Rock Mech. Rock Engng.

(1998) 31 (4), 237250

Rock Mechanics
and Rock Engineering
: Springer-Verlag 1998
Printed in Austria
Microscopic Fracture Processes in a Granite
By
E. Z. Lajtai
Department of Civil and Geological Engineering, The University of Manitoba, Winnipeg,
Canada
Summary
The deformation of a competent, brittle, granitic rock is thought to have two main com-
ponents: elastic and brittle deformation, the latter caused by axial microcracking. Dynamic
fatigue testing of Lac du Bonnet granite would, however, suggest the presence of a third
mechanism, compaction. Compaction is not the same as elastic crack closure; compaction
entails permanent damage along grain boundaries that are under high compression. During
compaction, the axial stiness (elastic modulus) of the rock increases and the permanent
crack volume becomes negative (compression). Compaction is active at all stress levels, but
it is most noticeable at low stress where its presence is not masked by dilation caused by
axial microcracking.
1. Introduction
The important role played by pre-existing microcracks (aws) in nucleating axial
microcracks has been well recognized since Grith had formulated his theory on
brittle fracture (Grith, 1924). For rock fracture, a theory based on material aws
is particularly attractive since rocks carry discontinuities of many types and size.
Suitably oriented microcracks, or Grith aws, act as stress concentrators, which
generate both tensile and compressive stress concentrations. The tensile stress
concentrations are thought to be the source of the axial tensile cracks appearing in
the uniaxial, or even the triaxial compression tests of brittle rocks. The potential
role that the compressive stress concentrations (that can be orders of magnitude
greater than the tensile stress concentrations) play, has largely been ignored
(Lajtai, 1971).
According to present concepts, the pre-failure deformation of brittle rocks has
two major components: elastic deformation and deformation produced through
axial microcracking. There are also number of less signicant processes: pre-
existing crack closure, internal crack sliding and apparent plasticity. Crack closure
is a low stress, elastic phenomenon, and apparent plasticity, usually due to the
buckling of rock slabs bounded by axial fractures, appears only at high stress,
close to failure. An additional mechanism, internal crack sliding, has been sug-
gested on theoretical grounds (Walsh, 1965), but physical evidence for pre-failure
shear displacement in rock is scarce.
The beginning and progress of a particular deformational mechanism is
mirrored by the shape of the stress-strain diagram (Bieniawski, 1967), through
changes in the position of stress markers and in the slope of stress-strain curves
(Fig. 1). In addition to elastic deformation, the nonlinear, low stress part of the
axial stress-strain curve displays pre-existing crack closure (cc), and just before
failure apparent plasticity ( y) may appear. The axial strain curve should not be
inuenced by the axial microcracking, because axial stiness is unaected by the
presence of stress free axial discontinuities. Between the crack closure and the yield
stress, the axial stress-strain curve behaves elastically and its slope (the axial sti-
ness) should dene the elastic modulus (E). The lateral strain curve is normally
unaected by crack closure, but it is strongly inuenced by the dilation of the axial
microcracks. Elastic conditions prevail at low stress, before the crack initiation
point (ci). In the elastic zone, the slope of the lateral strain curve denes the lateral
stiness. The ratio of the elastic modulus to the lateral stiness yields the Poisson's
ratio (v). From the axial strain (e
a
). and the lateral strain (e
1
) curves one may de-
rive two additional relationships: the volumetric strain (D) and the crack volu-
metric strain (e
cv
). The rst is computed using the innitesimal strain assumption:
D 2e
l
e
a
:
The crack volumetric strain is the excess of the measured volumetric strain (D)
over the elastic volumetric strain:
e
cv
D
s1 2u
E
:
Fig. 1. Stress strain diagram for Lac du Bonnet granite showing the axial, lateral, volumetric and crack
volumetric strain. The axial curve reveals the crack closure (cc), the yield ( y) and the peak stress ( p).
