H.II.

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A NonConventional View
on Rock Mechanics and
Fracture Mechanics
J. GRAMBERG

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bHshed for the Commission of the European Communities

by A. A. Balkema

A NON-CONVENTIONAL VIEW ON ROCK MECHANICS

AND FRACTURE MECHANICS

A Non-Conventional View
on Rock Mechanics and
Fracture Mechanics
By

J.GRAMBERG

Publishedfor the Commission of the European Communities by

A. A.B ALKEMA / ROTTERDAM / BROOKnELD/1989

PARI FUR"? . Bib'ioili.

N.C Y ,
CL

//./tf

CIP-DATA KONINKLIJKE BIBLIOTHEEK, DEN HAAG .

Gramberg, J.
A non-conventional view on rock mechanics and fracture mechanics / by J. Gramberg. - Rotterdam [etc.] : Balkema. II1., photogr.
Pubi, for the Commission of the European Communities. - With ref.
ISBN 906191806 5 bound
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Subject headings: rock mechanics / fracture mechanics.

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Printed in the Netherlands

Contents

Acknowledgements

vi

Introduction

II

The development of ideas on cracking andfracturingin rock by

compressive loading - Synopsis

Phenomenol ogy of brittlefracturein laboratory tests

29

IV Stress, stress theory and theory of elasticity

57

73

Macrostresses, deformations andfracturingin cylindrical specimens

VI Three models or theories for the brittle fracture and the induction
theory

93

VII Acoustic methods and cataclastic models

119

Vul Mathematical approach

151

IX The balance

171

177

Practica
l application of the Principal Law

XI Stress differentiation

193

Fracture and fracture-plane analysis, diamonds and personal data

209

References

219

Photographs

223

Acknowledgements

It took me more than 30 years to start, to gather and to complete the basic
material which forms the contents of this publication.
Within this period I received training, opportunity, support and encouragement from many institutes and persons from all over the world. Their number
is much too large to mention all of them here separately.
Now I am already pensioned for 10 years, but still I have the opportunity
to work and to move about in the familiar environment of the Mining
Institute of the Delft University of Technology. Because my knowledge of
mining, geology, mineralogy and rock behaviour was initiated and developed
mainly within this Institute, I consider the T.U.D. as my "Alma Mater".
Therefore, although I may act as a private person, I consider my activities
to be under the auspices of the T.U.D.
However, this report, which contains the matured and completed contents of
a basic subject of my research, would never have been written without the
encouragement and the support of the Directorate-General for Science,
Research and Development of the Commission of the European Communities.
Therefore I express my special acknowledgement to the C.E.C.
The Hague/Delft, December 1987
J. Gramberg Ph.D.
Mining Engineer

VI

CHAPTER I

Introduction

A GUIDE TO THE READER

A characteristic of rock mechanics is that usually the various structural
states of the rock are simultaneously involved in the calculations: the
original or "intact" state the systematically fractured state, and the
intensively fractured or crumbled state.
Sometimes the issue is only concerned with the analysis of the fractures
and with the crack systems in exposed rock formations such as with respect
to geological survey.
In many cases, however, the concern is in keeping underground cavities open.
At minor depths and in competent rock a good design can be developed at the
drawing table in the office. At greater depths and in not so competent rock
types, often with variable characteristics, more knowledge of the details of
the local circumstances is necessary, and the behavioural patterns of these
rock types need to be known. A difficulty is that the rock in situ is not
easily accessible for direct investigation. In order to keep the excavation
open, the rock wall can be supported from the inside with steel arches or
with a concrete lining. It is also possible to strengthen the wall rock with
rockbolts or by means of grouting; another possibility is to try to make the
rock support itself by means of appropriate destressing. A combination of
these techniques is possible as well.
As a rule, the convergence of the opening is measured to evaluate the effects. This method is relatively simple and it is still very effective.
An objection, however, is that the cause of the convergence is not revealed.
A supplementary survey could be the application of the socalled "crosshole
measurement". By this method the structural changes in the rock can be
examined at some distance from the wall. In all cases the generation of
cracks and fractures in the rock mass plays the main role, especially where
fracturing as a result of pressure is concerned. In our laboratory at the
Delft University of Technology the knowledge on this subject is already far
developed. The specialist is able to draw important conclusions from the

fracture phenomena observed in the walls of underground cavities.

It is not only the pressure which causes fracturing, but shearing movements
of blocks, rock layers, and rock slabs, which occur very frequently in mining
and in tectonics, bring about very characteristic patterns of cracks and
fractures.
The generation of all of these types of cracks and fractures form the subject of this writing. One fracture phenomenon is thereby predominant, and
that is the generation of the "Axial Cleavage Fracture", "extension
fracture" or "Trennbruch" (German).
Virtually all primary fractures in the walls of underground cavities at
greater depths belong to this type, as well as the most of the .parallel
joints or diaclases in the earth's crust, being brittle indirect-tensile
fractures.
They distinguish themselves from the shear fracture type by the shape and
the direction of the fracture plane as well as by the lineations on it
which bear their own typical characteristics.
Therefore, this fracture type can easily be distinguished from the shear
fracture.
It is remarkable that at the beginning of our research in 1953, an acceptable explanation of the generation of the axial cleavage fracture did not
exist. The phenomenon of this fracture type has been known scientifically
for a period of one hundred years now, although under different names. Still,
the scientists as well as the technicians have never succeeded in designing
an acceptable theory for it, based on the conventional stress theory. We can
agree with that, for the conventional stress theory is inadequate when
applied to the atomic scale. To solve this problem the stress theory has to
be regarded in a somewhat unconventional way.
It will be proved that the axial cleavage fracture is caused by induced
tensile stress.
Erroneously, the conventional-technical scientists consider this fracture
type as one part of a set of conjugate shear fractures.
This is rather misleading with respect to the reconstruction of forces and
stresses in the rock mass through the observed fracture phenomena. Because
of this, in the course of time, a serious discrepancy has arisen between
the ideas of the scientists working with theoretical mechanics and those
technicians who are familiar with mining practice.
It is a characteristic of the applied science, that a phenomenon which has
not yet been explained, is not taken into account.

Because, if there exists no explanation then there exists no mathematical

formulation as well, and therefore, the phenomenon can not take its place
in technical considerations. Sometimes it is considered not to exist at all!
As long as the underground mining was only based on experience, this discrepancy was of minor importance. The present author has gone through this
period as well. He worked for a period of two years from 1948 to 1950, together with the miners, directly at the face of the coal seam, and was
strongly impressed with the fracturing of the rock layers as a result of
the forces and the stresses in the rock mass.
These forces were used and controlled by the miners, only based on practical experience. This changed after 1930, when science was about to be
introduced into underground mining. This was due, namely, to the fact that
in 1947 the first symposium in the world on the subject of Roch Mechanics,
then called "Rock Pressure", had been organized in Heerlen, Holland. The
effect of that symposium took a few years to penetrate mentally.
At the mining department of the Delft University of Technology (Holland) the
lessons in "Rock Pressure" (or Rock Mechanics) were started immediately after
that symposium.
Being the assistant to the professor in Mining Technology, including "Rock
Pressure", the author coached the mining students during their underground
practical training. In this way the ten coal mines, then in operation in
Holland, were visited regularly every year. So, the research on fracture
phenomena in underground coal mines was continued over a period of approximately fifteen years.
In the meantime several kinds of tests were carried out in the laboratory;
a.o., tensile and torsion tests, but predominantly compressive tests; in
the beginning in a very simple way, but later on in a more sophisticated
manner under the application of acoustic methods.
From the beginning we have asked ourselves what the exact meaning could be
concerning the "compressive strength"; and what is "fracture"? In the meantime the answers to these questions have been found.
An Important contribution was the analysis of the fracture phenomena and
the rock movements around a long wall coal face in a 600 m deep coal winning.
This study was completed under the auspices of the Commission of the
European Communities.
The results of this study were reported on the occasion of an informatory
symposium, "Rock Pressure and Support in the Mine".
Besides the underground research on fracture, the same type of investiga-

tion was carried out in surface rock, with numerous excursions being made
to rock exposures. These activities were the inducement which led the
present author to write a thesis on fracturing. This doctoral thesis
came into being in 1970 with the financial support of the Commission of
the European Communities.
From this the reader may conclude that a scholarly recluse is not speaking
here, but someone who is acquainted with or "at home" in the underground
mining practice as well as in the laboratory, while he has also some geological field experience.
As a result of this extensive research it became clear that the phenomenon
of the axial cleavage fracture was everywhere strongly dominant: in the
mine, in the tunnel wall, and also in the form of a diaclase or jointsystem in the earth's crust, in fact, everywhere in hard rock.
The discrepancy between the ideas of thetechnical scientists und mining
practice became more and more oppressive. The necessity to have at our disposal an acceptable theory on the axial cleavage fracture became very urgent.
Research on the "compressive strength" and on the "fracture" as well as the
attempts to develop a theory on the "axial cleavage" fracture started in
1953. Now, in 1986, it should finally be rounded off.
It should be kept in mind that the behaviour of fracturing in the various
rock types shows a great variety of forms. It has to be understood as well
that the theories of stress and elasticity are no other than products of
very clever human intelligence, which are based on a strongly idealized
picture of solid material.
Moreover, it has been considered

that the explanation of the mechanism of

fracturing lies, in fact, not within the range of these theories, for these
theories are only engaged in the continuous state of the material. In the
past the occurence of the fracturing of rock was considered as a chaotic
affair. Any hope that the human constructions, the theories of stress and
elasticity, could ever get a grip on the fracture phenomenon was considered
as almost nil. Notwithstanding all that, we have succeeded, first, in ordering this apparent chaos, and after that, we have framed an - in our opinion
acceptable theory on brittle fracturing at compressive loading. In the meantime this theory has been successfully checked on many occasions under practical circumstances.
A theory means: an explanation which is based on the methodical application
of general laws and principles, if necessary, completed with hypotheses.

The value of a theory incorporates also that the phenomena are ordered.
A certain amount of stylizing, schematizing, and idealizing is accepted.
We started with the ordering of the phenomena of the brittle fracture.
According to the way of progress of the destruction process in the specimen,
the rock was classified into "destruction types" (Chapter III).
The ordered phenomenology must be considered part of the theory as well.
This phenomenology plays an important role in the reasoning.
This imparts an heuristic character to our theory. This means that the
observation leads to a first explanation, or theory. This explanation
leads to new experiments after which, by new specific or nonspecific observations, this theory can be adjusted. This process can be repeated
several times. Sometimes parallel theories arise. In this way, by interaction, a network of observed phenomena and explanations or theories was
developed.
As a basis, we have set

that the observed facts will settle the matter.

Whereas, the theory has to be adjusted, because here the theories of stress
and elasticity are not the leading elements, but the natural phenomena are.
Therefore, the theory must be flexible; our theory is indeed flexible.
This network of facts and theories must lead to a deeper insight and comprehension of the characteristics of the material, "rock".
The cohesion and the supporting capacity belong to these characteristics.
In the cataclaetic range both of these properties depend on the intensity
of the fracturing often accompanied by very large deformations. Thereby,
all the phases of the destruction process are involved: from the intact
phase to the cataclastic phase of failure and the quasi-loose, granular
phase of the soil mechanical state.
Now that a foundation is present, the ideas can develop further, and continued research, based on the theory, can be outlined.
In this connection we have to mention that we tried to formulate the
Cataclastic-Plasto-Elastic equilibrium (C.P.E. equilibrium), because we
think it is necessary to develop a theory of the C.P.E. equilibrium of
rock material, being a parallel of soil mechanics, for the loose granular
mass.
Besides the primary phenomenon of the noncomplex axial cleavage fracture,
still another primary fracturing type in compression was observed: the
generation of complex conjugate shear zones with stress differentiation.
We consider this fracture type as proof of the presence of elements of
pure-plastic behaviour in the material. This research has resulted in

four rules for brittle fracture.

1. The Principal Law first part, based on the phenomenology (Chapter III).
2. The Principal Law second part, put things together with the stress
theory ('Chapter V) .
3. Number three is a rule for the quantification of the criteria for
fracture development at compressive loadings; this rule is derived from
the ellipse theory; it concerns the determination by experiment of
a coefficeint, k, being

Oo/ ^, for technical application (Chapter V I ) .

4. A supposed rule, number four, on the probable transition of the brittle

state into the state with some plastic or quasiplastic behaviour at
more elevated triaxial loadings (Chapter XI); and further the transition
into the pureplastic state at elevated temperatures and very high pressures;
the latter research applies to purescientific physical research. Therefore,
it is only mentioned here as a possibility.
Chapter II begins with a review of the existing ideas about fracturing at
compressive loading. This chapter informs the reader about the discrepancy
between the current ideas about fracture and failure by shear and the true
primary fracturing in brittle rock by induced tension.
Chapter III follows with the phenomenology of the generation and the pro
pagation of fractures in laboratory tests.
This matter is important for the analysis of the e diagram in figure 13.
In this figure is treated the difference between the stable and unstable
phases in the destruction process.
Then we have in Chapter IV an analysis of the basic elements of the current
stress theory and the theory of elasticity in which is argued the fact that
we have to deal with four different concepts of the idea of "stress":
1. The conventional idea of stress or "Macrostress", forming the
"Macrosystem".
2. The intergranular stresses or "vagabond" stresses, forming the
"Microsystem".
3. The stresses within the very small stress fields around the fracture
edge, the "Minute Microsystem".
4. The interatomic cohesive forces, also denoted with the term "stress",
the theoretical stress.
The insight that the idea "stress" can be applied in four different ways
forms the essential point in the logic of our reasoning.
In the next chapter, Chapter V, the laboratory results are compared with

stresses and deformations calculated by means of the conventional, or

macrostress

theory of elasticity, applying only to the elastic state.

As a result, we must admit that the conventional theory of elasticity is

not adequate to explain the fracture phenomena. However, points of recognition appear to be present.
In Chapter VI, Griffith's probable way of reasoning is reconstructed.
Then our brittle fracture theory on the axial cleavage fracture is developed: the theory of the "ellipse-with-notch-and-variable-axis-ratio".
Further, some characteristic properties of the axial cleavage fracture are
explained in a heuristic manner.
Chapter VII concerns the applied acoustic methods. "Acoustic compaction"
is converted into intergranular contact pressure (micropressure). From the
static equilibrium it is concluded that this pressure points to the
existence of an equally large tensile microstress. The stylized microsystem
leads to the construction of the cohesion diagram.
In the next chapter, Chapter VIII, elements from the theoretical stress
distribution along the border of the "fracture ellipse" are compared with
the true behaviour of the onset of fracture (the nucleus) and with fracture
propagation.
Chapter IX, "The Balance", is engaged in possible critics on the developed
theory, whereas the author's counter arguments are posed.
In Chapter X constructions are treated, based on the observed phenomena,
under the application of the Principal Law. The constructions are carried out
with Mohr circles and therefore they relate to the "conventional" stress
theory. They concern the influence of an added shear stress. Some examples
of the application of "fracture-and-fracture-plane-analysis" are involved,
applying the heuristic element :
a) The explanation of the curved part of the bending fracture and the
"peeling-off" effect
b) The phenomenon of "disking", as it was observed in cores of rock salt
which were obtained by core drilling into the side wall of a severely
stressed cross cut in a rock salt mine.
In Chapter XI the second primary fracture phenomenon of "stress differentiation" and the complex conjugate shear zone is treated. In connection
with this the earlier mentioned fourth rule is represented: the possible
transition from the ideal-brittle state into the quasi-plastic and finally
perhaps into the true-plastic state.

Chapter XII contains some of the author's enjoyable reflections on the

subject of basic research, resulting in "fracture-and-fracture-planeanalysis", applied to the famous 3106 carat Cullinan diamond.
After "References" 14 photo pages are added.

CHAPTER II

The development of ideas on cracking andfracturingin rock by

compressive loading - Synopsis

1. EARLIER VIEWS
We will discuss here several moments, important in our opinion, out of the
development of the knowledge of fracture and fracturing. Particularly that
concerning the brittle fracture in rock.Some of the information is borrowed
from Timoshenko's "History of Strength of Materials".
Throughout time man has had the need to fracture rocks. Prehistoric man
made sharp cutting edges on his flint tools by chipping, which caused the
conchoidal fracture. In this way sharp cutting edges were formed on flint
knives, scrapers and arrow heads.
In historical times fracturing was also caused by primitive mining, by the
working of stone blocks used for building and by sculpturing. So, regardless
of the usefulness of the fracture phenomenon, the idea of "cracking" and
"fracturing" had an unfavourable connotation. Understandably, cracks and
fractures in utensils and construction materials made them unusable. So, if
the material was to keep

its strength and usefulness, cracking and fractu-

ring had to be prevented. In order to ascertain a safe load, the strength

of the materials needed to be determined. The research on the strength of
the materials only made sense after sufficient development of the knowledge
about mechanics.
Even though Leonardo da Vinci (1452-1515)
area, Galilei (1564-1642)

1-a

had already researched this

has to be considered the first to experiment

with rock in a systematical way. He carried out tensile and bending tests
and tried to give an explanation for tensile and bending strengths based on
mechanics; see figure

2-1. The results of his research was published in

1638 by Elsevier in Leiden (The Netherlands); see figure 1.

Until the beginning of the Eighteenth Century, material research was only
conducted out of curiosity. Only thereafter did technical interest come into existence and that being because of military considerations. In that pel-c
n o d also the well known research of Coulomb
took place on the strength
of rock. His observations date from 1773. Coulomb then described the fai-

DISCORSI

DIMOSTRAZIONI
MATEMATICHE,
intorno due nuoue fcienze
Attenenti alla
MECANICA. &

i MOVIMENTI

LOCALI;

delSignor
GALILEO GALILEI LINCEO,
Filofofoe Matematico primario del Sereniffimo
Grand Duca di Tofcana.
Coz una Appendice delcentre digranitd'alenniSoledi.

IN LEIDA,

Appreffo gli Elfevirii. M. D. C. xxxviii.

FIGURE 1

The title page of Galileo's book "Two New Sciences"; this

book contains the probably earliest scientific determination of the

strength of rock; it was published in 1638 by Elsevier, Leiden,
Holland

ling of sandstone through compression, by oblique shearing-off;

see figure 2-2. He expressed this process so well in the terms of mechanics
that his analysis is still relevant; see figure 2-3.
In 1822, the modern stress theory was brought into existence by the mathematician Cauchy

. Cauchy defined the idea of "stress" as the intensity of

the internal force. A view which still stands up today.

Now it was possible to make a convenient mathematical connection between
the external-direct-measurable-forces and the internal forces which cannot
be measured directly. With this the basis was laid for the currently accepted theories of stress and elasticity.
Properly, the birth of the theory of linear elasticity goes back to the year
1678 when Hooke established that the deformation of metals is linearly proportionate with the loading. In 1808, Young added to this his findings that

10

this proportion is constant for each solid elastic material and independent of
the crooseection of the loaded specimen. This has led to the present modu
lus of elasticity or Young's modulus E concept.
As noted above, the modern stress theory was founded in 1822, by Cauchy.
Several years later, in 1829, as a completing element to the theory of elas
ticity, deliberations were brought forward by Poisson that in uniaxial
loading the transverse deformation cannot go together with an (internal)
transverse stress, for, an external loading in a transverse direction is
absent. By this, the coefficient of the transverse contraction by tensile
loading and transverse dilatation by compressive loading could be formula
ted: the Poisson

number m or the Poisson ratio or V. As a result of this

the four elements were together, out of which the theory of elasticity, as we
1B

know it today, is built up: stress theory, Hooke's Law, then the Young's

modulus E and lastly, Poisson's number m. This has resulted in the three well
known equations.

By means of these equations the connection between external and internal

forces and deformation could be described now in a mathematical way, provi
ded that the material continued to fulfill the stated conditions during
loading. One of those conditions is that of continuity. Of course, one must
realize thoroughly that stress theory as well as the theory of elasticity
are nothing

other than the human interpretation based on schematizing,

idealizing,and stylizing, of what is called the elastic behaviour of materi

als. So, the area of validity is in fact the limited area of the elastic
deformations only.
The cultivating of the theory of elasticity in those earlier times rested
mainly in the hands of construction engineers. In 1826, as a guarantee for
the safety of construction, Navier

stated that the construction is safe

as long as during the loading, the area of elasticity is not surpassed

and no permanent deformations appear. This fixed rule may have con
tributed to the fact that in the Nineteenth Century, engineers restricted
themselves to the study of the area of elasticity. As long as they remained
within this area with the loading, they believed that they were safe. As a
11

Historical Data
500 BC

Pythagoras - Samos

250 BC

Euclides - Alexandria

1600

Galileo Galilei Lincea

Hooke (linearity!

1773

Coulomb

V
1773

Thomas Young IE)

1822

Cauchy (stress theory)

1629

Poisson (m)

1894

Voigt

1900

Fppl

1900 19K

Mohr, envelope

1908

Prandtl

1912

Bridgman

19111912

Von Ka'rmn

1920

1908
Trenn Bruch

ridgmant
paradox

920 \'-*rr*=*j

^7

13

Griffith

unsatis
VI
factory
1921

SL

1935

Smekal

1959

Schardin

ai

1958

1967

fk-SLi^
<v~~

?*

' \s <

19111912
10

^*

Quasiplastic behaviour
(Von Karman!

modified
Griffith
17
I(Orowan)

1959

1935 R 18

VI

MACH

1917 1934
Development
of the principles
of soil
mechanics

Axial fracturing in compression

Brazilian test

c
o
+*
c

JffiA
l
}&&# f

1
1921

Modern Insights

GriffithI

'5

Delft

Early mathematics

160

ai

1678

Lab for Rock Mechanics

Primary effects

rk

>

c
o

*. Secondary effects
of failure
Splintering
Crumbling
Grain crushing

Slabbing
Shearing off
Quasi soil mechan

Ol

' 19621970

fr
o
ai

SL
C

o
'o

ui

ti

'' o

Fracture
mechanics
tor
hard rock

ical behaviour

Induction theory

19671968
Post failure
26

28 .

Ellipsewithnotchandvar i ableaxisrat io

1980 C P E . equilibria and destressing technics

12

effects

FIGURE 2

Historical data

21: Probably the oldest tensile and bending tests carried out in
early 1600 by Galileo Galilei (15641642)
22,3: Generally accepted mode of fracturing in compression by shear
ingoff, according to Coulomb, about 1773
24: Voigt's experiment with cylindrical specimen of weak artificial
brittle material, subjected to high confining pressure; the specimen
broke in two by obvious

tensile fracturing (1894);see also figure 3

25: August Fppl loaded cement mortar cubes on two sides equally;
the surfaces were treated with paraffin;the cubes broke into lamel
lae parallel to the direction of the pressure (1900)
26,7: IV t h

fracture hypothesis (19001914) of Otto Mohr(18351918),

failure by shearingoff; Mohr' envelope with the two image points

denoting the conjugate directions of shear planes
28: "Trennbruch" or extension fracture characterized by a smooth
surface; Prandtl (1908)
29: The "pinchingoff effect" (1912) according to Bridgman; a pyrex
glass rod breaks by induced tension as a result of high confining
pressure: "Bridgman's paradox"; compare Voigt; see also figure 3
210,11:Triaxial compressive tests (19101911) by Von Krmin, demon
strating (quasi) plastic behaviour of Carrara marble;visible slip
lines confirmed the IV t n Mohrhypothesis; sandstone behaved similarly
212,13,14: A.A. Griffith's first brittle fracture concept(GriffithI)
12: a flaw in the material schematically represented by infinitesi
mal "pennyshaped" ellipsoid ; 13: high stress concentration occur
at the tips of an equilibriumcrack; 14: mathematical treatment re
quired a noninterrupted smooth ellipse tip with a smallest possible
radius about I atom diameter ("atomic sharpness", Orowan), causing
the highest possible stress concentration
215: Illustration of the unsatisfactory theory GriffithII(1924);
this theory is incompatible with the observed experimental facts,
and also, in nature
216: Modified Griffith theory; interpretation of the beginning of
cracks by preexisting oblique micro or macrocracks; additional
shear stress may cause the onset of axial microcracks
217: Diagram of failure data at triaxial loadings(.,.);the data ap
plies to primary fracturing in tensions as well as to secondary fai
lure in compression, without discrimination;dotted line according to
Orowan

13

FIGURE 2

continued

218,19,20: Representation of some of Smekal's findings about the

origin and the propagation of brittle fracture by tensile stress( 1935),
fracture starts in one point R,nucleus or fracture source;the fracture
plane develops perpendicular to tensile stress; the fracture propa
gates first slowly, then accelerating

until a limiting velocity of

about 1/2 transversal wave velocity; the fracture plane shows nu

cleus R, a smooth "mirror", a speckled transition zone; radial tra
ces or orthogonal trajectories; the rough zone indicates that the
maximal velocity has been reached
221: Brazilian tensile test or disk test (Carneira 1954); tensile
testby compressive loading shows the indirect, induced brittle ten
sile fracture; note the lineation showing the nucleus and radial
traces, completely after the GriffithI concept and in accordance
with Smekal's findings
222: Axial cleavage fracture in lithographic limestone produced in
uniaxial loading; note the nucleus R and the radial traces, similar
to the lineation produced by the Brazilian test; conclusion: the
axial cleavage fracture is the result of induced or indirect tensile
stress
223: Axial cataclasis in coarsegrained rock with granitic structure
224: Multishear cataclasis in Carrara marble as a result of stress
differentiation
225: Secondary effect of failure by shearingoff, after internal
destruction by primary fracturing
226: Induction theory; the brittle fracture tip in a tensile stress
field shows a cusp or beak shape and certainly not the smoothly cur
ved line of the infinitesimal Griffithellipse; compare 14
227: The ellipsewithnotch model consists of a relatively large and
finite ellipse, superimposed by the realistic infinitesimal cusp
notch of the actual fracture tip; induced tension as a result of
axial compression is concentrated by the cusp notch
228: The ellipsewithnotchandvariableaxisratio model; the walls
of the crack will close partly in triaxial compression leaving open
short border ellipses, superimposed by the cusp notch of the very
fracture tip

14

result, when making constructions out of cast iron, they walked into a trap,
for cast iron is a material with a brittle character: by tensile loading it
breaks without previous plastic flow, does so without warning and without
eventually having been able to transfer

a part of the loading to other

parts of the construction. Serious accidents occurred, caused by fracturing

of the material. So here an obvious gap in the knowledge of materials manifested itself. Not only the strength of the material is important, but the
whole behavior of the material has to be studied with all kinds of loadings,
for

steel, cast iron,and building stone, behave very differently.

A solution to this problem is not

so simple. However, with loading tests,

the dangerous conditions of loading can be experimentally determined. From

there, on the basis of the stress theory and the theory of elasticity,rules
can be put together for the dangerous conditions; i.e. those stress conditions which exceed the boundary of elasticity. But, what comes after that,
namely, permanent deformation, the process of failure aud fracturing, by
definition falls outside the area of the usual stress theory and the theory of elasticity.
2. THE CONVENTIONAL VIEW ON FRACTURING UNDER PRESSURE
The previously mentioned research of Coulomb

l-c

, from 1773, should be noted

as the earliest attempt to make the connection between the failing of materials under compressive loading; see figure 2-2,3.
Yet, without being able to use the currently available stress theory, he was
nevertheless capable of indicating a relationship between external loading
and the process of internal failure, albeit in a very general way. This resulted in the now still relevant theory of the shear fracture, which is
applicable to the failing of certain rocks and in particular, the loose
granular mass. Until recently it was still virtually generally accepted,
that all rocks and other brittle materials at uniaxial

compressive loading

would fracture only by oblique shearing-off. Then indeed, as a rule, particularly the less-hard rocks will fail by shearing-off.
But in reality the complete process of destruction is much more complicated
than is indicated by this simple shearing-off. Because this

was still not

known in those days, the IVth fracture hypothesis of Mohr was able to conquer, without resistance, the dominating place it still maintains up to the
time of this writing.
According to this fracture hypothesis, which dates from about 1900, there
exists for each solid material a system of limiting stress conditions at

15

which the material will shearoff in a very determined way. In the dia
2
. .
gram of Mohr , these conditions are indicated by limiting stress circles,
which can be surrounded by an envelope with a curved shape;see figure 26,7.
3a b
The correctness of this theory was tested by Von Karman
' in the years
1911 and 1912; see figure 210,11. His experiments confirmed the concepts
of Mohr. However, we may remark here that the above mentioned shear failure
is a secondary effect, preceeded by primary processes of structural changes.
At those times,however, this fact was overlooked almost completely. At any
rate, these experiments led to the still now generally applied theory of
shearfracturing, according to MohrCoulomb ; see figure 23,6,7.
However, Mohr as well as Von Karman

mentioned points of doubt. Both namely

had also noticed that after shearingoff under compressive loading, that in
the remainder of the rock, many fractures occurred which did not fit within
the theory of noncomplex, simple shearingoff. With this they were on the
track of the primary crack phenomena. On account of this, Von Karman no
ticed that the theories for fracturing can be distinguished in theories
concerning a simply definable quantity, which can serve as a measure for
danger in regards to failure ("B ruchgefahr" in German),and in theories which
are more concerned with the physical image of the fracturing process as
such.In these latter theories again according to Von Karman large deforma
tions and fractures are considered as processes of shearingoff. In this
way they would still be in accordance with the views according to
Coulomb 1 , 3 _ a , b from 1773.
A s a physical cause of "fracturing", Von Karman mentions, on the one side,
sliding along boundaries of grains attended with cracking and
side, pure plastic deformations within the

calcite

on the other

grains of the marble

which he used for his experiments. Von Karman stuck to the idea that the
theory of shearfracturing was always valid for brittle rock as well. There
fore he considered Mohr's IVth hypothesis as a handsome extension of Cou
lomb's original theory. From the well known diagrams by Von Karmin, for the
deformation of marble and sandstone by diverse confining pressures, it ap
peared that the plastic deformability of rocks at high confining pressures
shows a great similarity with those of ductile'metals; see figure 210,11.
This supported his final conclusion, that the permanent deformation and
fracturing in solid rock, just like in metals, had to be the result of
shearing and sliding.
As is mentioned above, Von Karman

3a b
' knew very well that in rock other

forms of fracturing also occur during compressive loading. In the introduc

tion of both of his publications he mentions some ways of fracturing which

deviate from the "shear fracture" type. Those are cracks

which develop in

the direction of the compressive loading. This phenomenon was already demonstrated experimentally in three different ways and recorded scientifical4
5
ly, namely in 1894 by Voigt , in 1900 by August Foppl, and in 1908 by
3-a b
Prandtl, as is mentioned by Von Karman
' . Von Karman mentioned this type
of fracture, called by Frandtl "Trennungsbruch" (German) i.e., extension
fracture, that surely could not be the result of shearing or sliding.Von
Karman did see a connection with the tensile fracture, but he did not pursue the problem further.
This deviating form of fracture, for which an explanation could not be given in those days, was until recently generally considered as an exception
to the rule. As a result, the phenomenon was rather ignored and it is therefore the above mentioned final conclusion by Von Karman, viz. - that of
fracturing by shearing, which set its stamp on the idea about fractures forming in brittle, solid rocks. Henceforth, this will be called the Conventional Concept. Here should also be mentioned that this concept links up
with the technique of signalizing the danger for failure rather than with
the physical theory of fracturing, as was already brought forward by

Von Karman.
3. A DEVIATING WAY OF FRACTURING
As was mentioned above, besides the "conventional concept" of shearing-off,
there was also signalized a "deviating way of fracturing". Presumably, the
physicist Voigt was the first to mention this in 1894. He loaded cylinders
made of artificially composed brittle material, with a rotational symmetric
high confining pressure. The cylinders broke in two with a tensile fracture;
see figure 2-4 and figure 3.
The next scientific mentioning of this phenomenon came as a result of a
technical research of material. August Fppl (1900)

loaded cubes of cement

mortar mechanically on two sides at once, with an equally large pressure.

The end surfaces were treated with paraffin to diminish the friction against
the pressure pieces. The cubes broke into lamellae, parallel to the two directions of pressure; see figure 2-5. About this, Fppl wrote an extensive
paper. The importance of this for technical knowledge of fracturing, however,
was not realized. Presumably, because this phenomenon did not fit In with
the concepts of Mohr and Coulomb strongly propagated in those days, Foppl's
observations were ignored. Even in 1929 and 1949 they were contested and

17

/V'

1.2.3
"hydraulic" state
of stress

3\^S

12

G3
3 lowered,
fracturing

C^"2

'8t
G

FIGURE 3

St

Von Karman's analysis of Voighs's confining test in 1894;

see also figure 24

1: a = specimen; b = pressure vessel; c indirect tensile fracture
2: Von Karman's picture, rather enigmatic
3: operation: first the stresses

Op

O< and O j were raised simulta

neously and equal, resulting in a "hydraulic state of stress"; then

O j was lowered until fracture occurred; at various magnitudes of the
"hydraulic stress" the value e of the lowering until fracture, was
about constant; e = ( - ), circles d<and d2
d(in2): Mohrcircle for pressure difference e after Von Karman
4: f = Mohrcircle for failure in compression (F); O c is 45 times e
5: g = Mohrcircle for rupture by direct tension(G); diameter about e
Von Karman's picture shows confusion about the occurrence of a ten
sile fracture by confining pressure; he states that this case is not
in accordance with Mohr's IV

hypothesis. No attempt has been made

to explain the generation of the tensile fracture c.

18

stamped as deceptive. Fortunately August Foppl's observations did not fall

into oblivion completely.
As already mentioned, in 1908, Prandtl revealed having discovered a type of
fracture, which ran according to the direction of pressure and the surface
of which clearly deviated from that of the shear fracture. He called this
the "Trennungebruch" or "Trennbruch" (German) or "extension fracture". This
name has been used up to this day. The connection with Foppl's observations
however, apparently eluded him. Unfortunately, the present author failed to
find a more precize description of Prandtl' observation. See figure 28.
The tests by Bridgman

' in this area are also of great importance. In 1912

he loaded little rods of pyrex glass in a high pressure vessel, in a ro

tational symmetric way, with a very high fluid pressure in about the same
way as Voigt had done with much weaker materials; see figure 29. The ends of
the rods protruded through the sides of the vessel by way of stuffing boxes.
The fluid pressure made the rods break in two, even when on the ends which
protruded from the pressure vessel,some pressure was applied. Bridgman recog
nized the fracture as a tensile fracture. He called this phenomenon the
"pinchingoff effeet",..."a highly paradoxial thing". It is called "B ridg
man 's paradox". In 1952 he wrote about this as follows in a synopsis of hie
experimental work: ".... for now tensile fracture can be produced across
planes on which the compressive stress is so high as to be beyond any pos
sible experimental error".
It is remarkable that none of the above mentioned scientists made the sligh
test attempt to explain this kind of phenomena. Probably, these phenomena
were regarded as an exception and, therefore, they were not thought im
portant enough to spend the necessary energy on. Von Karmin as well as
Bridgman, for instance, sufficed to mention the phenomenon as a paradox.
3a b
Still Von Karman
' thought it important to describe Voigt's tests. This
enabled us to understand the problem; see figure 3.
4. GRIFFITH'S CONTRIBUTIONS AND THEIR VARIOUS INTERPRETATIONS
Griffith's pioneering work of 1920; "GriffithI"
Meanwhile, serious accidents had happened, caused by fracturing in iron and
steel contructions. In 1844, in England twenty workers

lost their life due

to fracture in castiron beams. Earlier, in 1830, a suspension bridge in

Scotland collapsed owing to the failure of one of the main suspension
chains. This too took many human lives. By these accidents the fractures in
the metal did not show the phenomena of flow which could be expected with

19

steel. One spoke about material' fatigue and about brittle fracture. Its
mechanism was not understood and therefore, this phenomenon was frightening.
In the beginning of the Twentieth Century the progression of technology encountered great difficulties because of brittle fracture in, a.o., machine
parts like piston rods of engines. The uncertainty about the cause of these
phenomena lasted until 1920, when the physicist, A.A. Griffith , succeeded
in developing a suitable theory for brittle fracture by tensile loading.
Griffith used glass rods, glass threads and also glass balloons for his experiments. He saw that the property of brittleness should be seen apart
from the materials: glass, steel, rock; all of them have the property of
brittleness in common.
Griffith's theory of 1920 ("Griffith-I") formed a milestone in the history
of the research on fracturing; see figure 2-12,13,14. With the help of his
Ellipse Model of the crack, he made the experimentally established phenomenon of stress concentration accessible for mathematical treatment.
Griffith's ideas provided the starting point for the earlier mentioned new
science of "Fracture Mechanics". This fracture mechanics is mainly directed
to the research of crack and fracture phenomena in metals, although other
o

areas are also entered; (see Liebowitz ) .

