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Direct shear strength test on rocks along discontinuities, under laboratory

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DOI: 10.1556/Pollack.9.2014.3.15

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 POLLACK PERIODICA
An International Journal for Engineering and Information Sciences
DOI: 10.1556/Pollack.9.2014.3.15
Vol. 9, No. 3, pp. 139–150 (2014)
www.akademiai.com

DIRECT SHEAR STRENGTH TEST ON ROCKS

ALONG DISCONTINUITIES, UNDER LABORATORY
CONDITIONS
1
Ildikó BUOCZ, 2Nikoletta ROZGONYI-BOISSINOT, 3Ákos TÖRÖK
4
Péter GÖRÖG

Department of Construction Materials and Engineering Geology, Budapest University of

Technology and Economics Budapest, Műegyetem rkp. 3, H-1111 Budapest, Hungary
e-mail: 1ildikobuocz@gmail.com, 2Rozgonyi.boissinot.nikoletta@gmail.com,
3
torokakos@mail.bme.hu, 4gorog.peter@mail.bme.hu

Received 2 October 2013; accepted 16 June 2014

Abstract: This paper presents a brief summary of the main existing shear strength test
methods on both intact and fractured rocks, such as the triaxial, half-half notched specimen and
direct shear strength tests. A detailed description of how to carry out a direct shear strength test on
rocks along discontinuities are provided, supported by test results. The analyses include the
interpretation of the tests and the calculation of the maximal and residual shear strength, as well
as their angle of friction and apparent cohesion. These parameters depend on the properties of the
rock and the discontinuity, such as the joint surface roughness, the rock texture orientation, the
filling material, the thickness of the discontinuities, the scale effect and the magnitude of the
applied normal force during the test. Their effect is discussed.

Keywords: Direct shear strength, Joint, Angle of friction, Granite, Claystone

1. Introduction
The shear strength of rocks describes their behavior in nature, in terms of stability.
In the fields of mining, tunneling and slope stability, the correct evaluation of this
parameter is essential for the appropriate design of natural and engineered slopes and
cavities. Already in 1966 Patton [1] started experimental works focused on how to
determine the shear strength of rocks, which were followed by the work of Ladanyi [2],
Barton and Choubey [3]. They established the fundaments of the shear test methodology
used today.
If the properties of the intact rock have to be determined, triaxial or half-half
notched specimen tests should be used. On the other hand, when the connection

HU ISSN 1788–1994 © 2014 Akadémiai Kiadó, Budapest

140 I. BUOCZ, N. ROZGONYI-BOISSINOT, Á. TÖRÖK, P. GÖRÖG

between two rock blocks has to be investigated, triaxial and direct shear strength tests
are suggested to be performed. Direct shear strength tests are widely used today. The
latest developments in this context include the work carried out by Towhata et al. [4],
who examined sandstone and black mudstone from Taiwan. Boulon et al. [5] worked
with French calcite healed discontinuities in granodioritic rocks and Geertsema [6]
performed tests on South-African granite. Buocz [7] carried out tests on Hungarian
granite and claystone.

2. Test methods for determining shear strength on intact rocks

The triaxial test is the best-known way to determine the cohesion and internal angle
of friction of intact rocks. The cylindrical specimen is placed in the triaxial cell, where
axial and constant fluid pressure is applied. Increasing the axial pressure causes the
failure of the sample, by reaching the triaxial compressive strength [8]. The test results
performed on several specimens allow defining the failure curve. If the magnitude of
environmental pressure is known, the cohesion and the internal angle of friction of the
rock can be determined.
The half-half notched specimen test is used when the shear strength of an intact rock
has to be determined. The sample is either cylindrical or prismatic, with the sides
parallel to the vertical axis. At one third and two third of the height, a horizontal cut is
made from opposite directions, from the external surface of the sample down to the
vertical axis (Fig. 1).

Fig. 1. The half-half notched specimen [7]

Due to the axial compressive pressure, the sample shears between the two cuts, in
axial direction. From the results of the test, the shear strength of the sample can be
determined [9]. The difficulty of this method is the proper and exact sample preparation.
The direct shear strength test is rarely used on intact rocks due to the extremely high
loads that should be applied for the shearing of the sample. On the other hand, for soft
rocks, this test is feasible.

