation is illustrated in Fig.2. In this case the roughness
pattern of the shear surface is dominated by t w o features: (1) relatively steeply
inclined upriding parts of the asperities which m a y be t o o steep to be ac-
tivated as local shear planes; (2) a relatively low inclination 7 o f those parts
of the asperities which " b r u s h " against the shear movement.
The case considered can probably be best described by the term "reversed
Patton case" as it encompasses a similar regular roughness pattern already in-
troduced by Patton (1966), b u t with the direction o f the shear movement re-
versed (compare Figs.la and 2).
G o o d m a n (1976) and Hoek and Bray (1977) discussed this case from the
viewpoint of rotational (or toppling) shear. However, it can be shown b o t h
theoretically and b y studying certain natural fracture patterns (e.g., en ~chelon
structure) that for relatively small angles o f 7 (definition o f 7 : see Fig.2) a
failure mechanism other than rotational shear becomes effective. This new
mechanism is the c o m m o n single block m o v e m e n t on a rough shear plane
which includes shearing o f f steep asperities and opening o f those parts of the
shear surface which dip against the shear direction.
The case in w h i c h m a j o r parts of the shear surface are of regular shape and
dipping with a small angle 7 against the shear direction (0°< 7 ~< 30 °) is the
subject of this paper.

.. /"~ . ~ Mean

Fig.2. Roughness pattern considered in this paper: (a) steep and irregular "up-riding"
parts of the shear surface (inclined with i); (b) flat dipping and regular parts orientated
against ("in rough direction") the shear direction with the angle -/.
244

Compa~L_.d._debris~ /Chatter marks

~_~...I~.. ~ .---~.--,-~....-~.
..I~. •~
• . . ' • . . • .

20 ound rock

Fig.3. Schematic cross-section of a shear zone with chatter marks and "Riedel shears"
(bottom), both "brushing" against the shear movement (from Coulson, 1972).

SIGNIFICANCE OF THE CASE CONSIDERED

The significance of this case in rock mechanics is, in the author's opinion,
greater than may be expected at first glance. Two examples should support
this opinion.
Example 1. A typical result of the shear tests performed by Coulson (1972}
is shown in Fig.3. When analysing the gouge zone of a shear plane he found
that " b o t h the chatter marks in the rock flour and the step-like features in the
b o t t o m of the gouge trough were orientated so that shear across them was in
the rough direction" (p. 86). Reviewing the literature, Coulson was moreover
able to show that the occurrence of these features is quite c o m m o n in the
whole field of geomechanics, indicating the basic importance of these structures
for m a n y shear problems.
Both "chatter marks" and step-like fractures (= "Riedel shears") were
identified by Coulson as secondary fractures which occur after the main shear
surface has been developed and after the peak strength was exceeded (see
also Skempton, 1966; Morgenstern and Tschalenko, 1967; Mandl et al., 1977).
These secondary fractures, however, m a y become significant in the eva~uation
of the peak shear strength o f already existing failure surfaces, e.g., when a
geologic fault with secondary fractures is re-activated by man-induced loads,
which is a c o m m o n situation in rock engineering.
Example 2. When compressing brittle material, it is a c o m m o n and well-
known feature that axial cracks occure before the ultimate strength is reached.
Although the exact failure mechanism of the sample is still not fully understood,
it seems that the problem, at least in some cases, is connected with the question
of the strength o f a shear plane which runs in some parts with axial fractures
and in some other parts through intact material (Fig.4). Fig.4 indicates that the
geometric relationship of axial cracks to potential shear plane leads to just the
case considered in this paper.

SHEAR FAILURE CRITERION

The critical areas which control the strength o f the potential shear surface
are: (a) for the case o f rough and continuous joints (e.g. as indicated in Fig.2),
those areas in which the asperities are sheared off; (b) for the case of non-
continuous joints (e.g. crack arrays such as indicated in the detail of Fig.4),
 245

Fig.4. Transition from axial cleavage fracturing to a possible failure mechanism in a

uniaxial test of brittle rock. Note (detail) the importance of the case considered in this
paper for formulating the transition problem.

the material bridges. The analytical formulation derived below is identical for
both cases.
Fig.5 shows in detail a bridge of intact material (or analogously, an asperity
to be sheared off) in the neighbourhood of two parallel cracks which are in-
clined towards the mean shear surface by the angle 7. It can be expected that