Fracture mechanics is mainly concerned with the original purpose, namely
that of serving safety, i.e., avoiding fractures in construction. So
crack and fracture formation is considered here as an unfavourable element,
and not as a structural part of the material.
Griffith's incorrect theory of 1924: "Griffith-II"
Again we return to Griffith. Unfortunately, after his success in 1920,
Griffith let himself be led astray by applying his excellent theory for
brittle fracture by tensile loading also to compressive loading;
see figure 2-15.
On the occasion of the First Congress on Applied Mechanics at Delft in 1924,
9
published his second brittle fracture theory (Griffith-II). With

Griffith

that he tried to explain the oblique progressing complex zone of the shear
fracture, as it often occurs in test cylinders of rock, according to the
principle of the non-complex brittle tensile fracture. This concept, however,
is untenable. For Griffith's theory from 1920 is based on the energetic
equilibrium at the crack as a non-complex, simple phenomenon.Contrary to
that, in solid rock, the oblique shear fracture, as a rule, is always a
very complex fracture phenomenon. It takes place in a more or less volumi-

20

nous zone of the material that previously had been crushed by cataclasis;
see figure 2-25.
That there is a distinction between these two very fundamentally different
types of fractures, was already known from the work of Voigt, Fppl and
Prandtl. Also Von Karmin had reported something about it. Apparently,
Griffith did not have this information at his disposal. He believed that he
could take in essence the complex shear fracture as non-complex, Simple tensile fracture phenomenon. Elaborating on his successful analysis of the
non-complex, simple tensile fracture, from 1920, Griffith thought the same
mechanism to be applicable, but then, oblique to the direction of pressure.
Again he chose the ellipse as a model for the crack and for the crack's tip.
He gave this "model ellipse" a position oblique to the direction of the
pressure. In a mathematical way, he demonstrated that close to the top a
very high tensile stress has to develop. He assumed that these points would
lie so close to the extreme points of the long axis of the ellipse, that
they would practically fall in with them. He expected that the propagation
of the crack would then also take place in the direction of the axis of the
oblique ellipse; see figure 2-15.
Later experiments between 1960 and 1970, however, have shown that this is
not true. Namely, if n oblique positioned crack is already there, forming
the very beginning, it swings around to the axial position by further propagaq
tion. Thus taken on the whole, in the sense that Griffith meant it, this
theory "Griffith-II" should be rejected, for it is incompatible with the
facts. Between 1960 and 1970 experimento were done with artificially made
slot-shaped openings and closed cracks in glass panes, imitating model
cracks after Griffith. Within this context we night name Bieniawski,
Hoek, Walsh,and others; see Bieniawski

. These experiments demonstrated

that, with a compressive loading oblique to the direction of the quasi-elliptic slots, cracks do indeed depart from points close to the extreme
ende of the slots. The beginning of the crack then comes into being at a
relatively low compressive loading. It points in a direction oblique to
that of the pressure, but

this direction is exactly contrary to that of

the slot. By higher loadings, these oblique little cracks bend around to
the axial direction, that is, in the direction of the pressure axis. Once
they have taken an axial position, then further axial crack propagation
occurs only at remarkably higher loadings; about 5-10 times the loading
which caused the beginning of the crack. This and other experiments convincingly demonstrated the untenability of Griffith's second theory.

21

Another interpretation of the GriffithII theory

Nevertheless, the second theory of Griffith has also a useful aspect. It
has deepened our insights and gave birth to new concepts. This was ex
pressed by another proposed interpretation of the "GriffithII" theory, the
socalled "Modified Griffith Theory"; see figure 216.
This modified theory also confines itself to the interpretation of the be
ginning of the crack. In this case, it was presumed that the walls of, for
example, oblique flat pores or of already present older cracks with a slan
ting position, are pressed together by compressive loading. At a certain
pressure these walls start to slide along each other and additional shear
stresses develop. These additional shear stresses play a role in the origin
of new oblique microcracks. These too, do not propagate in an oblique di
rection but change over to an axial position, see Bieniawski,Hoek,Walsh,

These theories are interesting only in so far that they make us understand
that the beginning of a crack may originate already at a relatively low
loading. They do not give an explanation, however, of crack and fracture
propagation, or of the general direction of longer cracks and fractures.
Another aspect of the Modified Griffith Theory is the visualization of the
beginning of the fracture or the failing in the ., , diagram. An oblique
line originates in an angle with the , axis. This diagram is concerned
with numerical values and not with the cause or direction of the fracture;
see figure 217. For the Fracture Mechanics of Hard Rock these contempla
tions are of limited value. See Bieniawski
5. THE LINEATION ON THE BRITTLE FRACTURE SURFACE
An important point of the research of the brittle fracture is the lineation
which is visible in glancing or oblique light on the fracture surface. This
was pointed out already by Preston

in 1926, but especially Smekal

&

'

gave a clear exposition on it in 1936; see figure 218,19. This drawing

shows the beginning of the fracture, R, the so called mirror and radial tra
ces which agree perfectly with

the Griffith I Theory from 1920. Therefore,

this first theory of Griffith should be considered completely reliable.This

applies particularly to tensile fractures in very hard rocks, in which prac
tically every element of plasticity is missing. Smekal

'

also pointed

out the existence of a connection between the lineation and the propagation
velocity of the crack; see figure 220. Measurements of this velocity were
13a b
14
made for glass by, a.o., Smekal
' and Schardin
and for rocks by
Bieniawski . Within this context the name of Elizabeth Yoffe
might be

22

'

mentioned. By means of mathematical analysis she proved that the maximum

velocity of the crack propagation will not exceed 0,6 Mach.
6. THE FORMING OF CRACKS AND FRACTURES IN THE DIRECTION OF THE COMPRESSIVE
LOADING
Among the conditions which prevail in underground mining and in deep tunneling, compressive loading is the most common. It was not a secret among the
mining engineers that fracturing in the hard rock underground generally did
not agree with the shear fracture theory according to Mohr-Coulomb. In those
days it was not often discussed, however, because the mining engineer

had

to solve the problems by himself as an expert using his own special experience. He always had to live with the phenomena of fracturing which, in
most cases, did not fit the explanation given by other technicans and physicists. So, the mining engineer was confronted by his own specific problems
which apparently could not be solved in a mathematical or physical way. As
a result he assumed a status apart.
Perhaps because of World War II, when in the Dutch, Belgian and French coal
mine industry

the thinking in terms of maximal production was replaced by

attempts to obstruct production, more and more time was used for contemplation and observation.
As one of the first, in 1949, Labaese

mentioned that besides the oblique

shear fracture in rock, and concrete, also fracturing in the direction of

the pressure occurs. So it is called here the "axial direction".
In our research into fracturing in rock and concrete in underground works
of the deep coal mines in South Limburg (The Netherlands), we came to the
same conclusion. It was decided then to make researches of these phenomena
l.i the laboratory In Delft. This research began in about 1953-. We started
to carry out the simplest uniaxial compressive experiments with cylindrical specimen of natural rocks. A special loading device, however, was applied by which the pressure on the extreme planes was divided in a better
way than by the usual direct contact with the steel platens; see figure 15.
In dense, fine grained rock types like lithographic limestone, silex (flint),
pyrites and also in windowglass , fracturing always occurred in the axial
direction and never in the generally expected oblique shearing. Some specimens splintered,but with others the pressure could be decreased just in
time after the forming of the first crack. Those test cylinders were split
in two, about equally in half, by way of a fracture plane in the axial direction, the direction of the axis of the pressure. This type of fracture was

23

described as an "axial cleavage fracture". The lineatici or the racture

plane was always about the same, and showed all the characteristics of the
brittle tensile fracture, as described by Smekal; see figure 222.
In those days, no one was able to explain this type of fracture. Also, in
those days, the connection with the type of fracture, which was called
"Trennungsbruch" by Frandtl in 1908, was not yet seen. Besides, a reasonable
description of that fracture type did not exist. In addition, the "Tren
nungsbruch" was considered more an exception than a rule. The axial cleavage
fracture occurred in our test so systematically that it was surely a ques
tion of regular phenomenon. Because this same type of fracture appeared to
be the most generally occurring one in the underground mine, it was most im
portant to find an explanation for it.
7. INDIRECT TENSILE STRE SS AND THE AXIAL CLEAVAGE FRACTURE
Around 1954, in the beginning of our research, the so called "Brazilian ten
sile test", according to Carneira, came into vogue; see Wright

. In this

test, a cylindrical specimen is loaded with pressure under the compressive

machine according to two generating lines. As a result, the

cylin

der is split in a longitudinal direction in two equal halves, see figure 221.
With the aid

of the theory of elasticity, Carneira showed that the cause of

the fracture has to be tensile stress. This tensile stress is caused in an

indirect way by compressive loading, that is, by induction. The character of
a tensile brittle fracture is affirmed by the lineation on the fracture
plane: the lineation bears the characteristics of the brittle tensile frac
ture. It also appeared that this lineation was practically identical to
those on the plane of the axial cleavage fracture. Compare figure 221 and
222. The conclusion is obvious; the axial cleavage fracture has to be de
termined as an indirect or induced tensile fracture. This provided the way
for an explanation of this type of fracture.
Here we pass in review the various arguments:
1. Because of the symmetrical position of the axial cleavage fracture
in the specimen, it is not possible that a shear component is in
volved in the propagation.
2. The lineation on the fracture plane points to the character of a
tensile fracture.
3. There is no tensile loading in the transverse direction, i.e., the
tensile stress has to be originated in an indirect way, by induc
tion.

24

4. The lineation is characteristic of the brittle condition of material.

5. The lineation of the fracture plane is a faithful reflection of
the Griffith-I theory from 1920.
These are all an indication that the best starting point from which to form
a theory for the axial cleavage fracture, would be the Griffith-I theory,
in its

original version.

The induction theory

Because of these arguments, in 1962, a presumably satisfactory theory was
found for the phenomenon of induction of the tensile stress which had to be
responsible for the development of the single crack in the direction of the
compressive loading, the axial cleavage fracture. This was the theory of
the ellipse-with-notch; see figure 2-26,27.
In the period between 1962 and 1970, this theory was improved and adjusted
to the behavior

of the axial cleavage fracture. This behavior was better

known now because of continued research in the laboratory, a.o., with help
of acoustic means. Also continued, was the research into the fracture phenomena in the underground mine and hard rock exposures on the surface. The
original "ellipse-with-notch" model was refined now to the "ellipse-withnotch-and-variable-axis-ratio" model; see figure 2-28. Besides this, a supplementary physical model was developed: the tip of the fracture was represented as an array of atomic points.
With these two models, all observed phenomena of the axial cleavage fracture until now, can be explained rather satisfactorily.
8. THE GENERATION OF THE COMPLEX SHEAR ZONE
Besides the theory for the non-complex, simple phenomenon of the axial cleavage frecture, another theory was developed for the beginning of the limited internal shear zones of the multi-shear cataclasis by a complex system
of systematically "en echelon" oriented small tensile cracks and fissures.
Here the phenomenon of stress differentiation comes to the fore. This means
that the stresses in the rock mass are able to regroup themselves during
the cataclastic loading stretch. As a result the limited oblique shear zones
are formed; see figure 2-2A. The shear mechanism is attended with local
transverse-tensile stress. The multi-shear zones expand laterally. They enclose diamond shaped bodies which are compressed as a result of the expansion of these zones. Thus large stress differences occur within small volume units.

25

9. THE EVOLVED VIEWS

These evolved views link to the wish, already expressed by Von Karman in
1912, to represent the physical process of the forming of cracks. With the
above mentioned theories for the non-complex, simple crack and that of the
complex shear zone, this was achieved. Within this context it is not enough to
collect data only on the failure of hard rock, the so called compressive
strength, for, as was remarked before, hard rocks do not just fail, suddenly at once, under compressive loading at the forming of the first crack. In
reality they pass, under a slowly increasing pressure, through a long lasting process of destruction. In order to understand the mechanical behaviour of hard rock the whole destruction process should be analyzed. This
destruction process is characterized by an increase in the forming of cracks,
the so called cataclasis, and by an increase in volume. In each phase of
this cataclastic process the rock appears to behave as an elastic body again
under lower loadings; however, with

changed mechanical properties. Then it

is cataclastic-elastic. Because cataclasis involves permanent deformation,

its

behaviour can also be called, "cataclastic-plasto-elastic" or C.P.E

behaviour.
In nature and in mining it is usual that a period of higher loading,causing
cataclasis, alternates with a period of lower loading by which the equilibrium is restored. As a result, cataclastic-plasto-elastic behaviour and
Cataclastic-Plasto-Elastic-equilibrium

are a generally occur-

ring phenomenon. The cataclastic structure is the condition in which the

rock contains a large number of cracks. The cracks form a structural element of the material and they have a function in the C.P.E.-behaviour as
well as in the C.P.E.-equilibrium. Seen from this point of view, the crack
is no longer a harmful defect which has to be avoided. Now, the crack has
become a structural element which performs an obvious positive function in
maintaining the supporting capacity. This positive function implies, a.o.,
that high peaks.of stress close to the walls of underground cavities are levelled-off by spreading. Also, at the same time, the (lowered) pressure
peaks move away from the wall. This has been proved experimentally by Roest^,
We think that these views have caused a fundamental change in our attitude
in respect of the genesis and the function of cracks and fractures in hard
rock. These views form the foundation for the scientific school of thought
which we propagate and call: "Fracture Mechanics for Hard Rock". This Fracture Mechanics originated from the comparative research into fracturing and
is composed of the following branches:

26

1. Fracture and fracture plane analysis

2. Theory of brittle fracture for hard rock
3. Analysis of cataclastic structures
4. Theory of the cataclastic equilibria
Post-failure effects
Besides the above mentioned developments, the technique of the research into the "post-failure effects", must be mentioned also. This technique dates
from the years 1967-1968, and makes it possible to research into the behaviour of the material during failure. Connected to the development of this
18
19
technique are such names as Cook
others. It is concerned with

, Hojem, Fairhurst

, Waversik, and

the research into the secondary phenomena of

fracturing, the final phase of the cataclastic equilibria, that is, the
phase in which the remainder of cohesion decreases continuously. Then, the
condition of intact material gradually changes into the loose granular mass.
The longer this process proceeds, the more the laws of Soil Mechanics come
to the fore.
10. THE PLACE OF FRACTURE MECHANICS FOR HARD ROCK IN ROCK MECHANICS
According to our opinion the "Fracture Mechanics for Hard Rock", as propagated by us, accentuates a typical element in Rock Mechanics.
Since in 1939-1940,

when Van Iterson

'

published his papers on the

pressure of the rock strata on top of the supported long wall coal face,
and his contribution to the Symposium on Phenomena of Rock Pressure in Coal
20-c
, we began to see rock not only as solid hard

Mining in 1947, in Heerlen

material but also as a broken mass with soil mechanical properties. So it

is completely in the line of development that all phases between these two
extremes, have to be drawn into our horizon. This now, is the element which
gives Rook Mechanics its

own character.

We see Rock Mechanics as a combination of:

a) Stress theory
b) Theory of elasticity
c) Elements from Soil Mechanics
d) Fracture Mechanics for Hard Rock
e) Knowledge of the C.P.E. equilibria for cataclastic structure
f) Applications on the area of plasticity
g) Data acquired by research into materials

27

Applications of Fracture Mechanics for Hard Rock

Applications lie, in the first place, in the area of diagnostics. Just like
a physician who has to have a correct diagnosis to his disposal to be able
to prescribe the right medicine, so the mining engineer has to have at his
disposal a correct analysis of the phenomena to be able to improve the
mining technique.
As an example, we mention Dr.Christiaens

, who

by way of a correct analy-

sis of the phenomena of fracturing in the roof layers of the coal face, appeared to be able to control the discharge of water from the overlying
water bearing strata. This resulted in a strongly improved extraction.
Another application lies in the improved insight into what is really happening. An example is the recent development of the technique for the relieving
22
of stresses by J.P.A. Roest, et al

. One of the results is the "Self Sup-

porting Rock Ring", the further development of which is connected with the
improved knowledge of the 'cataclastic structure and the C.F.E. equilibria.
This destressing technique

will also play a role in the creation of under-

ground cavities which are strongly heated internally,or which are exposed
to large internal pressure changes.
Pure scientific applications
Besides technical applications of the insights in the C.P.E. equilibria,
pure scientific applications are feasible as well. We think of the consequence of the shift of the boundaries of "loading-stretches of stability"
as a result of gases, moisture, water , recrystallization, elevated pressures,
and temperatures. Within the depths which are covered by mining and tunneling this shift might probably be less important. At greater depths,however,
and at more elevated temperatures, the stable loading-stretches of hard rock
will diminish and finally they probably vanish completely. Then the material will find itself in the plastic state.
Insight in these phenomena will be of interest with regard to, e.g.,the research on the deeper parts of the earth crust by means of very deep bore
holes.
This report is limited to the research of brittle fracture phenomena, their
explanation in terms of an adapted stress'theory and some examples of their
application.
The author has the intention to elaborate his views on "Fracture Mechanics
for Hard Rock" as well, if he will be enabled to do so.

28

CHAPTER III

Phenomenology of brittlefracturein laboratory tests

1. AIM AND METHOD OF THE RESEARCH

Fracture mechanics is for a major part based on observations in the laboratory. Our research began about

1953. It was immediately related to the

question of how the fracture phenomena, observed in the deep coal mine, the
ore mine, and in the tunnel wall, could be connected with the way of
loading and the stresses in the rock. We still consider this to be one of
the basic elements for rock mechanics. Therefore, the collection of numerical data was not in the foreground. As a result, the laboratory activities
were predominantly directed to determing the way of fracturing
at different kinds of loading,and on the manner in which cylindrical specimens would behave during the uniaxial

compressive test in the process

of destruction.
It proved that the destruction process may develop rather differently in
various kinds of rock. Another point was, that important details of the
fracture phenomena in one rock type would show up much better than in other
types. Therefore, not only one kind of rock was experimented with, but several very different materials were used.
Used as examples of fine grained, brittle materials were: lithographic limestone, silex and also thick window glass. For coarse grained brittle materials:granite, quartzite and "Kohlenkalk"

(a dense bituminous limestone

with small fossils) were applied and au traditional test material Carrara
marble was used. Besides, severul Kinds of sandstone, slate, and also cement
mortar were tested. A systematics could be built up of the brittle fracture
phenomena as well as of the destruction types. In the following paragraphs
these matters will be reported. We will start with a general picture.
2. PRIMARY AND SECONDARY FRACTURE PHENOMENA IN THE DESTRUCTION PROCESS
At normal pressure and temperature hard rock will bear a predominantly
brittle character. This means that the phenomena of pure plasticity will
not show up. If such rock types or like materials such as window glass are

29

submitted to sufficient high uniaxial

tensile or compressive loading, the

first, primary fracture phenomena are cracks or fractures.

In the case of tensile loading only one fracture will occur. It divides the
material into two parts. These parts are entirely destressed and additional
cracks or fractures will not develop. The fracture is a brittle tensile
fracture and it is a simple primary phenomenon.
In the uniaxial

compressive test however, both primary as well as seconda-

ry fracturing will occur. At gradually increasing

applied in the

uniaxial pressure, as is

uniaxial compressive test, the primary phenomenon will be

usually one crack first, in the axial direction, i.e.,in the direction of
the pressure. During the increasing of the pressure the axial cracking will
repeat and the number of parallel cracks will grow. They form a primary
system. In the beginning this primary system will be clearly structured. At
additional increasing of the pressure also other crack types will occur.
These however, are considered not to belong to the primary system, but they
form the secondary phenomena. They will lead to the secondary failure process. Now the destruction process is finished.
In the past only secondary failure was noticed. As a rule it is accompanied
by phenomena of shear. This secondary failure pressure provides the data of
compressive strength.
In mining and tunneling however and also in tectonic geology, the primary
fracture phenomena, usually occuring a long time before failure, shows up
much more. Therefore, these primary fracture phenomena are getting close attention in our research. With respect to hard rock we have distinguished
three types of primary fracture phenomena, each with some variants.
3. THE BRITTLE DIRECT TENSILE FRACTURE, THE FIRST TYPE OF PRIMARY
PHENOMENON'
The fracture,occurring in tensile loading, is the best known brittle fracture phenomenon. Tensile loading may be realized in three different ways:
by direct tensile loading, by bending, and by torsion or wringing. Each of
these loading types causes its own typical shape of the fracture plane. By
using lithographic limestone for test material the process of brittle fracturing could be followed in each of these cases by means of distinct lineations on the brittle fracture plane.
The direct brittle tensile fracture plane
The fracture plane of the direct brittle fracture is a planar plane. It develops perpendicular to the tensile loading. From the lineation it is clear

30

FIGURE 4

Brittle tensile fracture versus shear plane

a: The brittle tensile fracture plane shows the fracture source or

nucleus R, a smooth mirror and a diverging lineation
b: A shear plane shows parallel slickensides

4-^4>^i M L^ 1
FIGURE 5

Four-point-bending-test

a: Four-point-bending-test
b: Moment-line
c: Zones of tension and compression in the elastic state
d: The shape of the brittle bending fracture plane shows a curve in
the compressively pre-stressed zone
e: Sometimes the fracture plane will bifurcate; after Ros and
Eichinger 24

that the brittle fracture starts at one point, R. The lineation shows a
line pattern diverging from the nucleus R. This line pattern differs fundamentally from the parallel slickensides of the shear plane. See figure 4.
The brittle bending fracture plane
During the bending, the load at one side of the bar-like specimen develops
a tensile stress and at the opposite side a numerically

31

equal compressive

stress. In between, in the middle of the bar, is a neutral plane without

stress, that separates the zones of tension and compression. At the end of
the bending test a fracture source or nucleus develops at the surface of
the tensile stressed zone. From that point a directtensile fracture plane
develops perpendicular to the tensile load. After the fracture plane has
passed through the neutral plane, it will make a bend to one side. Some
times it will fork and a symmetrical pattern is the result. During this
process the lineation on the fracture plane alters. See figure 5.
This curved shape of the fracture plane is a characteristic of the bending
fracture. The cause must be that the direct tensile fracture feels "at home"
in the tensilestressed zone. After passing through the neutral zone, how
ever, the fracture front enters a zone where the material a very short time
before was still compressed. As a result of hysteresis and leverage in the
rock the direction of the tensile stress at the fracture tip is affected,
causing the bending of the fracture path.
The torsion fracture
If a cylindrical specimen is submitted to torsion a tensile stress at 45
(or 50 ) to the axis of the specimen will develop at the surface. Perpendi
cular to this tension will develop

numerically equal compressive stress.

The combination forms the socalled torsional stress condition. The torsion
fracture begins somewhere at the

FIGURE 6

surface of the specimen and it follows a

The torsion fracture

a: The result of torsion is the stress condition of "pure shear":

/ o t / = / 0" /; brittle material does not fracture according to the di
rection of maximal shear stress SS, but perpendicular to the princi
pal tensile stress t ; the fracture plane follows the path of a helix
or screwline
b: The fracture plane shows the characteristics of the brittle ten
sile fracture: nucleus R, a smooth mirror and diverging lineation
c: Stress condition of "pure shear"; image point S corresponds with
the direction SS; image point corresponds with the helix

32

screv-line or helix, which develops perpendicular to the direction of the

tensile stress; see figure 6.
As a result, we know three variants of the brittle tensile fracture:
I) The direct brittle tensile fracture. 2) The bending fracture.
3) The torsion fracture.
4. THE AXIAL CLEAVAGE FRACTURE IN COMPRESSION, THE SECOND TYPE OF PRIMARY
FRACTURE PHENOMENON
The second type of primary fracture is a result of compression. At uniaxial
compression a cleavage crack develops in the direction of the compression
axis. Therefore, it is called "axial cleavage fracture". Other names are:
"extension fracture" and "Trennbruch" (German). Depending on the kind of
rock this fracture may develop in different manners, but always in the
direction of the largest compression. In principle the fracture will develop according to a planar plane. It will not bifurcate. It will not join
other parallel fracture planes of the same type. It will not cut the sur-

FIGURE 7

Brittle fracture, a simple, non-complex fracture phenome-

non
a: Brittle fracture by direct tension
b: Axial mono-fracture in fine grained rock or in glass, induced by
uniaxial compression; ideal shape of the axial cleavage fracture,
showing the characteristics of the brittle tensile fracture; therefore it must be caused by tensile stress as well; the propagation
follows a principal plane; 1 and 2: chevron or herringbone type trajectories
c: Axial multi-cleavage fractures which have developed according to
two different principal planes
d: Axial cataclasis in coarse grained rock with granitic structure

33

face of the specimen. As a result often long thin needle like splinters,
or thin laminae, will be formed.
The following three variants are observed, see figure 7.
a

The axial cleavage monofracture;

this is one through going axial

(cleavage) fracture, see figure 7-b.

b

The axial cleavage multifracture

now a number of axial fractures

have formed. In the cylindrical specimen these fractures are ordered rather
systematically. In the first place,they will follow the radial directions,
but they can also develop concentrically. It is clear that they develop according to principal planes, sometimes dividing the specimen into thin laminaeor long thin splinters, see figure 7-c.
The axial monofracture and multifracture

occur in hard fine grained mate-

rial such as lithographic limestone, silex,and glass. The fracture plane

shows the characteristic lineation of the brittle tensile fracture: fracture source or nucleus, and radial traces or orthogonal trajectories. These
fractures are comparable with the fracture phenomena in the walls of deep
tunnels, and underground galleries and roadways. The same fracture type is
found in the hanging wall of the longwall coal face.
The third variant has two sub variants :
c. The parallel axial cataclasis; this cataclasis develops in the laboratory in coarse-grained rock with a granitic structure: granite, quartzite, "Kohlenkalk".

"Cataclasis" means intensive fracturing. In this case

a number of parallel fractures of limited length have formed. These fractures cut the quartz grains

and the feldspars cleanly without discrimina-

tion. Only the muscovite and biotite crystals form an obstacle; the crack
will take its path around, circumventing these laminar minerals. But, also
these cracks continue parallel

and they will not merge with each other.

c. The parallel axial microcataclasis ; in this case, the cracks may

develop so close to one another that quartzitic sandstone may become of a
schistous character. This is a form of "fracture cleavage" or "Bruchschief erung" (German).
On other occasions these microcracks

will be so small that they are con-

fined to the single crystals of the rock.

As a result,we know three variants of the second type of brittle tensile
fracture:
1) The axial cleavage monofracture
2) The axial cleavage multifracture
3) The axial cleavage cataclasis and axial cleavage microcataclasis

34

5. THE THIRD TYPE OP PRIMARY BRITTLE FRACTURE PHENOMENON

The third type of primary fracturing will occur in compressive loading as
well, but then in the case of special conditions. This is the forming of the onset of the shear zone. Then small open tensile cracks will
arise, which are oriented "en echelon". Geologists will call them "gash
joints". According to their orientation they will mark zones which are arranged obliquely with respect to the compressive load axis. These oblique
zones form the conjugate system of the future shear zones. Whereas every
open crack in itself is a single phenomenon, the zones form complex systems.
This is the phenomenon which complies with the generally expected forming
of a shear fracture according to the theory of Mohr - Coulomb. It develops
in brittle rock which also includes elements of plastic character. In Carrara marble it develops rather nicely at the surface of the specimen, see
figure 8.
According to our analysis this phenomenon is the result of stress differentiation. During the compressive test numerous small shear zones "in status
nascens" develop in the inside of the specimen; they include only a few

^S

FIGURE 8

Carrara marble submitted to compression shows a pattern

of conjugate complex shear zones; each zone is formed by an array of

"en chelon" oriented tensile open cracks with a sigmoidal shape
Opening of the cracks causes volume increase; compare figure 10
a,b: Crack patterns on the outside of the specimen
c: The principle of stress differentiation: oblique zones of tension
and dilatation enclose diamond shaped compressed areas
d: The oblique zones of tension may show open sigmoidal shaped cracks
(compare "gash Joints")

35

^
TO

FIGURE 9
The three types of primary brittle fracturing
ist
a: 1 " Type: Direct tensile brittle fracture
b,c,d: 2

Type: Axial cleavage fracturing

e,f,g: 3 r d Type: Complex conjugate shear zones formed by open direct

tensile cracks
f : The interior of the specimen shows the multi-shear cataclasis
g: Combined cataclasis existing of multi-shear and micro-axial cataclasis; see chapter XI "Stress differentiation"

calcite crystals. This causes the well known cataclastic - plastic character of these special materials. See figure 9-f,g.
We will call this phenomenon "multi-shear cataclasis". Sometimes small axial microcracks

will occur at the same time; now it is "combined cataclasis'.1

These complex shear zones are not directly observable in the tunnel wall.
Still we assume that this mechanism will play an important role in the permanent deformations of the rock mass behind the tunnel wall.
As a result,we mention two variants of the third type of primary fracturing:
1) The multi-shear cataclasis
2) The combined cataclasis
As a result of cataclasis the volume of the material will increase. This
has already been observed by Bridgman

; see figure 10.

6. THE CAUSE OF BRITTLE CRACKS AND FRACTURES

The brittle direct tensile fracture
The cause of brittle fracture as a result of tension is without comment
quite clear. The only possibility is tensile stress. From literature it is
well known how the brittle tensile fracture forms. This fracture type begins at one point, the fracture source or nucleus R. From this point a linearly shaped curved fracture front will develop. This front moves through

36

psi

&

f'*

t*

UI

3/ / c
/ /'

6000 (

/ i

5000-1-35.1^

Xd'

im

L
O

lil

2/

\
21.05

Vi

/
\

2000- .11.03
^.nli

>L2

\000

ph.A

VCQS

\PI

^2 .Q2

I
/

, 1

d'i

4000)2.1

volur ie

>

sJ

-volume

len<atN*

d 2 / < 2

\-.

>C3

c^

\ b
phQM

0
4000
8000
compressive stress, psi
marble

phOM C

11000p,. 70,2 MPQI

FIGURE 10

Volume change of marble according to Bridgman.

Length and volume change as a function of simple uniaxial compression.

I: Bridgman'8 original picture
2: The same data in a more intelligible diagram
1 and 2 a,b,c,d,: the course of the change of length
a',b',c',d': the course of the change of volume
a. and a'. : length decrease and volume decrease during the elastic
phase A (see figure 13)
a. and a' : strain hardening combined with diminishing volume decrease
as a result of microcataclasis during phase
a. and a' : strain hardening combined with volume increase as a result
of further development of multishear cataclasis during the phase C
b': dramatic volume increase indicates approaching phase D , failure
b: very fast unloading prevents collapse
c,c': the cataclasticplastic mass regains its elastic properties
d.,d'., d.,d' :show elastic behaviour again; compare the points E and F
in figure 13a. Compare also figure 27 and figure 92.

37

FIGURE 11

Direct brittle tensile fracture

a: Fracture has begun in nucleus R; concentrated tensile stress 0

at the fracture tip, equal to the theoretical atomic cohesion ,
tn
makes the fracture front propagate
b: The lineation on the brittle fracture plane shows the nucleus or
fracture source R, the smooth mirror, the transition zone and the
rough zone with radial traces or orthogonal trajectories
c: The diagram of the development of the velocity, first slowly, then
accelerating until an unstable situation is reached
d,e: Direct tensile fracture in coarse grained rock shows "crystal
line" surface without special markings
The relation lineation velocity: Smekal
Measurements of velocity in glass, a.o.: Schardin
Velocity measurements in rock, a.o.: Bieniawski
Unstability of fracture velocity: Yoffe

the material. As a result it cuts a planar plane, the brittle fracture

plane; see figure 11.
During its way through the material the fracture front leaves traces per
pendicular to the front itself and according to the direction of the front
movement. These are the radial traces or orthogonal trajectories, lines

38

which will usually diverge from the nucleus R. Therefore,the brittle fracture plane shows usually a lineation from which the source or nucleus can
be recognized or reconstructed. From the lineation it can be read where the
fracture has started and how it has propagated through the material: in the
beginning slowly (mirror), then accelerated (transition zone), and finally
with a stabilized velocity of about 1/2 Mach (i.e. half of the transverse
11

wave velocity), (rough zone). Literature: Preston

23
15
14
10
Leeuwerik

, Yoffe

IO

, Smekal

IO

* *

* ,

, Schardin Biemawski

The lineation on the brittle fracture plane differs in principle from the
parallel slickensides

which arise in a shearing movement; see figure 4b.

The brittle indirect or induced tensile fracture

In 1954 the "Brazilian Tensile Test" became popular for determining the
tensile strength of concrete and rock. In this test the tensile stress is
generated by compression; see figure 12.
Although this principle had been applied for considerable time already for
the longitudinal splitting of cores with the "core splitter", the Brazilian
Carneira was the first who, with the theory of elasticity, demonstrated the
presence of tensile stress and calculated its value. This type of tensile
stress was called induced or indirect tensile stress (Wright

).