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 DIRECT SHEAR STRENGTH TEST ON ROCKS ALONG DISCONTINUITIES 141

3. Test methods for determining shear strength along discontinuities

Triaxial tests can be used also for samples containing discontinuities. The samples
must contain a joint that encloses a 25°-40° angle with the specimen axis. When the
axial force is increased under constant cell pressure, the sample shears along the
discontinuity [10]. Mohr circles defined by the cell pressure and the axial pressure are
plotted on a normal stress-shear stress diagram. Shear strength, apparent cohesion and
the internal angle of friction can be determined from the linear failure curve fit on the
Mohr circles. For reliable results several tests are needed. Due to the differences in the
joints of the samples, it is impossible to examine two absolutely alike samples [10].
A variation of the triaxial test is the stage test. Before the specimen would fail, the
cell pressure is increased. By keeping it constant, the axial pressure can be raised again
until the stage where the sample would shear along the discontinuity again. These steps
are repeated several times on one sample. In contrast to the individual triaxial test, fewer
samples are enough for proper results [10].
Both the individual triaxial and the stage test require a special care in sample
preparation, which makes the performance of the tests difficult.
Direct shear strength testing is the most widely used procedure when shear strength
of discontinuities have to be determined. The International Society for Rock Mechanics
(ISRM) gives a detailed description of this test [11]. A sample is placed in the shear cell
in such a way that the discontinuity is parallel to the shear plane. Under constant normal
load, increasing shear load is applied. Two kinds of shear cell exist (Fig. 2), but neither
of them is perfect. In particular, one allows keeping the lateral force constant, but due to
the eccentricity of the shear load, also moment acts on the sample. The other uses a
shear load with a 5°-10° tilt avoiding the moment, but due to this tilt an extra normal
force occurs from the vertical component of the shear load, which makes hard to keep
the normal load constant. [10].

Fig. 2. Shear cell with eccentric shear load, shear cell with centric shear load
(N: normal load, S: shear load)

4. Shear box and preparation of the samples

Direct shear strength tests were carried out at the Department of Construction
Materials and Engineering Geology of the Budapest University of Technology and
Economics. The test apparatus used was a Controls 45-D548/1 shear box, which
features two manually operated hydraulic pumps to induce normal and shear load.
Normal and shear loads of maximum 50 kN could be applied due to the capacity of the

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142 I. BUOCZ, N. ROZGONYI-BOISSINOT, Á. TÖRÖK, P. GÖRÖG

hydraulic pumps. The shear force was recorded by a type 9861 force transducer made
by Kaliber Ltd. This shear box applies eccentric shear load. The normal and shear
displacements were measured by HBM 1-WA/10MM-T displacement gauges, which
have a precision of 0.5%, and a measuring range of maximum 10 mm (Fig. 3).

Fig. 3. The shear box with displacement gauges and hydraulic pumps used for the tests

The specimens tested were prepared from granite and clayey rocks deriving from the
Bátaapáti national low and intermediate level radioactive waste disposal facility. The
granite samples were bored with a Hilti DD-160E type core drill with diameter of
50 mm. Discontinuities were drilled through, along which the specimens were
intentionally separated. Samples from the clayey rocks were cut by a saw. These
specimens were cut to a size that could be embedded into plaster in order to keep them
fix in the shear cell during the shear test, avoiding any movements. For this, Rigipsz
G5/B3 model plaster was used.
Before the samples were placed in the sample holder, the properties of the rock and
the discontinuity that influence the results of the shear test were examined.

5. Properties influencing the test results

In the joints of the rocks, infill material can be present, which has three main
features to observe: the materiel itself, its mineralogy and its thickness. The material of
the in-filled joint influences the shear strength of the rock for its best, if the joint filling
material is stronger than the host rock. The opposite happens when the material is
weaker than the rock itself [10]. In this context, for instance, Boulon et al. [5] examined
the influence of the thickness of the calcite-healed discontinuities in granodioritic rocks.

