Int. J. Rock Mech. Min. Sci. & Geomech. Abstr. Vol. 17, pp.

225 to 229
Pergamon Press Ltd 1980. Printed in Great Britain

Effect of Confining Pressure on the

Fracture Behaviour of a Porous
Rock
T. N. G O W D *
F. R U M M E L t

Triaxial compression tests were carried out on a porous sandstone from

SW-Germany. The confining pressures ranged up to 200 MPa. Direct volu-
metric strain measurements indicated that pre-peak microfracturing is a pre-
cursory deformation process to the development of macroscopic shear faults in
intact porous rock at low confining pressures. Post-peak dilation at low press-
ures is due to fault dilation. At high pressures multiple shear fractures develop
with progressively less dilation. Transition from brittle to ductile deformation
takes place at a confining pressure of lO0 MPa. Ductile shear at high pressure
occurs without any dilation, and leads to progressive compaction and homo-
geneous shear throughout the rock specimen.
Applied to earthquake precursory phenomena this implies that dilatancy
effects in low porosity fault zones may only exist at shallow depths. At greater
depth compaction will dominate over dilation.

INTRODUCTION velopment. Although dilatancy in crystalline rock has

attracted considerable attention [e.g. 1,2,3,4], little
A basic understanding of fracture phenomena is of cen-
effort has been spent in studying dilatancy in porous
tral importance in rock mechanics, whether it is the aim
sedimentary rocks [5,6,7,8]. Further, rock dilatancy
to prevent collapse of rock engineering structures or to
has been mostly investigated in the brittle field at press-
promote fracturing as in drilling, blasting, mining, or in
ures much lower than those required to cause brittle to
hydraulic fracturing for oil and gas well stimulation,
ductile transition. Whether or not dilatancy exists in
stress measurements or to create heat exchange surfaces
rocks at high pressures where deformation is ductile, is
for future hot dry rock geothermal energy exploitation.
essential knowledge for the formulation of earthquake
In addition, studies of fracture processes are urgently
source models [e.g. 9], the search for earthquake pre-
needed in the field of earthquake source physics for
cursors [4,10] and earthquake prediction research.
earthquake prediction and earthquake hazard reduc-
From this point of view, fracture experiments were
tion research.
carried out on a low strength rock which could be
Due to its complexity a precise theoretical formula-
readily subjected to pressures under which transition
tion of rock fracture is not possible, and may even be
from brittle to ductile deformation occurs. The rock
difficult for specific simple situations such as the propa-
selected was a medium grain-sized Buntsandstone from
gation of tensile fractures induced by hydraulic fractur-
SW-Germany with subangular to round quartz grains
ing. In this respect, controlled laboratory fracture ex-
bedded within a clayey matrix. Its initial porosity was
periments are still of great interest, particularly for
15~o, the initial permeability was 50/~ darcy.
cases where rock fracture occurs under compression
such as assumed in earthquake focal regions. During
the past decade numerous experimental studies have EXPERIMENTAL T E C H N I Q U E
successfully contributed to this subject. They have
The tests were conducted on cylindrical rock speci-
demonstrated that fracture in rocks under compression
mens 6 cm long and 3 cm in dia. Axial compressive
consists of a sequence of fracture processes. Dilatancy is
one facet within this sequence which characterizes the stress, trx, was applied by a closed-loop electro-
initiation and propagation of microfracturing which hydraulic servo-controlled loading system [e.g. 6] using
precedes the final stage macroscopic shear fracture de- a constant displacement rate of the axial loading piston
(10 mm per hr). Axial strain of the specimen, Ex, was
calculated from piston displacement during compres-
* National Geophysical Research Institute, Hyderabad--500 007, sion. Confining pressure tra was applied to the speci-
India.
I"Institut fiir Geophysik, Ruhr-University, 4630 Boehum, West mens by a 2 kbar capacity triaxial fluid pressure vessel
Germany. and was carefully maintained constant throughout each
225
226 T.N. Gowd and F. Rummel

Initiot Compensating
Pressure

J ===============================================================================
::::::::::::::::::::::::::

Displacement Tronsducer ~ ~

To Reguloting Volve
Fig. 1. Pressure compensatingunit to measure radial expansion of the rock specimen in the pressure vessel. Confining
pressure aa is held constantby a regulatingvalve. Resultingpiston displacementis measured by an inductivedisplacement
transducer.