The fracture plane that is formed in this test on lithographic limestone

shows a lineation which is in accordance with the brittle direct tensile
fracture: fracture source and radial traces are clearly visible. This lineature is

proof of the fact that both direct and indirect or induced ten-

sile stress gives rise to a similar fracture mechanism, viz. the brittle
tensile fracture.
Axial fractures in the compressive test and their cause
In the compressive test on lithographic limestone, when necessary precautions are taken, axial fractures of the most perfect form arise, the second
primary phenomenon. They are called axial cleavage fractures. The surface
of this fracture presents exactly the same lineation as that

obtained in

the Brazilian tensile test. The conclusion is obvious: the axial cleavage
fracture must be an indirect or induced tensile fracture. See figure 9-b.
Whereas in the Brazilian tensile test (see figure 12) the induced tensile
stress could be calculated with the theory of elasticity, this is not the
case for the axial cleavage fracture, such as arises in the uniaxial compressive test. Determining it as an induced tensile fracture is, however,
so convincing that this has led to a new theory :The induction theory.
This theory will be treated in chapter VI.
39

FIGURE 12

Brazilian Tensile Test or Disk Test

Induced tensile strength

a: The test; strips of plywood were used; friction caused the

zones
xp

under the strips

b: The lineation, characteristic of indirect or induced tensile brittle
fracture; R: fracture nucleus; Chi and Ch2: chevron or herringbone
lineations; hsfz: highspeed induced tensile fracture zone shows chip
ping: propagation velocity unstable; delf: delayed fracture propaga
tion due to _

c,d: Loading, calculated stress distribution(macrostress,see chapter IV)

(j t or (JJ: tensile stress; ,_ : compressive stress
e: loading (macro)stress; tj.! induced tensile strength (belongs to
the minute microsystem), here calculated as a macrostress,see chapterVI
g: Position of the delayed indirect tensile fracture plane in the
oXpzone

40

The direct tensile cracks in multi-shear cataclasis

The third primary crack phenomenon in uniaxial

compression, that of multi-

shear cataclasis, is caused by stress differentiation. When in certain rocks

the extension of axial cracks is strongly hindered or even prevented, the
pattern of the stress distribution changes. The originally more or less homogeneous stress distribution will now change into a strongly inhomogeneous
one, with a systematical character. Now there form oblique conjugate, more
or less voluminous, zones along which the permanent shearing deformation
finds a way out.
Within these oblique zones there develops approximately horizontal tensile
stress, i.e., approximately perpendicular to the largest compression. The
presence of the tensile stresses in these zones is marked by a series
"en chelon" oriented open tensile cracks, perpendicular to the tensile
stresses, so approximately arranged parallel to the compression.
These deformation zones enclose fixed diamond shaped cores which get under
triaxial

compression. As a result these zones will expand laterally.

What is called stress differentiation here is nothing but a redistribution

of stresses as a result of permanent deformations. This process proceeds
very systematically in small unit volumes which compose together a relatively large volume of material. Here the principle manifests itself,according to Mohr - Coulomb,in the form of a structural element a long time before failure, see figure 8, 9-f,g, and figure 10.
Stress differentiation mostly occurs in triaxial

compression. For Carrara

marble,however,this phenomenon will occur in uniaxial

chapter XI

compression. In

this phenomenon will be further analyzed.

7. PRINCIPAL LAW - FIRST PART

Summarizing, it can be stated that in primary brittle crack forming and
fracturing, three phenomena are observed:
1) The direct brittle tensile fracture
2) The indirect or induced brittle tensile fracture
3) The complex shear zone, consisting of "en chelon" oriented axial
direct tensile cracks
Based upon this,the principal law for the formation of primary brittle
fracture can be formulated (first formulation):
Primary crack and fracture phenomena in solid rocks and comparable materials with predominantly brittle character are always the consequence of tensile stress, direct or indirect, induced; the primary cracks and fractures
are always perpendicular to that tensile stress.
41

J c o =100%

(cataclastic activity)

EA EBEC

FIGURE 13

number of cracks
b

1 IL

time

.deformation

phase

General shape of the diagram for solid, hard rock

a: diagram showing the four phases A,B,C and D

b: Crack development as a result of internal cataclastic activity
c: Deformation at constant loads ,

and as a function of time;

the lines A and indicate resp; elastic and cataclasticelastic

equilibrium; the line'C resulting in D indicates temporary, i.e., un
stable equilibrium

8. THE DESTRUCTION PROCESS; STRUCTURAL CHANGES; THE DESTRUCTION TYPES

Subdivision of the total loading path in the compressive test
In the uniaxial compressive test the loading is increased until the specimen
fails. This is here called the total loading path.
During the loading the external deformations are measured. This produces the
well known

diagram (the stressdeformation diagram); see figure 13.

Apart from the external deformation measurements, data have been collected
on the processes which occur in the interior. In our investigations this is
done mainly by recording the acoustic phenomena by applying microseismics.
Phenomena such as internal cracking could be closely followed.
The sequence of these phenomena is called the destruction process. In rock
of different types this process differs in the quantitative sense, indeed,
but not qualitatively; figure 13 shows a general picture of this process.
The total loading path can be divided in three long stretches A, B, and C
and one very short stretch D. The stretches A, B, and C correspond with three
different phases, whereas D stands for the short period of failure.
The loadingstretch or phase A, the intact phase
Every rock shows during the beginning of the compressive test first a
stretch of approximately only elastic deformation. That is the intact
stretch A. It may cover 30% to 70% of the total loading trajectory, with an
average of about 50%.

42

The loadingstretch or phase B, the cataclastlc stable phase

At certain pressure the first Internal cracks will occur; they bring about
structural change. Here stretch begins. If within this stretch of the
loading path the load is kept constant, no further cracking will occur. The
material is stable at that pressure and up to that pressure the material is
entirely elastic. However, the values for the Young's Modulus E and the
Poisson Number m are changed slightly as a result of the structural change.
A CataclastlcFlastoElastic (C.P.E.) equilibrium is reached.
The loadingstretch or phase C, the cataclastlc unstable phase
At ligher pressure it appears that the cracking will not cease if the load
is kept constant. At that pressure the material is unstable and In the long
run the specimen will fail. In order to halt the destruction process the
load has to be lowered. Then the material, although structurally strongly
changed, is still quasisolid and elastic. Also in this case a C.P.E. equili
brium has been established, although at decreased load. The points E and F
in figure 13a. The values of the Young's Modulus E and the Poisson Number
m have changed strongly, indeed. See also figure 101,2c, c' and d p

d2

The loadingstretch or phase D, the failurestretch

Including phase C only primary crack forming and fracturing have occurred.
Near

the ultimate load also other,

secondary fracture phenomena will

come about. Through this the secondary failure process is initiated. This
process will enact within the very short failure stretch D. The supporting
capacity is then entirely destroyed
As a rule of thumb it may be taken that loading stretch A covers about 50Z
of the total loading path,stretch B about 25Z, stretch C about 24Z, and
stretch D possibly 1Z.
9. DIFFERENCES IN THE VARIOUS DESTRUCTION PROCESSES
The destruction process, that comprises the phases B , C, and D , may come
about in different ways in the various rock types. The primary cracks and
fractures in the phases B and C may bear a different character.
a) They may bear the character of axial mono and multifracture.
b) They may form axialcataclasis.
c) They may consist of multishearcataclasis, eventually combined
cataclasis.
d) They may become manifest by the rupture of the cement between hard
grains (namely in sandstone).

43

FIGURE 14

Microquasiboudinage in thin bedded, strongly foliated

bituminous rock as a result of uniaxial pressure; tranoverse strain

causes the typical structure of microquasiboudinage, which locally
results in failure by rupture, showing a serrated fracture surface(c)

e) Another way of deformation is the selective crushing of grains,

whereby relatively strong deformations will be possible (selective
grain crushing).
f) Also sliding movements by means of physical dislocations inside
special mineral crystals as well as twinning may occur, elements
of pure plasticity
g) At last there exists a quasiplastic mode of deformation, that
here is called "microquasiboudinage". This phenomenon takes
place in the interior of strongly foliated material of bituminous
origin. See figure 14.
10. THE SECONDARY PROCESS OF FAILURE
The secondary failure in phase D may occur in two ways.
a) By buckling, bending out, of earlier formed needles and laminae
onto the outside of the specimen. This may come about gradually.
It can also happen in one moment, in which

the specimen will ex

plode with a noisy bang.

b) When in .the previous processes in the phases and C the material
is strongly affected, then the failure in phase D will have the
character of shearing off, for

by structural change the original

ly solid rock has become the granularlike structure of the loose

granular mass. This way of failing is generally valid for not too
strong marble types and for sandstone. This shearingoff forms the
base for the conventional concept of Coulomb and Mohr, at the time
confirmed by Von Karman

44

II. DESCRIPTION OF THE SIX DESTRUCTION TYPES SEPARATELY

The ordering of these cataclastic phenomena were observed in the various
rocks, bringing about groups of rocks where the destruction process in the
uniaxial

compressive test occurred in approximately the same way. Such

rocks were reckoned to be of the same destruction type. The investigated

rock types gave rise to the distinguishing

of six different destruction

types: I, II, III, IV, V, and VI. These six destruction types have much in
common, but there are also considerable differences. The most general pic
ture is shown by destruction type II.
Destruction type II, being the general picture
Destruction type II is considered to fit best to the general picture. The
four loading stretches A, B, C, and D, in the

diagram show up most

clearly. Therefore, this type will be treated first. Here, it concerns spe
cimens of granite and quartzite; see figure 13.
Loadingstretch or phase A is the elastic intact phase; no internal
cracking occurs; the material behaves almost entirely elastic, see figure 13b.
Loadingstretch or phase is the cataclastic(plasto)elastic phase; with
in this trajectory internal cracking occurs; but, if the load is kept con
stant, e.g.,pressure , the internal cracking will not continue; creep
will soon cease; a cataclasticplastoelastic equilibrium (C.P.E.eq.) will
establish, see figure 13c.
If the load is increased over Dn then the process of internal cracking be
comes active again. If the higher pressures are kept constant, new C.P.E.
equilibria will come into being, provided within the phase B.
Loadingstretch or phase C is the cataclasticplasto elastic unstable
stretch phase; the internal cracking increases at an accelerated rate du
ring the compressive test; if the load is kept constant, e.g., pressure ,
the cracking holds on; creep increases as well; this will lead ultimately
to failure, figure 13c. At strongly lowered load,however, the cracking
will cease again; the material behaves now cataclasticelastically again;
a C.P.E. equilibrium has established. B y lowering the load in time the
points E and F can be reached. See figure 13a.
Loadingstretch D is the failurestretch which will cover only a very small
loading interval; the internal fracturing will increase so strongly, that
it takes very much attention to prevent failure, when a normal compressive
loading machine is used. Failure occurs often under the forming of cones,in
this case "peelingoff" cones, followed by secondary shearing off of the

45

remaining part. Some similarity with the classic idea of "failure by shear"
is present. This seems rather confusing.
Rock types which behave in the laboratory according to the destruction
type II are characterized by granular and granitic structure; the shape
of the grains or crystals is "hypidiomorphic", i.e., the crystals fit completely to and into one another, without larger or smaller bulb-shaped
pores. Eventually present pores are planar. In addition the grains or crystals must not be cemented by a foreign (weaker) cement.
To this type generally the plutonic rocks such as granite, diorite, etc.,
will belong, as well as gneiss rich with quartz or feldspar,and the quartzttic sediments, if loaded under an angle to the direction of anisotropy
(gneiss-structure, stratification); also, "Kohlenkalk" belongs to this type;
the fossils play the role of the separate mineral crystals.
It is quite remarkable that primary phenomena of destruction type II in nature also appears in rock types which under laboratory conditions must be
reckoned to the types III, IV, V and VI. The primary fracture phenomena
which occur in the laboratory in type II rock specimens, appear in various
rock types in the walls of underground roadways, galleries and tunnels.
This is also the case in the stronger and weaker kinds of carboniferous
sandstone, sandy shales and weaker shales, and even in rock salt.
12. DEVIATIONS OF THE GENERAL PICTURE
The behaviour during the uniaxial

compressive test may deviate from the

above described general pattern. Rocks of this kind can be grouped as

follows: a) the very hard, dense materials(including glass of the destruction type I ) .
b) Carrara marble, monomineral "hypidiomorphically" structured
fine-grained granular calcite rock, in which the crystal plasticity of calcite plays a role; destruction type III.
c) sandstones with rounded grains, cemented by a foreign cement,
which is rather strong, but still weaker than the quartz of the
grains; destruction type IV.
d) sandstones with rounded grains,' rather weakly cemented; destruction type V.
e) dense, intensively stratified or schistous, very fine-grained
rocks, formed from argillaceous sediments; shales and slates;
destruction type VI.

46

rigid guid fromt

locking r i n g n u t

b r o u or copper foil
lor tinned i h o t t iron

FIGURE 15

Special loading device; by the use of a quasihydraulic

medium between the specimen and the two pistons the endplanes will be
loaded more evenly than in the case of steel platens; eventual uneven
ness of the endplanes will be compensated, as well as poor parallel
ism; see also figure 36 and 37

Destruction type I, an extreme type

Dense, finegrained rock. The stressdeformation line in the diagram is
relatively steep; the trajectories B, C, and D, fall practically together
within about 0,5X of the total loading path, in the case of the applied
loading rate; see figure 17 Type I. Compare also figure 37.
During about 99.51 of the total loadingpath the material behaves almost
elastic, and then it fails under an explosion, mostly by entirely splinte
ring; shearing phenomena cannot be noticed. The way this material
fails

diverges in every respect from the conventional shear fracture the

47

ory. By means of a special loading device (see figure 15) covering the ends
of the specimen, the explosive failure could be prevented and the primary
fracture phenomena could be obtained. Close study of these phenomena was
possible. These primary fractures were the prototype

of the axial cleavage

fracture.
The axial cleavage fracture was obtained in its most pure shape and the
character of the brittle tensile fracture was distinctly clear. The tensile
stress must be in this case however, caused by induction. The induction theory is based upon this observation, among others. See chapter VI.
This fracture type (called "Trennbruch" in German) appears everywhere in
nature as diaclase or joint. Also in the wall rock of tunnels at greater
depths this fracture type is common. Most probably it is even the most occurring fracture phenomenon in nature. The internal fracturing in destruction type II belongs to the same fracture type. Now, however, the axial
cleavage fracture shows the pattern of parallel axial cleavage cataclasis.
In both cases, I and II, the effect of plasticity is negligible at the loading rate applied here. Already it is observed, that the axial fracturing in
nature may also occur in rock types in which it does not appear in the uniaxial laboratory test, such as in the types IV, V and VI. On the other
hand, the explosive character of failure in destruction type I has under
natural conditions also shifted to rock types which, under laboratory conditions, must be reckoned to type II: granite and quartzitic rocks. Such explosive effects in the wall rock of underground roadways and tunnels at
great depth may lead to the occurrence of the fearsome rockburst.
Destruction type III, Carrara marble
Contrary to the above mentioned destruction type I, which deviated so fundamentally from the conventional idea, the destruction type III forms more
or less a transition to the conventional view: the primary crack phenomena
of the multi-shear type as well as the secondary failure by shearing-off
after internal 'crumbling are mainly forms of the shear mechanism. This fits
very well in the conventional shear-theory of Mohr-Coulotnb.
Carrara marble as well as other granular marbles are monomineral

rocks.

They have a hypidiomorphic grain shape just like type II rocks. They consist of calcite crystals.Every crystal posseses the typical cleavage of calcite and also the ability to deform in the pure-plastic way by the forming
of physical dislocations and by twinning; both are properties of crystal plasticity.These types of marbles show generally no signs of anisotropy. The
combination of these properties appears to be favourable to easy machining.

48

In the case of a stroke or bump, large splinters will not burst off so
easily. Such a material is good for sculpture and for ornament, and there
fore is everywhere available. It can be machined on the lathe for producing
cylindrical specimens. Therefore, in earlier days much testing has been car
ried out with this very exceptional material, among others by Von Karman

'

At the time, the results of his tests were considered representative for
solid rock in general. However, this is only partially true and from that
much confusion has arisen. This confusion is intensified by the fact that
the course of the destruction in type III shows much similarity to that of
type II, if certain details are overlooked. In type III the loading
stretches or phases A, B, C and D are all present and well developed. The
stretch A however may count in some

cases only 30 40Z. Nevertheless, the

primary fracture phenomena bear their own typical character. The axial ca
taclasis is limited to axial cracks of granular dimensions in the phases
and C. The fact that these cracks cannot

propagate further must be a con

sequence of a relatively large element of transverse pressure of the micro

stresses (stresses from graintograin). Possibly this effect will be con
nected with the crystal plasticity in the calcite. Therefore, the stress
concentration at the fracturetip can be lowered strongly. This will hinder
the propagation of axial granular cracks and it will promote the forming of
the conjugate shear zones. In this connection earlier in this chapter the
phenomenon of stress differentiation is already mentioned. As it is known
already for a long time, the outside of sufficiently loaded cylinders of
Carrara marble shew a pattern of conjugate shear zones. Every shear zone is
built up by "en chelon" oriented separate open cracks (gash joints, ten
sile microcracks).

Figments may penetrate easily. These small shear zones

enclose diamond shaped elements, which are for the present excluded from
destruction. Such microshear

zones form also the interior of the specimen.

Their position is oblique to the compressive axis as well, approximate to

the well known conjugate directions after MohrCoulomb. Within these zones
the grains seem to be somewhere rotated and cracked. Therefore,they absorb
pigments as well, so that they can be marked. This phenomenon has been cal
led multishear cataclasis. In fact we have to do with a combination of
multishear cataclasis and axial grain cracking, together called "combined
cataclasis". During phase C the material crumbles more and more. Therefore,
it is not astonishing that the material in stretch D fails by shearing,
Ic
2
exactly according to the idea of Coulomb (1783)

and Mohr (1914) . Some

times the shearing failure is ideally symmetrical; then two cones will be

49

20

marble

FIGURE 16

The classic experiments by Von Karman with Carrara

marble
a: Mohr circles and envelopes
b: Deformation of the specimen in triaxial loading
c,d: Def ormed Carrara marble specimen at a confining pressure of
resp. 50 MPa and 100 MPa (af ter Ros and Eichinger)

50

the result. In most cases however only one shear direction develops comple
tely, after the interior has been crumbled strongly. The forming of the
asymmetry must have taken place in the latest phase of the crumbling pro
cess during phase D, for we have never discovered a zone of asymmetry obli
que to the axis of the specimen within the loadingstretches and C by
means of acoustic travel time measurements. These large shear zones of fai
lure being very voluminous zones, develop apparently very fast in the
material which has been crumbled already rather intensively by the
cataclasis.
13. TRIAXIAL COMPRESSIVE TESTS WITH CARRARA MARBLE AND GRANITE
Triaxial

tests were carried out under rotational symmetric loading in the

conventional type device. First the surrounding pressure was fixed, being
the "passive" pressure. Then the axial loading was increased, being the
"active" pressure. The pressure increase was halted when the specimen be
gan to give in, marked by a decreasing rate of the pressure increase. In
Carrara marble.destruction type III, the phenomenon did not in principle
differ from those in uniaxial

compression. In triaxial

crystals were crushed more intensively indeed, whereas

compression the
the internal shear

zones manifested in a more dense pattern and were sharper marked. At higher
passive pressure this material allowed cataclasticplastic deformation ex
ceptionally well. The classic tests by Von Karman

still remain one of the

nicest examples of this phenomenon; see figure 16.

Granite behaves under

triaxial loading as follows. At lower values of the

passive pressure, up to about 100 bar (10 MPa), still visible axial cata
clasis cuts the crystals. At higher passive pressures the length of the
axial cleavage cracks will decrease. At passive pressures between 600 and
1000 bar (60 to 100 MPa) the quartz crystals and the feldspars appear to
behave differently. The quartz crystals seem to crumble to a higher extent
than the feldspars, which seem tougher. The crumbling within the quartz
crystals seems to lack a system. This phenomenon has been called "selective
grain crumbling" Although the mineral crystals kept their shape apparently,
the specimen was virtually permanently deformed. Therefore, this is cata
clastic plastic deformation as a result of selective grain crumbling. The
deformability of granite at elevated supporting passive pressures, is in a
way comparable to that of Carrara marble at low passive pressure or even
uniaxially.

The similarity was even so evident, that on the outside of the

cylindrical granite specimen lineations with conjugate directions were vi

51

sible, comparable to the conjugate system on the outside of uniaxially

loaded Carrara marble specimens.
14. GENERAL PICTURE IN LARGER VOLUMES OF SOLID ROCK.
In larger volumes of solid rock with predominantly brittle character, the
general picture of the ways of deformation and forming of cracks and fractures is as follows. In the first part of the loading path, the stretch or
phase A, the deformation of the rock mass is nearly elastic. At unilateral
very much elevated pressure, ouch as occurs in the tunnel or gallery wall,
first relatively long axial cleavage fractures of the destruction type I
will form (mono-and multifractures) . As a result of difference in the deformation, transverse stresses will arise near the ends of these fractures.
These transverse stresses will act as shear stress added to the system. As
a result the effect of bending is brought about and the originally straight
axial cleavage fracture will take a bend to the surface of the wall. While
bending they turn into direct tensile fractures. In this way chips are
formed, which may be flung from the wall, forming a danger for the miner and
tunneler. At some supporting lateral pressure, i.e.,at some distance from
the wall, an axial cataclasis of destruction type II will develop. This
will be accompanied by lateral expansion, a transversely directed permanent
deformation. A C.P.E. equilibrium may be the result. However, in special
cases, e.g. when the ground in this area forms the abutment of a larger
rock mass, this ground will be severely prestressed.

Then the wall rock of

an excavation may deform permanently by means of multi-shear-cataclasis

(type III) or by selective grain crumbling (type II and III, at high tri axial loading). During the latter structural phase, which will be reached
rather soon

by the types III, IV and V, the material will behave more or

less soilmechanically; see point E, F, figure 13.

15. THE OTHER DESTRUCTION TYPES
Destruction type IV concerns the behaviour of the kinds of sandstone consisting of rounded quartz grains, cemented by a relatively strong cement which
is however, less strong than the quartz grains. Fracturing of the grains will
not occur then, or only exceptionally. In smaller specimens, such as in the
laboratory, no axial cleavage fracturing will occur. In the first instance
multi-shear zones will form, and the material will behave more or less like
type III. In the ultimate phase D shearing-off occurs, such as which was
observed by Coulomb. In the same sandstone in situ however, fracturing

52

of the type axial cleavage fracture, occurring in the shape of parallel

joints or diaclases > is very common. Here the scale effect is demonstrated.
Destruction type V: sandstone types with very weak cement. They behave nearly like a loose granular mass; in compression they will shear off very soon.
Destruction type VI appears in fine grained rocks with intensively
foliated or schistous structure,originated from argillaceous bituminous sediments. Cylindrical specimens deform in a special way. In compressive
loading perpendicular to the foliation, at the ends, close to the platens,
i.e. in specially stressed zones of the specimen, small shearing effects
arise within thin blades of the foliation. These blades will be separated
into separate elements with a flat diamond snap*, aud will extend
laterally; see figure 14 and 38-d.
We have called this phenomenon "quasi-micro-boudinage". This phenomenon is
accompanied by large lateral extension. Other, adjacent parts will be induced to indirect axial fracturing. This axial fracture will extend through
the zone of micro-boudinage. Within that zone the fracture plane will show
a typical saw-tooth structure. This points to direct tension. The other
part of the axial fracture shows the picture of indirect brittle tensile
fracture.
This type of serrated fracture surface is also observed in underground mining. The micro-boudinage may influence the fracturing locally. Thin layers
of this kind of bituminous rock may lead to unexpected axial fracturing in
hard rock pillars.
16. APPLICATION WITH RESPECT TO MINING AND TUNNELING
In this kind of research one has to confine oneself, lest we loose sight of
the objective. Therefore,the attention has been directed to the destruction
types with phenomena resembling those closest, which dominate in
mining and tunneling. These fracture phenomena can best be studied in rock
of the destruction types I, II and III. They are selected as model materials. See figure 17.
This way of research must not be confused with that in which exclusively
tests are carried out with materials from one distinct mine or tunnel wall.
Then it usually concerns collecting data of compressive and tensile
strength and values of E and m. In our case, however, it concerns the research of the general aspects of the clastic phenomena and the cataclastic
structures involved in the Cataclastic-Plasto-Elastic (C.P.E.) equilibrium.
In the in-situ rocks of a mine or a tunnel the fracture phenomena and the

53

Destruction processes in cylindrica l rock specimen.

Primary fra cturing a nd secunda ry fa ilure.
B-C

B-C

failure

F a i l u r e by s p l i n t e r i n g in
an explo sive way.

E = 80 GPa

^
Type I : Lithogra phic lime stone, gla ss
R = fracture so urce

D-

'

^$%
WfSHs

>s

A/

E:: 60 GPa
^/,
Typell: Granite, quarzite

Failure by buckling
and by peelingoff

axial cataclasis

^^~N

X
Ay E -- i.0 GPa
Type HI : Carrara marble

Failure by s h e a n n g o f f

combined cataclasis
axial cataclasis multi shear zones

FIGURE 17

Three destruction types, representative for observed

fracturing in mining and tunneling

Type I: The axial cleavage fracture, often visible in the roof layers
of long wall coal faces as well as in pillars and in the wall rock of
galleries; see also figure 37.
Type II: Axial cataclasis, found in the wall rock of tunnels and in
pillars, resulting in scaling and spelling; volume increase: fig.28
Type III: Multishear and combined cataclasis, usually not direct ob
servable, but expected in the highpressure zone behind the wall of
the gallery or tunnel;multishear cataclasis causes volume increase
and creep towards the excavations; see also figure 10.

54

structural changes are as a rule related to the large rock mass. In the
small laboratory specimen of the same material the above mentioned phenomena will not show to full advantage. This is the consequence of the small
scale and also of the selection of the material, in order to enable the machining of the specimen. This is misleading.
In order to produce desired effects of axial mono- and multifracturing in
the laboratory, in many cases specimen of harder rock have to be used.
In a certain phase of the research however, when it concerns accentuating
failure according to the conventional shear theory, then weaker materials
are preferred.
Because we emphasize now the research of the primary fracture phenomena and
the structural changes brought about by them, we will confine ourselves
here, as already has been mentioned, to the three destruction types
I, II and III. See figure 17.

55

CHAPTER IV

Stress, stress theory and theory of elasticity

1. THE SYSTEMATIC OCCURRENCE OF THE AXIAL CLEAVAGE FRACTURE

The systematic occurrence of axial cleavage fracturing is conflicting with
the conventional idea of the exclusive occurrence of shear fracturing as a
result of compressive loading. The phenomenon has already been known for a
long time and at intervals it was reported in the literature as well. But
because it did not fit in the theory of elasticity it has been disregarded
systematically.
It is not always understood that the stress theory as well as the theory of
elasticity are both human constructions, set up for the continuum. Therefore) these theories will not fit in describing the origin and propagation
of fracture,

for, fracture means a discontinuity. An additional theory will

be necessary in order to give the phenomenon of axial cleavage fracturing

the place it deserves in the technical sciences. Because fracturing is the
result of stress, euch a theory should be set up in terms of stress theory
and the theory of elasticity. However, there will be no doubt, that special
and sometimes nonconventional arguments have to be brought forward.
In order to set up an acceptable theory we will first line up the arguments
involved in the 'emulation of the current stress theory and the theory of
elasticity. From this we will try to find a starting point for a new, adap
ted theory on axial cleavage fracturing.
As already mentioned before we will make use of Timoshenko's^ "History of
Strength of Materials" for our analysis.
2. THE ATOM AND MATTER
"ATOM" is the old Greek word denoting "nondivisable".
In ancient times it was an open question between the philosophers if (a)
the continuous repeated division of matter finally would result in "smal
lest particles", whic'u could not be divided further, the atoms, or (b) matter
could be divided further and further on, without loosing its properties.

57

Democritus (abt. 470 B.C.) held the first view (a) that matter consists of
separate particles> the "atoms" which exist in the "empty void" and will
unite, forming matter: fire, air, water and earth. As a result matter will
be discontinuous.
Aristo'tle (abt. 380 B.C.) seems to have held the other view (b) that matter
must be continuous.
In the 1 8 t n and 19

century, and also today, solid matter is still repre-

sented by an array of atomic points, in the way Democritus had considered

it. In our days, in fact, both views are applied. However, we are not always
aware of that. The latest application is the "finite element" method.
3. STRESS
Internal forces as a result of outside loading are generally denoted by
"stress".
Boscovich (1763)

J made use of the picture of an array of atomic points.

The calculation of the internal forces (stresses) as a result of outside

loadings was in those times a laborious task, for the modern computer was
not yet available. This method was applied, among others, by Navier until
1824. In the case of the array of atomic points the stresses in every "atom"
will change more or less abruptly, in a discontinuous way, when the direction of the section changes.
The above mentioned way of stress calculus changed in the course of the 19
century after Cauchy

had laid the foundation for the modern stress theory.

Cauchy regarded solid matter as ideal-continuum, i.e. as if "smallest particles" do not exist. In fact he associated himself with Aristotle. He defined "stress" as the "intensity" of the force, i.e. as the force per surface unit of the cross section of the stress element. He considered the
stress elements as infinitesimal, therefore, not as "particle" or "atom".
Cauchy proved the presence of the three "principal stresses" which are perpendicular to one another. From this the "stress theory" came into being.
In 1828 Poisson

completed the new science with his law: transverse dila-

tation of the stress element will not be accompanied by additional transverse stress. Together with Hooke's law

and the Young's modulus

8 the com-

bination is known as "the theory of elasticity". In this way the theory of

elasticity forms a watertight system, which is almost unassailable. Especially because of Poisson's law the way to explain the mechanism of the induction of tensile stress as a result of compressive loading seemed to be
cut off.

58

Still there seems to be an open mesh left in the seemingly closed tight network! for in the beginning of the 19

century there existed a group of

scientists t who could not agree with Cauchy's idea about the continuity of
matter. According to Cauchy a solid would consist of infinitesimal united
stress elements not loose from one another, but continuous, without boundaries. True solids however,consist in reality of crystals and often of
grains of different qualities.
In 1845 De Saint Venant introduced a solution to the problem. He suggested
replacing Cauchy's infinitesimal stress elements with larger, finite elements. Each element should include a large number of crystals or grains.
The average of the separate forces in the sections of the different grains,
belonging to one cross section of a finite stress element, would correspond
with the stress as meant by Cauchy.
Now the way was free to recognize the occurrence of other special stress
types within the stress element apart from, and in addition to, those between the stress elements. The latter however, would be the only ones which
could be calculated by means of the theory of elasticity.
The presence of these special stresses will enable us to use adapted ideas
and methods, familiar to the stress theory and to the theory of elasticity,
in order to explain the enigmatic mechanism of the experimentally proved
phenomenon of induction of internal tensile stresses by compression.
4. OBSERVATIONS AND THINKING STEPS
A physical theory, a scientific reasoning, is usually the result of a number of observations, interpretations, assumptions, hypotheses and conclusions. We will denote the interpretations, assumptions, hypotheses and conclusions by the term "thinking steps". Thus, a physical theory is usually
built up out of the elements: observations and "thinking steps".
In order to Judge the acceptability of a theory it may be useful to regard
these elements separately. If the theory does not apply any longer, then
one or more of these elements would seem not te be relevant to the prevailing situation. If the irrelevant elements can be adjusted, then an adapted
theory which will be acceptable, indeed, has become into being.
We will try to analyse the conventional theory of elasticity and to find
the component "thinking steps", hoping to find an opening for explaining
the fracture phenomenon in question.
Thinking steps in the stress theory and in the theory of elasticity
As already mentioned before, the modern view on "stress" is that according

59

to the mathematical stress theory of Cauchy (1822). In the course of time

Cauchy's original view has developed into a system of ideas which is still
considered relevant today.
Cauchy's eight thinking steps
Step one

Unlike the then current view of Boscovich, Cauchy considered

solid material to be ideal-continuum, as if there existed' no "smallest particles". He defined "stress" as intensity of force, i.e. as force per areal
unit of the imaginary section through an infinitesimal "material point".
By means of this stress, the material at one side of the section would
transmit the force onto the material at the other side. In those times this
was quite a new idea; this must be called the first thinking step.
Step two

He considered the material point to be infinitesimal. In this

way he introduced the then completely new idea of the continuity of stress
in a point: while changing the direction of the section through the point
the stresses would alter gradually. This means that the stress did not change abruptly, such as would be the case in the image of the array of atomic
points.
Cauchy compared this behaviour with the smooth continuous change of wind
pressure on a unit surface which is gradually altering its angle to the air.
We will call this the second thinking step.
In the case of static equilibrium all-sided equal or "hydraulic" pressure
will give a stress picture, wherein the forces and stresses will always be
perpendicular to the relevant sections. This is true as well for a liquid
as for a solid. See figure 18-a,b,c.
Step three

For a solid in the static case of all-sided unequal pressure,

the picture in figure 18-d,e,f holds true. However, in the case of all-sided
unequal pressure, the forces on the sections of a material point E. of a
solid will generally not be perpendicular to the section; e.g. the forces
F

l - 1 ' F 2 - 2 ' F 3-3 o n t h e s e c t i o n s

step. See figure 18-h,j,k.
Step four

1_1

2-2

>

~3

This was

the

third thinking

These forces are generally unequal. The only way to compare

them will be if the areas of the sections through E. are equal. Therefore,
considered in three dimensions, the shape of the point or element has to be
a sphere. In the two dimensional case it would be a circle, or rather a
cylindrical disk with a thickness of 1. This is the fourth thinking step.
The outside pressures form an equilibrium, for the circular element E 1 is

60

at rest. Therefore, the configuration must be symmetrical, generally forming

an ellipse.
Step five

From this symmetry it must be clear, that in the case of all

eided unequal pressure the forces F. and F... on the sections according to
II and IIIIII will be perpendicular to these sections.
There is no shear stress upon these two sections. They are called the "prin
cipal planes", and they bear the principal stresses
Step six

and

The sections in all other directions, e.g. in the directions

11, 22, 33 bear forces oblique to the section (the third step). These
forces (e.g. F, .) will be divided by area a of the circular section.
This will give the intensity of the force F, being the stress.
This stress can be resolved into a normal component

and a shear component

. This is the sixth step.

The next problem for Cauchy was to express the stress components
T._ in terms of the principal stresses
Step seven

Oi

and

AB

and

,, see figure 19.

To that end he divised the seventh thinking step. From the

circular or spherical "ideal" shape he passed on to a new elementary ele

ment, bounded by flat planes. Cauchy might have followed the next line of
reasoning: that the sphere (or circle) came into being as a result of the
definition of the new idea about stress; then it concerned sections in all
directions with the same area a through the center of the material point;
see figure 18q.
The material point has a volume and, in fact, it is not necessary that all
these sections must pass through the center. They have to enclose a volume,
an elementary element. Therefore, the sections have to be moved in a paral
lel manner within that "ideal" spherical infinitesimal volume, for within
that volume the state of stress is homogeneous. As a result the length of
the section changes, but what will still remain unchanged is the stress on
that moved section. This stress will remain defined upon the cross section
through the center of the sphere or circle. See figure 18q (combination 1).
This was the seventh thinking step.
In figure 19a the force F.. is related to the stress S. R by S. F.R/a.
Now mova the section parallel to the position A'B', then the stress will
remain unchanged, but the force will be F.,R, S.R A'B'.
Step eight

The next step was to project the new elementary stress element,

bounded by the principal stress planes, within the "ideal" point with origi
nally the spherical or circular shape. This is the eighth thinking step.