.~ Nn

"l'rl a

~ local shearp[ane
. ~ bridge of intact rock

-- I - - ; ~ongal ~ ~B . ~ ~ , ~. . . . ,¢/ --'shearplane

pre-existing crack ~ " ~ :. "', e~o~c~

B
Fig.5. Geometry of pre-existing cracks and local shear plane which develops when the
strength of the mean shear plane is exceeded.
246

the area of intact rock is sheared when the strength of the overall shear plane
is exceeded. For simplicity it is assumed that the developing local shear plane
through the intact rock bridge is straight with an inclination i in respect to
the mean shear plane.
Let us consider the shear stability of the elementary wedge A B C , as indicated
in Fig.5. Assuming an immediate opening of the pre-existing cracks at the onset
of the overall shear m o v e m e n t (no-friction condition), and assuming further-
more a Mohr-Coulomb shear failure criterion for intact rock then:

Tm = C m + Om t a n ~)m

or:

Tm = c m B C + Nrn tanCm (1)

with cm = cohesion of intact rock, and ~m = friction angle of intact rock.

The wedge is subjected to the global shear and normal stresses r n and %,
respectively:
AC AC
Tm = Tn - - ~ - c o s / - N n~ sini

AC AC -
Nm = Tn 7 s i n / + Nn 7 cos/ (2)
with N n = normal force o f mean shear surface, Tn = shear force of mean shear
surface, and A = total area of mean shear surface.
At failure it is (substituting eq. 2 in 1):

Tn= CmSC A + Nn tan (era + i-)

A-C c o s / ( 1 -- t a n / t a n ~m )

or:

BC
Tn = C m __ + % tan (~m + i)
A C (cos f - - sin f t a n ~m)
Using simple trigonometric relationships, the angle ~ can be introduced,
resulting in:
sin -/ (3)
Tn = Cm + % tan (¢m + ~ )
sin (~/+ ~ ) (cos [ - - s i n / t a n ~m)

Eq. 3 is a linear rn/o n relationship.

To realisetl~epotentml of this equation some examples are outlined in the
following. In the examples presented an angle of internal friction for intact
rock of 30 ° is assumed, however, any other reasonable angle, including ~m --0°,
m a y be selected without changing the results in principle.
 247

"1-

.G._~
0.2 0,I. ~c

Fig.6. S h e a r s t r e n g t h c o n d i t i o n s for s o m e s e l e c t e d / - v a l u e s for t h e case o f -/ = 2.5 °. N o t e

t h a t t h e s t r a i g h t lines d e s c r i b e a n e n v e l o p e w h i c h is t h e locus o f t h e l o w e s t s h e a r s t r e n g t h
ever possible at a c e r t a i n an/a c level. (a c is t h e u n i a x i a l c o m p r e s s i v e s t r e n g t h o f i n t a c t
r o c k ; u n d e r t h e a s s u m p t i o n s m a d e , e.g. M o h r - C o u l o m b failure c r i t e r i o n a n d ~m = 30°,
it is c m = 0 . 2 8 9 . % ) .

Fig.6 shows the set o f straight lines for the case of 7 = 2.5 ° and some selected
i-values. In this as well as in the following figures both shear strength r n and
normal stress a n are divided by the uniaxial compressive strength of intact rock
% in order to arrive at a non-dimensional graph. The most obvious results can
be described as follows.
(1) The straight lines are arranged in such a manner that t h e y describe an
envelope. This envelope is the locus of the lowest shear strength ever possible
at a certain normal stress level, indicating t h a t this will be the mechanically
effective shear strength.
(2) The slope of the envelope gradually decreases with increasing normal
stress an . At high normal stresses the envelope converges towards the strength
curve o f the intact rock material.
(3) The mechanically effective dilation angle ~ is continuously decreased
with increasing normal stresses a~. It can be seen from Fig.6 t h a t a relatively
low level of an/% (example: an/a ~ = 0.1), the effective dilation angle i is tel-
O" • •
atively high (our example: i -~ 12 ) whereas at a relatively hzgh an/ae level,
lower i -values occur (e.g., for an/% = 0.5 it is ~ ~- 4 ° ).
The general properties listed above are in agreement with observations of
the shear-strength behaviour o f rough joints and with results of some other
248

already existing shear-strength criteria such as that derived by Ladanyi and

Archambault (1970).
The finding that the envelope is the locus of the lowest shear strength at a
certain on level suggests that:

~T n
a7 - 0 (4)

with back-substitution into 3. This would reduce the number of variables in

the shear failure criterion from four to three, being the t w o material constants
cm and ~m and the geometric parameter ~/of the joint. An analytical solution
of eq. 4, however, proved to be difficult and it was found favourable to approxi
mate it numerically or to arrive at it graphically as was done in this study.
Fig.7 displays the envelopes of the joint for different 7-values. In the follow-
ing, four aspects of the envelopes will be discussed in more detail.
(1) As mentioned before there is a convergence of the envelopes towards
the Mohr-envelope o f intact rock at high normal stress o n . This effect can
easily be demonstrated analytically by substituting ~ = 0 ° into which yields;
Tn ---- Cm ~- On tan ¢~ (5)
The on level at which the joint envelope becomes "very close" to the intact
rock envelope depends sensitively on 7.
(2) When 7 approaches zero, there is a convergence towards the straight-
line envelope for smooth joints:

i ,2
f

Gn
0 0.2 O.l, (~c

F i g . 7 . S h e a r s t r e n g t h e n v e l o p e s f o r s o m e -f v a l u e s .
 249