test, Since the diameter of the axial loading piston dV was measured by a pressure compensating unit
within the pressure vessel was equal to the specimen (Fig. 1) which permitted the controlled extraction of
diameter, axial piston advancement and axial specimen pressure fluid from the vessel in order to maintain the
shortening during axial compression have no effect on initially applied confining pressure, 0 3. The unit essen-
the initially applied fluid pressure within the vessel tially consists of a servo-controUed hydraulic cylinder
(neglecting the small effect caused by radial elastic (fluid pressure control), where dV is given by the dis-
expansion of the hardened steel piston due to its axial placement of its piston. The piston displacement was
compression). Thus, any fluid pressure increase in the accurately monitored by an inductive displacement
vessel is due only to radial expansion of the rock speci- transducer. All experimental variables were continu-
men, which may consist of both elastic expansion due ously plotted during each test.
to axial compression as well as expansion due to micro-
fracture development. Thus, the fluid volume dV to EXPERIMENTAL RESULTS
be extracted from the pressure vessel to keep the con-
The complete axial stress versus axial strain curves
fining pressure constant during the test is a measure
(crL vs e l ) o f the rock at constant confining pressures up
of the radial volumetric expansion of the specimen,
to 200 MPa are presented in Fig. 2. The rock deforms
dV ~ 2Vodr/ro, where Vo is the initial volume, r0 the
linearly and elastically at axial stresses below a critical
initial radius and dr the mean increase in radius of the
value, trl < try. The value of try, which is called the yield
rock specimen. Therefore, the total volumetric strain 0
strength in the following, is dependent on the confining
of the rock can be determined by measuring the axial
pressure, a3. Further compression leads to inelastic
strain ~ and the radial expansion dV:
deformation. At low confining pressures, tr3 < 90 MPa,
O ~ e t +dV/Vo the curves show a defined peak strength, am, and a
gradual strength decrease in the so-called post-failure
region until final deformation occurs at about constant
axial stress trr, referred to as the residual strength. As
i /(~3 : 200NPQ revealed by visual analysis, inelastic deformation of the
600, / rock in this case consisted of brittle micro-fracturing
during pre-peak deformation, the development of a
~ - ~ ~o macroscopic shear zone at decreasing strength and
macroscopic shear at constant residual strength. At
higher confining pressures, 0"3 >/ 100MPa, the rock
LLI fJP'~--'---'--- 90 LU exhibits work-hardening without the development of
o: 1 . " . ~ 80 p_
macroscopic singular shear fractures. Multiple shear
'
fractures develop at confining pressures between 100
,~ / /l,~'~--'-- 3o and 130 MPa, and the rock exhibits prominent bulging
only at a confining pressure of 200 MPa.
1~'--~" ~ ~~ ~ T ~ Axial stress versus volumetric strain curves (trl vs 0)
0 0 . (b)
0 1 2 3 t. 5 6.10-" of the rock under confining pressures up to 100 MPa
AXIAL STRAIN 1 are given in Fig. 3. The elastic deformation of the rock
(o)
is characterized by the linear decrease of volumetric
strain with increasing axial compression try. The onset
Fig. 2. (a) Axial stress versus axial strain curves (at vs El) of Bunt- of dilation occurs at trl = tr,, which therefore is called
sandstone at constantconfiningpressures a3 up to 200 MPa. (b) Defi-
nition of yieldstrength ~r peak strength or,,and residual strengthat. the dilatancy strength. In contrast to the yield strength,
 Confining Pressure on the Fracture Behaviour of a Porous Rock 227

~o

~00 t
rY / ~ 0"3 =loo MPQ
l 90n / _

00tI 60&)'/ ~1 \

/ I
(b)
15.10-3 10 5 0 -5 -10 -15.10 -3
Increase VOLUMETRIC STRAIN 0 Decrease

(o)
Fig. 3. (a) Axial stress versus volumetric strain curves (a I vs 0) of Buntsandstonc at constant confining pressures Ga up to
100 MPa. (b) Definition of dilatancy strength 0", volumetric strain 0,, at 0",., volumetric strain 0, at 0-r. Pre-peak dilation:
0,, - 0~, post-peak dilation: 0r -- 0,,.