61

Combination (1)
FIGURE 18

Combination (2)

Analysis of Cauchy's ideas

a,b,c: Two dimensional infinitesimal element E. under twosided equal

pressure condition;definition of stress :force F,

divided by area a

d: Infinitesimal element of a solid at rest under twosided unequal

pressure; according to the principle of continuity the stress upon
the cross sections shows an elliptical course
e,f,: Because of symmetry there will be two cross sections which bear
the maximum stress . and the minimum stress , being the principal
planes and the principal stresses

62

FIGURE 19
a: Section AB bears a slanting force F

; the slanting

stress is

F
AB/a
AB
b: Section A'B' has been moved in a parallel way; it bears the same

slanting stress S

, but a reduced force F , , because of the smaller

length A'B'
c: A new element ABC is formed; it is bounded by the deliberate sec
tion AB through the center, whereas AC and AB are principal planes,
moved in a parallel manner; in order to represent the static equili
brium of forces the stresses have to be multiplied by the lengths of
the sides b and c, whereas a 1. Compare figure 18q and r
d: Mohrcircle; if the axis is taken parallel to the principal
plane II, the direction AB

in fig.c is parallel to _ in the

Mohrcircle; note that ._, counterclock in fig.c is positive in

fig.d

g: The general principle illustrated by a Mohrcircle

h,j,k: The cross sections 11, 22 and 33 corresponding with the
image points 1,2 and 3 on the Mohrcircle, bear oblique forces; this
makes the difference between a solid and a fluid at rest
1: The force F

_ is normal to the principal plane II

m,n,o: The forces transformed to their intensities or stresses

through dividing by a; the resulting stresses are resolved into the
normal component, normal stress and the shear stress
: The principal plane II bears only the principal stress .; so the
principal plane III bears only the principal stress 0.
q: Combination (I); if all cross sections pass through the center they
do not enclose an element
r: Combination (2); by moving the cross sections II and IIIIII in a
parallel way, a new infinitesimal element is created; see also fig.19

63

See figure 19c and figure 18r (combination 2 ) .

Section AB bears the force F._. This force gives stress S._ F._/a which
Ao

Aa

is resolved into the stresses

F

A(N) x

a(xl) and F

A(S) =

Ais

, and .. These stresses deliver the forces

T

AX

a(xl)

The cross section AB is the diameter; the sections AC and BC are the two
principal planes which have been moved parallel. They bear the principal
stresses o 1 and 3 . Multiplication with the areas b(xl) and c(xl) gives
the forces F

and F_.

Based on the static equilibrium some calculus will result in the equations:
ffAB:M.l_cos2a

<TAB = ^ s i n 2 a
By moving the principal planes of stress to both sides, two (or three) pairs
of planes will enclose the square (or the cube), which is familiar to us as
"the stress element". Thus we might consider the origin of the modern stress
theory to be the result of eight thinking steps.
The contribution of Hooke, Young and Poisson
The current theory of elasticity came into being by the contributions of
Hooke (16351703), Thomas Young (17731829) and Poisson (17811840), see
Timoshenko . We will count each one of these contributions for one thinking
step.
Step nine

Hooke proved the proportionality of force and deformation.

Step ten

Young defined upon Hooke's observations, the Young's elasticity

modulus E.
Step eleven

Poisson made in 1829 the necessary assumption that trans

verse contraction and transverse dilatation will not result in transverse

stresses within the stress element. Besides, he defined the Poisson's
number and the Poisson's ratio. As a result of these additional thinking
steps the current stressdeformation equations could be formulated as:

ayffz

=^(j
r 1 ir,
x+zi
E
yly'

=1,-^,
64

This system works perfectly and it seems watertight, and it still is, in
deed, up to a certain degree.
It must be observed here, that the second step, about the continuity, will
count very heavily.
De Saint Venant's contribution
Between 1822 and 1845 not everyone could agree with this point because of
the multicrystalline or granular structure of most solids. This disagree
ment was bridged not earlier than in 1845 by the view, proposed by De Saint
Venant1_lt.
Step twelve

This view resulted in the following concept: that in a solid

with a granular, a crystalline, or with an atomistic structure, the forces on

a section through the material point will change in a continuous way at al
teration of the direction of the section, provided that the material point
will contain a sufficient number of grains, crystals, or atoms. This 12 t h
step completed the 2 n d step through which the original theory was better
adapted to reality. By this the original picture of the infinitesimal ele
mentary element was replaced by that of a finite stress element. This was
the first adaption to schematized reality of Cauchy's physicaltheoretical
mathematical idea based on differential calculus.
Today, the same reasoning is usually applied in rock mechanics with respect
to rocks with granular and blocky structure. In concept, we adapt the size
of the stress elements so that these elements will contain "many" atoms,
"many" grains or "many" blocks. In order to limit the size of the stress
element in concept, we will put a "sufficient number" rather than "many".
The question is now, what means "many" and what will be a "sufficient
number". We will call "many" about 10 grain diameters linearly, i.e. 10
10 100 grains in a square section and 10 10 10 1000 grains in an
elementary cube.
In the case of "sufficient" we think of 5 to 7 grain diameters linearly, 25
to 50 grains in a square section and 125 to 340 grains within an elementary
cube; see figure 20.
If we,have to do with rock consisting of 1mm diameter grains, the linear
size of the stress element will be between 5 and 10mm. In case the crystals
are larger, for example 20mm, then we think of 100 to 200mm linearly. In the
case of rock with a blocky structure (bedding planes and joints) with a
block size of 0,5m, then we consider elements of 2,5m to 5m linearly.
These considerations form a basis or guide in assessing the value of the

65

5x5=25

5x5=25
FIGURE 20

The size of the stress element: "many" and "sufficient"

grain diameters
a,b: "Many" diameters, represented by (linear) 10 points or mineral
grains
c,d: "Sufficient" represented by 5 points or grains, which is con
sidered a minimum number
The section B through the grains in (b) shows the "vagabond" cha
racter of the individual stresses; the average forms the "stress"
upon that section (De Saint Venant).
The finite stress element considered threedimensionally will be
called "elementary cube".
The elementary cube will contain between 1000 ("many") and 125343
("sufficient") grains.

data from (conventional) theoretical calculations using the stress theory

and the theory of elasticity. Possible evident deviations of the results
can in most cases be ascribed to the limited applicability of the theory
under the given circumstances, for example, those caused by the occurrence
of cataclastic processes.
Criterion for the applicability of the stress theory
The principle of continuity, Cauchy's 2 n d thinking step, will play a main

66

NFOO)

/DI9)
s F ()
v^

ami

/DI6)

X F(5)

M JBJ7)

7x7=49

10x10 = 100
FIGURE 21

A^y^iBj5)
'C
^E
5*5=25

"\E

/c

,0(6)

The principle of continuity demonstrated

The sections AB, CD and EF through the stress elements contain in

the cases a, b and c always approximately the same number of "atoms"
or grains; resp. 911, 68 and 56; changing the direction of the
section does not cause abrupt changes in the number of "atoms", i.e.
no abrupt change in the number of "atom bonds"; as the average
cohesive force forms the "stress" on that section, the stresses
change continuously as well

II
/I

V'!

FIGURE 22

The principle of continuity demonstrated in the case

of a row of block elements in a line; if continuity prevails within

every block, the course of the stress in a row of blocks will be
continuous as well

role under all circumstances. We must always consider this. In figure 21

the principle of continuity is demonstrated with the help of the arrays of
material points, with linearly 10, 7 and 5 points respectively. In each of
the cross sections AB, CD and EF, an approximately similar number of points,
respectively 9 to 11, 6 to 8 and 5 to 6, are involved. When changing the di
rection of the section no abrupt change in the number of "atom bonds" or
stress will occur. This argumentation implies that the stresses of a row

67

of elements in a line will change in a continuous way as well, i.e. they

will not change abruptly; see figure 22.
5. ANISOTROPIC, CONTINUOUS, DISCONTINUOUS
Another point to consider is the anisotropy. In mining and tunneling we have
to do with rock masses. In many cases these rock masses have a bedded structure, lithologically different strata, schistosity and joint systems.
The question is if this kind of anisotropic elements WJ.11 disturb the continuity.
Anisotropy will concern differences in elastic properties in the different
directions. Figure 23-a represents a stress element in isotropic material. The Young's modulus E is equal in the directions Z. and Y.. The equilibrium in the two triangular elements forms no problem, regardless of the
position of the sections AB, CD, etc.
The figures 23-b and c represent anisotropic rock masses. The Young's modulus in the different directions is unequal, but the cohesion under the conditions of compression is such that, with the change of the section AB to
the position of CD, will not make the stress alter abruptly, but continue
smoothly. In our opinion this will be more recognizable when applying triangular elements, than when using square ones.
Now we consider the rock to another scale. In figure 24-a and c the section

joint

*$

! bedding
plane

FIGURE 23

Anisotropy does not stand in the way of continuity

a: The stress element in isotropic, continuous material showing two

positions of the cross section: AB and CD; E z = E
b, c: Stress elements in clearly anisotropic materials; E z E ^
gradually changing the position of the cross section AB into CD
causes no abrupt change, i.e. the condition of continuity is fulfilled.

68

AB s bedding plane

open fissure

a
FIGURE 24

closed joint
C

Continuous, discontinuous and a borderline case

a: In the case of good cohesion the bedding plane AB forms no

obstacle for continuity
b: An open fissure will impede continuity
c: A cohesionless joint, closed by pressure may form no hindrence for
continuity; although, this might be considered a borderline case

AB la according to the bedding plane. At conditions of compression the cohesion is so great

Figure 24-b however

that here as well it can be considered as continuous.

shows a stress element, containing an open fissure.

In this case the continuity principle surely does not apply any longer, for
across the section EF the force or stress upon this section is zero. The
fissure forms a severe discontinuity in the course of the stresses when the
directions of the sections are altered.
In figure 24-c the element contains a cohesionless joint EF, but is closed
as a result of compression. Under these conditions the forces will be transmitted across and along the closed fracture by friction. Now we may speak of
a certain measure of continuity. However, if the transverse pressure drops,
then the closed Joint may open, forming a fissure. In that case we again
have the same situation as in figure 24-b. The situation in figure 24-c be-

69

longs to the borderline cases, wherein it might be considered that the con
ditions of continuity are satisfied.
6. THE FOUR STRESS TYPES AND THE SIZE OF THE STRESS ELEMENTS
Macrostresses, the first type
The criteria explained above for continuity are also decisive for the pos
sible size of the stress elements: 5 to 10 times the diameter of the
component particles. In the case of the atomic scale this will mean 5 to 10
times about 3 10 / mm or about 1,5 to 3 times 10

mm. For material with a

granular or crystalline structure this will be 5 to 10 times, about 0,1 to

50mm or 0,5 to 500mm. In the case of material structures such as will occur
in mining, tunneling and in geology, the sizes will lie between 10mm and
10 mm or 10m and even more.
For a body containing a sufficient number of such elements, the average
stresses of the elements may be calculated by applying the conventional
theory of stress and theory of elasticity according to Cauchy. We will call
this kind of (average) stresses: "macrostress".
Microstresses or stresses between grains, the second type.
"Microstress" is the generally accepted term for the force between the in
dividual 'grains and grain fragments. Mineralogicai differences and differen
ces in crystallographic orientation, the presence of granular cracks and
open pores between grains are the cause of considerable differences between
these forces. These forces are usually called intergranular stresses or mi
crostresses. Contrary to the macrostresses these microstresses cannot be
determined by a direct method, because their direction and their magnitude
bear an unpredictable character; they are sometimes called "vagabond stres
ses .
These microstresses bear on volumes as great as the size of the grains and
the grain fragments. The linear grain size has been estimated already 0,1mm
to 50mm. In this' context it is senseless to elaborate about stress elements
within the grains, for sensible calculation of the stress distributions
within the grains is not yet within our reach. Intergranular stresses or
microstresses can only be indicated and estimated. Although a detailed
calculation is

not possible, we have determined the average transverse

intergranular stress component by indirectmethod. The order of magnitude

was for granite 50 to 100 kgf/cm

(5 to 10 MPa). These microstresses play an

important role in the rock fracture theory to be dealt with. Therefore we

have paid much attention to it; see chapter VI and VII.

70

"Minute microstress field" stresses at the fracture tip; the third type
Minute microstress field stresses as well cannot be measured. In this case
it concerns the forces in the most tiny stress fields at the edge of the
crack. These forces can rise extremely high, among others at the edge of
the crack, which is propagating in the axial direction: the axial cleavage
fracture. Generation and propagation of the fracture means that the atom
bonds at the edge of the fracture are severed. Usually the involved forces
are denoted as stresses. It concerns here not simply the processes between
two atoms only, but also between groups of atoms. Two dimensionally consi
dered we have to do with material oizes of 10 2 10^ atom diameters. The
9
7

7
linear dimensions could lie between 10 3 10 mm and 10 3 10 mm or
5
3
between 3 10 mm and 3 10 mm (the atom diameter is considered to be
3 10" 7 mm).
If a stress element linearly contains 5 1 0 atoms, the minute microstress
field would contain (linearly) 12 10 10

stress elements. That is amply

sufficient in considering "stress" in the manner of Cauchy and to apply the

conventional (macro) stress theory. As already mentioned, we will deal here
with the type of forces and stresses inside those very tiny stress fields
in the immediate surroundings of the crack edge.
In the case of tensile loading the tensile stress fields have relatively
large dimensions. At uniaxial compressive loading however, there will occur
compressive as well as induced tensile stress fields at the edge of the
axial cleavage fracture. The compressive stress fields are relatively large,
but the induced tensile stress fields are very, very small. With regard to

atomic
distance

FIGURE 25

The atomic cohesion as function of the distance between

atoms; at first the cohesion increases with the distance; then it de

creases; these calculated values of the cohesion are denoted by
'th
at a distance of two times the normal distance a, the . reaches

th

a maximum:

th
71

the latter very small tensile stress fields we have introduced the term
"minute micro". We will speak of a "minute microstress field" and of "minute
microstress field stresses"; abbreviated: minute microsystem. The stresses
can rise to very high values.

They control the process of crack propagation.

Their order of magnitude can be estimated by indirect methods. Their direc

tion however can be read immediately from the shape of the fracture.
The theoretical tensile strength of the atomic bond, the fourth type
A final word about the fourth stress type,

(theoretical) or

(th).

(th) concerns the physicist's calculated bond between two atoms. Therefore,
the name "stress" seems disputable. See figure 25.
In technical sense however, we will not come to a conflict with this expres
sion, for

(th) will not appear in our calculations as a numerical value.

It will be used only when developing the induction theory.

72

CHAPTER V

Macrostresses, deformations andfracturingin cylindrical

specimens

1. IN RETROSPEC T
In the foregoing chapters the phenomenology of the uniaxial compressive test
with diverse rock types has been treated. The observed phenomena were in sev
eral respects nonconforming to the current ideas about fracture and fractur
ing. Particularly phenomena like "axial cleavage fracturing" and "indirect
tensile stress" posed difficult problems.
Then, the creation of the stress theory was discussed, whereupon it came in
to the picture that the idea "stress" may be covered by several views.
In this chapter we will try to regard the observed deformations and fracture
phenomena within the context of the current, conventional stress theory,
i.e., with what we call here the "macrostresses".
2. DIFFERENCES IN THE BEHAVIOUR IN UNIAXIAL COMPRESSION
The uniaxial compressive test is generally applied to rock. The application
of this test is less common for metals like steel. But by means of this test
it is possible indeed, to develop insights into the similarities and differ
ences between the behaviour of brittle rock and ductile, i.e. pureplastic
deformable material. These behaviours will be compared with the calculated
stress distribution in an ideally uniaxially loaded cylindrical specimen of
homogeneous, isotropic material.
The uniaxial compressive test with steel; volume changes
As a rule, metals such as steel are supposed to be idealelastic, i.e. they
should follow Hooke's law perfectly within the elastic range.
Figure 26a seems to confirm this idea with respect to SiemensMartin steel.
However, after enlarging the scale by a factor of ten it becomes obvious
that in the case of that kind of steel, the

line is not exactly lin

ear; see figure 26b. From the measured deformation it is possible to calcu
late the volume changes according to the equation, developed in figure 27.
In the case of this steel the volume change shows a typical picture; see the
H u e in figure 26c.

73

GPa 10-3

'\

3.53 150 - 0 . 7 6 7 / /

33 156 -0.67
3,19 182 -0.41
3,08 236 -0.15
r

/
^ ^

-ffiffl-2.

-(-)

FIGURE 26

Uniaxial compressive stress with steel

a: the usually applied scale shows the general behaviour; to this

scale the steel seems ideal-elastic up to the yield limit
b: shows the details to a 10 times larger scale: the E and the m
values are not constant
c: the calculated values of the specific volume change,

show an

increasing volume reduction; according to the authors, Ro and

Eichinger

, m takes the value 2 during the plastic flow; i.e., no

volume change occurs then

phase A in this picture is comparable with phase A in the case of
hard rock; see figure 27; compare also with figure 37

During the increase of the pressure the volume decrease develops at a grow
ing rate. This means that the density of the material increases at the same
rate. This process goes on until the limit of stretching strain or the yield
limit is reached. Then the material yields in the pureplastic way. This

74

Adz

Element dz.dy.dx*dV
At uniaxial compression. dVdV = (dz*dz)(dy*dy)(dx*dx)
Divided by dV and dz.dy dx: 1 =(1ez)(1.ty)(1*ex)
" # * . *

2=(
m.|l.

f&

=-2
C* y .El n m
l l e r S lgEm
jll

t*
FIGURE 27

Calculation of the volume change at uniaxial compres

sion; in this calculation the usually present differences of the E

and m values in the three directions are not taken into account; there
fore the value of the results, especially with respect to cataclastic
rockt will be no more than a rough approach

will probably be the result of crystal plasticity by means of physical dis

locations such as shown schematically in figure 29.
According to Ros and Eichinger" the value of the Poisson Number m will be
reduced to 2 during the plastic flow. This means that the volume will not
decrease any more.
During the whole loading path steel remains intact, i.e. internal cracking
does not occur. Therefore, the elastic loading path is covered completely
by the intact phase A.
The uniaxial compressive test with rock; volume changes
Rock behaves almost completely different from steel. Figure 28 shows the
behaviour of hard, relatively fine grained granite. The phases , and C
are determined a.o. by the acoustic behaviour; see figure 13b.
The acoustic behaviour will be treated extensively in chapter VII. At this
moment however, the interesting point is the volume change.
The

line in figure 28 shows an almost linear course. In this figure

the line is corrected for the closure of planar pores perpendicular to the
compression; see f in figure 28. The course of the 1 line seems to cor
respond with that of steel in figure 26b.
The line . for the transverse dilatation of the granite however, behaves
differently from that of steel. In this particular granite the line shows a
typical deviation from the linear course at about 15 tons loading (fig. 5859).
This gives the boundary between the intact phase A and the cataclastic sta

75

GPa 10 3

m
2.67

46

tons MPa

1.28

v E
F (m
|1'

1000 *%,
/ =
FIGURE 28

A uniaxial compressive test with very hard, fine grained

granite
a: the original test, see figure 58, chapter VII
b: the

line after correction for the closure of planar micro

cracks, (f)
c: the

, line

d: the calculated values of ; during phase A the volume decrease

develops linearly, more or less comparable to steel, see figure 26c;
during phase the volume decrease is diminishing; during phase C the
volume decrease turns into a relative volume increase (g); this is
principally different from the behaviour of steel; it is the result
of axial cataclasis; compare figure 10

ble phase B. The latter phase does not occur in steel.

The calculated value of the specific volume change

shows during phase

A a linear volume decrease. During phase the rate of the decrease dimin
ishes as

a result of developing cataclasis. Within the phase C the volume

decrease turns into a relative volume increase as a result of very intensive

cataclasis, compare figure 102, a .
The course of the

line shows an obvious difference between the beha

v

viour of a brittle, granular, hard rock which is subject to cataclasiic

plastic effects and also hard metal with ductile characteristics, which pre
cludes cataclastic effects. This difference could be considered a criterion

76

Gl

"1
JT

V 3 A

03

FIGURE 29

A very schematicei twodimensional picture of the most

imple way of pureplastic deformation of a crystalline solid by

(physical, atomic) dislocations according to two directions (recry
stallization)
a: a squareshaped crystal in static equilibrium
b: at the right side the pressure is decreased by
c: by eliding along three parallel sets of edgedislocation packets,
the first pureplastic deformation has occurred without disturbing
the crystallographic structure
d: now the pressure at the left side has decreased by ; pureplastic
deformation takes place by sliding along four dislocationpackets
e: according to the same principle, the originally square section has
been transformed into an oblong shape without damaging the cry
stallographic structure
This type of recrystallization applies to e.g. rock salt.
Note: By means of this picture the author has tried to summarize the
most simple mechanism of the "edgedislocation", such as has been
treated in the earlier works, e.g. by Tertsch

. This principle has

not changed.
The more complicated modes of recrystallization, e.g. by means of the
"screwdislocation" are treated in more recent books; see e.g.
Poirier*9

77

in judging whether a material deforms in the cataclasticplastic or pure

plastic way.
3. REPRESENTATION WITH MOHR CIRCLES AND ENVELOPES, MOHR'S FRACTURE
HYPOTHESES III AND IV
The characteristic difference between the pureplasticway failure of steel
and the cataclasticway failure of rocks can be illustrated by means of Mohr
circles and envelopes, see figure 30.

m r d hyp.
FIGURE 30

Mohr's III r d and IV t h "fracture hypothesis"

a: The III r d hypothesis, valid for ductile materials such as steel;

tension regarded positive
a., a, a show the direction of maximum shear stress; the normal
stress components of the shear directions have no influence; note the
sign of : clockwise is positive
b: the IV e " hypothesis; the normalstress component on the shear direc
tion is decisive indeed; the shape of the envelope according to Mohr's
original publication (1914)
c: the shape of the envelope according to Leon
d: the same picture as c, but now according to the habit of rock me
chanics: compressive stress regarded positive
d.: note the sign of : clockwise is negative; this is a consequense
of regarding compressive stress positive

78

Reaching the limit of stretching strain or the yield limit in a ductile me

tal is characterized by Mohr by means of his III r d "fracture hypothesis".
This limit is not determined by the largest tension or compression, but by
a critical difference between the largest and the smallest principal stress
(

) . In that case it is assumed that such materials will fail, c.q.

flow by means of the shearing of material parts along planes or directions

bearing the largest shear stress. The normalstress component on those
planes should have no influence on the process.
In figure 30a it is shown that in the ideal case the image points of these
planes are situated on two branches of the envelope, parallel to the
a- axis. Therefore the shear directions will make an angle of 45 or 50 8
to the largest and the smallest principal stress.
Analysis of the deformation of steel has shown that this kind of pureplastic
deformation is not accompanied by volume increase; see figure 26.
The failure of rock is characterized by Mohr' IV t h "fracturehypothesis".
According to this generally known rule, brittle materials will fail by
ehearing along planes which bear a critical combination of a normal compres
sive stress component and a shear stress component. This process is only
controlled by the largest and the smallest principal stress.
The intermediate principal stress exerts no influence on it; compare figure
53c.
Figure 30b gives an impression of the original representation by Mohr in
1914. The image points G. and G_ correspond with the critical combination
0

. Further, Mohr proved by reasoning that only one critical circle

( 7 , 7 ) will be possible containing G. and G.

The exact shape of the envelope has for a long period been a subject of
investigation. An improved shape is that according to Lon 2 6 , figure 30c.
Because in rock mechanics the compressive stress is regarded positive,
the picture becomes the shape as shown in figure 30d.
All these representations have reference to the picture of the shearing
off along conjugate directions. Besides it is usually assumed that in the
case of failure, the material in the intact state will be instantaneously
subjected to shear action, about in the same way as occurs in ductile
materials.
The present author however, emphasizes that this conception is too simple
for rock. For, at normal temperature and a not too elevated confining pres
sure, rock will pass through the three phases A, and C. Thereafter it
fails in phase D according to Mohr's IV t h hypothesis. The transition from

79

type
with signs of
crystalplasticity

type
granitic structure

a
FIGURE 31

B rittle rock should be characterized by three envelopes:

A/B, B/C and C/D

a: general picture; destruction type II, rock with granitic structure,
with planar microcracks; volume increase; see figure 28
b: exceptional case, destruction type I, very finegrained material
without planar microcracks; no volume increase; see figure 37
c: destruction type III; granular material, showing signs of crystal
plasticity, such as marble; volume increase; see figure 10

the one phase into the next one can be characterized by an envelope as well.
Consequently rock should be characterized by three envelopes: for A/B, for
B/C and for C/D. This is schematically represented in figure 31a. The three
destruction types I, II and III can be characterized by their envelopes;
see figure 31a, b and c.
These considerations include the knowledge of the difference between prima
ry fracturing and secondary failure. And in order to evaluate the importance
of the primary fracturing it is neccessary to understand this phenomenon
well.
Within this context we may remind the reader that we still are in search
of an acceptable theory which describes the "axial cleavage fracture" as
a monofracture, multifracture and also includes parallel axial cataclasis.
All these forms of fracturing are the result of the, up to the present,
still unexplained induced tensile stress under conditions of (macro) com
pressive stresses.

80

4. THE THEORETICAL STRESS DISTRIBUTION AND THE MEASURED DEFORMATIONS

In many cases cylindrical specimens are used in the research of the com
pressive strength of materials. The length of the specimen is usually twice
the diameter. By uniaxial and triaxial loading the envelope is determined.
In this way of testing, the starting point is the assumption that the stress
distribution inside of the specimen will be an uniaxial or a triaxial homo
geneous one. This is only true by approximation. But if we want to try to
find the origin of the primary fracturing, we have to know the stress dis
tribution within the specimen in more detail.
Already in 1902 L.N.G. F i l o n " carried out a calculation of the stress
distribution in an uniaxially loaded cylindrical specimen with a length
equal to the diameter. Later on calculations were made for the length twice
the diameter. Such a calculation has been carried out also in the Delft
Laboratory of Rock Mechanics. The boundary conditions were the same as
those applied by Filon. Because the end planes of the specimen make contact
with the steel platens of the compressive machine perfectly, they remain
planar. Because of the friction between specimen and platens the end planes
cannot expand laterally and the diameter will not change. The effect of
these boundary conditions is a stress distribution which differs consider
ably from the assumed uniaxial one. This is the case especially near the
end planes. See the figures 32, 33, 34 and 35.
It is the shear stress

working on the endplanes in the centripetal direc

tion as a result of friction, which forms the main cause of the deviation
from the ideal uniaxial stress distribution.
In addition to the stress distribution the measurement of the deformation
27
of the outside of the cylinder, according to Seldenrath and Gramberg ,
could give some indication about the mechanism of the primary fracturing;
see figure 36. The deformations of a CrNi steel cylindrical specimen pro
ved to be of the same kind as those of a lithographic limestone one (des
truction type I ) . Therefore the primary fracture phenomena in rock can be
related to the theoretical stress distribution.
In the picture of the calculated stress distribution we may distinguish six
remarkable zones 1 to 6, and one special point: point 7. See figure 35.
The effect of the special loading device
Another point was that the measurements proved that the special loading
device (see figure 15) allowed the endplanes to dilatate a little, indeed.
However, this dilatation was so limited that the axial cleavage fracture
never started in the endplanes.

81

Lines of equal principal stress

uniaxial loading Q
(thesis Kotte)

FIGURE 32

Calculated stress distribution In a cylindrical specimen

under uniaxial pressure; 1 : d = 2 ; E = 60 GPa; m 4; DD: zone of

measuring Ad; GN: acoustic measuring zone; Z, R and stand for the
three principal stressses; in this case the original habit is fol
lowed: tensile stress positive, compressive stress negative
Note the small lateral tensile stresses in the center of the specimen,
maximal 1% of

82

Lines of equal principal strain

uniaxial loading Q

E60GPa
mm i.

txttrnal
dtformation
a i mtaiurtd
it

FIGURE 33

Calculated specific deformations; the boundary condi-

tions are: the end planes remain planar; whereas the end plane diameter does not change

83

FIGURE 34

A picture of the 99 calculated stress elements from the

figures 32 and 33; the line a-b forms the boundary between elements
under lateral pressure and those with lateral tension

84

tfz/
1.2/
A1.68

0.92/
/0.96

"/68

1.06/
/1.1

.93

"V1.05

/
10

<tyo

-,,\

%05

%.| 2
0.3/
/0.9

1.3/
/0.6

1.65/
/ l .76

/O.*

0.002/
A0.0C3

0.004/
/O.Ol

1.05/
/1.2

/l.6

Ce/a

0.6

0.3/
/.*

10

>0.39/
/0.6

/0.84

0.2/
/0.05

0.3/
/0.9

1.77/
/1.79

' 6 6 /1.6

R/Q

0.09

.44

4/.42
0.46/
/.0.44

0004/
/0.015

0.67
/0.01

0.4

0.5/
0.6

Itns

/.4

^
106
/0.1

005/
/0.3

/0JB

/0.44

02/0.43

0.43/
/0.44

0.1/
/0.2

compr

signs the
convential way: tension: pos. compression: neg.
extension: pos.shortening: neg.
R is situated in or
near zone 2 and 3

FIGURE 35

Typical primary fracture zones according to the calcu

lations, see figures 32, 33 and 34

Six typical zones, 16 and one special point, 7, can be recognized,
as well as the position of the fracture nucleus R and the crack in
point 7 in rock type I, generated in the elastic phase A, see figure
37; however, the concentric crack 7 showed up only weeks and months
after the test; this must be related to relaxation
Table: numerical values of stresses and strains within the zones;
tension positive, pressure negative
Most likely the generation of R and 7 should be ascribed to a combi
nation of an elevated pressure

with an extension,

eg resp. e R ,

in point 2 and 3
Note: zone 4:

Q; zone S:

> Q; zone 6: Q

zone 1: the axial fracture cuts through it by inertia

85

0.5 mm hard rubber,

brass or copper (oil_
or tinned sheet iron

" ^ 3 5 9 M/m

0,2 mm free
>t993 j/m

VKKOAj/m

\\
4 383

^1132
41106

t 364

^ 1118

-/

-t

'

7M
clamped ends

a
FIGURE 36

b
Comparative lateral deformations of CrNi steel and

lithographic limestone at uniaxial loading

a: CrNi steel; ends clamped; 285 MPa
b: lithographic limestone; ends clamped; 250 MPa
Note: the deformations are almost exactly proportional
c: lithographic limestone from the same batch, uniaxially loaded,
using the special loading device see figure 15; note the relative
contraction in the middle and near the end; this is proof of the
presence of a centripetal shear stress on the end planes.

From the deformation it was concluded that there was a centripetal shear
stress present indeed.
Only the magnitude was reduced. It could be shown from a very accurately
measured

diagram that this lithographic limestone behaved practically

idealelastic up to the moment of the generation of the axial cleavage frac

ture. The almost linear course of the
see figure 37.

line forms an ultimate proof;

There was full expectation that we would be able to find a good explanation
for the generation of the fracture nucleus R of the axial cleavage fracture.
On this point, however, we were much disappointed.
Still it could be established that the nucleus R does not develop from a
scratch on the outside. The nucleus is very obviously situated within the
inside of the material, very near the surface. The only connection which

86

993^
FIGURE 37

axial cleavage fracture

^

70.8 T

1000

2000

3344%!

Very accurate measurement of e. and , on a specimen

of lithographic limestone in 1958; diameter 29.8 mm, length 62mm;

perpendicular to the bedding plane; the special loading device was
used see figure 15; the loading was carried out in 24 steps, in 118
minutes; from the beginning to the end this material behaved practi
cally Idealelastic; the linear course of the

line proves that

there was no volume increase, because no cataclasis has formed; at the

end the axial cleavage fracture generated still in the intactelastic
phase A.

we could find between R and the calculated stress distribution was that
R is situated in a point bearing elevated axial pressure in combination
with transverse dilatation; see the zones 2 and 3 in the figures 34 and
35table.
Although the axial fracture plane shows the characteristics of the brittle
tensile fracture perfectly, the calculated (conventional) macrostresses
do not show any indication on transverse tensile stresses in the vicinity
of the nucleus R. From the symmetry it is concluded that the axial cleavage
fracture as well as the secondary occurring concentric cracks follow the
direction of high compressive stresses and they develop along principal
planes bearing the smallest stresses.
87

type I

type

&

type EI

*\fs
rnulti
/ / shear zones
open grain
(ll,
"Uu boundaries
g r a i n c r a c k s
'
(microcataclasis)

crushed
grains

d ^>^
a

>

t: radial traces
ss: fracture
front

open relaxation
cracks

type ST.

quasimicro
boundinage
stepped f r a c t u r e
surface
exfoliation
a f t e r relaxation

<" ~

a o
o i
o

FIGURE 38

Four destruction types showing signs of the presence of

elements from the theoretical stress distribution; compare figure 34

and 35; note the line ab, which marks the boundary between lateral
compression and very weak lateral tension
a: type I; the axial cleavage fracture plane shows through the linea
tion the fracture nucleus R, the shape of the propagating fracture
front SS, and the presence of the zone 1, a proof of the presence of
the centripetal shear stress on the end planes
b: type II; the axial cleavage cataclasis marks the zones 2/3, 5 and
6; point 7 is represented as well; at the botom of the specimen, in
zone A, marked by d, direct tensile cracks were observed; they must
have been generated by the difference in the tempo of relaxation in the
different minerals; compare figure 61
c: type III; zone 1 is marked by the absence of cataclasis, whereas the
zones 5 and 6 are marked by differences in the intensity of the multi
shear cataclasis
d: type VI; more or less bituminous material with foliated structure,
slate from Martelange; the zone 1 and A are responsible for the quasi
microboudinage

88

5. OTHER RELATIONS BETWEEN FRACTURING AND THE THEORETICAL STRESS DISTRIBUTION

Destruction types If II, III and VI with elements from the theoretical
stress distribution. Some interesting points of recognition will emerge;
see figure 38.
In figure 35-a and in the table next to it, six typical zones 1 to 6 are
shown. These zones bear on the elastic state. Yet they show a kind of reflexion in the mode of fracturing, see figure 38-A, B, C and D.
It is clear that each of the four mentioned destruction types reacts in a
special way.
Destruction type I
Destruction type

I , depicted in figure 38-B

is characteristic of extre-

mely fine grained material. It does not contain planar pores or grain boundaries. The fracture nucleus R is situated within the zones 2 and 3, where
an elevated axial pressure prevails, in combination with transverse dilatation; see figure 35-a and table. The same is valid for the zones 4, 5 and
6, cleft by the axial fracture. This ideal-shaped fracture has been produced
under application of the special loading device (figure IS).
From the lineation it is clear that the zone 1 must have been present, indeed. By the dynamic character of the fracture propagation the fracture has
penetrated this zone as well (compare zone 1 in figure 34).
The special point 7 is marked by a small concentric crack, which does not
penetrate farther than R.
Destruction type II
Destruction type II , depicted in figure 38-B is characteristic of granular material with granitic structure. It proves not to be affected by the
special loading device. This material contains planar pores in all directions whereas numerous potential fracture sources are present.
These fracture sources give rise to axial cracks, forming the cataclasis.
They occur especially in the zones 2, 3 and 5 and to some extent also in
zone 6. The zones 1 and 4 are marked by the fact that the axial cataclasis
does not extend in these zones. Obviously the transverse compressive stresses prevent the propagation; see figure 34.
The axial cataclasis consists of taut-planar axial cracks of limited extension. They cut through quartz as well as through feldspar cleanly.
They do not merge and they remain parallel. Some quartz grains seem to show
signs of grain crushing.
As a result of instantaneously destressing at the end of the test relaxation

89

cracks will develop In the zones 1 and 4. These cracks are of the directtensile type; therefore they are not so taut-planar as the axial cracks.
See also figure 61.
Destruction type III
Destruction type III as depicted in figure 38-C, Carrara-marble, reflects
the theoretical stress destribution in its own way. Zone 1, 2, 3, 4, 5 and
6 can be recognized. This Carrara marble consist of about 0,1 mm diameter crystals of pure calcite. The mineral calcite has crystal-plastic
characteristics. The crystals in the marble specimen may deform in the
crystal-plastic way, shown schematically in figure 29.
The calculated small transverse tensile stresses in zone 5 and 6 will give
rise to small plastic deformations of calcite grains. Therefore, axial
cracks are limited to one or only a fey grains, forming a micro-cataclasis.
The plastic deformation leads to stress differentiation in the zones 5 and
6. See chapter XI.
Destruction type VI
Destruction type VI, depicted in figure 38-D, is characteristic of more
or less bituminous material with foliated structure, such as slate.
In this material especially the zones 1, 2 and 3 are marked by the forming
of quasi-microboudinage. The material extends laterally just below the endplanes. Through this an axial cleavage fracture is induced in the zone 6,
extending through the zones 5, 4, 3, 2 and 1 at the other end of the specimen. This way of fracturing was observed in a series of six ".niaxial compressive tests with slate from Martelange.
6. RECAPITULATION; THE PRINCIPAL LAW - SECOND PART; CONCLUSION
Recapitulating we have seen that diverse types of brittle rock show different types of destruction. However, we can state that in

all cases the

axial cleavage fracture forms the primary fracture. It may occur in the
shape of a monofracture, multifracture, axial cataclasis or as microcracks
and axial microcataclasis.
Although we have made an honest effort, we have not succeeded to derive an
explantion for the phenomenon of the axial cleavage fracture by means of
the calculated (macro-) stress distribution. Therefore we fall back on the
phenomena observed by five different scientists at different times and on
different occasions: Voigt, FSppl, Prandtl, Bridgman, Gramberg see figure 39.