The lateral strain curve displays the crack initiation stress (ci ). The volumetric strain curve shows the
volumetric strain rate reversal (onset of dilatancy) stress (vrr). The crack volumetric strain has its own
reversal stress (cvrr) marking the point, above which axial cracking dominates crack closure
238 E. Z. Lajtai
For compression, s must be entered negative. The crack volumetric strain for Lac
du Bonnet granite is initially negative (compression), goes through a rate reversal
point (cvrr), and normally ends with a positive value (dilation). The general shape
of the crack volumetric strain curve reects the interplay between two microscopic
processes, crack closure and axial crack propagation.
The primary goal for the research described in this paper was to nd the eect
of axial crack density on the two deformational parameters, the axial and the lat-
eral stiness. To do this, the testing of specimens with dierent crack densities was
required. The dynamic fatigue test oers a convenient and economic way to sys-
tematically change the density of axial microcracks. In the dynamic fatigue test,
the load is cycled between two limits (Fig. 2). In this case, the lower limit is at zero
stress and the upper limit is set at a compressive stress (the fatigue load), which is a
fraction of the uniaxial compressive strength. If the fatigue load is high enough to
induce axial microcracking, successive loading cycles should keep on increasing
the crack density. Crack density can be dened in many ways. In microscopic
investigations, crack density is usually expressed as the number of cracks crossing
a unit length. This quantity cannot be derived from the analysis of the stress-strain
diagram. The stress-strain diagram however will yield a similar parameter, the
permanent crack volume. The permanent crack volume (pcv) created during a
loading cycle is the dierence in the volumetric (or crack volumetric strain) mea-
sured at the beginning and the end of the loading cycle (Fig. 3). Since at zero stress,
there is no elastic volumetric strain, the volumetric and the crack volumetric strain
curves merge. The volume of the cracks created during the dynamic fatigue test is
recorded by a cycle to cycle shift in the hysteresis loops of the volumetric strain.
The shift is to the left (compression) at low and to the right (dilation) at high
Fig. 2. Stress-strain diagram of a loading cycle (2
nd
at 185 MPa) showing the axial, the lateral and the
volumetric strain. During the test, the uniaxial compressive stress varied between zero and the maxi-
mum value of 185 MPa. After a few loading cycles, the specimen failed at this load. The axial stiness is
the slope of the axial strain curve taken above the crack closure stress (cc). The lateral stiness, is the
slope of the relatively straight section of the lateral strain curve below the crack initiation point (ci)
Microscopic Fracture Processes in a Granite 239
stress. Shifts in the position of stress markers and changes in the stiness parame-
ters, caused by microscopic fracture processed during a loading cycle, are reected
in the stress-strain diagram of the following loading cycle. Hence, by analyzing the
cycles of a dynamic fatigue test, the trend of stress markers and stiness parame-
ters and their relationship to the permanent crack volume can be established.
2. Experiments
The granite rock specimens came from the Cold Spring Quarry near Lac du
Bonnet, Manitoba. The mechanical properties of Lac du Bonnet granite are typi-
cal of many granites (elastic modulus: 70 GPa, Poisson's ratio: 0.21, uniaxial com-
pressive strength: 225 MPa; Brazilian tensile strength: 13.5 MPa). Each cylindrical
test specimen, 31 mm in diameter and 64 mm long, was equipped with three axial
and three lateral strain gauges, that were attached to the middle third of the spec-
imen to avoid end eects (Fig. 4). Loading was between steel platens with a ball-
jointed loading head at one end of the testing arrangement. Testing was conducted
in an MTS testing frame in the load control mode, producing a loading rate of
about one MPa per second. The data acquisition system was set to read the load,
the elapsed time and the output of the six strain gauges at 2-second intervals.
