Acoustic emissions (AE) can provide information relating to the internal state of a deforming rock sample during laboratory testing and have been utilised to quantify damage progression for time-dependent failure modeling. However, the underlying physical mechanisms that produce AE in different materials and their evolution during the process of damage localisation are not fully understood, particularly in porous media. In order to investigate the sources of laboratory acoustic emissions, a moment tensor inversion was applied to data from triaxial compression experiments on Aue granite and Clashach sandstone. The moment tensor inversion was verified for granite, by comparison with results obtained using a more simplistic source analysis technique. In the non-porous Aue granite, AE sources exhibited a predominantly tensile behaviour in the early stages of AE activity. However, shear sources become dominant in the vicinity of the peak stress. In contrast, during deformation of the Clashach sandstone, which has a significant pre-existing porosity, AE sources are dominated by a collapse signature and generally involve a notable shear component. AE that have a predominantly shear mechanism are also a major contributor to the microscale deformation imaged by the technique, and dominate during shear localisation. A combination of correlation analysis and source analysis was used to elucidate the temporal and spatial evolution of the AE source mechanisms involved in the localisation process, as well as during a temporary hiatus in the progression to failure. The results support the concept that the cascade to failure requires the simultaneous involvement of a range of micromechanical behaviours to maintain the progression of localised damage, and eventual formation of a fault. Localisation of collapse mechanisms was not observed until the final approach to failure. Finally, AE sources produced during brittle deformation of the Clashach sandstone were characterised in detail and compared to microstructural observations representing the integrated effect of all times up to the end of the test, and including smaller structures that may have been formed insufficiently dynamically to produce AE. Equivalent focal mechanisms for these events are presented and the relative proportions of their volumetric and shear components considered. The results indicate that AE sources display a wide spectrum of micromechanical behaviour that is consistent with microstructural observations, indicating that AE mechanisms are representative of ongoing deformation processes within the sandstone. It is argued that moment tensor inversion of acoustic emissions is a powerful tool for elucidating the micromechanical evolution of damage, during the brittle deformation of rock.

Résumé: L’objectif de cette thèse est d’interpréter la dégradation des aspérités des joints rocheux sous différentes conditions de chargement. Pour cela, la variation des aspérités durant les différentes étapes du cisaillement d’un joint rocheux est observée. Selon le concept appelé “tiny windows”, une nouvelle méthodologie de caractérisation des épontes des joints a été développée. La méthodologie est basée sur les coordonnées tridimensionnelles de la surface des joints et elles sont mesurées après chaque essai. Après la reconstruction du modèle géométrique de la surface du joint, les zones en contact sont identifiées à travers la comparaison des hauteurs des “tiny windows” superposées. Ainsi, la distribution des zones de la surface en contact, endommagées et sans contact ont été identifiées. La méthode d’analyse d’image a été utilisée pour vérifier les résultats de la méthodologie proposée. Les résultats indiquent que cette méthode est appropriée pour déterminer la taille et la distribution des surfaces du joint en contact et endommagées à différentes étapes du cisaillement. Un ensemble de 38 répliques ont été préparées en coulant du mortier sans retrait sur une surface de fracture obtenue à partir d’un bloc de granite. Différentes conditions de chargement, incluant des chargements statiques et cycliques ont été appliquées afin d’étudier la dégradation des aspérités à différentes étapes du procédé de cisaillement. Les propriétés géométriques des “tiny windows” en contact en phase pré-pic, pic, post-pic et résiduelle ont été analysées en fonction de leurs angles et de leurs auteurs. Il a été remarqué que les facettes des aspérités faisant face à la direction de cisaillement jouent un rôle majeur dans le cisaillement. Aussi, il a été observé que les aspérités présentent différentes contributions dans le cisaillement. Les aspérités les plus aigües (“tiny windows” les plus inclinées) sont abîmées et les aspérités les plus plates glissent les unes sur les autres. Les aspérités d’angles intermédiaires sont définies comme “angle seuil endommagé” et “angle seuil en contact”. En augmentant la charge normale, les angles seuils diminuent d’une part et, d’autre part, le nombre de zones endommagées et en contact augmentent. Pour un petit nombre de cycles (avec faible amplitude et fréquence), indépendamment de l’amplitude, une contraction apparaît ; par conséquent, la surface en contact et les paramètres de résistance au cisaillement augmentent légèrement. Pour un grand nombre de cycles, la dégradation est observée à l’échelle des aspérités de second ordre, d’où une baisse des paramètres de résistance au cisaillement. Il a été aussi observée que les “tiny windows” avec différentes inclinaisons contribuent au processus de cisaillement, en plus des “tiny windows” les plus inclinées (aspérités plus aigües). Les résultats de la méthode proposée montrent que la différenciation entre les zones en contact et celles endommagées s’avère utile pour une meilleure compréhension du mécanisme de cisaillement des joints rocheux. / Abstract: The objective of the current research is to interpret the asperity degradation of rock joints under different loading conditions. For this aim, the changes of asperities during different stages of shearing in the three-dimensional joint surface are tracked. According to a concept named ‘tiny window’, a new methodology for the characterization of the joint surfaces was developed. The methodology is based on the three-dimensional coordinates of the joints surface that are captured before and after each test. After the reconstruction of geometric models of joint surface, in-contact areas were identified according to the height comparison of the face to face tiny windows. Therefore, the distribution and size of just in-contact areas, in-contact damaged areas and not in-contact areas are identified. Image analysis method was used to verify the results of the proposed method. The results indicated that the proposed method is suitable for determining the size and distribution of the contact and damaged areas at any shearing stage. A total of 38 replicas were prepared by pouring non-shrinking cement mortar on a fresh joint surface of a split granite block. Various loading conditions include monotonic and cyclic loading were applied to study the asperities degradation at different stages of shearing. The geometric properties of the in-contact tiny windows in the pre-peak, peak, post-peak softening and residual shearing stages were investigated based on their angle and height. It was found that those asperities facing the shear direction have the primary role in shearing. It is remarkable that different part of these asperities has their own special cooperation in shearing. The steepest parts (steeper tiny windows) are wore and the flatter parts (flatter tiny windows) are slid. The borderlines between these tiny windows defined as “damaged threshold angle” and “in-contact threshold angle”. By increasing normal load, both the amounts of threshold angles are decreased and contact and damaged areas increased. During low numbers of cycles (with low amplitude and frequency), independent of the type of cycle, contraction occurs and consequently the contact area and the shear strength parameters slightly increased. During larger number of cycles, degradation occurred on the second order asperities, therefore the shear strength parameters slowly decreased. It was also observed that tiny windows with different heights participate in the shearing process, not just the highest ones. The results of the proposed method indicated that considering differences between just in-contact areas and damaged areas provide useful insights into understanding the shear mechanism of rock joints.