% (Fig. 2), the onset of dilation can easily be defined against a 3 in Fig. 4. The plot shows that pre-peak dila-
from the measurement of volumetric strain. tion is about constant at confining pressures of up to
Dilation of the rock is significant at low confining 40 M P a and is negligible at higher pressures. Post-peak
pressures, aa < 10 MPa, and leads to a considerable dilation drastically decreases in the low pressure range,
permanent volume increase (0 ~ 1%) of the rock speci- a3 < 20 MPa, and is progressively inhibited at higher
mens compared to their initial volume. Most of this pressures. This demonstrates that pre-peak brittle
volume increase occurs in the post-failure region. It is microfracturing is a precursory deformation process to
caused by the development of macroscopic shear faults the development of macroscopic shear faults. Multiple
at decreasing strength and by the dilation of fault seg- shear faults which develop at intermediate pressures,
ments during frictional sliding at about constant re- 40 < a3 < 90, still exhibit dilation but are preceded by
sidual strength. Pre-peak dilation is about 2.5%o and is only minor microfracturing. The formation of shear
due to brittle microfracturing of the rock matrix. At fractures at higher confining pressures, o-a > 100 MPa,
higher confining pressures dilation progressively de- occurs without any dilation. Thus, transition from
creases and is zero at aa _> 100 MPa. brittle fracturing to pure ductile shear deformation in
In order to particularly investigate the two stages of the Buntsandstone tested takes place at a pressure of
pre-peak microfracturing and the development of shear about 100 MP&
faults, the values of pre-peak dilation, 0 ~ - 0v, and Similar conclusions may be derived from the strength
post-peak dilation, 0 r - 0m, are plotted separately data of the rock. Numerical values of the peak strength
am, dilatancy strength av and the residual strength
ar are listed in Table 1. Since at transition the differ-
15
| TABLE 1. STRENGTH DATA OF BUNT-
Z SANDSTONE (0"3 confining pressure, 0".
post-failure dilation Or Om
tY peak strength, a, dilatancy strength,
p. o p r e - p e a k d i l a t i o n ( ~ - Or a, residual strength, 0"yyield strength;
t/1
all data in MPa)
~10- 0"3 0-m 0-y O'v 0-r
W
', 0 60 48 -- 10
5 100 75 57 46
\x 10
20
122
154
90
125
72
106
81
105
~s
wz .\. 30
40
193
221
150
180
150
167
139
180
50 253 220 230 212
~ ~--O--o X,~,~ 60
70
275
310
200
250
264
--
239
272
80 323 260 -- 310
90 346 280 331 332
50 100 361 280 -- --

CONFINING PRESSURE.MRa 130 -- 350 -- --

150 -- 400 -- --
Fig. 4. Pre-pcak dilation 0, - 0, and post-failuredilation 0~ - 0= as 200 -- 500 -- --
a function of confining pressure o"a-
LMWS 17/4~D
228 T.N. Gowd and F. Rummel

portion of the 0 vs al curve may be represented by

I IX IX
O= A +Bo" 1

Ix Ix-~
with
I
i I
A = 2tr3(1 - 2v)/E
d O"m -O"v2
\ B = (1 - 2v)/E
\ \
. \
where E is Young's modulus, and v is Poisson's ratio.
bI With K = E/3(1 - 2v) we obtain

\ K = 1/3B.
i i i i i i | i 9 Using Fig. 3 we then obtain 104 < K < 1.3 x 104 MPa,
50 I~
CONFINING PRESSURE.M~ independent of the confining pressure applied to the
specimens for a3 < 100 MPa. The individual data are
Fig. 5. Stress drop (a,. - a,) and pre-peak dilation range (tr,, - a,) as
a function of confining pressure o 3. included in Table 2.

