1. INTRODUCTION The evaluation of surface roughness is not a new field, nor is it unique to the world of rock mechanics. Many other scientific fields have made use of roughness information, and it can be observed clearly that varying disciplines investigate roughness at a scale applicable to their investigation. An integral part to the investigation of roughness at any scale is the method of data collection. For obvious reasons, the method must be able to capture the scale of interest, but beyond that there are many available techniques and tools for the collection and description of surface roughness. For this investigation, the focus was placed on laboratory scale surface roughness created by the asperities of a given rock sample. Roughness has a significant influence on the shear strength of a rock joint, with the asperities controlling much of the peak shear strength behavior [1]. In the work presented in this paper, evaluations of joint surface roughness consider both roughness and waviness together as “surface roughness” with no direct distinction between the two. The combined asperities in this investigation would classify as second-order asperities (wavelength less than approximately 50 to 100 mm) as outlined by Patton [2]. This type of surface can have roughness angles as high as twenty to thirty degrees, and as can be seen through the 3D analysis presented in this paper, some individual facets can exhibit even higher roughness angle values. The tools and techniques of interest in this paper include direct two-dimensional replication of the surface using a contour duplication gauge, and the creation of a digital triangulated mesh of the joint surface through 3D laser scanning technology. Both techniques were deployed on four different rock types: schist, granite, slate, and sandstone, all of which were collected in the field in Montana. The methods investigated demonstrate the ability to attain a roughness description, though they do not provide the same output value. The scope of this investigation was more focused on the data collection and characterization methodologies available rather than comparing the merits of the various quantifications of rock joint roughness as has been done by others (for instance Hsiung [3], Yu [4], and Propat [5]). With the vast amount of data produced by these tools and techniques, a significant challenge is presented in displaying such a massive dataset. Various visualizations were attempted but the extreme density of the output visuals made it difficult to interpret and draw conclusions. An effective solution was found with the use of wind diagrams. This allows for a graphical display which features both magnitude and direction, which in this scenario translates to dip angle and dip direction respectively, of each facet on the surface. ARMA 14-7454 Three-Dimensional Roughness Characterization of Rock Joints using Laser Scanning and Wind Diagrams Adams, S.L., MacLaughlin, M.M., Berry, K.G., McCormick, M.L., and Berry, S.M. Montana Tech of The University of Montana, Butte, Montana, USA McGough, M. and Hudyma, N. University of North Florida, Jacksonville, Florida, USA Copyright 2014 ARMA, American Rock Mechanics Association This paper was prepared for presentation at the 48 th US Rock Mechanics / Geomechanics Symposium held in Minneapolis, MN, USA, 1-4 June 2014. This paper was selected for presentation at the symposium by an ARMA Technical Program Committee based on a technical and critical review of the paper by a minimum of two technical reviewers. 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 200 words; illustrations may not be copied. The abstract must contain conspicuous acknowledgement of where and by whom the paper was presented. ABSTRACT: This paper presents 3D desktop laser scanning as a tool for roughness characterization of rock joints, in conjunction with traditional 2D contour gauge profiles. Four specimens representing four different rock types (schist, granite, slate, and sandstone) and roughness values were characterized. The 2D roughness profiles are presented along with the JRC values assigned through comparison with standard JRC profiles. The 3D laser scan data are used to generate files containing the strike, dip angle, and dip direction of thousands of individual facets. The data are presented using traditional histograms of dip angle (irrespective of direction), and as wind plots that allow effective visualization of both magnitude and direction of the dip of the facets. The wind plots are used to highlight the similarities and differences of the specimens, and also between scans of the same specimen before and after being subjected to a direct shear test.
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Three-Dimensional Roughness Characterization of Rock Joints using Laser Scanning and Wind Diagrams
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1. INTRODUCTION
The evaluation of surface roughness is not a new field,
nor is it unique to the world of rock mechanics. Many
other scientific fields have made use of roughness
information, and it can be observed clearly that varying
disciplines investigate roughness at a scale applicable to
their investigation. An integral part to the investigation
of roughness at any scale is the method of data
collection. For obvious reasons, the method must be able
to capture the scale of interest, but beyond that there are
many available techniques and tools for the collection
and description of surface roughness. For this
investigation, the focus was placed on laboratory scale
surface roughness created by the asperities of a given
rock sample. Roughness has a significant influence on
the shear strength of a rock joint, with the asperities
controlling much of the peak shear strength behavior [1].