Being aware of the strong inuence water moisture has on rock properties,
three air-dried and three wet specimens have been prepared. For the wet tests, the
strain gauge installation was water proofed. The specimens were kept submerged
in water for a minimum of one day prior to testing and the drift of the strain
gauges was recorded for the duration. From the six tests, specimen No. 812 (dry)
and specimen No. 801 (wet) produced the most useful data. They both failed in the
end, but only after several well-dened loading cycles and without premature
strain-gauge failure. In the other tests, failure occurred while the stress was incre-
Fig. 3. Volumetric and crack volume strain during the last (11
th
) complete loading cycle. The specimen
failed on the next load application. The start and the end of volumetric or the crack volume strain curve
at zero stress dene the initial and the nal crack volume. The dierence is the permanent crack volume
( pcv) created during the loading cycle. The wide hysteresis loop is caused by rapid crack growth on
approaching failure. Compare this with the more usual narrower loop of the 2
nd
cycle shown in Fig. 2
240 E. Z. Lajtai
mented to the next fatigue load. The data coming from these tests were however
similar to those for No. 812 and No. 801.
For specimen 801, the lower fatigue load boundary was set at zero; the upper
ranged between 120 and 185 MPa uniaxial compression (Table 1). For a specic
fatigue load, the load was cycled for about a working day to produce 40 to 60
cycles. Each morning, the maximum load was incremented and the procedure re-
peated. The wet specimen No. 801, underwent 312 cycles starting with a fatigue
load of 120 and nished with failure at 185 MPa (Table 1). In a simple uniaxial
compression test, the peak stress would normally be about 225 MPa.
3. Analysis
The data acquisition system produced about 150 measurements per cycle, su-
cient to produce smooth stress-strain curves. Although, the stress-strain curves for
Fig. 4. Test specimen and the loading condition. The specimen was instrumented with three axial and
three lateral gauges and compressed between hardened-steel loading platens. The compressive load was
transmitted to the upper platen through a ball-jointed cylinder head
Table 1. The test history of specimens No. 812 and No. 801
Dry specimen No. 812 Wet specimen No. 801
Fatigue load (MPa) Number of cycles Fatigue load (MPa) Number of cycles
140 24 120 77
160 13 140 54
180 40 160 64
200 44 170 50
220 16 180 56
185 12
Microscopic Fracture Processes in a Granite 241
Lac du Bonnet granite are rarely linear in any stress interval, it is possible to
manually t a straight line to both the axial and the lateral strain curves above the
cc (crack closure) and below the ci (crack initiation) stress markers, respectively
(Fig. 2). The low stress, curving part of the lateral strain curve was ignored in
the tting procedure. However, the actual computational procedure to determine
the axial and lateral stiness was more involved. First, the momentary axial and
lateral stiness was found by running a moving-point linear regression procedure
for the whole length of the stress-strain curves. From plots of the momentary
stiness parameter against the axial stress, through inspection a ``relatively con-
stant stiness interval'' was identied (Fig. 5). The axial and the lateral stiness
quoted in this paper is the average of the momentary stiness of this stress inter-
val. This way, the constant stiness interval for the axial strain may not corre-
spond to the constant stiness interval of the lateral strain. Finding a common
stress interval for both was inconvenient, mainly because the common stress in-
terval, between the crack closure and the crack initiation stress, narrows at high
stress (Fig. 6).
3.1 The Crack Closure and the Crack Initiation Stress
The crack closure stress should mark the point where all the pre-existing cracks
close and the material enters the elastic stage. The axial stiness is measured above
this stress, along the linear portion of the axial strain curve. Crack closure is
thought to be an elastic process and the compressive strain accompanying it
should be recoverable. Most of the crack closure strain is expected to come from
pre-existing cracks that are oriented at high angle to the compressive load. Some
degree of closure, however, is possible for all cracks except those that have a load-
Fig. 5. Determining the axial and the lateral stiness from the strain measurements. The momentary
stiness curves, shown in the diagram, were found through the running of a moving-point regression
procedure on the strain data. The lateral strain curve is always non-linear; the axial stiness becomes
close to linear above the crack closure stress. The quoted value of the two stiness parameters is the
average of the momentary stiness between the arrows
242 E. Z. Lajtai
parallel orientation. Because during the compression test, the axial microcracks
propagate parallel to the compressive stress, they should have no eect on the
shape of the axial strain curve, and consequently on the crack closure stress.