90

clasping test
"Umschlingungs
versuch"

J1 L
-^u.-

(German)

I. extension

/si

|=2

lateral dilatation

l.dil

i=Cb I d .

^ 3
C2=
c

Prondtl
Bridgman

August Fppl

FIGURE 39

Voigt
Bridgman

Block diagrams of the results of the most Important

tests resulting in axial cleavage fracturing; five different scien

tists at different times and on different occasions produced the same
results
a, a: Prandl'e "Trennbruch" or extentlon fracture in the radial
direction at uniaxial compression
b, bj: Gramberg's axial cleavage fracture, radial as well as concen
tric, produced in uniaxial compression,
c, Cjt Fppl's parallel fracturing by "Umschlingung" or clasping,
produced by twosided compressive loading,
d, dx

: Bridgman's "pinching off" effect; "a clean tensile break" in

a rod of glass, produced by high pressure within a pressure vessel

under application of compressive stress

The Principal Law Second Part

As a result, we are able to formulate the Principal Law for primary fractur
ing as follows:
In brittle materials like rock, the primary fracturing consists of axial
cleavage fractures. They follow the principal plane bearing the minor prin
cipal stress (compressive stress considered positive), and contain the major
and intermediate principal stresses. See figure 40.
The other way round, the observed axial cleavage fracture plane defines the
principal plane in the rock, bearing the minor principal stress.

91

induced tension Oj

FIGURE 40

The Principal Law for brittle fracturing in triaxial

differential compression, demonstrated by block diagram and Mohr

circles
a: block diagram; the brittle fracture plane contains the principal
stresses , and

, and it is perpendicular to the smallest one,

b: the same situation expressed with Mohrcircles; note that image

point III stands for the brittle fracture plane III
c: the induced tension, a

, perpendicular to the fracture plane III

The enigmatic point is that the image point III denotes the principal
plane III ( = the fracture plane) which apparently bears at the same
time the compressive stress

o and the tensile stress t jj compare

O t l in figure 12

The directions of the major and the intermediate stress lie in the plane of
the axial cleavage fracture. As a rule the direction of the major prin
cipal stress is known. Consequently, the recognition of the axial
cleavage fracture enables us to make a semiquantitative picture of the
state of stress within the rock.
Conclusion
The conclusion is that since the enigmatic character of the occurrence of
the axial cleavage fracture has been identified as the result of tensile
stress under compressive conditions, a situation regarded as impossible, an
acceptable theory would be very much rejoiced at, as well as the further
exploration of this phenomenon.

92

CHAPTER VI

Three models or theories for the brittle fracture and the induction
theory

1. THE FIRST MODEL: THE GRIFFITH THEORY I (1921) : THE MODEL-ELLIPSE

This theory which was proposed by A.A. Griffith in 1921, should be considered as the first sensible one on the generation and propagation of brittle
fractures at tensile loading. Since then, fracture mechanics for metals have
developed along very specialized and different lines. The Griffith theory
has remained important however, with respect to rock fracturing.
In our view not only the results of the theory are interesting, but above
all so are the argumentation and reasoning or "thinking steps", as they
can be reconstructed from Griffith's original paper. In the following we
will point out ten of these thinking steps.
Step one

Brittle fracturing in metals may occur a good deal within the

limit of elasticity, as a result of alternating stress. Therefore, a theory

of brittle fracturing must be based on the theory of elasticity.
Step two

When a soft iron wire was spirally scratched by means of carbo-

rundum, tensile loading produced plastic flow in the tip or apex of the
scratches in an early stage of the loading. The conclusion is the existence
of stress concentrations, resulting from the notch-effect.
Step three

The insight, that the state of brittleness is brought about

by the prevailing circumstances rather than by the material composition

alone.
Characteristics of brittleness can be presented as follows: "brittleness"
means that, under the prevailing circumstances, the capacity to yield by
flow in a pure-plastic way is absent.
Step four

Glass is preferred to metal in the research of brittleness due

to the fact that glass behaves as an ideal-elastic solid up to the point of

fracture.
Step five

In experiments with glass fibers, thick fibers of 1mm in dia-

meter broke at 0.175 MPa, whereas very thin fibers of 0.0033mm failed at
3.47 MPa. The thin fibers were about 20 times stronger than the thick ones.
Griffith concluded that thick fibers contain irregularities or "flaws".

93

 2.5 10"3 mm

Cm ox

V
/

c3

J? >

/I iV

Griffith
flaw

''

/\\ I /

"V

1 mm
I0.7

ti

" %
Griffith
crack

mm

~v
FIGURE 41

0.003 mm

0.003 mm

Griffith's original tests

a: softiron wire, spirally scratched, showed as a result of tensile

loading, plastic flow in the apex of the scratches
b: 1mm thick glass fiber contains "flaws", possibly consisting out of
crystalline groups, embedded in an amorphous matrix; one "favourably"
or dangerously positioned group functions as a "Griffith flaw",
causing stress concentration; tensile strength: 0.175 MPa
c: a current idea: the 1mm thick glass fiber should contain submicro
scopic cracks; one of them functions as a Griffith flaw, etc., etc.
d, e: the "Griffith flaws" cannot take a "favourable" or "dangerous"
position because there is no room in the transverse direction; tensile
strength: 3.47 MPa, i.e. 20 times more than the thick fiber
Note: this phenomenon forms the basis for the production of the pre
sentday very strong fibers

Such flaws do not occur in thin fibers, at least they do not influence the
tensile strength. In the thick fibers one of these flaws would have such a
shape and such a position, that it would bring about the stress concentra
tion resulting from the notcheffect; the thick fiber would break at a re
latively low tension See figure 41.

94

____* yy.:'!l

l i l i
o

11\

Mmi

I 1

Mill

3 : quilibrum

b : propagation ol a brittle

FIGURE 42

fracture

Representation of the Griffith theory I, based upon the

balance of energies, applied to an idealized crack (the Griffith

ellipse) in a tensile stress field
a: equilibrium; P/F, being the average tensile loading;

t
mt
, being the locally concentrated maximum tensile stress
b: fracture propagation; being the tensile strength;
t
mt

. :
tn

the times concentrated tensile strength; the propagation stress peak

is called "stress wave"
Notation:
1: Open, very flat ellipse
2: New, stressfree surface, absorbing energy
3: Destressed zone, supplying energy
E: Young's modulus
S: Surface tension or surface energy

As a result of this theory it should be expected that in a brittle fractu

re, the fracturing originates at one specific point.
Step six

It is necessary to set up a good description of the mechanism

and the physics of fracturing and brittle fractures.

This can be presented as follows: When a crack generates, a new surface is
formed. This takes potential energy, which is the surface energy or the
surface tension. New surface is generated when the distance between the
"molecules" is increased so much by tensile force, that this distance is
longer than the "radius of the molecule action".
This formulation implies the idea that crack generation and propagation
must be the result of the severing of atom bonds.
Step seven

In order to describe the influence of a generated crack with

in a solid which was previously intact, Griffith made use of the theorem of

95

t i l t *

ffmox = C ( H 2 | |

tjmax

X2c

t, 2U

ft

b
= 20V

hc

'\
UO.89"
22.6 mm

= 2/

I l
b i11.3mm

coefficient for stress concentration: n s 2 = 2 V * 2 v

b

measured: 2 106 nchs165gi g = atomic * = 3 10

V,1 = . = V^ = \ / 5 5 S
b
,
2x106

=478.

, = 2V, = 956

mm = 3x10 AJ

(1)

stress concentration very high

?2 assumed: 2 1 0 " 8 inchs1.7g

^---^-^-^=70:
^ 2

FIGURE 43

"2=2V2=9560

(2)

this number is for stress cone,

much too high

Four fracture edge models

a: artificial crack in one of Griffith's experiments

b: the same crack, idealized as "fractureellipse"
c: p . = 165a, measured by means of interference colours, leads to a
coefficient of stress concentration n, = 956; Griffith judged the
fracture edge with . 165a much too large
d: Griffith assumed the radius P a factor 100 smaller; 1,7a being of
the atomic dimensions, this resulted in n~ = 9560, which appeared much
too elevated
e: the possible shape of the fracture tip after B arenblatt

28

f : our own proposition: the composite shape, being a combination of

(c) and (d), looking very much like (e)

96

minimum energy. In the case where a crack is present, the sum of the poten
tial energy of the applied forces and the strain energy of the body, is di
minished or unaltered by the introduction of a crack whose surface is
"free from traction" such as Griffith called it. See figure 42.
Step eight

It was important to determine the position of the crack with

in the field of the loading forces. In order to keep the linear direction
during the propagation, the crack must find itself in a symmetrical posi
tion with respect to the load. For the crack to remain open and to propa
gate, the load should be tensile and not compressive. Consequently, the
crack has to be perpendicular to the tensile loading.
Step nine

To create a mathematical solution to the problem, Griffith

idealized the still undefined shape of the "flaw". He represented it by a

very flat, open ellipsoidal void with an elliptical cross section, the flat
Griffith's ellipse. See figure 42.
Step ten

(a) The shape of the crack and the tip

Through a number of

experiments with artificial cracks in glass bulbs and tubes, Griffith tried
to get a better idea of the stress concentration coefficient n. For our
purpose this coefficient is of less interest.
More Important, however, is the possible shape of the crack edge and the
tip. (In order to avoid equations in this text, we have given them in fi
gure 43.) Figure 43 a and b show the artificial crack and Griffith's ellip
semodel. The shape of the tip is characterized by the apex with the radius
of the smallest curvature

Griffith tried to measure

by means of interference colours.

The result was an apex radius

of about 165 a (atom diameters).

Griffith judged this size to be too much, although a stress concentration

of 1000 could be imagined. See figure 43c. Then he inserted a value one
hundred times smaller in his equation in order to decrease to atomic di
mensions. Now

would be about 1.7 a. See figure 43d. But in this case

the calculated coefficient for stress concentration would reach a much

too high value, about 10,000.
Griffith's opinion was

that the theory of elasticity would not be appli

cable within the range of the atomic dimensions. We agree with this argu
ment.
28
(b) The composite shape of the crack tip
In 1962, Barenblatt
sugges
ted that the crack tip should show a cusp, or beak shape. See figure 43e.
We suggest that this shape can be resolved into two parts: one ellipse
with a relatively large apex radius
to which a pointed part is super

97

imposed. This pointed part can stand for Griffith's flat ellipse with the
apex radius

= 1.7 a.
See figure 43f. The relatively large ellipse

with the apex radius

, representing the edge, can be considered large

enough to allow calculus by means of the theory of elasticity. The pointed

part, however, representing the tip, cannot be approached by the theory of
elasticity.
This composite shape forms a clue to the development of our induction the
ory.
2. CONFIRMATION OF GRIFFITH'S LINE OF THINKING '
Griffith's line of thinking is confirmed by the lineations on the brittle
fracture plane. See figure 11. Already in 1914 De Frmenville paid atten
tion to such lineations or "strie". A proper analysis of the lineations on
the brittle fracture plane was only possible after the Griffith theory had
been presented. In 1926 Preston

produced a good description. We owe,

however, a mos'" extensive analysis to Smekal (1936) 12

' ; 13

'

Preston as well as Smekal refer to Griffith's theory I (1921).

3. THE SECOND MODEL FOR TENSILE BRITTLE FRACTURE; THE ELLIPSEWITHNOTCH
After we have analyzed Griffith's original theory, we want to explore the
path that Griffith left aside in order to realize the mathematical approach
of such phenomena as stress concentration and the criterion for fracture
propagation. Therefore, we refer to Griffith's "thinking steps" 6, 7 and
8. These steps state that brittle fracturing must be the result of the
severing of atom bonds, that the crack is open, that a new stressfree
surface is formed, and that the fracture plane must be perpendicular to a
principal tensile stress.
A closer examination of the fracture edge and tip in tensile loading
Based on the above mentioned fundamentals, we can construct the shape of
the fracture edge and tip in an imaginary material which is represented by
a regular array of points representing atoms. See figure 44.
According to Griffith's theory I, the atoms are torn apart by tensile for
ces, perpendicular to the plane of the crack. See figurge 44b.
The well known diagram of the atomic cohesive forces, as a function of the
normal interatomic distance a (see figure' 44a) shows that this force rea
ches its maximum

. when the atomic interval has reached approximately

2 a , i.e. about double the normal distance. Further increase of this dis
tance will reduce the cohesive force rapidly and at approximately 3 a it

98

atomic cohesion
force
fracture
ompleted

forces along AB ^

'

tensile strenght G\J

corresponding with the

average fracture s t r a i n
of abt. 500 A Jstr. (*J/m)
I I

atomic spacing

i U J ^
atom distance = a.

! !!!_!_!_ |
!!_!_L r r r i r h

uuiuiLLbiHk..

stable
01
~L!_!_L!_[_!
o
ri_!_L1.0005 a
new surface
o
rV*4- Vr9-4rm

unstable zone A O a r . 2 a = I.O.u.'r.t.q.:*^\;#

ai
o between a and 1.5a
f i l I I I iT..tf-l-l-!

ll_l_._
.l
ro
. [ zextra
o n e of
. T| ! _ 4
strainJSL
jLLL!
'fracture tip
possibly 20005000
idealized picture !_!-"'
atom distances a or 0 , 5 1 . 5 / J

tensile loa d
FIGURE 44

The fracture edge and tip as a regular array of points,

representing atoms; direct tension

a: the interatomic forces as a function of the spacing a
b: schematic representation of the arrangement of the atoms around the
fracture edge and tip; maximum force at 2a; fracture complete at 3a;
stable new surface has generated; unstable zone 3a-2a wide; radius of
atomic sharpness p, being about 1,7a
-B: path of the crack, with zone of extra strain, denoted by SL
("Scouting Lane"); a

3 10"7mm

is virtually zero. The fracture plane has extended by one atomic interval.
Figure 44-b shows a schematized, very much idealized, array of the atoms
around the edge and tip of the fracture. The average tensile stress at the
very moment of fracturing causes an average extension of about 500 m/m.
This was measured in lithographic limestone at direct tensile loading.
This means that the average atomic interval on the outside of the specimen
had increased from 1 a to 1.0005 a.

99

At the very tip of the fracture however, the interval increases first to
2 a, then to 3 a, i.e. first up to 10 /m, then to 2 10

m/m, comple

ting the fracture for these few atoms. During this process the atoms are
converted from a stable condition within the crystal lattice to a new sta
ble condition on the newly formed surface of the crack walls. In this pro
cess surface energy is absorbed, whereas elastic energy is released by lo
cal destressing of the material. See figure 42.
However, within the small zone where the atomic interval lies between 2 a
and 3 a, the material has to be less stable. Obviously, the fracture edge
contains a small unstable zone of about 3 a, this being the fracture tip.
Within that zone, the material will be very susceptible to the influence
of water, CCU and other chemical agents, providing a location for further
fracture propagation. The walls will separate and they open up. As a result
a relatively spacious crack edge will form, in our concept possibly 300 a
to 500 a large.
The scouting lane
In front of the unstable zone of 3 a, forming the fracture tip, a transi
tion takes place from the average extension of 500 /m or 1.0005 a to
2 a or 10

/m. For a smooth course of this transition it is reasonable

to assume that many thousands of atom pairs are involved. They will form
a stretch, a lane, path, or zone of extra strain between two rows of atoms
in front of the crack. This lane must have a scouting function. We will
call it the "scouting lane". In the literature it has been revealed that
the existence of something on that order has been found experimentally.
(Shamina et a l 3 9 ) .
The composite model for the fracture edge with tip
Our conclusion is that the model of the fracture edge should show a compo
site shape. It will consist of an openelliptic part, the fracture edge,
completed by a cusp notch in the apex. This cusp stands for the fracture
tip, where the atom spacing opens up from 1.0005 a to 2 a and 3 a.
The dimensions of the tip are of a size within the atomic range.
Therefore, calculations by means of the theory of elasticity should not be
valid.
However, the openelliptic part, the crack edge, where a stable new surface
has formed, is assumed to be very much larger.
We have followed Griffith in representing this part by an ellipse, a model
ellipse or the "fractureellipse". This ellipse is regarded to be a factor

100

"Alome* model of tho crack tip

oftor Goodior and Kanmnon
Koy

.hnoaf
/*/* .non linoar otomtc
fcrcaMparalmn low
model
ellipse

J . _ t_

e
FIGURE 45

Ideas about possible shapes of the crack edge and tip

a: the original ellipse model after Griffith

b: the beak shaped cusp, unstressed, after B arenblatt
28
c: the cusp stressed, after B arenblatt
29
d: the calculated shape after De Waal
30
e: a calculated shape after Goodier et al

28

f: the composite model: large open ellipse with atomsize notch and
"Scouting Lane" SL after Gramberg
b : estimated maximum width; the unstable tip 3a is less than 1Z of
b

, i.e. negligibly small; therefore the theory of elasticity is

applicable to this model

50 to 100 times larger than the very tip. Therefore, mathematical calcula
tion will be applicable.
Ideas about the shape of the crack edge and tip
A number of ideas about the possible and probable shapes and models of the
crack edge and tip are shown in figure 45.

4. THE THIRD MODEL: THE ELLIPSEWITHNOTCHMODEL FOR THE AXIAL CLEAVAGE

The induction of tensile stress

The next step is very simple following the foregoing extensive prelimina

101

_Jl_L

crack edge with crack tip

T T

Gmt = ti

j ^ c u s p notch

J jflf P'^tr^tic'gth

b
fracture
propagation

1.510"1AJ

FIGURE 46

The ellipsewithnotch model for the axial cleavage

fracture edge and tip in compression

a: the upright standing open ellipse in an axial compressive stress
field
b: the possible shape of the edge
c: schematized composite picture of the edge: a large open model
ellipse with a small, negligible notch
d: the induced tensile stress O t j (with a maximum O

t)

at the apex of

the modelellipse; Zic being a zone of induced compression

e: the apex in detail, showing the very small cusp notch,enlarging the
induced a t

or

o m t times up to O t n being the theoretical cohesive

strength between atoms; the scouting lane SL is preceding the fracture

tip;
f: schematic picture of the induced stresses around the fracture edge;
p^ = 165a (Griffith); the fractureellipse (or modelellipse) opens
up to 500a; the induced minute microstress field Zit (zone of induced
tension) is surrounded by Zic (zone of induced compression); zero
point

ries. We will consider an upright standing', openellipse in an uniaxial

compressive stress field. At the apex of the ellipse, tensile stress will
be induced. See figure 46.
As a result of Griffith's arguments we suggest again that the fracture

102

edge and tip may be considered as a combination of an open, larger model

ellipse, completed by a small notch for stress concentration. Therefore,
figure 46f is essentially the same as figure 45f, but rotated over 90.
The section of the modelellipse is assumed to be 300 a to 500 a. This
means linearly a number of about 60100 stress elements of the type shown
in figure 21c. According to this explanation, the theory of eleasticity
should be considered applicable. This is a condition for the application
of the well known calculations of the stresses in the material, surroun
32
ding an opening with elliptical cross section, after Inglis ; see the
equations in figure 48.
5. THE INDUCTION THEORY, A SIMPLE MATHEMATICAL THEORY
The Induction equation
The induction of tension by compressive stress is shown twodimensionally
in figure 47 .
The starting point is the presence of an elliptic shaped opening in a
plate. The plate is loaded by compression: P o r o
Q or

is the largest stress;

is the smallest one. The tangential stress at the apex of the

ellipse is:

+ Q + 2Q a/b
(a)

or

+ 2 a/b

1
3
3
This equation may be written also as:
(b)

/ 1 + k + 2kV
k being Q/P and V being a/b.

If is positive, the tangential stress at the apex will be compressive.

If 0 is negative, the tangential stress will be tensile. Then we will

Induced tension

Induced stresses

0,|r*oJP.0i,.20jrO/b

P0
..2%

0# p

^'rljTl- -l

CP.Q*2Q%
(jf,.Wk2kV

G=-Q*P*2P%

<*,*
Induced stresses at the apex of an open ellipse
see figure 48
(a) and (b): The induction equation after Denkhaus 31

FIGURE 47

103

(ol
(b)

<^pk1.2k.v
6/

=
P

mftf

2v(1k)-(1-k)(1>vfcos2(e*g)(1-k)(1-v')cos2a
(Vv')-(1-v')cos 2

f = 90 and -<=90 then cos2(90O1; cos2<X=-1; cos20.-1

(V
2v
C Uk)-(1-k)(nv)I-(1-k)(1-v1) .
'o
T~TT~;
WvVl-v*

1 I 1

k 1 * 2K.V

*.a(poj

"S^0^

(atter Denkhaus)

Stresses at the ellipse apex after Denkhaus,31 based on

32
the equations of Inglis

FIGURE 48

the induction coefficient f = o m t /P being a function of k; k ^/^

or Q/P; V = axis ratio a/b;

= maximum (induced) tensile stress;

k0 means uniaxial loading; then f=l and the (induced) tensile stress

= P (maximum); k=0,33 means that f=0 and

104

mt

 t i " "P

write:

+ Q

2Q V

(c )
or

. - -
ti

+
l

+ 2
3i

ai

The tensile zone lies within the stretch ZZ. In the middle of this sCretch
lies point T, being the point of maximum tension, O m t See figure 46d, e
and i.
A part of the elliptic opening in figure 47 stands for the fracture edge
in figure 46. It is the modelellipse.
In the case of a symmetrical position of the modelellipse with respect to
the direction of the fracture propagation, the notch will coincide with
point T, whereas, ...
ti

mt

For the present discussion we will consider only the symmetrical case.
Outside the apex of the elliptical opening is a zone with induced tension,
zone "Zit". A tangential compressive stress "Zic" is induced in the material
surrounding the ellipse as well as the zone Zit. See figure 46f.
The zones Zit and Zic form the area of the minute microstress system. The
zone Zit might be limited to about 10" ym. The zone Zic, however, might
extend a little further.
The relationship between o , or O

and the parameters k and V

In figure 48 the relationship is shown between . or

. k Q/P and
tl
mt
V a/b. The ratio
/ is called the coefficient of induction f.
mt
This coefficient will never exceed the value 1 and therefore, the tensile
stress 0

. will never exceed P. This can only occur if Q 0, or k 0,

i.e., in uniaxial loading.

The larger the value of k, the smaller the value of f. If k 0.33 then f
0. This means that the induction of tensile stress occurs only if the
transverse pressure Q is smaller than 1/3 times the axial loading P.
In order to make the axial cleavage crack propagate, the induced tension
has to exceed the local tensile strength of the material. Therefore, crack
propagation will only take place if k is much smaller than 0.33, e.g. if k
0,2 or 0.10.
Figure 48 shows clearly that the larger the value of f, the smaller the va
lue of V will be, i.e. the shorter the modelellipse is.
This is easily understood, for in the case of a longer ellipse the influence
of the lateral pressure Q or

will be stronger.

This is demonstrated in figure 49 in the example k 0 and V 2, respecti

vely when V 3; then

2, the value of

0.5P; if V 3, then

. in both cases. In the example k 0.1 and V

105

0.3P. These examples

show the influence of k very clearly.

In our theory the value V of the modelellipse will vary. This value can be
very high, i.e. when the crack is for the major part open. Or, conversely,
the value of V can be low as well; then the crack is for the major part clo
sed.
At high lateral pressures the crack closes tightly, except for an annular
ringshaped open space along the border. The cross section of this open spa
ce shows the shape of a short ellipse, e.g. V 3. This opening is called
the borderellipse. See figure 52 b and 53 c.
We assume that the shortest possible borderellipse may approach the circle
shape, i.e. V = 1. In that case the induction coefficient f will reach the
maximum value, f = 1. See figure 48.
The meaning of the parameters k and V
Given the major pressure F or , then the parameter k can be used to indi
cate at what value of Q or the cataclasis will start or stop. This has to
3

be determined experimentally.

0 = P(kU2kV)
( negative)

induction equation

itT=-0,5F
"3=.

^=3/ =

3 = 0.1P

conclusion: the influence of the transverse pressure Gj

is smaller in the case of shorter ellipses.
FIGURE 49

Example, showing the influence of k and V (a) versus (b)!

in uniaxial loading (k=0) the induced tensile stress O t ^ remains P,

irrespective the axis ratio V (c) versus (d) : in biaxial loading with
k=0,l, it is shown that the induced tensile stress O t ^ depends on V;
the larger V, i.e. the longer the ellipse is, the greater is the in
fluence of Oo
106

Starting cataclasis means that the value of

has reached the value of the

material's tensile strength. Now the parameter V will "adjust" the term 2QV
In order that the Induction equation fits In with the three, now fixed va
lues of 0 .

and Q. So, V Is an element of "adjusting". This means that

In our theory every cataclastlc structure or activity, under every loading

condition, is connected to a specific Vvalue, I.e., with a specific shape
of the borderellipse. See figure 62.
An experimental rule for fracturing
The experimentally determined values of the coefficient k at every stage of
cataclastlc intensity, enables the process of destruction to be characteri
zed qualitatively at every stage of its progress. This leads to an experi
mental rule for every rock or rock type.
The terms of the induction equation and their dimensions
The induction equation consists of four terms:
ti " " P

+ Q

2Q

iV

or
.
ti

(c )
+

+2
31

The first term,

31

., is based upon the minute microstress system.

The stress elements of this system may have dimensions of 57 atom diameters
a, the a standing for 3 IO 7 mm. So, the stress element will be of the or
der of 1.52 1 0 6 mm or 1.52 10 _ 3 um.
The second term or

concerns the macrosystem, i.e. the stress calcula

tion can be carried out by means of the conventional theory of eleasticity.

In the granitic test material, with grains of 0.12mm, being our example for
rock, the macrostress elements will contain linearly 5 to 7 grains. There
fore,the size of the stress element will be 12mm. This means an order diffe
rence of 10

with respect to the minute microsystem.

The third and the fourth terms Q and 2QV are expressed in macrostress as well
as microstresses, the latter being the stresses or forces between the grains.
The difference of orders of magnitude between a 12mm macrostress element and
the 0.12mm grains is only 1010 2 .
We think it is necessary to eliminate these order differences before apply
ing the induction equation for calculation.
0 . and the stress concentration
Another point related to the dimension differences is that of the stress
concentration. The maximum value for . will be P or .
ti

This value is by far too insufficient to sever the very high cohesion force
107

, in the unstable zone 2 a and 3 a at the point T, in the apex of the

th
modelellipse. Therefore, this relatively low induced stress . must be
J

enlarged by stress concentration in order to bring about crack propagation.

In fact, the problem is twofold: first to evaluate the stress

. expressed

in the minute microsphere; then, to find the proper coefficient for the
stress concentration n. The procedure to cope with the problems of order
differences and stress concentration, will be treated in the following para
graphs. In pursuing these problems we will first develop more detailed des
criptions of the physics involved, in picturing the crack or fracture. These
"pictures" will include the use of the ellipsewithnotch model as a basis.
By means of these pictures we will be able to make appropriate decisions.
6. A GENERAL PICTURE OF THE STRESSES AROUND AN AXIAL CRACK
The transverse internal compressive 'stress Q

or

, ; selfconfinement

The stresses around an axial crack should be a composition of the calculated

stresses and the additional stresses caused by the relatively large deforma
tion in the material as a result of the volume increase. In figure 50 a and b

l i t t

Zic

1 1 1 1 1

+ + 4 + - > + + + + -t

+++>:+v<+ + +
Zit.t

+ + + *|0^s'V+ '+ + +

+++++V

: horizontal
tensile stress

V-V+
3i

Zep
FIGURE 50

horizontal
pressure
component

Stress patterns around the fracture edge

a: calculated stresses; Zit or zone of induced tension; Zic being the

zone of induced compression
b: an impression of the stress distribution, two dimensionally

Zit

forms a quasicircular zone of induced tension between the zero points

Z; on top of the Zit zone forms an intensive Zie zone
c: the horizontal components of the stresses; the fracture edge pushes
the material aside by opening up; this produces an amount of extra
horizontal pressure Zep; the result is volume increase as well as the
generation of internal transverse pressure Q, or a -,j

through "self

confinement", as long as the crack length is limited with respect to

the material size.

108

fracture distance
Qj or Oy, - 100 kg/cm2
E (massive) = 0.8106 kg/cm 2 (80 6)
crack width (near edge) 500 g
a = 3 x 1 0 " 7 'mm

100
0.8 106

125 .10 6

yv

1.2 min

^"v
1.2mm

750 107 = 0.6 mm

12 5 106

i L . 250fl 750 10" 7 mm > 0.075 AI

1(2) 500fl = 1 5 0 0 1 0 7 mm = 0.15/J

a
FIGURE 51

The fracture distance; this calculation is no more than

a rough estimation based on the assumption that the compressive stress

across the distance 1 remains constant; this is actually not the case;
the distance between the crack and a free wall could be 0,6mm, and
between two cracks about 1,2mm
Note:
Such calculations will cover no more then the order of magnitude

an impression of the calculated stresses is given again: the induced tensile

stress zone Zit, surrounded by the induced compressive stress zone Zic.
Figure 50~c shows the horizontal components only. These stresses bear upon
the situation being that there was a preexisting elliptical cavity.
This is not true however, for the opening has to be forced open first. By
that action the material is pushed aside, causing volume increase by lateral
expansion. This results into two different effects. The first one is the ge
neration of a very local zone of high "extra pressure" Zep aside of the frac
ture edge. The second effect is the generation of an average lateral pres
sure Q. or

throughout the material in the case that the crack length

Is limited with respect to the size of the material. This effect is the re
sult of "selfconfinement". See figure 52 and 57e.
A basic problem
Now the problem shows up as to what the mechanism could be, which could for
ce the material to open the crack edge, in a transverse neutral, or weak

109

or even strongercompressively stressed environment.

We cannot produce a definite answer to this question. We might suggest that
it could be the result of a kind of buckling on an atomic scale.
Another suggestion is, that the equilibrium between energies is surpassed
in the case of fracture propagation. An amount of potential energy is stor
ed in the induced tensilestress zone Zit in front of the "borderellipse"
as a result of the locally elevated tension (and pressure) according to the
equation: t i = + ^

+ 2 O^V

(c).

This energy is released partly as a result of the increase of the major axis
of the border ellipse by an increment u, being the fracture propagation.
Recession of the zones Zit and Zic may supply the energy, covering the re
quirement of surface energy for the generation of the new surface of the
crack walls; compare figure 55 "The propagation cycle" and figure 67

in the

appendix to chapter VII "The balance of energies at the fracture edge".

Both suggestions refer to a state of instability, which is doubtlessly cor
rect. This is in principle not different from the idea of buckling.
According to BaSant 37 however, buckling should be theoretically impossible
in the case of a vertical Griffith's ellipse.
Anyhow, the reader should remember, that the separation of the material at
the fracture edge is an indisputable fact. On the other hand, the idea of
buckling is prompted by the supposed relatively fastwidening of the edge
opening. It forms the adopted basis for the Griffithellipse theory, which
remains a manmade decree. We would like to state here, that as long as the
theory will allow us to follow and to interpret the observed facts as well
as the experimental results, it has to be recognized as an acceptable theo
ry
This is an example of the heuristic element: the observed facts predominate
over theoretical, mathematical arguments.
The influence of Q. or
;*i
3i
The generation of Q. as the result of "selfconfinement" will affect the
macro and microstress distribution significantly.
The stress Q. or
has been measured by means of acoustic methods. In
2
two different granites values of 65 to 108 kgf/cm , or 6.5 to 10.8 MPa were
registered.
fi
2
We assume a value of E = 0.8 10 kgf/cm , or 80 GPa, as the Young's modu
lus for the intact mineral grain, and a crack width of 500 a, or 0.15ym,
at the fracture edge. Based on these assumptions we find that the distance
between two cracks could be about 1 to 2 mm. See figure 51.

110

^LL

ll_LJ

IJ

CAI
_il5_x OM

C"

S
M

IIS

Qi

3,

i ellipse \ * J2 '

FIGURE 52

'

The imagined stress pattern around a crack and within

the material
a: the induced stresses at the apex and the imagined stress 0-,< beside
the crack (section 11) as a result of "selfconfinement", just after
the fracture has stopped
b: the imagined deformation and stress distribution after relaxation;
note the border ellipses and the zone Zep (zone of extra pressure,
transverse)
c: axial cataclasis in rock; causes lateral expansion and stable
C.P.E. equilibrium between P, O t i and Q or 0 3 i (C.P.E. stands for:
CataclasticPlastoElastic)
A d lateral expansion, standing for the lengthening as a result of
the parallel cataclasis

This picture seems to agree with the observations.

Conclusion: every crack generates an additional lateral pressure component
Q or

31.

The shape of the cross section of the crack; lateral expansion by cataclasis
The way we have to imagine the shape of the cross section of the crack with
a limited size is developed in figure 52. First, the crack will open up.
Aa a result, Q. or

is generated. Then the central part of the crack

will close because of Q.; this will take some relaxation time.
The imagined stress pattern in the material is shown in figure 52b.
Otta crack of limited length would influence the macrostress system only in
a negligible way. A multitude of parallel cracks, however, form a parallel
cataclasis. This will bring about a considerable transverse internal pres
sure Q.. See figure 52 c.