Tn = 0 n tan ¢u

with:

Cg = Om (6)

and

[-*0
in which Cg denotes the angle of frictional sliding resistance of smooth joint
surfaces. This result is of interest in so far as it enables a physical interpretation
o f Cg and Cm as identical values, which from experimental evidence has al-
ready been suggested by authors such as Patton (1966) or Ladanyi and Archam-
bault (1970, p . l 1 2 ) .
(3) Cohesion intercepts do exist. Consideration of cohesion implies % = 0
and for this case it is now feasible to formulate:

~ r n - 0 ( a t % = 0) (4a)
57

in order to arrive on the mechanically effective dilation angle i. The result is:

i = 45 ° -- 7 + ~ -
2 (7)

indicating that because ~ > 0 the maximum possible dilation angle is:

- ~)m
lmax < 45° -- '2

For % = 0 upriding on asperities b y sliding is possible only if their inclination

angle i is:
i < 90 ° -- ¢~. (8)
Otherwise, at very steep inclinations o f the asperities -- and this is the case
which has been assumed in this study (cf. section " F o r m u l a t i o n of t h e P r o b l e m " )
- - shearing through asperities occurs even at zero normal stresses, giving rise to
the existence o f a small cohesion o f the joint.
(4) The cohesion intercept suggests that there is a certain tensile strength
o f the joint which, at first glance, appears to be contradictory. In Fig.8 the
case of 7 = 5 ° and ~m = 30° is presented showing in detail the failure envelope
for negative normal stresses % as determined by the developed criterion. The
envelope in this section, of course, is valid only if the assumed preconditions
are maintained, particularly that the asperities are so steeply inclined that
they are sheared off. This condition is in any case realised for non-continuous
joints such as crack arrays (Fig.8, case a) and for this particular case the exis-
tence of a certain tensile strength is rather obvious.
250

:5 ° '[
era: 3001

~gend

Crack a r r a y

I Continuous joint

= point of the envelope

indicating
mechanically effective
dilation angle
t h e r e 55 ° ]

+ Lma x

Fig.8. Detail o f t h e s h e a r s t r e n g t h e n v e l o p e for negative (-- tensile) n o r m a l stress o n.

(Case ~m = 30° a n d "y = 5°.)

For c o n t i n u o u s joints, however, the particular p r e c o n d i t i o n will n o t h o l d

at a certain n o r m a l stress level. T h e n sliding alongside t h e m a x i m u m slope of
the asperities will occur. The sliding c o n d i t i o n can be described by:
Tn = on tan (¢u + i) (9)
Fig.8 indicates t h a t for inclinations o f the asperities i greater t h a n 90 ° -- ~u
negative n o r m a l stresses o n are indeed~ needed to initiate sliding w h e n a certain
shear stress Tn (Tn :/= 0) is already applied. The result is a shear strength en-
velope which is m a d e up o f t w o parts: a linear branch passing t h r o u g h the
origin, whose slope d e p e n d s on the m a x i m u m inclination o f the asperities, and
a curved branch converging t o w a r d s the envelope for i n t a c t rock. If the max-
i m u m inclination of t h e asperities is less t h a n 90 ° - - ~ , t h e n the linear cut-off
 251

curve lies in the sector for positive normal stresses and the resulting envelope
is similar to those which have been suggested by Patton (1966) and Barton
(1973).

EFFECTIVE DILATION ANGLE

Finally, some brief considerations on the effective dilation angle ~ should

be made. In Fig.9 the locus of those points of the envelopes is graphed where
the angle ~ has the distinct values of 5 ° ; 10 ° ; 15°; ... 30 °. At first glance it
seems t h a t there exists no simple relationship between the angle i and either
a, or Tn. Fig.10 presents the information given in Fig.9 in a modified form
and extends it for Or,, of 20 ° and 40 ° . This figure was designed in order to
enable a comparison between the results which have been derived in this paper,
and some experimental data which can be f o u n d in the literature (particularly
the data presented by Barton, 1973 and his table I and his fig.9). It is f o u n d
that Barton's approximation of his experimental data:
Tn
" = tan (23 + 30 ° ) (10)
On

coincides reasonably well with what has been theoretically derived in this
paper, particularly when considering small v-values. An even better fit would
be possible when substituting for 30 ° the angle (era + 7). The theoretical find-
ings of this paper furthermore suggest that Barton's second empirical relation-
ship:
i = 10 log,o (oc/on) (11)

1:.
6= 10.=30°1
0,4

== 0 ° ^ ~ end for

T ~'. / / " 0'3125°

. 0,625°
~i ° / /" - 1.250
/ / o 2,5 °
:~ • o 5 °

~e/o * 10°
0,1 o°
,~ 30°

I I
o 0,2 o,l.