Pollack Periodica 9, 2014, 3

 DIRECT SHEAR STRENGTH TEST ON ROCKS ALONG DISCONTINUITIES 143

During the shear strength test, normal load is applied. If dilation is allowed, under
low normal force, the ‘teeth’ of the rough surface cannot shear off, and the surfaces
move above each other. For high normal force values, the surfaces cannot go apart from
each other and the teeth shear off. These test methods give different shear strength
values [10].
The orientation of the texture of the rock also influences the test results. For
example, if the shear direction is parallel to the boundary layer of the slates, the shear
strength will be different (less) than by vertical shear (higher).
On site, larger surfaces can be examined, compared to the ones in the laboratory.
However, even in the laboratory the sizes of the samples can differ. This difference
plays a role in determining the shear strength, and is called ‘scale effect’ [12].
The surface roughness, which affects the shear strength the most, is defined by the
Joint Roughness Coefficient (JRC) [12]. Patton [1] worked out formulas to describe the
different surface properties. He distinguished flat surface, tilted surface, rough surface
and wavy surface, but his formulas are valid only for discontinuities not containing any
infill material. Schweiger and Leitner [13] showed connections between the flat surfaces
with and without infill material, and the rough surfaces with and without infill materials.
Considering the above mentioned shear strength influencing factors, sample groups
should be created with similar properties.

6. Measurement of the surface roughness

Surface roughness tests were performed on samples that were already encapsulated
in plaster. The methodology of measurement is similar to the Barton comb method, but
on smaller surfaces. Two parallel lines were drawn on the sample in the shear direction.
The lines were drawn through the most characteristic part of the surface. Displacement
gauges measured the surface irregularities on these lines. The surface roughness was
measured both before and after the shear test. This method describes the surface only in
two-dimension, therefore the measurements do not give sufficient amount of data for
the right numerical estimation of the value of shear strength.

7. Procedure of the direct shear test

Direct shear tests were carried out according to the suggestions of the ISRM [11].
The specimens, intentionally separated along the discontinuities, were encapsulated in
plaster in a way that after placing them in the sample holder, the upper and lower part
perfectly matched, and the plane of the discontinuity was parallel to the shear plane.
After the initial normal load was applied, the shear force could only be added when the
consolidation was over. The normal force was raised as soon as the residual condition
was reached. This step was repeated as many times as the specimen could bear it. Due
to the surface properties, especially in case of the rough surfaces, the normal load
applied was rather low, between 0-15 kN, which caused a maximum of 8 MPa normal
stress.

Pollack Periodica 9, 2014, 3

144 I. BUOCZ, N. ROZGONYI-BOISSINOT, Á. TÖRÖK, P. GÖRÖG

8. Evaluation of the test results

The area of the sheared surface was previously defined by measuring it on the
samples. During the shear test, the time, shear force, horizontal and vertical
displacements were saved as data by a HBM Catman 4.5 software and a HBM Spider 8
recording device.
The shear stress was calculated as:

V
τ= , (1)
A

where τ  is the  shear stress [MPa]; V is the shear force [N]; A is the sheared surface
area [mm2].
Due to the lack of a normal load-detecting device, this value was read from the scale
of the hydraulic pump. Assuming it constant at each stage, the normal stress was
calculated as follows:

N
σn = , (2)
A

where σn is the normal stress [MPa]; N is the normal force [N]; A is the compressed
surface area [mm2].
From the above-mentioned data, shear stress-shear displacement and normal
displacement-shear displacement diagrams were built (Fig. 4). Plotting them together,
the elevation of the normal load could be detected and its effect on the shear stress
examined.

Fig. 4. Shear stress-shear displacement and normal displacement-shear displacement diagrams

Pollack Periodica 9, 2014, 3

 DIRECT SHEAR STRENGTH TEST ON ROCKS ALONG DISCONTINUITIES 145

The first peak on the diagram represents maximal shear strength, then followed by
the residual shear strength. After each increase in the normal force, residual shear
strength values could be determined. For low axial load, more maximal shear strength
values occur if new teeth of the surface shear off.
Plotting the residual values on a shear stress-normal stress diagram, it was observed
that the values fall along a line. The slope of it gives the residual internal angle of
friction, while the point of intersection between the line and the shear stress axis yields
the apparent cohesion (Fig. 5).

Fig. 5. Plotting the residual shear strengths on a shear stress-normal stress diagram

Specimens with similar shear strength influencing properties were interpreted within
one sample group.
To be able to determine the maximal and residual angle of friction and apparent
cohesion, the maximal and residual shear strength values of each specimen within the
same sample group values were plotted together.