111

This phenomenon has been observed in the hanging walls of many longwall
coal faces in the underground coal mines.
An estimated average lengthening in a specific part of the hanging wall in
the order of 1mm to lm means = 0.001. In another part of the hanging wall
this cataclasis is forced to close partly or completely.
If E = 0.4 IO 6 , then Q. will stabilize at a value of 200400 kgf/cm 2 , or
2040 MPa in the horizontal direction. Compare figure 80 and 82e.
Another observation is the generation of axial cleavage cataclasis in the
inside of uniaxially loaded granite specimens in the laboratory. During the
se experiments values for Q. up to 100108 kgf/cm , or 1010.8 MPa, have
been registered.
Increase of QJ or jj causes

o t i to decrease, tfhen is constant, crack

propagation will come to a stop. This means that a cataclasticplastoelas

tic (C.P.E .) equilibrium has been established.
7. THE AXIAL CRACK WITHIN ITS ENVIRONMENT
The fracture front
The axial crack starts at one point, and from there it develops a fracture
front. The crack or fracture develops parallel to the direction of the lar
gest compression. The conditions for fracture propagation are described by
the induction equation:

o t i = , + a 3 i + 2 o a i v

(c)

This equation applies to the cross section of the border of the crack. All
sections put together form the lineshaped fracture front. In the case of
propagation this line travels through the material, leaving the severed ma
terial behind.
The length of the front line can vary between a distance of less than 1mm
to many meters. It is now clear that in the case of crack propagation the
induction equation will apply to the average of all sections through the
fracture front.
The shape of the opening of the fracture plane
Behind the front line extends the fracture plane, separating the material
into two distinct parts. The fracture is called small, if the fracture plane
is small, and large if the plane is large.
However, the cross sections show always the same process of brittle fractur
ing. Yet, the shape of the opening of the fracture plane can vary under the
influence of the parameter, k = Q/P or / . This is shown in figure 53
3

a and c.

112

w2> <<w,
iooa 0.03

FIGURE 53

The shape of the opening of the fracture plane

a: the case of biaxial loading ?; o, 0; k 0; the fracture

is propagating; the fracture remains open: W,
b: cross section of the fracture edge, showing the notch and the
"Scouting Lane" SL
c: the case of triaxial loading: C^>Oj

y>

oy,

a C.P.E. equilibrium

is reached; propagation stops; the central part of the crack is closed

(width W2); borderellipses have developed in the sector CD, the
future fracture propagation will occur in that direction; 2 is
too small to open borderellipses; the crack will not propagate in
that direction; a2 plays no role in the process of fracturing

The open fracture

First, we will consider the case of biaxial loading. Both compressive
1
2
Therefore k 0. Through 0

the fracture front AB will propagate accord

ing to a semicircle. See figure 53 a. According to our model the fracture

edge will consist of the ellipsewithnotch, preceded by the "scouting la
ne". See figure 53 a and b.
The fracture propagates freely, because

113

0 and k ~ 0.

str
3

s a consequence the fracture plane remains open. In the beginning the width
Wi of the opening will be almost constant, W^

* 1.52

(estimation).

Afterwards the fracture plane may open further. In the case where the frac
ture has developed along a free wall, a rock slab may be separated. This oc
curs frequently in the walls of underground cavities.
The partly closed crack in axial cataclasis
Parallel axial cataclasis consists of a multitude of relatively small cracks
generated from as many nuclei. Through the increased volume which re
sults from the opening of the crack, the additional transverse pressure Q i
or a

is generated. s a result, the cataclastic crack in figure 53 c is

subjected to triaxial loading.

The major pressure is , the intermediate pressure is
lest one is

, and the smal

ai
An increase in the intensity of the cataclasis brings about an increase of

. This results in a C.P.E. equilibrium; i.e. the crack propagation stops.

Figure 53 c shows the results: the fracture has closed for the most part.
Only a small fracture opening W. has been left, which is much smaller than
the original opening W..
Along section CD of the fracture front an annular space has remained open.
As already has been mentioned, the cross section of this space is approach
ed by an ellipse, the borderellipse, with an axial ratio V a/b.
The axial ratio is variable.
This is a consequence of the induction equation for the Griffithellipse
model. Therefore the model is called now: the ellipsewithnotchandvaria
bleaxisratiomodel. V can be resolved from the induction equation if .
is known.

V ( ^ / ^ / 3 ) : 2 0 j l
O

(d)

, however, is generally not known, except in one case.

The influence of

on fracturing

An interesting point that figure 53 reveals is that the intermediate stress,

that

, has no influence on the fracture propagation. This is due to the fact

is not able to open the required borderellipses in the sections

2

C and BD of the front line. This forms an illustration of a well known,

but still more or less enigmatic fact. It was derived by Mohr from his IV
fracture hypothesis. According to this hypothesis the intermediate stress
has no influence on the process of failure.

114

, 2k' I.O.SJI

grain as
micro strtss
Icmcnt
2b JOOg SOOa or OluOIJ
2e XlOllOOOa or 0.1 Ui

f^4
100 a
OOlu

FIGURE 54

The fracture front cuts through many mineral grains

simultaneously
a: situation in triaxial loading (CL is not drawn); the sector AB
contains 22 grains
b: the transverse section of the marked grain with closed fracture and
open borderellipse, propagating; the grain considered as a microstress
element of 2mm size
c: imagined shape and dimensions of the fracture edge with variable
axis ratio
Note: the size of the borderellipse being the active part of the
cross section of the crack; it is as small, even smaller than a virus;
the estimated width is no more than about 1,5 10

times the grain

diameter

The severing of the atom bonds in the fracture front; , and the stress
concentration

again

The fracture front has to travel at the same time through a great number of
mineral grains. Figure 54a represents the front line AB, cutting through
22 grains of several kinds of minerals in various orientations. 0... is indu
ced in each of these grains in its own way. In the case of fracture propaga
tion, these induced different tensile stresses are enlarged by stress con
centration to the various values of . in the individual grains. Every mi

115

neral grain will have its own characteristic for induction, stress concen
tration and

. in the specific direction of the fracture propagation. In

this situation the factors are too complicated to be calculated. Therefore,

we must manage with an experimental average. A few lines above it was men
tioned that

O , will never be known, except in one case. That is in the case

of fracture propagation. Then a combination of the average of all the indu

ced

's, with their stress concentrations and the various values of

tl
_
stands for the induced or indirect tensile strength,
_
ti
The value of a

th

. is determined by means of the Brazilian indirect tensile

test or "disktest". See figure 12.

In this way, both the induced stress . and the effect of stress concentra
tion which in fact is based upon stresses in the minute microsphere
have been covered by one figure from the macrostress sphere. The experimen
tally determined value of

. can be inserted into the equation (d), and

V = a/b can be solved.

8. THE INTERGRANULAR STRE SS, OR MICROSTRESS
The microstress under axial cleavage conditions
Crack propagation takes place within each grain. Therefore, the propagation
must be controlled by the granular stress or microstress.
As a rule our picture of the intergranular stresses is that of the vagabond
stresses, i.e. that of a rather unsystematic pattern of forces through the
contact points between the grains.
However, for material with granitic or hypidiomorphic structure we have
evidence that, under conditions of axial fracturing, these microstresses
are very systematic. These conditions are: that the major pressure be high
enough, i.e. more than half of the compressive strength, whereas the minor
compressive pressure might be 0 to 1015 % of the major one.
9. THE TERMS OF THE INDUCTION E QUATION IN MACROSTRESS
From the deductions based upon the above mentioned concepts picturing the
fracture mechanism, the meaning of the induction equation can possibly be
understood as:
t i = + Q + 2QV
or

(a)

; Q or

. denotes originally the induced tensile stress within the minute micros
phere. However, when used with respect to the fracture front, it will be ba

116

sed upon an average value of the

indirect tensile strength, 0

. of many grains. Then the value of the

. by means of the disktest, can be inserted

into the equation, . belongs to the sphere of the macrostresses.

or

is the major principal stress, expressed in terms of the conventio

nal macrostress system. Q, 0., or

is the minor principal stress which

originates as a microstress, i.e., a less systematically regarded intergra

nular stress. The smoothness of the axial fracture plane forms the evidence
that the average of Q can be expressed however, in the terms of macrostress.
Example:

given: or

a 1375 kgf/cm2 or 137.5 MPa

.2
104 kgf/cnr

or

. (disktest) 160 kgf/cm2, or 16 MPa

then : V ( lo _./

ti

) : 2
3i

5.14
3i

As observed before, according to this ellipsewithnotchandvariableaxis

ratiomodel, every combination of _ ,
ti

and

, is characterized by a
3

specific value of V, i.e. by a specific borderellipse. This is demonstrated

in figure 62 in one of the following paragraphs.
The author's reasoning, or "thinking steps"
The following list will enable the reader to evaluate, and if

necessary,

to criticize the separate items. It is the author's wish that everything

should be as clear as possible with respect to his ellipsewithnotchand
variableaxisratiotheory on axial cleavage fracturing.
Thinking steps
1.

The composite shape of the crack edge and tip,

actuated by Griffith's reasoning.

2.

The construction of the fracture edge and tip

as an array of separate material points.

3.

The definition of the unstable zone, forming

the tip of the fracture edge; the 2 a, 3 a zone.

4.

The concept of the "scouting lane".

5.

The largeellipse model for the fracture edge in

tension, surmounted by an atomsized notch (3 a,
2 a ) ; together a composite structure.

6.

The model for the axial fracture in compression;

this is the same composite structure, now rota
ted 90 e .

117

7.

The annular open space along the fracture front,

the borderellipse with variable axis ratio.

8.

The elimination of the order differences of the

9.

The transverse internal compressive stress QJ

terms of the induction equation.

or

, generated by volume increase, brought

about by cataclasis.
10.

A basic problem: the opening of the fracture

front by axial pressure might be the result
of a kind of buckling on an atomic scale, i.e.
of the disturbance of the balance of energies.

11.

When remains constant, Q A will establish the

C.P.E. equilibrium.

12.

A consequence of the ellipsewithnotchand

variableaxisratiomodel is that

has no in
2

fluence on the fracture propagation.

13.

In the case of fracture propagation, the indu

ced stress

in combination with the effect

of stress concentration (both belong to the mi

nute microsphere) can be represented in the in
duction equation by the macrostress

., being

the indirect tensile strength, determined by the

Brazilian indirect tensile test or "disktest".
14.

The direction of the principal microstresses

(granular stresses) are individually almost pa
rallel to the principal macrostresses in the ca
se of axial fracturing; the averages of the prin
cipal microstresses are equal to the principal
macrostresses (De Saint Venant).

15.

Under the conditions for axial fracturing the

separate mineral grains could be regarded sepa
rately as individual stress elements with dif
ferent E and m values.

118

CHAPTER

Acoustic methods and cataclastic models

1. THE PRECEDING CHAPTERS

In Che preceding chapters we referred several times to data derived from
acoustic methods, such as QJ or O,, and to the cracks generated as a result
of relaxation. There has been an interaction between the acoustic data, the
development of realistic "pictures" of the nature of the crack, and the de
sign of the ellipsewithnotch theory. The generation of the internal trans
verse pressure QJ or O** forms a main point in our reasoning. This pressure
is a result of volume increase and lateral expansion. See figures 10 and 28.
It also plays a role in the explanation of acoustic phenomena. In order to
arrive at this point we want to first develop relevant lines of thinking
about crack propagation and acoustics. New terms and models have to be intro
duced.
2. THE INTERMITTENT CATACLASTIC CRACK PROPAGATION
A consequence of cataclastic processes is the generation of the internal
lateral pressure QJ or

3< Every developing crack pushes the material

aside. In generating the transverse pressure Q, the shape of the crack must
be influenced by that pressure.
When a crack for instance, has a length of 1mm and a width of 1 ym, then V
a/b 10 . The term 2Q.V from the induction equation (a), (b), (c) would
reach a very high value. As a consequence the value of the induced tensile
stress

M > becomes very small or it could even change into compression.

Fracture propagation stops. Yet we find fractures which are centimeters in

length in the specimens. Such a length cannot be the result of only one
propagation cycle.
The propagation cycle
As a consequence of our ellipsewithnotch model it should be presumed that
the value V a/b must be small at the moment of propagation and, as a re
sult, that a borderellipse with a more or less bulblike shape has formed.

119

Crack propag ation bears

an intermittent character
The Propag ation Cycle
Original Griffith's crack
High induced tension
Propagating crack opens up
Horizontal pressure increases
locally forming zone Zep
As a result horizontal
tension decreases
"Minute-micro" tensile stress field Zit
Zone of induced compr. stress Zic

31
crack closes

Internal transverse pressures 0*3i

Figure 55

Intermittent crack propagation

a: An axial cleavage crack is initiated by the induced stress 0f c at

the edge of a flaw or Griffith's crack; the new crack has opened up
and the material is pushed aside; this brings about a zone of extra
lateral counter-pressure Zep; as a result the induced tension Of c and
zone Zit recede and so does the zone of induced compression Zic;
propagation stops; b: After a while the central part of the crack has
closed, leaving two bulb-like border-ellipses; the induced tensile
stress as well as the zone Zit increase as a result of the smaller
axis ratio V in combination with the increased pressure P2; when

Ot

is reached, crack propagation starts again; c : After an increment 6u

the propagation stops once more because of the axis ratio V and the
local counter-pressure zone Zep, through which the zone Zit has receded;
d: After a while (relaxation time) the central part of the crack is
closed, the borderellipses are bulblike again and the internal pressure
has been levelled to the value

; as a result of an increased

pressure P3 the propagation can start once again

The result bears an intermittent character: start-stop-pause-start-stoppause, etc.
Note: The changing value of the stored energy in the zones Zit and Zic
may be regarded as a term in the energy balance, forming the essence
of a physical approach of the problem of the propagation of the axial
cleavage fracture, in the way Griffith did; see chapter VI, thinking
step 10: "A basic problem" and the appendix: "The balance of energies
etc." at the end of this chapter

120

This implies that the central part of the fracture has been closed due to
the generated Q>.
Only now will the fracture front be able to propagate further, and the bulblike border-ellipse will lenghten again, till the propagation again stops.
Because of the hysteresis, or time-effect, in the rock material, it will
take time to close the walls of the crack after a period of propagation.
Then, after a while the border-ellipse regains its bulb-like shape and the
crack will be able to propagate again. This is the end of one cycle.
Crack propagation in cataclasis must be subject to a great number of these
cycles, i.e., crack propagation bears an intermittent character.
Evidence for this type of propagation is formed by the very great number of
crack pulses emitted during the compressive test. See figure 58 and 59. The
principle of the intermittent crack propagation is represented by figure 55.
3. THE APPLIED ACOUSTIC, ULTRASONIC METHODS
Ultrasonic wave velocities and velocity differences at variable pressures
may serve to indicate the existence of inhomogeneities such as granular interfaces , bedding planes, crack systems and structural changes during a compressive test. The measurement of wave velocities is carried out by determining the travel time, in which ultrasonic P-waves, i.e., longitudinal elastic waves, are emitted and received by piezoelectric-barium-titanate transmitters and receivers. The absolute value of the travel time is read from
an oscilloscope, in microseconds and estimated in tenths of microseconds.
Travel time differences, on the other hand, are determined with much more
accuracy through the application of a constant time delay. The remaining signal can be enlarged or "blown up" so much that the readings taken of the differences may reach a very high level of accuracy. Depending on the circumstances the accuracy varied from about 10 to 25 nanoseconds (1 ns - 10
s e c ) , whereas the measurable sensitivity was some 2 ns.

Within limited

time intervals this accuracy could be achieved as well.

4. THE SPECIMENS
For this research the conventional cylindrical rock specimens were used.
The diameter was 40mm with a length of about 80mm. The acoustic measurements
concerned the recording of the travel time differences in the axial direction
as well as in the transverse direction, and also of the acoustic noise: the
crack pulses were counted; see figure 58 and 59.
The transverse travel time differences were measured in three directions,

121

120 apart, in order to detect possible asymmetric zones of destruction.

The uniaxial loading was carried out between planarparallel platens.
In this way the best approach was achieved in regard to the natural loa
ding of a piece of rock among its own surrounding rock material.
Besides the travel time differences, the emissions of crack pulses were
detected at the same time through one of the transducers. Every time a crack
starts or begins to propagate again after it has stopped, a mechanical pulse
is produced. These pulses reach the piezoelectric element by which it is con
verted into an electric pulse. These pulses were counted.
5. THE MEANING OF THE ACOUSTIC TRAVEL TIME IN THE COMPRESSIVE TEST
The Fwave velocity in homogeneous and continuous material can be calculated:
V,n
... ,. ,. V (E
" : ) c
(longitudinal)
dynamic
c is a constant, depending on the shape of the medium: a cube, a plate, or
a bar.
The course of the Fwave during a compressive test, however, shows its own
characteristics.
Volarovich

reports about tests on uniaxially loaded granite, that: "The

increase in velocity is connected with the increase in number and area of

contacts between the grains of minerals. This is due to the closing of micro
fractures under pressure and the partial closing of volume pores".
This is completely in accordance with our own experience. Velocity increase
means improved contacts, the closure of fissures and cracks. This causes a
more tight structure in the wave direction. The travel time reaches its ma
ximum when the contacts between the mineral grain interfaces and the walls
of the flat pores and cracks have become perfect. According to Volarovich,
this would be the case for granite at pressures between 1.500 and 2.000 kgf/
cm 2 (150 and 200 MPa).
Acoustic compaction and decompaction
The above mentioned acoustic phenomena are completely in accordance with our
own laboratory experience. As a working basis we will assume that velocity
increase means improved contacts, the closure of cracks and fissures, i.e.,
improved acoustic conductivity in the measuring direction. We will call this
phenomenon "acoustic compaction".
Velocity decrease, on the contrary, means poorer contacts, the opening of
existing planar pores and mineral grain interfaces, the propagation of ex
isting cracks and the generation of new ones.
All this results in poorer acoustic conductivity in the measuring direction.

122

We called this phenomenon "acoustic decompaction".

Acoustic compaction and decompaction must not be confused with "density",
for the term density bears no connection with direction. Acoustic compaction
and decompaction are on the other hand, principally bound to direction. Yet
there exists a certain relationship between density and acoustic compaction
and decompaction. Density increase by pressure, which improves the internal
contacts, means the increase of acoustic velocity, i.e. increase in acous
tic compaction: and the reverse. The ideas of density, acoustic compaction,
and decompaction, are in a way supplementary, but there are also cases where
they seem to be contradictory .
In the fundamental science of material behavior and structure, these ideas
could bring about more insight.
In our "Jargon" we will use the terms (acoustic) compaction, decompaction,
and recompaction. Acoustic compaction is associated with pressure increase,
especially the increase of the intergranular microstresses in the measuring
direction. The reverse is true for decompaction.
In chapter VI it was discussed that microstresses under circumstances of
axial cleavage fracturing in rock with granitic structure do not differ very
much from the conventional macrostresses. Therefore, the measured axial com
paction and decompaction are directly related to F or

. For practical

reasons we propose that the same relationship will exist between the trans
verse compaction and decompaction and Q, or o
These relationships will be treated later on in this chapter.
6. SOME DATA ON ACOUSTIC COMPACTION AND DECOMPACTION IN UNIAXIAL COMPRESSION
Compaction and decompaction have been measured in diverse materials, in the
axial as well as in the transverse direction. See figure 56.
We always found acoustic compaction when measuring in the axial direction.
In the transverse direction, however, the results were quite different.
The theoretical stress distribution shows tensile stresses in the center
parts of the uniaxlally loaded specimens. See figure 32, 33 and 34. There
for, it might be expected to find transverse acoustic decompaction. The
facts turned

out to be quite different: rock and glass showed transverse

compaction instead of decompaction.

According to our working basis this transverse compaction should be associa
ted with the internal transverse pressure. See figure 56, table and graph.
Steel
Out of all the tested materials only steel showed a clear sign of transverse

123

% ac. comp. ()

% ac. decomp. ( )

transverse

transverse
1 0 0 k g f / c m 2 (10 MPa)

graph.

table
Acoustic compaction and decompaction ( )

in % of the P w a v e velocity

at z e r o load, per 100 k g f / c m 2 (10 MPa) load increase within t h e elastic

range.

Axial

Direction
Material:
Steel 37

comp.

S t e e l 64
Cast iron (no dular)
Optical glass (BK7)
Lithogr. lime s t o n e
Pyroxenite

..

Transverse
decomp. 0 . 0 0 3 %

0.00%

comp.

,,
,,

0.052%
0.0060.009%
0.009%
0.05% (cycle I |

0.136% ( c y c l e O )

Calculation for steel:

d (transverse) = . % or -^ > 100
,_ , n
m E
3.5
2.15x10
= 0.133 IO4 or 0.0013%
The measured acoustic decompaction is 23 times larger.

FIGURE 56

Some data on acoustic compaction and decompaction in

uniaxial compression, within the elastic range

"Acoustic Compaction"(+), being the increase of acoustic velocity,
points out an improved acoustic conductivity; it is the result of the
tightening of the structure of the material in that direction; the
travel time decreases
"Acoustic decompaction"(), stands for the loosening of the structure
of the material in that direction; the travel time increases

124

decompaction, as prescribed by the stress theory.

Although the obtained data on steel was very near the limit of error, it
was undeniably significant in the qualitative sense.
This means that the structure of steel becomes less conductive to P-wave
propagation during the transverse elastic extension.
This seems truly in accordance with the calculated weak tensile stresses
and it may be regarded as a support to our working basis.
Besides, it was already clear that steel behaves differently from rock. Compare the diagrams in figure 26 (steel) and figure 28 (rock).
Cast iron, lithographic limestone, glass, granite
Another metal, nodular cast iron (perlindite), showed small transverse acoustic compaction, probably as a result of the graphite clusters in it. Acoustic compaction on the same order of magnitude were found in optical glass
and lithographic limestone. The latter materials belong to destruction
type I. See figure 17.
Hard granite, destruction type II, showed very considerable transverse compaction, a factor 10 times more than that of glass and lithographic limestone. Other granites showed the same phenomenon.
It is very obvious that the more pronounced the granular structure, the more
pronounced the lateral compaction in uniaxial loading is.
In summarizing, we must conclude that the theoretical stress distribution
does not completely fit with the observed phenomena in cast iron, glass,
and granite.

all investigated materials show ac.compaction(+) in the axial

direction (table)
materials with the characteristics of brittleness show ac.compaction
(+) in the transverse direction as well
steel, however, being a ductile material, shows transverse decompaction (-) i.e. an increase of the travel time
this could be the result of the Poisson transverse dilatation; however, this dilatation covers less than 1/2 to 1/3 of the time increase;
so the measured decompaction must be caused for more than 1/2 to 2/3
part by the loosening of the structure perpendicular to the loading;
the conclusion is that the mechanism of elastic deformation in
brittle material must be different from that in ductile material

125

I.XU.J

IM '

HTi '

FIGURE 57

Model for acoustic compaction

a: hypidiomorphlc or granitic granular structure

b: the planar discontinuities are grouped according to a horizontal
and subhorizontal system and a vertical and subvertical one
c: these systems are regarded as cracks in idealized horizontal and
vertical directions
d: the vertical "cracks" regarded as an axial cataclastic system;
compare figure 52c
e: detail of assumed local deformation by the opening up of the border
ellipse; the material has become a more or less laminar structure; the
cause of the pressure is located inside the material and not outside;
this phenomenon could be called "selfconfinement" (B .Cme)

7. CATACLASTIC MODELS FOR MATERIALS WITH HYPIDIOMORPHIC OR GRANITIC STRUCTURE

One of the topics in our study on the process of the destruction of rock
specimens was the construction of an almost complete graph on the destruc
tion process in hard, fine grained granite. See figure 58.
We think it simplest to combine the description of the test with our own ex

126

pienations. Therefore we will first treat our ideas concerning the probable
internal mechanisms which cause acoustic compaction, decompaction, and re
compaction.
A simple model for acoustic compaction in granitic material
The hypidiomorphic or granitic structure is characterized by the presence
of planar pores such as imperfectly closed interfaces between mineral grains
and granular cracks. They form planar discontinuities, extending in all dir
ections. According to their influence on the axial and lateral wave velocity
measurements, they can be divided into a horizontal and subhorizontal sys
tem, and a vertical and subvertical system. See figure 57a, b and c.
These discontinuities are regarded for the cataclastic model as horizontal
or transverse "cracks", and vertical or axial "cracks". See figure 57d.
In the case of a cataclastic structure the above mentioned "cracks" develop
into virtually much longer cracks. The material in between forms lamellae.
See figure 57e.
Causes and results
Compaction and decompaction in uniaxial compression can be associated
with causes and results in the following different ways:
(a)

The closure of cracks perpendicular to the largest compression, F,

brings about strong axial compaction.

(b)

The material between the cracks will extend laterally according to

the principle of Poisson. This causes partial closure of axial cracks.
It brings about lateral compaction as a result of internal compression
Q., or

(c)

3 i

. See figure 57d and e.

Increase of the loading leads to the opening of cracks, to crack

propagation, and to crack generation in the axial direction. This
causes lateral extension. As a result the internal pressure Q. increa
ses. Yet the effect on the acoustic velocity is decompaction because
the effect of the opening and generation of cracks on the acoustic
velocity is stronger than the countereffect of Q..

(d)

Crack generation and/or propagation is marked by the emission of

"crackpulses".

(e)

At more elevated axial pressures the lamellae will bend outward. The
cracks will tend to open more; this will lead to decompaction (c).

(f)

Elastic retraction of the outward bent lamellae in the case of unloa

ding leads to the closure of axial cracks and to lateral acoustic re
compaction.

127

m 2;97 m30 2,
\ m
:2

00

O23
a b t 17000 nano'sec abtaooorn100% r e l a x a t , TOO n.i35%
r e l a x a t i o n i4>u
original z e r o points otando?
new z e r o point
S a t 0 2 5 0 n i i o o /
scales:

^
-l

1/isec

.ATlat

.
Q5/U.3

Ad

l
10/1 20

dr^d/d
500

^Xjjiy

h
0

ft.A ty

H
50 100/1. 0

1000%

tens, strength abt wo ^ / c m *

comp, strength abt 23O0 k 8 % m *
laoding r a t e abt 275 "O'/cm/min.

(g)

We have the impression, that the walls of cracks, once formed, do not
fit exactly in the case of closure; some lateral volume increase seems
to remain,

(h)

Relatively fast axial unloading may cause loosening of the granular

structure in the axial direction. As a result of hysteresis the material

cannot follow the required axial extension immediately: this brings about
relaxationdecompaction. This leads to such high tensile stresses in the
direction of the unloading, that relaxation cracks are generated by direct
tension. See figure 38 B.
8. A COMPRESSIVE TEST WITH HARD GRANITE
Figure 58 shows the course of various phenomena during a uniaxial compres
sive test with hard, fine grained granite.
The specimen (diameter 40mm, length 84mm) was loaded twice up to 29.2 tons
or 2,340 kgf/cm2 (234 MPa). In total a number of some 19,000 crack pulses
were registered (17,500 + 1,700). See figure 59. The specimen collapsed in
a third loading at 28 tons.

FIGURE 58

Uniaxial compressive test on hard fine grained granite;

the specimen has been loaded three times; 029,2 tons in Cycle I and
II; the third time it failed at 28 tons
A.B.C and D stand for the structural phases, see figure 13 lines 12:
crackpulse counting, Cycle I and II; for details see figure 59;
Lines 35: stressstrain curves for the axial direction
Lines 67: stressstrain curves for the lateral direction
Lines 89: travel time differences, showing transverse acoustic
compaction and subsequent decompaction as a result of generated
cataclasis
The data are expressed in of the original travel time at zeroload,
resp. 8,000 ns for intact (Cycle I) and 9,250 ns for cataclastic
structure (Cycle II)
Line 10c: travel time difference in the axial direction for the same
specimen (Cycle I)
Line lOab; travel time differences of a different specimen of the
same granite; these lines show an indication on axial relaxation
(circle); see figure 61
129

17500

29t.- -29,2

1620
(+C-1700)

2827-

phase C 2 6 -

26

2524,5

2423-

23

2221 20-

phase

19

1817 -

177172
C2

1615 14 -

phase A
12 - i
*

-Ci

o4 u
-c 0
FIGURE 59

= C2 = 8 0

' c r a c k ' - puises

-L
1000

500

pulses

-I-

15O0

c
Cra k development during Cyc le I and II in more detail

Line 1, Cyc le 1: the crack-pulses begin between 14 and 15 tons, i.e.

at about 50% of the "compressive strength"; this is the.transition
point from phase A (the intact phase) into the phase (the cataclastic-stable phase) ; hereafter the number of crack pulses inc reases
regularly; after about 23 tons this increase grows faster, marking
the transition from phase into phase C (the cataclastic unstable
phase), at about 75% of the compressive strength
Line 2, Cycle II: between .zero-load and about 23 tons the material is
almost "dead", i.e. it finds itself within a state of Catac lastic Plasto-Elastic equilibrium (the C.P.E. equilibrium) only past 23 tons
the cataclasis (c rac ks) develop in a very fast inc reasing way, marking
the cataclastic unstable phase C

130

Note that the stressstrain curves 3, 4, 5 for the axial direction do not
reveal anything about the internal processes. The same Is true for the tra
vel time (wave velocity) curve for the axial direction the lines 10 a, b
and c except the indication on axial relaxation, see figure 61.
Important information, however, may be deduced from the travel time (wave
velocity) measurements in the transverse direction, the lines 8 a and 9 a,
especially if they are considered in combination with the lines 1 and 2 of
the crackpulse reception and the lines 6 a and 7 a of the transverse stress
strain measurements.
In the first loading cycle (Cycle I) the crack pulses started at 15.6 tons,
1,250 kgf/cm2 (125 MPa), point on line 1.
Up to that load the line 8 a shows that a lateral compaction has developed
and increased gradually according to cause (b). The lateral compaction will
reach a maximum of 9.4 of the basic travel time at zero load. (0".
8,000 n.s.)
Over 15 tons the generation of axial cataclasis lowers the lateral velocity
cause (c), and at 29.2 tons, 1,700 crack pulses were registered. Then the
specimen was unloaded.
The structure was principally altered, and the transverse travel time at
zero load was increased to 9,250 n.s. (9.25 s e c ) , the new zero point 0".
for the second cycle. During the second load (Cycle II) the influence of the
axial cataclasis becomes clear line 9 a and 2.
The first cracks did not start before 17.2 tons or 1,375 kgf/cm2 (137.5 MPa)
C_ on line 2 when the compaction was 9.2 cause (e). At 15 tons the
compaction is about the same as in Cycle I: 9.4 Z. At 19.5 tons or 1,560
kgf/cm

(156 MPa), 4 single crack pulses were received and the compaction

had increased to 9.3 Z, nearly its maximum which was reached at 20.5 tons.
After 20.5 tons the compaction decreased very slowly, i.e. the lamellae
could not tand the increasing load and they were bending outward cause
(e). At this load their elastic resistance began to give in slowly and more
rapidly at 23 tons or 1,840 kgf/cm . Now the signals of the crack pulses
formed a continuous stream.
After the load had reached 29.2 tons for the second time a total of 17,500
crack pulses were registered.
The unloading was carried out stepwise see line 9b. Every step is marked
by a small horizontal part: lateral recompaction by relaxation, according
to cause (f).

131

Load Q.OT,, *ycm2

Anrm 1 9 0
or
Cycle I cycle cycle I

The internei pressure Q or

0 3 L deduced from the percentile
travel time decrease

23

22

ton

100%

21

20

10

,72t

I ;

le

QL '.orCii =104

ir

is

!
'

15,6

15

14

.13

/i

/ I

5/ /

16

36

(3)
.129

.100

.229

240

37

26

46

.194

.117

.200

320

49

40

96

.193

.129

.179

400

60

90

64

.190

.129

.160

400

66

99

72

.142

.123

.190

960

79

66

76

.141

.116

.139

640

66

72

64

.134

.113

.131

720

90

77

66

.129

.107

.122

10

eoo

96

62

3Q

.120

.103

.113

11

MO

102

66

94

.116

.096

.107

960

104

90

.106

.094

.101

13 1040

104

93

99

.WO

.090

.099

14

1120

109

96

100

94

.066

.0

19 1200

106

6 1260

106

12

97

.066

.063

.069

.063

.060

.060

I?
1 li
li

102

.077

.079

18 1440

106

19 1920

107

2 0 WOO

107

21

I:

* I

! :l

;
:

' / / /

20

102

in the transverse direction

0,(1}

line
94

104

60

106

22 1760

106

23 1640

108 f

\\\

.074

/
/

.071
.067
.064
.062

/ 5 9

A .'

*/
/

ii

3/\

'

160

line
31

102

"

1
2

line
21

7 1360

t
I

/'

, (2) O,

line
94

190

3i

line
31

*k.

fi

il
k QOesj,
" .ioe J
4,7 ; _

'

1;

Si*

12

line
21

* dat/tf,
273

/\

E
500
"s.

i / * s400'

in the axel direction

\5

t~

S Si

*3i90^t"'

i!

^ ^ 0 , 1 8 2 , ; 106, 108 *0%'

r/...^M^^^B^^^^,...^

'JU
"
,^

2 3 4 5
7 il 3 M 15 1 17 1
<) percentile
100%
travel ime d e c r e a s e

FIGURE 60

E stimation of the internal pressure Oqj or Qj

a: lines 1 and 4: the percentile traveltimedecrease in the axial

direction versus the axial load for two different specimens of the
same granite;
lines 2 and 3: the percentile traveltimedecrease in the transverse
direction,for Cycle I and II of the same specimen (from figure 58);
line 5: the same for the other specimen (only one cycle); the figures
for

Oo or QJ are produced according to the arrows in the dash lines;

this procedure is based on the idealised and schematized picture of

the planar discontinuities in figure 57e
bi, bo bo. the courses of the development of (L during the loading;
in phase C, i.e. past 23 tons, the acoustic noise prevented reading;
the extrapolation was prompted by the construction of the cohesion
diagram, figure 66c

132

Qt tands to a constant valu

b]
FIGURE 60

b2

b3

continued

9. ESTIMATION OF THE VALUES OF Q

The values of the internal pressure, Q., can be estimated from this data.
According to the cataclastic model the hypothesis is assumed that the axial
and lateral compaction will be generated in the same way. See figure 57-c.
This hypothesis will only hold true if there is no principal difference between the lateral and axial structural systems. This condition seems sufficiently fulfilled for granite - destruction type II - also after axial cataclasisi Cycle II.

133

So we can use the relationship between the percentile axial compaction and
the axial compressive load for calibration line 1 in figure 60a. The
lines 2 and 3 bear on the percentile transverse compactions before and after
cataclasis.
Since similar percentile compactions mean similar compression, the values
of

Q. can be read from the graph see table in figure 60a.

The table shows the data for Q (1) and Q. (2) of Cycle I and II, varying
from 7 to 16 % of P. The lines 4 and 5 and Q. (3) bear on different speci
mens of the same granite.
In all cases the internal stress Q, does not exceed a value of about 108
kgf/cm2 or 10.8 MPa.
Although the valuation of Q. bears an indirect character, the value of a
bout 100 kgf/cm

seems to be the limiting constant value of Q. during the

destruction.loading stretch of this granite. For a more weathered type of

granite with many dark minerals (biotite and hornblende) a limiting value of
o

about 65 kgf/cm , or 6,5 MPa, was consistent.

10. EFFECTS OF RELAXATION
Relaxation in the transverse direction
The loading was carried out in two cycles: I and II without time lapse in
between. After a time interval of two days a third cycle was started. The re
gistration did not work for a full hundred percent. However, the combination
of the three loadings delivered some information about relaxation.
The pressure in Cycle II was stepwise lowered. The line for lateral strain
d II, line 7 b in figure 58, did not show any effect. The line 9 b, on the
other hand, registering the acoustic lateral effects, showed marks of relax
ation indeed. This may be a proof of the high grade of sensitivity of the
applied electronic device.
After the unloading of Cycle II the lines 7 b and 9 b arrived in the points
E '2 and E '2'. .
At the beginning of Cycle III, two days later, these points had shifted by
relaxation to the points 0' (14 m) and 0'' (790 ns).
Relaxation in the axial direction
Another example is the axial relaxation. This phenomenon is shown by the
combination of the lines 10 a and 10 b, displaying the travel time differen
ces in the axial direction. Time and again we have observed this phenomenon
in several kinds of rock. This phenomenon of axial relaxation is shown in
figure 61.