F i g . 9 . L o c u s o f t h o s e p o i n t s o f t h e s t r e n g t h envelopes which are c h a r a c t e r i z e d b y the

o c c u r r e n c e o f the particular dilation a n g l e s i = 5 ° ; 1 0 ° ; 1 5 ° ... 3 0 ° .
252

r,"
~ol / ." t~ .~oi,. / ,
| I" I" // /II
i ,," / .., ,"/ ,Z/,;
2 I I//.X
/;,
.,. ,." ., I "/

6ot
•
/
,"
,.- ///.,,,
if..,/'/"
'
/,.?" ~
/,."/" ,,;:'.,Z
/,/;',,?x/
/ -' ./.G3.:;" /,;"//-"
l / .,Sd,;,' /...~, .~-
<o ,/',...;£'

o~ 5' lo' ~' 20' 25, :t ~ 1'o ,~ ;~0 25 1o1~l

•"/ / / / BARTON's approximation

../ "'// - / "/" . / / ' / // T=lo iOglo(~c / G"n I /

80
,'" ,.. ..""f,.';" li~
." .i ~ " f l
., ,-~,.s- ~ ~ooI ,/,-:y?'
60 ¸
," ..,.',td-,,~ ' °°= "" "
/f...-'~./
'

/Z/Dr
//.~.y"
~.×;.. •
40 ¸
/ BARTON'sapproximation / /

10 15 20 215 ['] = I 5 II0 15 210 25 [,]~-.-T

/ / / /
./'" / // .., . /

80 /' / /'/'.1/ /
• .. // /

•-"/,-;'/. 1 o..<oo = ,,',;7

60
~.) / ___ ~: ~.~o i ....Ii i;/

40
/ . . . . . . ~-=~o<> ~ //':~
/ ..... :_. ~:~o: i 7
/ ......... <.,o. 1/
BARTON (1973}V

Fig.10. Relationship between dilation angle iand the stress state of the joint at failure,
presented in accordance with Barton (1973).
 253

again is a reasonable order of magnitude estimate. From Fig.10 it can be real-

ised that the angle 7 is n o t very sensitive in influencing the relationship be-
t w e e n log ac/On and 7.

DISCUSSION

It appears remarkable that, only by introducing an inclination for the

descending parts of a failure surface, the theory automatically results in some
features, such as a curved shear strength envelope or decreasing dilation angle
with increasing normal stress, which are regarded as c o m m o n when shearing
rough joints or c o m p o u n d failure surfaces in rock.
The derivation of the shear strength criterion was based on several assump-
tions. The most important are:
(1) Parallel cracks (non-continuous shear surfaces) or regular portions which
dip at low angles against the shear movement (continuous joint surfaces)
(2) Opening of the cracks at the onset of the overall shear movement. This
assumption becomes questionable at angle of 7 close to zero.
(3) Development of straight local shear planes in the bridges of intact rock
(case of non-continuous shear surfaces) or in the asperities to be sheared off
(case of rough continuous surfaces).
(4) Assumption of a Mohr-Coulomb failure criterion for intact rock. How-
ever, it should be realised that the derivation of the shear criterion is principally
not restricted to this particular failure criterion. Any other suitable criterion
may be introduced, although this procedure may result in more complicated
and less illustrative mathematical formulations.
Considering these assumptions it is imperative to check the derived shear
criterion by in-situ and/or experimental shear tests. Appropriate experimental
studies have already been initiated.

ACKNOWLEDGEMENTS

The author would like to express his appreciation to Nick Barton (Oslo) and
Herbert Kutter (Bochum) for their comments on the first draft of this paper.

REFERENCES

Barton, N.R., 1973. Review of a new shear-strength criterion for rock joints. Eng. Geol., 7:
287--332.
Barton, N.R. and Choubey, V., 1977. The shear strength of rock joints in theory and
practice. Rock Mech., 10: 1--54.
Bock, H., 1976. Geometrische Eigenschaften yon Kluftfl~chen und ihr Einfluss auf die
Festigkeit geologischer KSrper. Habil-Schr. Univ. Bochum, 201 pp.
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Fecker, E., 1977. Hydraulisches Analogon zum Spitzenreibungswiderstand auf grossen
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254

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