9. Test results of the Hungarian granite and claystone

Following the method of testing and evaluation explained above, maximal and
residual angles of friction were determined for the Hungarian granite and claystone.
Fig. 6 and Fig. 7 show a typical shear stress-normal stress diagram for residual values
of granite and claystone.
The average values are presented in Table I.
The average maximal internal angle of friction value of 29° is explained by the low
quality of Hungarian granite [14]. Other rock mechanical test results on the same
Bátaapáti granite, i.e. uniaxial compression strength (UCS) tests, also confirm this
reasoning. The low average value (116.74 MPa) of the UCS tests [15] is almost half as

Pollack Periodica 9, 2014, 3

146 I. BUOCZ, N. ROZGONYI-BOISSINOT, Á. TÖRÖK, P. GÖRÖG

much as it is generally true for the same rock type (average 200 MPa within the range of
50-350 MPa) [16].

Fig. 6. Residual shear stress-normal stress diagram for a granite specimen

Fig. 7. Residual shear stress-normal stress diagram for a claystone specimen

Table I
Average maximal and residual internal angle of friction for Hungarian granite and claystone

Average maximal Average residual

Rock type
angle of friction [°] angle of friction [°]
granite 29 24
claystone 12 12

Pollack Periodica 9, 2014, 3

 DIRECT SHEAR STRENGTH TEST ON ROCKS ALONG DISCONTINUITIES 147

Prominently high maximal shear strength values occur in case intact rocks are sheared
apart along discontinuities. For intentionally separated discontinuities this value is much
lower, which is the reason why the difference between the maximal and residual values
of the internal angle of friction is only 5°. Fig. 8 shows an intentionally separated
granite sample with rough surface. Similar results were obtained for granites in
fractured zones [17].

Fig. 8. Rough surfaced granite sample

In intentionally separated clayey rocks there are no sharp teeth that could hold on to
each other and shear off. Consequently, the surfaces slip over each other (Fig. 9).

Fig. 9. Glide plane on the surface of a claystone sample

Pollack Periodica 9, 2014, 3

148 I. BUOCZ, N. ROZGONYI-BOISSINOT, Á. TÖRÖK, P. GÖRÖG

Due to this phenomenon there is only little difference between the maximal and residual
shear strength values. This is the reason why the maximal and residual internal angles of
friction are very similar to each other. However due to the very compact and
consolidated structure of the rock, the obtained internal angle of friction values are
higher compared to the more well known lower values of soft, low consolidated
claystones. Similar results appear in the research of Naeem and Farooq, who also
examined overconsolidated claystones [18]. The humidity of the examined samples was
preserved prior to the sample preparation. Despite the structure of the rock, during the
moulding and the compilation of the shear apparatus, the specimens partially lost their
original water content, which also contributed to the elevation of the friction values
[19], [20].

10. Conclusion
Direct shear strength tests were carried out on Hungarian granite and claystone. The
samples derived from the Bátaapáti national low and intermediate level radioactive
waste disposal facility. On the example of them, the methodology and interpretation of
direct shear strength tests along joints were demonstrated.
The average maximal and residual angle of internal friction for the granite samples
tested, were 29° and 24° respectively, indicating that for the intentionally separated
samples there is only a little difference between the maximal and residual values.
The claystone specimens did not give a significant maximal value due to the fact
that the samples had no sharp teeth to block the effect of shearing.
The properties of infill material, its mineralogy, thickness and surface roughness
have a high influence on the shear strength. The two-dimensional measurements, similar
to the methodology of Barton comb, did not provide enough data for estimating the
shear strength numerically, since the shape and morphology of surface irregularities can
significantly modify the value of it. Further examinations and three-dimensional
measurements of surface roughness are suggested.

Acknowledgements
The Authors would like to thank the staff of the Laboratory for Rock Mechanics at
École Politechnique Fédérale de Lausanne, and the staff of the Department of
Construction Materials and Engineering Geology at Budapest University of Technology
and Economics, for the support provided during the experiments, both under the
technical and the scientific points of view. The financial support of SCIEX - Grant No.
11.062, Title of the Project: ‘SHEROWA’ Shear strength test of host rocks of
radioactive waste disposal site - is highly appreciated.

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