Nevertheless, the crack closure stress did change in the dynamic fatigue tests of
Lac du Bonnet granite (Fig. 6).
The lateral stiness is measured on that part of the lateral strain curve which
lies below the crack initiation stress. Dening the crack initiation point for Lac du
Bonnet granite has always been problematic. Microstructural studies (Lajtai,
1991), have indicated that Lac du Bonnet granite may have as many as three crack
initiation points (Fig. 7). The two low stress ``initiation points'' (2060 MPa
range) are responsible for the low stress curvature of the lateral strain curve, and
they are thought to be associated with recoverable dilation along cleavage in
feldspars (60% of granite) and possibly in biotite (10% or less). In the granite
structure, the stronger quartz (30%) envelopes both the feldspar and the biotite
crystals. This quartz framework gives the high strength to granites. During uni-
axial compression, this framework is rst disrupted at a uniaxial stress of about
100 MPa. Since this is the stress level at which stress-induced structural changes
become noticeable in Lac du Bonnet granite, the high-stress crack initiation point
at 100 MP is the true crack initiation point in Lac du Bonnet granite. The trend of
this point seems to follow that of the crack closure stress, the crack initiation
moves to higher stress as the fatigue load of the dynamic fatigue test is increased.
In the high stress series at 170, 180 and 185 MPa, both crack closure and crack
initiation occur at almost the same stress, around 160 MPa.
3.2 The Axial and the Lateral Stiness
In general both the axial and the lateral stiness seem to decrease as the number of
loading cycles and the fatigue load increase (Fig. 8). For the scaling used in the
Fig. 6. Crack initiation and crack closure data for the whole stress history of specimen 801. The maxi-
mum stress applied for a particular range of cycles is shown at the top. Both the crack initiation and the
crack closure points move to higher stress and practically merge at high stress. Note the almost in-
stantaneous response to an increase in the fatigue load
Microscopic Fracture Processes in a Granite 243
gure, the axial stiness seems to change but little until the maximum load is
raised to 170 MPa. In fact, the axial stiness does display a very denite trend
before this. When using a ner scale, the axial stiness can be shown to increase at
low stress from 69 to 71 MPa (Fig. 9). For the lateral stiness, the trend is always
negative. Starting with the 120 MPa series, the lateral stiness clearly decreases,
with the rate become greater with increasing fatigue load.
Fig. 7. Non-linear lateral strain curve for Lac du Bonnet granite. When strain gauge locations are
selected to report strain from the feldspar and quartz crystals separately, as many as three crack initi-
ation points can be identied. The arrows show the location of these. The two low-stress points are re-
lated to recoverable dilation, possibly along the cleavage of feldspar and possibly biotite. Permanent
damage occurs when the quartz framework of granite is fractured around 100 MPa
Fig. 8. Cycle to cycle changes in the axial and the lateral stiness for specimen 801. The lateral stiness
decreases right from the beginning, with the rate of drop accelerating with stress. The axial stiness
changes less, but just as denitely as shown in Fig. 9
244 E. Z. Lajtai
3.3 Permanent Crack Volume
The dierence between the permanent volumetric strain at the beginning and the
end of a loading cycle yields the crack volume created during the cycle. When the
fatigue load is greater than the crack initiation stress, one would expect the per-
manent crack volume to increase, reecting the nucleation of new axial cracks and
the extension of those created previously. If in addition to elasticity, axial micro-
cracking was the only strain producing mechanism, the permanent crack volume
could only increase. The actual situation, however, is more complex. In fact, the
permanent crack volume strain remained negative until the fatigue load was raised
Fig. 9. Cycle to cycle changes in the axial stiness for specimen 801. The axial stiness increases
initially from 69 to 71 GPa. With the rise in the fatigue load to 170 MPa, the stiness starts to drop
gradually to 67 MPa. The early rise is attributed to the compaction, probably at grain boundaries
Fig. 10. Cycle to cycle trend of the permanent crack volume for specimen 801. Initially, the permanent
crack volume is negative suggesting compaction rather than dilation at low stress. The contribution of
axial microcracking however can be seen as early as in the 140 MPa series where the permanent crack
volume begins to increase. The rate of increase in crack volume accelerates at high stress
Microscopic Fracture Processes in a Granite 245
to 180 MPa (Fig. 10). The rate of change in the permanent crack volume however
turned positive (dilatant) at a stress lower than this, at the beginning of the 140
MPa series. Negative crack volume indicates a reduction in void space. This pro-
cess of compaction is the most obvious during the low stress series. Compaction
may, however, take place at all stress levels, but at high stress the volume of newly
created axial cracks is large enough to mask its presence.