ent strength values should be equal, the differences CONCLUSIONS

(0-,, - av) and (0-" - 0-,) are plotted in Fig. 5 as func-
Transition from brittle to ductile deformation in
tions of the confining pressure. The plot again indicates
porous sandstone is characterized by an abrupt change
that transition from brittle to ductile deformation in the
from dilational behaviour at low pressures to compac-
rock occurs at 0 3 ,~ 100 MPa. The values of the stress-
tion during inelastic axial strain at high pressures. This
drops, (tr,, - 0",), diminish gradually with 0"3, while the
is in contrast to observations on Carrara marble with
values for (0",,- 0"0 significantly decrease at much
only 1% porosity where dilatancy persists well into the
lower pressures. Since (0",.- 0"0 corresponds to pre-
ductile field, but is comparable to results obtained for a
peak dilation this again demonstrates that brittle crack-
sandstone with similar high pordsity [5]. Compaction
ing is suppressed during deformation at intermediate
during ductile deformation in sandstones presumably
pressures where during post-peak deformation still dila-
consists of a collapse of pore space and a subsequent
tant fault formation is active.
readjustment of quartz grains into a denser packing
The experimental results may be described in terms
which obviously explains the significant strain harden-
of shear and ,nor~a.1. stresses by_the following empirical
ing effect. Compaction is not preceded by dilation and
relations:
follows directly after linear elastic compression. Dila-
(a) Failure at peak strength 0",,: tion in sandstones at lower pressures is certainly due to
log z: = 2 + 0.55 log 0": both fracturing along grain boundaries and microfrac-
for 50 < aa < 100 MPa or turing of grains as well as to relative movements of
for 0": < 240 MPa grains and their fragments, whereas intracrystalline
(b) Onset of dilation at 0"v: plasticity may be neglected. During pre-peak dilation,
log Zd = 10 + 0.73 aa fracturing dominates over frictional sliding, which
for < 0"3 50 MPa or 0-d < 100 MPa mainly controls post-peak deformation and leads to
macroscopic shear plane formation.
Here, z:, ca, 0-: and 0-a are the shear and normal stresses
The experimental results may have various impli-
at peak failure (f) and at the onset of dilation (d).
cations to high porosity rock material such as myllo-
Finally, from the linear portion of the volumetric
nites in active fault zones. Earthquake precursory
strain versus axial stress curve (Fig. 3) it is possible to
phenomena such as a decrease of seismic velocities may
determine the value of the bulk modulus K. The linear
only be expected in such rock material at very shallow
TABLE 2. DILATANCY DATA AND BULK
depths (0-3 "~ 100 MPa), while transition to ductile
MODULUS K OF BUNTSANDSTONE volu- (0v deformation inhibits dilatancy-induced precursors at
metric strain at onset of dilation, 0,, volu- greater depth. However, compaction of high porosity
metric strain at am, 0, volumetric strain at
begin of fault shear) rock at greater depth should result in an increase of
seismic velocities and also an increase of pore pressure
a3 0v 0,1 0r K if the rock permeabili,ty is small compared to the rate of
MPa % %0 % 104MPa
compaction. The latter will cause a decrease of the
0 . . . . effective normal stress acting on a potential fault plane
5 - 1.7 0.5 16.5 1.28 and may thus lead to unstable sliding. Any significant
10 - 2.0 0.5 10.2 1.30
20 -3.2 -0.8 2.7 1.26 build-up of pore-pressure in active fault zones therefore
30 - 4.7 - 2.4 2.4 1.06 may be due to the presence of high porosity sedimen-
40 - 4.7 - 1.9 2.3 1.26 tary rock at depth.
50 -4.7 -7.0 -5.3 1:04
60 - 8.4 - 7.4 - 6.0 1,05
90 - 10.4 -10.3 -10.0 1,05 Acknowledgemeal~--The experimental work was carried out by T. N.
G o w d as D A A D (German Academic Exchange Service) research fel-
 Confining Pressure on the Fracture Behaviour of a Porous Rock 229

low at the Institute of Geophysics, Ruhr-University Bochum. The induced velocity changes in rock and their relation to frictional
paper was written by F. Rummei during a visit to NGRI in Hydera- sliding PAGEOPH 116, 743-764 (1978).
bad, India. The authors wish to thank DAAD and CSIR India for 4. Sobolev G., Spetzler H. & Salov B. Precursors to failure in rocks
making the exchange .visits possible. Financial support of the experi- while undergoing anelastic deformation. J. geophys. Res. 83,
mental work was provided by the German Science Foundation (SFB 1775-1784 (1978).
77, A.9). 5. Edmond J. M. & Paterson M. S. Volume changes during
deformation of rocks at high pressure. Int. J. Rock. Mech. Min.
Sci. 9, 161-182 (1972).
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in Gesteinen. Ber. Inst. Geophysik, Ruhr-Univ., Bochum, No. 4
(1975).
7. Zoback M. D. & Byerlee J. D. Permeability and effective stress.
Bull. Am. Ass. Petrol. Geol. 59, 154-158 (1975).
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