134

Travel time
FIGURE 61

Relaxation in the axial direction

lines 10a and 10b show the travel time differences in the axial
direction during loading and unloading; line 10b passes through
point DC, lying over the starting point 0 ' " ; the line ends in
point E' 1 ', showing an acoustic decompaction; at the moment that the
load had arrived at point DC, the acoustic velocities of 10a and 10b
were equal, i.e. the internal granular pressures were equal as well;
after load decrease to zero the difference must denote internal axial
tension, resulting in relaxation cracks;
the tension, as it was associated with decompaction (point DC),
amounted up to 30 and 60 kgf/cm* (3 and 6 MPa) in two different
granites; see figure 38-B

Lin 10 a represents the course of the time differences during the loading
path, while 10 b shows the course during unloading.
The latter passes through the point Dc, lying over the starting point O'J'.
Line 10 b ends in point E'j'. This means an acoustic axial decompaction, for
at the moment that the axial load had arrived at point Dc, the acoustic ve-

135

locities of 10 a and 10 b were equal. The internal axial granular pressures

(microsystem) were equal as well.
After lowering the load further to zero the line 10 b would show a lower
velocity, i.e. also a lower internal pressure. The difference must stand for

internal axial tension (microsystem). Values of 3060 kgf/cm

(36MPa) have

been registered.
These relaxation tensions brought about directtensile relaxation cracks,
such as depicted in figure 38B.
11. THE "BREATHING" CRACK
We now focus on Cycle II in order to study the behaviour of axial cleavage
cracks. Cycle I is finished.
A short time after the unloading a permanent transverse extension of 22 pm
was recorded. This must be associated with the width of a number of axial
cracks, say 44 cracks in the unloaded position. According to this the width
of an "unloaded" crack would be 0.5 \im, an easy figure.
At the subsequent reloading (Cycle II) the transverse dilatation must be due
to two different causes:
a) the Poisson extension (/mE ) of the solid minerals, and/or,
b) the transverse deformation of the crack openings.
The Poisson extension is calculated for E = 0.52 IO 6 kgf/cm2 or 52 GPa
and m = 4.13; line IV in figure 62.
During the reloading the first cracks generated at 17.2 tons. Then, the
transverse extension was 33 pm and the calculated Poisson extension was
25.5

ym. The crack extension amounted to 7.5 m or 34 % of the width of

the "unloaded cracks" (22 m = 100 % ) . See figure 62, line III.
The surface of the total width of the "unloaded cracks" (22 ) formed 0.11
% of the cross section of the specimen. Loading up to 17.2 tons means a 34 %
increase of crack surface times 0.11 %, which makes a 0.037 % volume increa
se per unit length. Alternating loading must produce a "breathing" effect
in rock with planar pores and cataclastic structure. Such structures are
found, e.g. in the wall rock of underground cavities. If pressure changes
would occur in a long lasting rhythmic way, we could expect a pumping effect
of the planar pores. This could be harmful for underground cavities designed
for special purposes.
Thinking about this, we tried to imagine how an axial cleavage crack would
deform along the way, starting at zero load, until nearfailure of the spe
cimen. Figure 62 displays the deformation of an "ideal" axial crack, based

136

on Che equation:

J-

( -to
i

) :2

3i

(d)
i

V a/b stands for the axis ratio of the fractureellipse,

is known:

or Q has been determined by acoustic methods; see figure 60.

In order to find

. we consider the onset of the crack at 17.2 tons. At

that load the induced

should have the value of the tensile strength as

determined by the disk test, in this case 160 kgf/cm

(16MPa). This figure

will be constant as long as cracking is reported: between 17.2 tons and

nearfailure at 29.2 tons.
The value of

. between zero load and 17.2 tons is supposed to develop

linearly. See figure 62 a, line II.

Under these assumptions it is possible to calculate the axial ratios, V of
the "ideal crack" at diverse loadings by means of equation (d).
Figure 62 a and b shows the results
The crack width at zero load was assumed to be 0.5 Urn, whereas the axial
ratio was considered to be infinite (1). Then the loading began. According
to the calculations the course of the development of the axial ratios follo
wed a curved line. At a load of 4 tons it showed a minimum: V 3.05 (3).
The width of the crack increased by 7 Z; see line III. This makes a width
of 107 0.5 m 0.535 m, indicating that the length of the fracture
ellipse must be 3.05 0.535 m 1.63 Mm.
The dimensions of the fractureellipses have been calculated in this way.
Ten of them, numbered 110, have been drawn to scale.
Every fractureellipse has a crack edge with a notch. The notch bears an
induced tensile stress
number 3 ellipse

.. . is determined by interpolation: for the

. is 37.6 kgf/cm

(line II).

The "body" of the crack is tightened a little bit by the internal pressure
Q. AO kgf/cm

(line I ) . The fractureellipse number 3 is preceded by

number 2, the latter being longer. The shortening of number 3 must occur
from the back.
Ellipse number 4, however, is longer than number 3 now that the back has ope
ned again. The same occurs with number 5, at 17.2 tons.
From here on the onset of the crack pulses indicates that crack development
has started, i.e. crack propagation takes place. The ellipses will extend
at the front as well as at the back.
In the meantime the fractureellipses have become wider. At 17.2 tons the
width is 134 0.5 um 0.67 m. This widening increases until it reaches

137

the breathing crack

development of the borderellipse

^Tf5*; > -

FIGURE 62

V^C3,|/O t i A03 i H.2t5 3 i

The breathing crack, Cycle II

The changes of the shape of the fracture ellipse of an ideal axial

crack, calculated according to equation d
a: Line I: The development of (L or O^j

the dash line corresponds

with figure 60b2;

Line II: The development of afcj at the fracture tip; linear
interpolation between zero and 160 kgf/cm

at 17,2 tons: then the

cracking begins, i.e. the induced tension at the fracture tip has
reached the value of the tensile strength determined by disk test:
uw

= 160 kgf/cm

or 16 MPa; this figure remains constant during the

crack development, i.e. between 17,2 tons and nearfailure (29,2 tons)
Line III: The development of the transverse dilatation
(line 7a, figure 58);
Line IV: The Calculated Poisson dilatation for E 0,52 IO6
kgf/cm

and m = 4.13 (intact, solid state)

138

FIGURE 62 continued
Line VI : parallel to line IV, showing the part of the dilatation
by crackwidening
b: Line V: The development of the calculated axial ratio V of the
fracture ellipse; the width of the ellipse (2b) is extracted from
line III; the length (2a) is calculated (2a V 2b)
The fracture ellipses continue to widen almost linearly according to
line III: however, from about 26 tons the widening increases more
rapidly; at 29.2 tons the percentile dilatation has reached a value
of 195Z of the initial dilatation at zero load (22y 100 ) ; then the
pressure is kept constant at 29.2 tons during 50 seconds; during that
time the number of cracks increased from 1500 to 17.500 (see figure 59),
whereas the total crack width increased from 195Z to 214Z
The fracture ellipses as well as the "body" of the crack are subjec
ted to Qj
Fracture ellipse I: V is infinite, the crack is open supposedly to
0,5 m wide (for easy calculation)
Ellipses 2 and 3: the ellipses shorten from the back, while widening
in the middle; the "body" of the crack begins to close; ellipse 4
and 5: the ellipses lengthen at the back; widening continues; ellipse
5 has reached a critical state: 160 kgf/cm

(the tensile

strength)
The material passes from phase A into phase B; ellipse 6 and 7: the
lengthening occurs as well at the front by propagation as at the back;
the width of the "body" of the crack has reached a minimum because Q.
is maximal; transition from phase into phase C; the number of cracks
increases
c: Ellipse 8, 9 and 10: crack propagation makes that the lengthening
occurs at the front; simultaneous decrease of 0. causes increasing
lengthening at the back; the "body" of the crack reopens, a charac
terestic of phase C; 29,2 tons: failure is very near then V 107,
growing rapidly to 224 (resp. 195Z and 2 H Z increase of crack width,
line III)
This representation does not pretend to cover reality exactly; it is
no more than a consequence of the ellipse theory; it makes us aware
of special effects; it could induce new experiments, this is a good
illustration of the heuristic approach

139

195 % and 214 %, at the point of nearfailure 29.2 tons.

The "body" of the crack shows remarkable changes. From zero load to 23 tons
the width diminishes. Over 23 tons it reopens because 0. is lowering. At the
point of failure, over 29.2 tons, when QJ = 0, the crack must have extended
over the full length of the specimen. The specimen ends up in a bunch of
needlelike fibers. Compare figure 66e on the cohesion diagram.
From this picture we can learn that the shape of the crack must be rather
susceptible to pressure changes. The crack will breathe. The earlier men
tioned pumping effect is illustrated once more by this diagram.
12.THE COHESION DIAGRAM
In the preceding, only the mechanism and the effect of fracturing have been
discussed. But, there still exists another, perhaps more important, view on
the problem of failure: the cohesion and the way it is consumed by the axial
cracking and fracturing. In fact, it is the cohesion which determines whe
ther the rock specimen will stand the load or not.
To form an idea regarding the course of the cohesion in the destruction pro
cess, we focus on the microsystem, the system of the granular stresses. But

Tensile
stress

FIGURE 63

Horizontal compon
ents of the micro
(vagabond) stress
es in the crystals
and grains.
Compressive
stress
+Q

The transverse cohesion; the intact phase A; the static

equilibrium at the load is regarded according to the microstress

system
a: the separate grains or particles are regarded as homogeneously
stressed separate stress elements
b: section XY cuts through 11 grains; six of them are stressed com
pressively (+) and five in the tensile way (); together they are in
static equilibrium; this corresponds with phase A, the intact phase

140

in order to serve our aim, we regard this system in a special way.

Figure 63 shows a section through the mineral grains of uniaxially loaded
rock material. Along the line XY should prevail static equilibrium. A num
ber of grains are subjected to transverse pressure + Q. Consequently other
grains have to bear tension Q Thus, the grains, which are loaded in ten
sion, supply the transverse cohesion.
This simple picture has to be extended by imagination into two and three di
mensions. Threedimensionally it will include cracks, fracture fronts as
well as the connecting lamellae.
During the uniaxial compressive test the destruction begins at a certain
load and continues until failure. This is illustrated by the lines 1 and 2
in figure 58 and 59. These lines show the numbers of registered crackpul
ses. In our concept each crackpulse is associated with a breaking mineral
grain. This is depicted in figure 64. In this figure the phases and C are
represented.
In our special concept every mineral grain or particle is supposed to repre
sent a kind of stress element, i.e. the stress distributed within it is con
sidered homogeneous. In the loaded position the axial granular stress is .
Remember that in the transverse direction a component of internal pressure
+ Q. or

, is induced. The presence of this pressure was discovered by

acoustics.
We consider this stress + Qj to be distributed over a number of separate
grains. As a consequence of the transverse static equilibrium an equal a
mount of tensile stress Q . must exist. These tensile stresses "charge" the
cohesion.
According to our special concept these tensile stresses can be released by
the breaking of separate, single grains, delivering the tension over to
other grains. These, in turn, will do the same and the process is repeated
over again, continuing the destruction. See figure 64.
During phase B (loading P R , figure 64b and c) the tensile loading in three
grains (nr. 6, 10 and 12) has exceeded the tensile strength

(b). They

fail, which means loss of transverse cohesion in the system. The cohesion
has been transferred to other grains: numbers 2, 4 and 8 (in c ) . After this
rearrangement of stresses no grain is loaded over the tensile stress limit
tt. The equilibrium is restored (in c ) .
At a higher loading P_ the material has entered the Cphase (d,e). The ten
sile loaded grains, numbers 2, 4, and 11 will break (in d) and after that'
the grains 3, 8 and 13 will fail (in e ) . There is no equilibrium anymore.

141

incidental
grain fracture

continuous
grain failure

C.RE. equilibr.
stable
S
Phase Bcataclastic stable
tensile loaded grain
compressive loaded grain

FIGURE 64

no equilibr.
unstable
\_
Phase C cataclastic unstable

cracking grain

The transverse cohesion during the phases and C

a: the section XY cuts 13 grains or particles; at the load they are

in static equilibrium
b: the load is increased to Pu; the grains nr. 6, 10 and 12 are sub
jected to tensile stress, exceeding the strength limit tt; they fail
by tension, i.e. the cohesion in these grains is reduced to zero in
the plane XY
c: as a result of the rearrangement of stresses the grains 2, 4 and 8
will be subjected to higher tensions; the distribution of the compres
sive stresses has changed as well; the result is, that the static
equilibrium is restored after limited internal fracturing; this means
CataclasticPlastoElastic equilibrium, phase
d: the load is increased to ; as a result of redistribution of
stresses the grains nr. 2,4,7, 8 and 11 have to supply the demanded
cohesion; note that the broken grains nr. 6 and 10 are now loaded
compressively, whereas nr. 7 and 11 have changed their load from com
pressive into tensile; the grains nr. 2, 4 and 11 are overstressed;
they break
e: the result is the rearrangement of stresses again; now the tensile
stressed grains nr. 3, 8 and 13 are overstressed; they break, etc.,
etc.; the result is the continuous grain failure of the cataclastic
unstable phase C

142

tension Y compr.
static equilibrium

b Qi or cr3l
c
acoustic compaction
evaluated as tran
verse pressure Q, or Cj,

FIGURE 65

d Q,orO 3 j
tension

induced tension 0f "reflexion"

of transverse pressure Qi or 0\,

Mirror image "reflexion"

At any moment of static equilibrium the internal pressure CL must be

neutralized by a same quantity of tension CL in any cross section
of the material
a: the diagram with the three phases A, and C; compare figure 13
b: the measured course of CL or o^j according to figure 60b^ and b2
with extrapolation (dashline)
c: static equilibrium according to figure 63; Q, equals + QJ
d: as a result the diagram for Q or j, must be the mirror image
or reflexion of the diagram for +QJ or +034

The destruction continues.

As it was already mentioned, this picture is no more than a strongly schema
tized representation of what is happening threedimensionally during crack
propagation.
Mirror image "reflection"
From the point of view of static equilibrium the internal pressure + Q. must
be neutralized by the same quantity of Q. (induced tension) in all posible
cross sections of the material. This means that the observed development of
+ Q. must be accompanied by a same development of Q., as a mirror image.
This is called "reflection". See figure 65b and d.
The cohesion diagram explained
The supporting capacity of solid rock in compression depends during the in
tact phase A as well as during the primary fracturing in the phases B and C,

143

*
108 1

1081
107
96
66
66
49
20

induced
\tension

^ f

^i6o:jio5::.. _

b
Brazilian tens,
test
Axial cleavage
by induced
tensile stress

FIGURE 66

tension
C Ut Of J cohesion
Qj or G~3
cohesion diagram
or Gti
DC = demanded cohesion to match induced tension
CR= cohesion reserve
CC = consumed cohesion
= crack pulse activity

Failure
laminae
and
needles

The Cohesion diagram

See text, paragraph: The Cohesion diagram explained

on the ability to resist the internal, transverse, induced tension Q..

This tension charges the cohesion. The diagram in figure 66c represents the
course of the cohesion during the uniaxial compressive test; see figure 60
bi, Cycle I. The total of the available cohesion is represented by the
Brazilean (disk) tensile strength , figure 66a.
The transverse"Cohesion Reserve" CR , is charged increasingly by the "Deman
ded Cohesion" DC, in order to match the induced tension Q..
During phase A the Demanded Cohesion DC.

meets a large amount of still un

affected present Cohesion Reserve CR. An abundance of CR. is available. Du

ring phase the Demanded Cohesion DC_ remains constant; but, as a result of
continuous destruction the Cohesion Reserve CR. diminishes. During phase C
the number of crack pulses increases enormously. This means that the quantity
of "Consumed Cohesion" CC, grows rapidly. As a result the "Cohesion Reserve"
CR_ is dwindling away and diminishes to zero. This process is rather specta
cularly marked by the stream of crack pulses in phase C (in d ) ; compare line
2 in figure 59.
Finally the material fails, i.e. in this case it was transformed into a bun
dle of needles. This is no fantasy, but a reality. The needlelike structure
occurs indeed.
The consideration of the vanishing cohesion was the motive to complete the
diagram in figure 60b, by the extrapolation of Q., declining to zero in
phase C (dashline). The cohesion diagram may make us aware of the relative

144

ly small amount of the "Consumed Cohesion" CC, leading to failure. In our

picture (figure 66c) the amount of CC Is only about 15 of the total co
hesion. This may result In the Insight that the addition of only a small a
mount of transverse tensile strength to the "Cohesion Reserve" CR_ will lead
to a considerable shift of the B/C boundary line In the diagram. This
may be the reason why a 10 ton rockbolt per one square meter, providing on
ly lkgf/cm

(0.1 MPa) transverse tensile strength, still has a remarkable

effect on the stability of the wall rock.

There are a number of questions which may arise in our minds. For example,
in discussing the supporting capacity of a tunnel wall or a rock pillar in
underground workings at a great depth, we now can put forward the following
question about the improvement of the supporting capacity. How can the dif
ference be explained between the effects of:
a) a support system from the outside, e.g. steel arches or concrete
lining;
b) reinforcement by means of cemented rock bolts; or
c) reinforcement by grouting with cement mortar or by means of
plastics.
In all of these cases we have to consider the cohesion. Can the effects be
represented by means of a cohesion diagram?

13. APPENDIX
THE BALANCE OF ENERGIES AT THE FRACTURE EDGE
In chapter VI a basic problem was mentioned concerning the opening of the
fracture edge and the forming of a bulblike opening under pressure condi
tions. We suggested that the opening up of the fracture walls at the edge
should be related to a process such as buckling. However, the buckling of
the sides of an elliptic void appears mathematically not possible under
these conditions. Yet, we regard a process, related to buckling, being a
situation of instability, very likely. Such a process however, will not
take place in the side walls of the quasielliptic void, but at the frac
ture tip, the cusp notch of the fractureellipse; see figure 46c and d.
There the material is severed by the induced tension

o as a result of

the existence of the zone of induced tension Zit.

As it belongs to the heuristic way, every question can be a stimulus to
some new idea.
In this case we were intrigued to see if the same approach in the way that
Griffith did, would open interesting views.
145

ONE

P R O P A G A T

C Y C L E

time increment of
energy charging

time increment of
energy conversion

time increment of
energy c h a r g i n g

relaxation time
and
energy changes

3P1

PAT

, ?

A
P VP2
\

]P2
1

_,.__

|>2
I

2*313

chrg

1102
0 2 .2 2
X
ce=20*29x=A9x
ite=9x
982

I
T

Unloaded

3i

r e s t l 3 ) = 0
epe(3) = 5 8 2 x
982x
charge:1022x
200(5)
unstable

stable

Zit zone of induced tension

ite

inducedtension energy

Zic zone of induced compression

ice

inducedcompression energy

together with surface

Zep zone of extrapressure as a

epe

extrapressure energy, result

energy

result of opening fracture walls

of lateral expansion

3ice

internal (compression) energy, related to

2x

energy, used for maintenance, c.q. for building up the energy 3ice
ch energy change

or Q

chrg energy charge

se separation energy,

FIGURE 67 Proposed balance of energies at intermittent crackpropagation

a: Axialcrack edge unstressed
b: Axialcrack edge is loaded near to the end of phase A (P A ); stable
situation at the pressure P. ; the energy content is rather
small; 19 + 19 38 undefined "units"
c: The load is increased by^,^, resulting into + 2 ; charging of
energies has taken place and it is now finished by reaching the border
line quantity of 100 + 100 200 units ite + ice; the tensile strength

0 ti

(2) is reached, so that fracture can begin; this situation is unstable

d: Crack propagation has occurred over one increment 6u at the cost
of 160 units ite + ice; this amount of energy is converted into
surface energy se (102 units, irreversible), whereas 58 units are
stored as epe by opening up the crack walls (zone Zep); ite + ice
(3) show a rest energy of 20 + 20 A0 units
e: Energy changes during relaxation make the crack wall close; the
bulblike shape of the borderellipse is regained at the cost of 582x
units epe; these 582x units have changed into ite + ice, resulting in 982x
units (4); the 2x units are spent by building up the environmental O J J

t i (^) i s still less than O t j , which denotes the stable equilib

rium of the B phaee

f : Increase of the loading byAjP does the energy charging revive;
102 + 2x units are added to the system ite + ice (4) resulting in
the borderline value of 200 units (5); this brings about the induc
tion of i

(5); the unstable situation of (c) is regained; crack

propagation over the next increment is on the point of happening

Note;
1. The bulblike shape is borrowed from the previous theories; see
figure 70, 71e and 73; the energy balance could be explained as well
while making use of the oblong ellipse shapes with an axis ratio V
between 4 and 6; see figure 62; the drawings with the bulblike shapes
however, show the processes better
2. The energy amout 2x stands for energy supply of the 3ice system of
the whole rock mass, c.q. for the eventual building up of the inter
nal rock pressure

oj, or CL

Under certain circumstances

of loading and of geomechanical processes

the energy content of the 3icesystem can reach very high values; an
uncontrolled conversion of these energies into the fracture energy
components ite, ice and se would raise the internal pressure
Rock burst would be the result
147

^.

Griffith's theory is shown in figure 42 in a very concise way. The basic

point consists out of the formulation of the energy balance under conditone
of tension. We will try to follow the same trail, but now under conditions
of compression.
To that purpose we first have to find the elements and terms which compose
the energy balance under pressure.
The observation of the intermittent crack propagation and the theory on it,
treated in figure 55, forms a good opportunity to define these elements.
For the present, this is no more than a very first approach. Therefore, we
present this trial as an appendix to the chapter.
The balance of energies during intermittent crack propagation; a rough ap
proach following Griffith's procedures
I. An amount of stress energy is a function of the material volume, the
stress difference and the Young's modulus.
II. In our case the loading of a material containing an axial crack results
in the generation of a zone of tensile stress containing stress energy te
together with a compressively stressed zone containing an energy amount ce.
At unloading the stresses disappear. The released energies will equal an
amount ce + te; moreover, ce is assumed to equal te; see 3.
III. The same is valid for the increase and decrease of the pressure c.q.
the stresses.
IV. The stress energies ce and te are reversible.
V. Crack propagation is accompanied by the generation of new surface at the
cost of surface energy se; this energy is irreversible; it is fixed.
VI. In our picture the fracture edge will propagate in the inside of cata
clastically structured rock material; while propagating, four different
stress zones or energy bearing zones are invlolved; see figure 50, 52, 55
and 67.
1) The cataclastic rock mass itself, which is internally loaded by the
stress 2 or Q^ (the stress of selfconfinement), which is supposed to
contain the energy 3ice per volume unit throughout the material. This ener
gy is provided by the cataclasis; however, for each fracture separately it
is supposed to be only a relatively small amount, denoted by 2x.
2) The zone of induced tensile stress Zit at the fracture edge, containing
the fracture tip with notch. The latter plays no role in our energy balance.
In our two dimensional picture of the crack edge, figure 67b, c, d, e and
f, the zone Zit is represented by a circle, containing the energy amount ite.
3) The zone of induced compression Zic, surrounding the zone Zit and a part

148

of Che fracture edge; in our picture it is represented by a semicircle and

two straight lines; the energy content is denoted by ice. Because ite and
ice run up and down together simultaneously it is assumed that ice equals
ite.
4) When a new fracture increment is generating the walls open up and they
push the material aside, bringing about a compressively stressed zone Zep,
Che "zone of extra pressure". This zone stores an energy amount epe.
VII. In advance of, during and after the propagation over one increment
the differene zones and the generated new surface will:
a) first be energy-charged as a result of an load increment A j ^ P

(figure

67-b and c) ;
b) energy conversion will take place from elastic energy ite + ice into
separation energy and surface energy (combined) se plus elastic energy epe
(figure 67-d);
c) then the processes of relaxation and energy changes will lead to a stable
situation (figure 67-e). Now one propagation cycle has been fulfilled, covering the series b, c, d and e; the series c, d, e and f forms a cycle as
well, such as is shown in figure 67.
VIII. This very rough and strongly schematized energy balance during one
cycle of the intermittent fracture propagation might give rise to another
picture of energies, now involved in the process of continuous propagation.
IX. The analysis of the involved energies in the case of one crack might
deepen the insight into the housekeeping of energies in the case of the
C.P.E. equilibrium, even if this picture might be not yet entirely correct.
For example: the cataclastic process of deformation will bind more (irreversible) energy than the pure-plastic process by recrystallization; compare
figure 29.
X. Under special circumstances, due to loading and/or to geomechanical processes, so called "locked-in" stresses may be present in the rock mass. We
suppose that the locked-in energy Y will be released per propagation increment

6u.

Suppose that the outside loading will bring about situation (b): ice - ete each 19 units, together 38 units. For Y equals zero, the supposed data in
figure (b), (c) etc. remains unaltered.
Figure 67-c shows that the value of 200 units is assumed to be the energy
level for the starting of crack propagation.
The influence of the locked-in energy can as follows be represented:
The sum of energies in (b) will become 38 + Y units; the sum in (c) will

149

be 200 + Y; this means Y units more than the critical value 200.
After propagation over one increment u the situation in (d) will show a
"(rest)" (3) equal to 40 + Y units.
After relaxation the rest in (e) will be 98 2x + Y units.
As a consequence of this very much simplified picture we can distinguish
the following situations:
Case 1
If 98 2x + Y <200 (the critical value), the situation in (e) at the load
2 will be permanently stable.
Case 2 (a)
If 40 + Y > 2 0 0 or if Y > 1 6 0 , then there will be no time available for
relaxation; in that case the crack (or cracks) will propagate continuously.
Case 2 (b)
If the value of Y lies between case 1 and case 2 (a), the crack propagation
might continue intermittently; the propagation has to wait for sufficient
release of energy from epe = 58 by relaxation.
Case 3
if Y / / 1 6 0 , then the crack (or the cracks and fractures 111) will propagate
explosively; the rock bursts!
Examples of lockedin stresses
In our research we have treated two examples of directtensile cracks
brought about by lockedin stresses in cylindrical specimens of granite
at the compressive test. These tensile stresses must have been due to the
different tempo of the relaxation of the different minerals; see figure
38B and figure 61.
Another example is the generation of crack nr 7 in various specimens of
lithographic limestone; see figures 34 and 35.
This crack became manifest only weeks and months after the axial cleavage
fracture had split the specimen into two halves. Obviously local radial
tensile stresses were brought about by differently relaxing tensile strains
in the region of point 7.
Note:
Just after the present author had conceived this appendix, Professor Dr.
TjongKie Tan

from Beijing (China) visited the laboratory. Professor

Tan has worked on the phenomena of rock bursts and lockedin stresses.
We might recommend his contributions to these subjects.

150

CHAPTER !

Mathematical approach

1. STRESSES ALONG THE ELLIPSE APEX AND SPECIAL POINTS

The original old concept versus the new one
In the period between about 1960 and 1970 discussions were going on concern
ing the direction and the cause of brittle fractures brought about by com
pression.
The more conventionally oriented scientists followed the current theory.
This theory prescribed the oblique direction of a fracture caused by shear
ing action, according to Mohr Coulomb.
The present author, however, is thoroughly convinced of the general occur
rence of the axial cleavage fracture as the primary effect in hard rock.
Only secondary failure would occur along oblique complex shear zones.
Literature gave no relief. Orowan

wrote in 194849: "Although fracture

surfaces at about 45 are common in compressive tests, failure by cracking

parallel to the direction of compression is almost equally often observed
with glasses and stones; sometimes the surfaces of fracture run at 45 if
the compression plates are dry, but become parallel to the compressive
stress if these are lubricated. The problem of the cracking parallel to the
stress in compression has not been solved; a few attempted explanations have
been unsatisfactory" (Orowan

, p. 201).

We must remember that in those days the destruction process was not yet an
alyzed, and the difference between primary and secondary effects was also
not recognized, which may have been the reason for Orowan's confusion.
From our own experience in mining, as well as in tectonics, it is without
any doubt that the axial cleavage fracture is the predominant fracture phe
nomenon in nature. For example, the majority of the joints in the earth's
crust belongs to this type. From the point of view of fracture and failure
control in mining, as well as for a good understanding of tectonics, it is
considered very necessary to deeply explore the problem, because an accep
table theory has to be developed. Therefore, we first studied the Griffith
Theories I and II very thoroughly, and much attention was paid to the dis

151

1 I

1 1 f I 1

According to AAGrttllt
P

<Rf>

Incorrect
(Griffith)

(a)
Colan V = alb
for OQ is neurly equal

to zero and > :

(/>- C ) + *</'+ ) ~ 0 and
cos 29 - - < / - ) / " h )
Then Rgg or o,., s maximal

FIGURE 68

(b)

t
(c)

Uniaxial load
/> = 0; K o o ;
a =(90 0) = 60
M, = point of
maximum tension
Ym = 60

correct

t
(d)

Griffith's assumption:
If ^ 0 or V = afb =* oo
then will be:y et *0
This is incorrect

(e)
According to Roos:
If C = co then
(or ) = 6 0
und yml 60 '
This is correct

Correct and incorrect direction of the radius in the

point M t of the fracture ellipse; an argument against Griffith's

Theory II
a: Griffith's original figure; according to Griffith's Theory II the
(noncomplex) primary, tensile fracture at compression should occur
at 30 to the pressure Q; Griffith's explanation: a very flat ellip
tical void, with the major axis at 30 to the pressure Q, shows a
very high stress concentration near the tip, which causes tensile
brittle fracture in the direction of the ellipse axis; this stress
concentration R R R

(or

t)

is maximal if equals 60

b: the true position of the extremum M t , bearing t , is at 30 to

Q; therefore the onset of the tensile crack should point to the
other direction;

= 60

c and d: Griffith's assumption: in the case that V the points

M t and will coincide, i.e.

should equal zero, whereas

would point to the direction perpendicular to the ellipse axis; if

the brittle fracture would follow the oblique direction indeed, then
this reasoning would appear acceptable; however, as the phenomenology
shows, the primary brittle fracture takes the axial direction,

equalling 30 to the pressure

e: in the case that V

the direction of the radius in Mfc points

in the direction 30 to the pressure; this has been proved mathe

38
matically by Roos ; as a consequence Griffith's Theory II is in

152

tribution of the tangential stresses along the border of the apex of the
modelor fractureellipse in uniaxial compression.
With respect to the assumed oblique direction of the brittle fracture the
"conventionalists" had the benefit of the existence of the Griffith Theory
II. A very thorough study was made on this subject (Gramberg

(thesis)).

It could be shown that this theory contains an inaccuracy of principle na

ture. This is displayed in a rather concise way in figure 68. The figures
c and d show the incorrect approach. The revealing of this inaccuracy was
one result of our study. Another important result was the conviction that
the infinitesimal, very flat fractureellipse, a typical characteristic of
Griffith, can never serve as a model for the axial cleavage fracture.
Still we cling to Griffith's ellipse concept, but now it must be a finite
ellipse with variable axis ratio. It contains a cusp notch in the apex
preceded by a "scouting lane" in front of it. See figure 46. This picture
forms our starting point, and fits very well in the mathematical approach.
In our concept fracture propagation can only occur if the notch finds it
self within a zone of induced tension at the apex border. This is not always
the case if the ellipse has a slanting, inclined, position.
The study of the stress distribution along the apex of the ellipse revealed
rather typical features. Some of these will be elucidated by the figures
69 and 70 as well as by a numerical analysis, represented in figure 71a
and c.
2. SIX TYPICAL FEATURES
Feature 1 The axial direction General picture
In regarding an elliptic opening in a more or less upright position, the
major axis may make an angle between 60 and 90 to the horizontal.
The ellipse finds itself uniaxially loaded. A zone of tangential tension is
induced along the border of the apex. Within this zone lies an extremum M t ,
the point with maximum tension. To the left and right lie two points

correct as well from the view of the phenomenology as mathemati

cally
Another objection is, that as an open elliptical, very flat void
( V ; ) the fracture ellipse cannot exist at 30 s to the pressure;
it will be closed then.

153

(zero stress) where the tension turns into tangential compression. The com
pression zone contains the extremum Mp.
The extremum M t lies in the tip of the apex if the ellipse position is
vertical (90). Then the points are symmetrically situated to the left
and 'right. This is the case irrespective of the axial ratio of the ellipse.
In an oblique position of the ellipse, however, the extremum Mfc, is not sit
uated in and the position of point is not symmetric. The position of Mt
and the points depend as well on the inclination as on the axis ratio V.
A limiting case is the position with 60 inclination, combined with a large
axis ratio. This is shown in figure 71a. In this case the induced tension
is maximal. The coefficient of induction f amounts to 250 for /P for V
1000. This figure seemed important with respect to the original Griffith
Theory II. The figures 69b and 70a however, show that under these circum
stances, the point Z, lies between the apex tip T, and the extremum Mfc.

M f point of
maximum tonslon
KL, point ol
v
maximum compression
zerotension

FIGURE 69

The position of the extremum M t as a function of the

axis ratio V; a

= 60

a: in the (impossible) case of a 60 and V = in uniaxial pres

sure the angle equals 60
b: the position of M t with respect to the axial direction is charac
terized by the angle ; note that the zero point lies between M t
and the apex tip
c: the angle as a function of V for the case that 60 at
three different values for k; if the fracture notch is associated
with the apex tip T, then the notch will enter the tensile zone only
when V = 1 (the circle and Z=T)

154

V woo

60
R25'

FIGURE 70

The influence of the variabilicy of the axis ratio of

the fracture ellipse at a 6 0 s

a: open fracture ellipse, still open at very low pressure;
note the positions of | and the notch
b,c,d,e: increase of axial pressure causes gradual closure of the
ellipse body, leaving open borderellipses with reduced axis ratios
V; the location of M will shift to the position 0 whereas the
notch enters the zone of tension NZ; compare figure 69c

The notch (N in T) with the unstable zone (2a, and 3a) finds itself within
the pressure zone. Fracture propagation in the direction of the oblique axis
is, therefore, not possible according to the mathematical ellipse model.
But, if the axis ratio reduces, i.e. if the shape of the ellipse becomes
more bulblike, then the point M travels towards the tip of the apex.
This is indicated by the angle
being 3 0

at an inclination of 6 0

in figure 69b and c. The value of ,

and the axial ratio reduces to 8 if

V 2 and to 0" if V 1; i.e. when the ellipse has become a circle, (69c).