4. Discussion
For competent, brittle rocks the expectation is that strain is produced through two
major mechanisms: elastic deformation and axial microcracking. There are also
such minor contributors as the elastic closure of pre-existing cracks at low stress
and perhaps some nonlinear behavior (plasticity), occurring close to the peak
stress. Microscopic examination of both pre-failure and post-failure fracture pat-
terns in Lac du Bonnet granite would suggest that internal shear displacements,
whether due to crack sliding or plasticity, develop only after the peak stress is
passed, i.e. during the post-failure phase of the stress history. Others reached sim-
ilar conclusions (e.g. Tapponnier and Brace, 1976 and references therein).
To the two major deformational mechanisms of elastic deformation and axial
microcracking, one may now add a third one: compaction. Compaction is not the
same as elastic crack closure. Compaction is not an elastic process; it involves
permanent damage! Although this deformational process may be active at all
stress levels, the permanent crack volume due to compaction is usually quite small,
in the order of 100 me. The total amount of compaction may however be larger
than this, but its presence could be masked by the dilation caused through axial
microcracking. Through compaction, the axial stiness of Lac du Bonnet granite
Fig. 11. Orientation of microcracks with respect to the loading direction (vertical). The microscopic
examination of fractured Lac du Bonnet granite specimens shows that most of the stress-induced cracks
follow the loading direction. There is, however, a small increase in the distribution of microcracks at the
load-normal, orientation
246 E. Z. Lajtai
increases by about 2 GPa, from an initial 69 GPa to a peak value of 71 GPa
(Fig. 9).
To this point, the evidence in support of compaction comes indirectly, from the
interpretation of the axial and the volumetric strain curves. In contrast, axial
microcracks have been observed and documented by several researchers (Kranz,
1983). Is there visual evidence for compaction? The author and his students have
studied and documented many microcracks in stressed Lac du Bonnet granite. It is
clear that by far the majority of microcracks are oriented within a narrow range
about the compressive stress direction (Fig. 11). These are the axial microcracks.
At the same time, there is a small increase at the 90

position, perpendicular to the

compression axis. In micrographs of fractured granite (Fig. 12), the fractures that
could be responsible for the 90

increase follow low angle (load-normal) grain

boundaries. Presumably, these load-normal fractures develop on unloading, at
Fig. 12. Micrograph of a laboratory-fractured Lac du Bonnet granite at 40 magnication. The dark
material is quartz; the light is feldspar. The loading direction was vertical. Note that most of the cracks
run parallel with the loading direction (marked by horizontal arrows), but there are a few cracks in the
load-normal position as well (vertical arrows). The largest load-normal crack follows a grain boundary;
two similar but smaller cracks developed along the cleavage planes of feldspar
Microscopic Fracture Processes in a Granite 247
locations where the compaction damage was concentrated. Grain boundaries are
neither continuous nor smooth enough to transmit stress without disturbance.
They often contain minor cavities separated by rock bridges (Sprunt and Brace,
1974). Under compression, some of the bridges concentrating the compressive
stress may be crushed. On unloading, the elastically compressed and still unfrac-
tured material around the damaged grain boundary rebounds, pulling the two
surfaces of the damaged grain boundary apart (Fig. 13).
The eects of compaction are displayed best by the axial strain curve, through
the shift in the crack closure stress to higher stress, and from the change in axial sti-
ness. Axial microcracking, on the other hand, is best interpreted from the change
in the shape of the lateral strain curve, in particular from the decreasing lateral
stiness.