In the work presented in this paper, evaluations of joint
surface roughness consider both roughness and waviness
together as “surface roughness” with no direct
distinction between the two. The combined asperities in
this investigation would classify as second-order
asperities (wavelength less than approximately 50 to 100
mm) as outlined by Patton [2]. This type of surface can
have roughness angles as high as twenty to thirty
degrees, and as can be seen through the 3D analysis
presented in this paper, some individual facets can
exhibit even higher roughness angle values.
The tools and techniques of interest in this paper include
direct two-dimensional replication of the surface using a
contour duplication gauge, and the creation of a digital
triangulated mesh of the joint surface through 3D laser
scanning technology. Both techniques were deployed on
four different rock types: schist, granite, slate, and
sandstone, all of which were collected in the field in
Montana. The methods investigated demonstrate the
ability to attain a roughness description, though they do
not provide the same output value. The scope of this
investigation was more focused on the data collection
and characterization methodologies available rather than
comparing the merits of the various quantifications of
rock joint roughness as has been done by others (for
instance Hsiung [3], Yu [4], and Propat [5]).
With the vast amount of data produced by these tools
and techniques, a significant challenge is presented in
displaying such a massive dataset. Various visualizations
were attempted but the extreme density of the output
visuals made it difficult to interpret and draw
conclusions. An effective solution was found with the
use of wind diagrams. This allows for a graphical
display which features both magnitude and direction,
which in this scenario translates to dip angle and dip
direction respectively, of each facet on the surface.
ARMA 14-7454
Three-Dimensional Roughness Characterization of
Rock Joints using Laser Scanning and Wind Diagrams
Montana Tech of The University of Montana, Butte, Montana, USA
McGough, M. and Hudyma, N.
University of North Florida, Jacksonville, Florida, USA
Copyright 2014 ARMA, American Rock Mechanics Association
This paper was prepared for presentation at the 48th US Rock Mechanics / Geomechanics Symposium held in Minneapolis, MN, USA, 1-4 June
2014.
This paper was selected for presentation at the symposium by an ARMA Technical Program Committee based on a technical and critical review of the paper by a minimum of two technical reviewers. 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 200 words; illustrations may not be copied. The abstract must contain conspicuous acknowledgement of where and by whom the paper was presented.
ABSTRACT: This paper presents 3D desktop laser scanning as a tool for roughness characterization of rock joints, in conjunction
with traditional 2D contour gauge profiles. Four specimens representing four different rock types (schist, granite, slate, and
sandstone) and roughness values were characterized. The 2D roughness profiles are presented along with the JRC values assigned
through comparison with standard JRC profiles. The 3D laser scan data are used to generate files containing the strike, dip angle,
and dip direction of thousands of individual facets. The data are presented using traditional histograms of dip angle (irrespective of
direction), and as wind plots that allow effective visualization of both magnitude and direction of the dip of the facets. The wind
plots are used to highlight the similarities and differences of the specimens, and also between scans of the same specimen before
and after being subjected to a direct shear test.
2. BACKGROUND
The significance of rock joint surface roughness has
been demonstrated by Barton and Choubey [6], with
several modifications since development, through the
proposed equation for the estimation of peak joint shear
strength:
10tan logn b
n
JCSJRC
(1)
Where τ = peak shear strength, σn = normal stress
applied to the joint, JRC = joint roughness coefficient,
JCS = joint wall compressive strength, and φb = base
friction angle of the joint.
Roughness is represented through the Joint Roughness
Coefficient (JRC), which can be determined through tilt
test, direct shear, or via comparison to a standard set of
profiles established by Barton and Choubey [6]. These
were developed through extensive laboratory testing,
resulting in a set of ten representative profiles with JRC
values of 0-2, 2-4, and so on through 18-20. This method
of establishing JRC can be seen in the ISRM standards
[7], and has been widely accepted in practice.
The scientific community has since been actively
working towards an effective method of quantification
of the standardized JRC profiles. Prominent examples of
such work include Tse and Cruden [8], Carr and
Warriner [9], Turk et al. [10], Lee et al. [11], and
Wakabayashi and Fukushige [12]. This effort has been
made largely due to the subjective nature of comparing a
sample profile to the standard which can lead to error in
selecting an appropriate JRC value [4]. This is one of the
predominant reasons for continued extensive direct shear
testing in order to accurately determine the peak shear
strength of a rock, rather than using the JRC formula to
calculate the value which would save time and resources.