All the examples given above refer to the behavior of Lac du Bonnet granite at
100% humidity; the test specimen was soaked in water and tested while submerged
in water. Dynamic fatigue tests were, however, conducted on air-dried specimens
as well. As expected, the presence of moisture has a strong inuence on practically
all the strength parameters. As an example, Fig. 14 compares the evolution of per-
manent crack volume under both dry and humid conditions. In general, micro-
cracking starts and progresses at lower stress levels at high humidity regardless of
the testing procedure (Lajtai and Schmidtke, 1987).
The main goal of the research was to dene the eect of axial microcracking on
the axial and the lateral stiness of granite under uniaxial compression. Plotting
the two stiness parameters against the permanent crack volume may show this. As
expected, the lateral stiness decreases with increasing crack volume (Fig. 15).
What was not expected, was that even a small increase in crack volume from the
Fig. 13. Interpretation of load-normal fractures. Grain boundaries are rarely continuous; they often
contain gaps separated by rock bridges. In the hypothetical four-mineral medium, the compressive
loading crushes the rock bridges of the load-normal grain boundary between the two grains in the middle.
On load-removal, the two undamaged crystals regain their initial shape. Because they are bounded to
the damaged crystals in the middle, The two damaged grains are pulled apart along the grain boundary
to form a load-normal fracture
248 E. Z. Lajtai
initial (intact) condition would cause a very large decrease in lateral stiness. How-
ever the rate of decrease decelerates so that, for large crack volumes, the decrease in
lateral stiness becomes, negligible. The axial stiness shows a similar trend starting
with an initial 71 GPa, but soon dropping to and then stabilizing at 67 GPa.
Fig. 15. Eect of permanent crack volume on stiness. Although a decrease in stiness with increasing
crack volume would normally be expected, the actual trend of the relationship is somewhat surprising.
Even for a very small increase in crack volume from the initial (intact) state, both the axial and the
lateral stiness drop steeply. The inuence is much less at large crack volume, to a degree that over
about 600 me, neither the axial nor the lateral stiness is aected much
Fig. 14. comparison of permanent crack volumes in air-dried and water-saturated granite. Although
the total amount of permanent crack volume at failure is not much dierent, the stress necessary to
induce cracking and failure is substantially less for the wet rock. The numbers on the graph indicate the
fatigue loads
Microscopic Fracture Processes in a Granite 249
5. Conclusion
During the dynamic fatigue test, the deformational behavior of an elastic brittle
rock, such as Lac du Bonnet granite, is shown to be controlled through three
major mechanisms of stress-induced deformation: elastic deformation, and two
microfracture related processes, compaction and axial microcracking. The pres-
ence of the compaction mechanism is supported by the low stress appearance of
negative permanent crack volume accompanied by increasing axial stiness, and
the shift in the crack closure point to higher stress. Compaction delays the ap-
pearance of the expected dilation caused by axial microcracking. The amount of
compaction is quite small, in the order of 100 me. With increasing stress, axial
microcracking becomes the dominant strain-producing mechanism.
The axial and the lateral stiness of the granite are very sensitive to the per-
manent crack volume contained in it. Compaction increases the axial stiness
while axial microcracking causes a decrease in the lateral stiness.
As expected, the presence of moisture in the testing environment has a strong
inuence on practically all the deformational and strength parameters. In partic-
ular, axial cracking starts at lower stress when the environment is humid rather
than dry.
Acknowledgements
The author thanks the Natural Sciences and Engineering Research Council for its nancial
support through the Research Grants Program. The aid of W. Grajewski and Fei Yin in
preparing the test specimens and arranging for the testing is gratefully acknowledged.
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Author's address: Dr. E. Z. Lajtai, Department of Civil and Geological Engineering,
The University of Manitoba, Winnipeg, Manitoba, Canada, R3T 5V6.
250 E. Z. Lajtai: Microscopic Fracture Processes in a Granite