Despite the lack of confidence within the rock
mechanics community in selecting JRC, there is also the
issue of misuse of the available analysis tools and in
some cases incorrect back calculation of JRC based on
inadequate knowledge of advances which have been
made with regard to joint degradation and behavior
during shear testing [13].
The most prevalent theories regarding the quantification
of the JRC profiles include fractal geometry, statistics
including average deviation, root mean square, and tilt
test. Each has been extensively investigated on various
rock specimens with promising results, but in a
comparison, it was shown by Hsiung [3] that the various
methods repeatedly underestimate the JRC value derived
through an actual direct shear test, some even estimating
the JRC several value brackets below its actual value.
Each of the numerical approaches described above are
dependent on high quality surface data to even have a
hope of eventually capturing a purely objective
methodology of determining JRC. The methodologies
used in this study and described in section 4 are only a
sampling of the available techniques, but were selected
because they are representative of many of the common
approaches for obtaining roughness data from a rock
joint.
3. ROCK JOINT SPECIMENS
A number of rock joint specimens were collected for use
in this study. Four of them are presented here, and are
displayed in Figure 1. This set was selected to span a
range of common rock types and degrees of roughness
as observed in the field.
(a)
(b)
(c)
(d)
Fig. 1. Rock samples used in this study. a) Schist, b) Granite,
c) Slate, d) Sandstone.
Schist – The schist specimen was collected from the
eastern end of the Burma Road, near Twin Bridges,
Montana. It is a highly foliated schist featuring a highly
planar joint which was easily opened. There is little to
no discoloration on the joint and the break runs parallel
to the cleavage.
Granite – The “granite” specimen was collected near
Boulder, Montana. The joint was forced open manually,
though moderate discoloration was present over most of
Sean Mcgough
Highlight
Sean Mcgough
Highlight
the surface, indicating a weathering surface. The rock is
technically a medium to coarse grained porphyritic
granodiorite with feldspar phenocrysts.
Slate – The slate specimen was acquired from the Gates
Slate quarry north of Helena, Montana. The joint was
created by using a chisel and hammer to fracture the
specimen along foliation. The joint surface is comprised
of fresh rock material and shows very little roughness
except for the sections where the rock split along a
different foliation plane. Discoloration is limited to the
outer boundaries of the specimen, likely attributed to
weathering of the outside edges of the initial rock slab.
Sandstone – The sandstone specimen was collected from
an outcrop of the Cut Bank formation near Cut Bank,
Montana. It is a tan colored fine grained sedimentary
rock with a dolomitic cementing matrix.
4. TOOLS AND TECHNIQUES
4.1. Contour Duplication Gauge As a laboratory tool, the contour duplication gauge, also
known as the carpenter’s contour gauge, is very simple
and direct. After lining up the rods to start from an even
baseline, the gauge is then pressed against the surface (as
shown in Figure 2) and the rods, moving independently,
recreate the surface profile of the sample line. This
allows for the geometry of the surface line to be
observed away from the rest of the specimen and
considered without the distraction of grain size and color
of the joint surface. The limit on accuracy is controlled
by the diameter of the individual rods of the gauge, as
can be seen in Figure 3. The rod diameter for the tool
used in this investigation is 0.03 in [14].
Fig. 2. Contour duplication (carpenter’s contour) gauge in use.
Fig. 3. Continuous undulating profile discretized using rods of
finite width in contact with the profile at specific measurement
points (upper left corner). Error is controlled by the width
(diameter) of the rods [4].
After collection of the sample data, the profile can then
be traced with a writing utensil to represent it on paper
as a simple linear profile. With computer processing and
using specialty software, analysis has been done by
others to calculate various commonly used measures of
roughness such as fractal dimensions [4]. One major
issue associated with this is the deviation from the
original surface through successive recreations of the
profile. Measurement errors and sampling errors
accumulate with each step toward digitization. Keeping
within the scope of this paper, the handheld profile data
were used mainly for the development of a
representative roughness profile for each surface to then
be compared to the standard JRC profiles by Barton [6]
rather than for quantitative analysis. The results and
discussion of the contour duplication gauge portion of
the study are presented in section 5.1.
4.2. 3D Desktop Laser Scanning Three dimensional scanning is a more technologically
involved procedure, but with care and precision it can be
performed with relative ease. The scanner used for this
investigation is a Next EngineTM
Desktop 3D scanner,
Model number 2020i. This scanner utilizes four Class
1M, 10 mW solid-state lasers featuring a wavelength of
650 nm and twin 3.0 megapixel complimentary metal-