155

Values of m a x i m u m tension / in
the extrema M, at uniaxial compression
(*=0)
FIGURE 71-a

The extreme values of the tension in the ellipse apex

The extreme values of

t,

here expressed by - /, as a function of

V and -, ; at the time these values were regarded very important with
respect to the Griffith-Theory II, but as this theory has lost its
validity for us the interest is limited

156

'

1 I

y% >y\
V.5A60
Omt=t77P
(4)

Gmt=3P
(3)

,'/

V= 5 60
0mt1.77xP
(6)

l lp

, Mt

Omt=P
(S)

lp

cti

V= 5 \90
V= 5^70
Vs5fs80
-+i
Gmt=-P
mt1.58
Cmt1.23.
(9)
17)
(8)
Mt maximum tension
39 : point Mt
zerostress
approaches top
stretch with tensile stress
Top T fracture tip
stretch with compressive stress
FIGURE 71c

The extremum M,.

series (l)(5): position, direction and magni

tude of the extreme tensions at the apex of the
ellipse as a function of the ratio V
series (6)(9): position, direction and magni
tude of the extreme tensions for V 5, regar
ded as a possible open void or pore at uniaxial
high pressures

FIGURE 71b

Deviations from the axial direction

deviation from the axial direction leads to "swinging" or oscilla

tion; the deviation is corrected by the induced pressure Zic; the
estimated deviation is ' 5 s ; the higher the pressure the less
the deviation
See the dotted line and the marked zone in the graph, figure 71a

157

At the same time the point travels in the same direction. See also figure
70 and 71c, series (1) (5). Ultimately, when V 1, the notch enters
the tensile zone (N = Z ) . See figure 70e. Now the unknown coefficient for
stress concentration can come into action. The fracture starts to propagate.
While propagating the direction changes, according to our observation, into
the vertical position.
The magnitude of the induced stress reduces during this process; see figure
71c, series (6) (9).
Feature 2 "Swinging" or oscillation of the axial fracture
An interesting feature of minor importance is the tendency of the fracture
to deviate a little from the exact axial direction.
The fracture edge however, will correct the deviation by itself, as it is
shown in figure 71b. We may estimate a "swinging" or oscillation of
at about 5 around the exact axial direction because of irregularities in
granular material. Therefore, a zone 5 of the relevant values of
V = c/b or a/b is indicated in figure 71b.
Feature 3 Turning into the axial position Experiment with an artificial
monocrystal of halite (NaCl)
In order to create the most favourable circumstances for the generation of
the conventionally expected oblique noncomplex cleavage fracture, a cylin
drical specimen was machined out of a cube of artificial halite (NaCl). The
cylinder axis followed the diagonal of the cube. See figure 72a and b. The
crystallographic cleavage direction made an angle of 35 20' to the cylinder
axis. These directions of weaker cohesion might allow the cleavage fracture
to follow them while propagating.
During the machining of the specimen two short slanting cracks had generated
according to the crystallographic cleavage of NaCl. These cracks were acti
vated by the uniaxial compression. However, instead of following the oblique!
crystallographic directions of the original cracks, the newly generated
crack parts swung around into the axial position. See figure 72b.
An explanation for this phenomenon is shown in figure 73. When unloaded the
original oblique crack is considered to be open. See figure 731a. During
the loading the walls close more and more.
First we regard the situation at a load of P. , . The walls of the crack begin
1D

to move inward. The induced tension in M* is at its maximum because of the

inclination of about 60, but the crack cannot propagate because the notch is
still within the compression zone. At a higher pressure of P.

the axis

ratio is reduced to V ; 1. Now, the notch finds itself within the zone of in
158

M?20*

NaCl

c
FIGURE 72

Experiments to verify the Griffith Theory II do not

confirm this theory

a and b: the author's experiment with a cylindrical specimen, machined out of an artificial crystal halite (NaCl), following the
diagonal of a cube; the cristallographie cleavage directions made
an angle of 35 20' to the cylindrical axis; two oblique cracks
according to these directions had generated during the machining;
fractures started at the tip of the cracks indeed, but they swung
around into the axial position, then the propagation stopped
c: an experiment of Brace et al^ 2 : an elliptical opening in an optically-anisotropic material showed tensile zones when uniaxially
loaded; the material was cut away at that spot; the material was
loaded again, etc.; the path of the tension zones tended to the
axial direction
d: fresh cracks, starting from the edges of an artificial crack,
began at an angle of about 30 s to the pressure; this is in accordance with the direction of the radius in the point Mc from the
figures 68-b and e, and 69-b and c; then the new cracks swung
around into the axial position and they stopped
e: Experiment of Hoek and Bieniawski

; an artificial slit,

representing an ellipse with V - 25, showed the same effect as d

159

Zic J

' ^gf

notch

Tio"
situation

Pi.

P3 ..

'''.

i'''::'

'..

V ':'

f f t h U^Skr$ti(max)=ffti<tJti

FIGURE 73

3,4

E xplanation of the experiment shown in figure 72a and

b: generation of the axial cleavage fracture

1a: an initial crack at an angle of 60 to the horizontal; the crack
is open
at P.
= 0; V =
r
1a
1b: at a low pressure Pi_u the crack closes, leaving an oblong bor
derellipse, V = 22J; the zone of induced tension Ziti with the
extremum M

begins to include the notch; however, the induced stress

is not yet sufficiently high and the concentrated tension does

not reach the critical value

1c: at the pressure P._

however, when the axis ratio V equals

about 1, the notch finds itself completely included in the zone Zit;
because of the high pressure the z.one Zit is developed rather well;
the value . at the fracture tip has reached the tensile strength,
i.e. the concentrated value equals the critical value

; propaga

tion starts, the Scouting Lane SL develops, guiding the notch and
the fracture tip towards the axial position
2: the new crack has come into such a position

160

that the walls of

duced tension. Although the stress has reduced because of the circular shape
of the borderellipse, the stress concentration causes the fracture to propa
gate. See figure 731c and 2. The "scouting lane" (SL) finds its way towards
the regions of higher tension in the zone Zit. Moreover, the pressure zone
Zic is helpful to push the fracture tip into a steeper inclined position
(2). In this position the crack walls open; the induced tension reduces, but
the notch is more favourably positioned within the induced stress field; the
crack propagates. This process continues until the axial position of the
crack has been reached (3). Now, the induced tensile stress is reduced to
only P3. As a result, the propagation comes to a stop. For further propa
gation the load 3 has to be increased to P,; (4).
Feature 4 Axial cleavage fractures do not merge
When cataclasis develops, axial cleavage cracks may meet one another. In
that case, they will never merge. They either will stop or they will turn
aside, passing at a close distance. This is the result of the zone of indu
ced compression Zic around the crack edge. See figure 74.
Feature 5 The axial cleavage fracture does not run into a subparallel
free wall
The axial cleavage fracture in question is supposed to diverge slightly from
the exact axial direction; it approaches the free wall at a small angle.
Experience shows that the fracture will not cut into a free wall, parallel
to the pressure. The fracture will correct its direction in time. Therefore,
it is able to separate very thin laminae, slivers or needles, from the wall.
This is rather commonly observed in underground workings, in tectonics as
well as in the laboratory.

the fracture reopen; the induced stresses reduce as well as the

stress field Zit; but, because the position of the notch is nearer
the extremum, the propagation continues
3: The axial position has been reached; the fracture walls have
opened; the notch coincides with the extremum M t ; but now the value
of afj

(max.) has been reduced so much that it is less than the ten

sile strength

o t ,5 as a result the propagation stops

4; Only at a higher pressure P, the induced tension will equal the

tensile stress

n't

then fracture propagation continues in the

axial direction; now the axial cleavage fracture is generated.

161

 II I
t

iF

21c
,
(conctntrattdl

Fig. 74
FIGURE 74

Axial cleavage fractures do n o t merge

a: the approach of two axial cleavage cracks in a line

b: the pressure zones Zic 1 and 2 will coincide; the combined zones
Zic ( 1 + 2 ) prevent the development of the tensile zones and the
scouting lanes; the propagation stops
c: the approach is not exactly in line; the combined zones Zic (1+2)
form a buffer, guiding the crack paths past each other
FIGURE 75

The axial cleavage fracture does not run into a sub-

parallel free wall

a: a crack approaches a free wall at a small angle
b: the zone of induced pressure Zic is compressed within a small area;
it leads the path of the crack away from the wall; the crack develops
further parallel to the free wall

Why does the fracture not cut into the free wall? Again we ascribe this
phenomenon to the presence of the induced compressive zones Zic around the
fracture edge. We conceive that these compressive stresses need material to
develop. If there is a lack of material' then the compression will concentrate
locally.
The very local deformation of the free wall might be another reason for this
stress concentration.

162

The fracture edge is pushed back, from the wall; it follows the wall in a
parallel way. See figure 75.
In the case where an axial cleavage fracture cuts the free wall indeed,
there must have existed an additional transverse stress in front of the
fracture. This is characterized by the change in the appearance of the frac
ture surface. For example, the typical curved shape of the bending fracture
must be caused by the pressure of an additional transverse stress(figure 83).
Feature 6 What happens if a fracture meets a discontinuity; further pro
pagation, or stop
The material conductivity for fracture depends a.o. on the presence of dis
continuities. Discontinuities can occur as cracks, open fissures, zones fil
led with moist clay or marl, very hard concretions or pebbles in weaker
matrix, large crystals of minerals with a fissile structure such as mica.
If the fracture front finds such discontinuities on its way, it may cut
through them, or it may stop. In order to understand the behaviour of the
crack under these circumstances we must regard the mechanism of propagation
in front of the fracture tip: the stress wave and the "scouting lane" SL.
See figure 44.
The pattern of the minute microstress field around the fracture edge travels
at the same speed as the fracture edge itself. The concentrated induced ten
sion and compression give the impression of a transverse wave: the stress
wave (Hall

, Corten and Parks

) . The material particles move perpendicular

to the direction of the fracture propagation. As it has already been pointed

out, in front of the fracture edge there must extend a zone of extra trans
verse strain, the "scouting lane" (SL). The particles on the left side of
that SL will move to the left, whereas, those on the right side move to the
right. These transverse movements are transferred from one particle or atom
to the next one by cohesive forces, i.e. by shearing. See figure 76a. This
transfer of the movements provides the condition for the fracture propaga
35
have developed an equation to describe this process:

tion. Corten and Parks

+ W + 6 E k
E 0 stands for the elastic energy;

Efi is a function of the lateral deforma

tion, i.e. of the transfer of the movements by shear stress, stands for
the surface energy; W is the energy of plasticity and Efc is the kinetic
energy.
In a massive, intact, anisotropic, dense material the fracture propagation

163

conductivity for fracture propagation across a discontinuity;

zone of extra strain penetrates rock in advance of the fracture tip
^
new'surface

fracture tip
16AJStr.

.2X1QDAJ

str/

V3d
.igt
shear forces" "
between atoms
continuous'^ ;
material i
'. '. '. '. '. K?f stressed

SL

."777 f .P^.T.'<;'"
open
unstressed

*;~'"*y
closed

'\'."&l'.\P.\'.
::fe:jp.l:npressure
cross
. discont.

WS

::::!:.

stressed *0?

average strain abt 500 u.stc

zone of extra strain
penetrates by means
of shear forces
between atoms

no pressure
poor contact,
fracture stops

pressure causes good contact;

fracture will propagate
across discontinuity

a
FIGURE 76

A fracture meets a discontinuity

in order to explain the characteristics of the conductivity for

fracture propagation we refer to the picture of the fracture tip,
represented by a regular array of points, standing for atoms; see
figure 44
essential point is the existence of the Scouting Lane SL; the
dimension is that of the minute microsystem
a: the a .toms at both sides of the Scouting Lane perform movements
which are akin to the elastic Swave; the forces are transmitted by
shear
b: an open discontinuity does not transmit shear; the fracture stops
at an open crack; the same occurs at a bedding plane with poor contact
or at zones, filled with fissile, scaly materials such as sericite,
mylonite or marl
c: a good contact by pressure transmits the shear; the fracture passes
the discontinuity

164

is undisturbed and fast because:

E e develops very well; W 0;

Is constant.

As a result, ^ may reach high values. See figure 76a.

If the fracture front finds a discontinuity on Its way, such as an open
fissure or a layer of follaceous, fissile, or laminated material, then the
propagation stops. In that case the term

becomes zero because of the

lack of contact, or of none, or of too poor an ability to transfer shear

forces. See figure 76b. We can see this happen in rock with a schistous
structure.
However, if the fissures or the materials with a fissile structure are com
pressed at a great angle to those structures, then the axial cleavage frac
ture will cut cleanly through these discontinuities.
Because of the good mechanical contact, the shear forces will be transferred,
Indeed, and

can develop. See figure 76c.

If a fracture front meets a plastic zone, e.a., moist argillaceous material

(clay), the propagation stops because the term W is so large that the elas
tic energy

dies out. If on the other hand, the contacts are perfect and

the material has no plastic characteristics, the fracture propagation may

continue by Inertia. In that case,
ched its limit;

must be very large and

has rea

0. Now, ^ has become sufficiently elevated to make

the fracture extend by inertia in zones where the conditions were unfavora
ble. See the "delayed fracture"(delf) through zone

_ in figure 12, as
xp

well, as zone 1 in figure 34, 35 and 38a.

Sometimes on its way the fracture meets hard pebbles or concretions embedded
in a weaker matrix. Occasionally the pebbles are cut cleanly, at other sites
the fracture will pass around the pebbles.
In the first case, the amount of E^ in the fracture front of the matrix
must become rather large; therefore
quired because the term

6V must equal 0. A large E, is re

for the hard pebble Is much larger than that

of the matrix. In order to bridge the difference the value of E

high in order to elevate

has to be

E^. Another point is that the cement as well as

the mechanical contact between the matrix and the pebble should be excellent.
This means in many cases that the pressure, i.e. the depth, must be suffi
ciently large or, that a pressure zone is present. If the depth is not great
enough, or the pressure zone is not developed, then the pebbles or concre
tions will protrude from the cleavage fracture surface. See figure 77.
Occasionally such features may be useful to estimate the depth or the exis
tence of a pressure zone.

165

block diagrams

marl
intercalations

*' a

conglomerate
(pebbles in matrix)

FIGURE 77

,'
d

strong matrix
high pressure

E xamples of axial cleavage fractures in the cases of

bad contact and good contact

a: a series of brittle rock layers with marl intercalations; the marl
does not transmit shear forces; every cleavage fracture has to begin
in each layer apart; the mode of propagation leaves the herringbone
or chevron lineation on the separate fracture planes; the total of
these fractures shows an uneven composite steplike or scalariform
zone
b: a comparable series of brittle rock layers without weak intercala
tions; the cleavage fracture plane shows one single planar plane with
large lineations
c: a conglomerate, consisting of hard pebbles in a weak matrix, shows
a cleavage fracture plane with protruding hard pebbles
d: a conglomerate with hard pebbles under high pressure will conduct
the cleavage fracture, cutting cleanly through the matrix as well as
through the pebbles

166

3. THE NUCLEUS OR SOURCE OF BRITTLE FRACTURE

Brittle fracture is characterized by the presence of a nucleus or fracture
source. This is valid for the axial cleavage fracture as well. The fracture
plane and even the crack tip could be more or less thoroughly examined, but
the nucleus is, as a rule, destroyed after the fracture has generated.
Sometimes after fracturing the nucleus is still clearly visible, e.g. in
the case where a fossil or a shrinkage crack has acted as a fracture source.
Open voids as a nucleus
In the case of tensile loading, i.e. in the Griffith Theory I, the nucleus
is associated with the "Griffith crack", represented mathematically by a
very flat "Griffith ellipse". The flat shape and the very large axis ratio
V, were needed to explain the stress concentration. The requirement of be
ing open could be easily attained because of the tensile loading. Under con
ditions of pressure and in the case of an inclined ellipse axis, however, we
do not agree with the very flat shape of a still open void such as the
Griffith II Theory suggests.
With respect to the nucleus however, we still will make use of an inclined,
oblong shaped open void, mathematically approached by an ellipsoid, accor
ding to Griffith's method. But now we restrict the ratio of length to a
width between 1 and say 5, lest the void should be closed by pressure.
Figure 78 shows four different ideas. The figures a, b, and c, show the
mathematical models and the figures d, e and f, suggest a possible natural
shape.
Figures a and d show the inclined elliptic shape, with V 5. The induction
coefficient f, is no more than 1.7. However, one should keep in mind that
in many rock types, belonging to the destruction type II, cataclasis begins
at about 1/2 of the compressive strength
is assumed to be 1/8 to 1/10 times

. If the tensile strength

at

O c , than the crack's initiation occurs

at a calculated induced tension of about A to 5 times the value / O c /. The

induced tension would be 4 to 5 1.7 or 7.2 to 8.5 times

at.

A rather li

mited notch effect of n'. would be sufficient to initiate the crack in an

oblique direction. After initiation the crack turns to the axial direction.
Then it will stop, waiting for higher pressure in order to propagate further.
This mechanism might fit into the "Modified Griffith Theory" according to
Hoek and B ieniawski.
Figure b and e represent the other extreme: Here the apex pore or void has
a globular shape without sharp notches inside. The notch effect must be very
poor. The Induced tension would be P, i.e., coefficient f ~ 1. This in com

167

v Ymt

tfti

Mt

OtlP

v1

v1

Mp
YmtO'

YmtO

" -AI
Ot'j, g l c .

iE57
7

a t |c-n 2 xfftl
...tl, Otic,
,.._ . jt| tl

pt Otic.

~"~

' :';t::;:';
Ctl

^ X l t i c n'i.x

jt\

tfti

/Pa

'"

cticnjx
r1
f r a c t u r e edge
Pa = radius by
"atomic sharpness"

n;::VJi

FIGURE 78

n2::Vfc

Open voids as a nucleus

Open voids with a limited axial ratio V may remain open under unia
xial pressure; V=5 is considered as a practical limit
a,b,c: Mathematical models; the induction coefficient f appears to be
no more than 1.77
d: five grains enclose an open pore, resembling an ellipse; the notch
effect n'j is limited, but not minimal; fracture .might first initiate,
then stop
e: a globular pore without sharp notches; the notch effect n, is very
poor; high pressure is required for crack initiation, but then the
crack propagation will continue
f: a globular pore with a higher notch effect n'i
g: the fracture edge, showing the maximal notch effect, being the
effect of "atomic sharpness" (Orowan

168

) ; propagation continues

bination with the poor notch effect, nj, will require a very high axial pres
sure to start the cleavage crack. But, once started, the crack will run with
out stopping. This is because the crack is provided with a notch, the frac
ture tip itself, causing the maximum notch effect, being the effect of
an

"atomic sharpness" (Orowan

) . See figure 78g. This mechanism could repre

sent the behaviour of lithographic limestone, destruction type I.

Figure 78f represents a case in between.
Friction as a mechanism for stress raising and for crack initiation
A quite different way to initiate cleavage cracks is the addition of an
extra shear stress to an originally normal stress. This occurs when a sli
ding or shearing movement is initiated along a planar discontinuity, such
as an inclined micro or macrocrack, or an interface between mineral grains.
The present author has applied this principle earlier while analysing the
systematic cleavage fracturing in the hanging walls of long wall coal faces
(oee figure 80) and he maks use of this method to explain an expreriment,
carried out by Hoek and B ieniawski

The experiment was done with a glass pane provided with a long artificial
crack in an oblique direction. See figure 79a. The glass pane was loaded
uniaxially. Three smaller new cracks initiated from the 55 inclined, oblique
artificial crack. The new cracks showed angles of 4 to 10 to the compres
sive direction.
In order to explain this phenomenon we will not apply complicated atomistic
theories, but carry out a construction with Mohr Circles. In fact we apply
the Principal Law first and second part, see Chapter III and V.
In Chapter IV we have analyzed the requirement of continuity.
As a borderline case we have pointed out that a closed crack under compres
sive stress conditions will not disturb the continuity. See figure 24c.
Therefore stress theory can be applied. Figure 79b and c shows a large
(macro) stress element with a normal stress .. Then the crack A A,
is introduced. The large stress element will deform, at a certain pressure,
in a special way. The deformation introduces locally extra high shear stres
ses

T'ln specific points of the crack walls. is such a point. The speci

fic stress condition in the microstress element in is constructed in figu

re 79e. The dashed Mohr circle represents the uniaxial loading condition
without an artificial crack. The line A A' stands for the extra, additio
nal shear stress in that specific point B . The Mohr Circles I' III' re
present the new stress condition in the microstress element B . This local
stress element shows a higher principal stress

169

!, combined with a tensile

FIGURE 79

Friction as a mechanism for stress raising and for

crack initiation
Description: see text
Notation in figure 79:
( ,, 3) + 'new, tilted stresses ( O 1 O3 )

stress

. The local conditions for axial fracturing are perfect. The

crack initiated in that special point .where the friction exerted its in
fluence. This operation results in a tilting of the principal planes for
the microstress element over an angle . Depending on the magnitude of
the extra

', the angle of tilt appears to be 4 to 10. See figure 79a

and f. This mode of fracture initiation fits very well into the granular
hypidiomorphic (granular) structure of many rock types.

170

CHAPTERIX

The balance

1. CRITICS
When the very critical reader has studied this report, he might be surprised, perhaps even confused, by the daring way in which the theory on the
axial cleavage fracture and the several pictures of the axial crack have
been conceived. However, he would agree with it because of the good reasoning and the rather good coherence of the observations, the theory and
the pictures.
Yet he would wonder

which parts would be acceptable at once and which parts

should be regarded with more reserve.

In order to meet eventual questions, the present author opens the following
discussion.
2. THE DISCUSSION
Facts and models with elements of imagination
The above mentioned problem can be discussed at best by comparing the credibility of the items mutually and by comparing them with well known items
of generally accepted technical knowledge.
To that end the author has designed a "credibility scale". This scale contains five categories.
Generally accepted theories and indisputed phenomena form the highest grade
of credibility: category I. The credibility decreases as there are more interpretations and assumptions involved.
Category 1; A closely-reasoned, generally accepted theory possibly strongly
stylized, but without special adaptions; or indisputable observations,
phenomena, facts; e.g. Cauchy's stress theory, Boscovich's regular array of
atomistic points (the principle could be compared with the finite elements);
the axial cleavage fracture.
Category II: A theory which requires some adjustment; an observation which

171

requires some, still logic, explanation; e.g. the Young's modulus E; the
Foisson's ratio; stress differentiation.
Category III: A theory to adjust another theory of the same or higher grade
of credibility; or a representation which is still based on observed facts,
but where yet imagination is involved; e.g. the idea of De Saint Venant,
such as treated here; the S.L. (Scouting Laue) in front of the crack
Category IV: A representation where the appeal to imagination predominates
the observed facts; e.g. the vagabond, intergranular stresses or microstresses.
Category V: A representation or model by which the idea is scarcely or even
not at all, covered by observation; e.g. the proposed balance of energies at
the fracture edge.
The evaluation according this scale must be considered as a (sometimes somewhat subjective) measure of the "raison d'tre" of the concerning element or
item.
3. THE GAUGE
As a gauge we will nominate a number of generally known "items".
A. Concerning stress theory
item

Cat.

1. The picture of the regular array of atomistic points after Boscovlch,

in our days revived as the finite element method

nr.
I

2. The representation of stress as a function of the forces within the

stress element, which is thought to be filled with matter after
Cauchy

B. About the theory of elasticity

3. The Young's Modulus E, considered to be linear, but which is generally not the case, especially not in rock

II

4. The Poisson's ratio; it is supposed that the transverse deformation

of the stress element is not accompanied by a transverse force inside
the element; this is surely not the case in material with a granular
or crystalline structure and at a micro- or minute microscale

II

5. De Saint Venant's principle, such as it is discussed in this report:

the effect of the separate grains, crystals or blocs disappears virtually, if the stress element encompasses a sufficient number of them ..III

172

6. The microstress or intergranular forces, represented as "vagabond

Cat.nr.

stresses"

IV

C. Concerning the theory of elasticity, applied to rock mechanics

7. The picture of the stress distribution in the rock wall of an
underground cavity, represented by the Lam-distribution

IV

8. The picture of the fractured rock mass, surrounding an underground

cavity at greater depth as if it would consist of a loose granular
mass, to which the theory and the equations of Soil Mechanics should
be applicable (still an extremely valuable picture)

it. APPLICATION TO THE DISCUSSED PROBLEM

a. Concerning the theory I of Griffith
9. The supposed very flat "G riffith-ellipse" model (at tensile loading)... Ill
10.Stress concentration by notch effect (observation)

11.The fracture nucleus (observation)

12.The fracture propagation by means of a line-shaped fracture front

(observation)

b. Concerning the ellipse-with-notch-and-variable-axis-ratio model

13. The short, bulb-like ellipse as a model for the fracture tip

Ill

14. The minute microsystem applied to the stress distribution around the
bulb-like fracture-ellipse

Ill

15. The notch as a means of stress concentration in the composite model of

the fracture edge

16. The assumption that the average tensile strength at the edge of the
axial cleavage fracture will equal the disk-test tensile strength

...,

(theory + observation)

II

17. The fracture edge and tip represented by the regular array of atomistic
points after Boscovich, with 2a and 3a as the unstable zone
18. The S.L. (Scouting Lane), extending in front of the fracture tip

II
Ill

c. Concerning the phenomenology

19. The phenomenon of the Axial Cleavage Fracture

20. The Principal Law 1st part (brittle fracture is always tensile
fracture, observation)

21. The Principal Law 2nd part (brittle fracture follows the principal
plane III, observation)

22. The complexe shear zone (en chelon array of tensile crack,
observation)

173

23. The stress differentiation in multishear cataclasis (observation

Cat.nr,

+ explanation)

II

24. The added shear stress by which the principal planes will tilt and the
.conditions for axial fracturing may be fulfilled (observation in the
mine as well as in the laboratory)

25. The construction of the above mentioned phenomenon with Mohrcircles:

Qualitatively

Quantitatively

II

26. The presence of a transverse stress in front of the fracture edge in

the case of the curved fracture plane in bending

Ill

d. Concerning the acoustic phenomena

27. T., the travel time, transverse; at first, at lower axial loadings,
this travel time recedes by improved contacts : compaction

II

then, at higher axial loadings, it increases through reduced contacts,

result of axial cataclasis: decompaction

II

28. Interpretation:
Compaction is associated with compressive stress

Ill

Decompaction is associated with tensile stress

Ill

Evaluation as

31

(abt. 100 kgf/cm

or 10 MPa)

Ill

29. T p The travel time in the axial direction; receding T^ in the case of
unloading indicates directtensile relaxation cracks

e. Concerning the axial cleavage fracture features and their inter

pretations
30. The (supposed) intermittent crack propagation (model)

Ill

31. The oblique crack swings around into the axial position and then it
stops.
Observation

Interpretation by induced stress fields

Ill

32. Axial cracks do not merge;

Observation

Interpretation by induced stress fields

Ill

33. The selfdirecting power of. the axial crack

Observation

Interpretation by induced stress fields

Ill

34. The axial crack will not cut into a .parallel free wall.
Observation

Interpretation by induced stress fields

Ill

174

f. Concerning the opening of the fracture edge in the case of axial

pressure
35. The opening of the edge is an indisputable fact
The shape of the short-ellipse being a model

Cat.
nr.
I
Ill

36. The comparison with a phenomenon of buckling seems doubtful,

because it is not supported by the theory of elasticity

IV

37. The induction theory, based on observation, but presented in this

shape by means of modeling

Ill

38. The picture of the crack, consisting of a tight "body" and open borderellipse with variable axis ratio
39.

Ill

Oj exerts no influence on fracture propagation

40. The induction equations as a consequence of the ellipse model

I
Ill

41. The course of the changes of the shape of the border- or fractureellipse as a result of combined models and assumptions

IV

42. Changes of the crack opening, brought about by pressure (the

breathing of microcracks) have been observed indeed

g. Miscellaneous
43. The onset of the axial crack by means of stress concentration near
the edge of an oblique oblong open pore

Ill

44. The onset of the axial crack by friction along existing oblique cracks
or granular interfaces (observation)

45. The "Cohesion diagram", a combination of strongly stylized data,

theories and assumptions

IV

46. The proposed energy balance at the fracture edge; not yet based on
hard facts; still an acceptable result of the assumed induced stress
field at the bulb-like fracture edge, combined with observed effects
of relaxation and inspired by Griffith's original balance of
energies

5. Conclusion
34 Items, item 13 to 46 concern the subject of axial cleavage fracturing
as it is treated in this report.
To these 34 items (and sub-items) 43 category numbers have been attached:
Category I

16 times

Category II

6 times

Category III

(observations)

17 times

Category IV

3 times

Category V

1 time

Although we could debate (for a very long timet) which item falls within
175

which category, this would not - to the author's mind - change the conclusioni i.e. that the proposed heuristic approach
(a)

lies on firm (observation) ground

( ~

1/3 i.e. 2

30% in

(b)

gives satisfactory explanation to most of the problems (again

Category I)
30%, in Category III).

176

CHAPTER

Practical application of the Principal Law

1. THE PRINCIPAL LAW

The phenomenology of brittle fracture in rock at compressive loading has
been treated in chapter III. This led to the formulation of the Principal
Law, Part (1), see page Al. Primary fracture phenomena in solid rocks and in
comparable materials with a predominantly brittle character are always the
consequence of tensile stress, whether direct or indirect, induced; the primary
cracks and fractures are always perpendicular to the direction of that stress.
In chapter V, demonstrated by the tests of five different scientists on five
different occasions, the Principal Law, Part (2) was formulated: In brittle
materials like rock, the primary fracturing consists of axial cleavage
fractures: they follow the principal plane III, bearing the minor principal
stress. (Compressive stress regarded positive) and they contain the direc
tions of the major and the intermediate principal stresses; see page 90 and
figures 39 and 40.
The other way round the observed axial cleavage fracture plane defines the
principal plane III in the rock, bearing the minor principal stress; the
directions of the major and the intermediate stress lie in the plane of the
axial cleavage fracture.
Usually the direction of the major principal stress can be pointed out now.
The conclusion is that, provided we can determine the axial cleavage fracture
definitely, we are able to identify the directions of the principal stresses,
prevailing in the rock during the period of the generation of the fracture.
To that end we have developed a "fracture and fracture plane analysis".
2. FRACTURE AND FRACTURE PLANE ANALYSIS
By careful inspection of a fracture plane it io possible to determine
whether the fracture ia brought about by direct tension or by indirect, in
duced tension.
As a tool we need a beam of bright light from a portable lamp in order to
illuminate the fracture plane by oblique or skimming light from many diffe

177

rent sides. This has to be done when it is dark. In underground mining or

in the laboratory this forms no problem. In exposures at the surface how
ever, it can be rather hard.
In both cases, in the case of direct tension (a) and in the case of in
direct tension (b), we expect to find a nucleus or fracture source and
lineation of diverging orthogonal trajectories or radial traces.
(a) The direct tensile fracture
In rocks with a granular structure however, the direct tensile fracture
plane shows a rough, "crystalline" surface. The details of nucleus and
lineation disappear.
A second characteristic, however, will hold: the fracture plane is as a
rule not perfectly planar and it does not repeat in parallel because the
first fracture destressed the rock. A monofracture is the result.
(b) The indirect or induced tensile fracture
The plane of the axial cleavage fracture on the contrary shows always a
planar, smooth surface, for the fracture cuts through the grains. There
fore the details such as diverging radial traces are as a rule clearly
visible and sometimes the fracture nucleus as well.
Because the rock mass is not destressed by the generation of the first
axial .fracture it may be repeated in parallel forming a parallel multi
fracture system or a parallel cataclasis.
In all cases of the occurrence of brittle fracture, whether being generated
by direct or by indirect, induced tension, the Principal Law, Part (2) holds.
Some examples
An example is formed by the occurrence of vertical and subvertical joints
or diaclases in the earth's crust. They bear the characteristics of the in
direct, induced, tensile fracture: the lineation as well as the parallel
arrangement.
Another example is the parallel fracturing in the walls of underground
excavations at greater depths. These fractures belong to the type of the
axial cleavage fracture as well.
The axial cleavage fracture is the most occurring fracture phenomenon in
rock.

3. THE ADDITIONAL SHEAR STRESS

Parallel cracks in the hanging wall

About 1950 it was discovered that the hanging wall of the longwall coal
face showed a system of parallel cracks at regular distances. The first

178

scientist who observed and reported this phenomenon and its systematic
, t
16
nature was Labasse
.
These cracks appeared to belong to planar fractures, which repeated in
parallel. This is typical for axial cleavage fracturing, as we know now.
The direction of the fractures was oblique, about 60 s to 75 s to the bedding
of the coal seam.
In those days, however, the axial cleavage fracture had not yet been analy
zed and the phenomenon was not yet incorporated in the arsenal of the tech
nical possibilities of the technicians. They knew only the shear fracture.
Therefore, they considered the above mentioned fractures to be the result
of shear and they looked for the responsible shear stress; De Reeper,
1953* 3
Of course they did not find an acceptable solution.
The axial cleavage nature recognized
Then it happened that the present author had identified the axial cleavage
fracture by laboratory tests; see chapter III.
By the courtesy of the Dutch State Mines he was enabled to investigate the
fracture planes of the hanging walls of many long wall coal faces. Without
any exception the fractures showed the characteristic lineations and the
parallelism of axial cleavage fracturing. It was sure now, that shear stress
was not involved in their generation.
Through this observation the parallel fracture system in the hanging wall
and later on in the footwall as well, was identified definitely as axial
cleavage fracturing.
As a consequence the major principal stress must follow the oblique direc
tion of the fractures, being about 60 s to 75 s to the bedding, sometimes more,
sometimes less.
The inclination was variable and not constant.
The next step was to find an explanation.
Friction between the coal and the hanging wall causes

Now, there was still another observation: the coal was squeezed out. This
was brought about by the pressure peak in front of the coal face.
As a result a shear stress must have been generated along the hanging wall.
The addition of this shear stress a d to the principal stress
ried out in the Mohr

Oj is car

0 diagram as is shown in figure 80.

The construction leads to the solution of the problem

This construction points out that the addition of a shear stress
normal principal stress

to a

results in a larger major principal stress p.

179

1/

IHyt'/HMf';l!t'hp/'M.f.
n
1
1'li'li'l'il''
',"
1 ", "
Inj / / // //// /, ;//. '

j, 'It'll 'hl>;ii<< li 'I,

"W

Viji,J'ii;j;i>;;iai

liiiiWFv
t'll,

coal

ax.cl.fr.

FIGURE 80

A x i a l c l e a v a g e fracturing in the h a n g i n g w a l l of a long

w a l l coal face
a: C a t a c l a s t i c f l o w in t h e coal towards the coal face i s caused b y
the c o n c e n t r a t e d stress O i t h e flow causes the shear stress
+ in (b)
b: The hanging wall, lower strata, shows systematic oblique cleavage
fracturing; (90 ) is usual between 60 and 70
c,d: The upper strata in the hanging wall as well as the foot wall
strata show fracturing as well
e: The c<ivedin goaf; lineations show the characteristics of the
axial cleavage fracture f,g,h,j: in combination with +

result

in the stress condition (pj, P 3 ) , favourable for the generation of

axial cleavage fracturing (2

order fractures)

Notation: ( ^ , 3) +

new, tilted stresses ( P p

180

3)

and a minor and smaller one 3. By their magnitudes in combination with

their ratio the conditions for axial fracturing in the oblique direction
are fulfilled.
The generation of the systematic axial fracturing in the hanging wall of
the long wall coal winning was explained.

4. THE INCLINATION OF THE AXIAL FRACTURING IN THE HANGING WALL

The construction in figure 80 shows that the magnitude as well as the ratio
of

3 and

pi depends on O p

3 and

T J . So does the inclination of the

induced cleavage fracture system. The inclination is therefore not constant,

but it depends on the local coefficient of friction between the coal and the
hanging wall. This coefficient may depend on many various causes.
The fracturing in the hanging wall of a long wall coal face is generated in
the zone of the stress peak some meters in front of the coal face. It is
accompanied by fracturing in the coal and in the footwall.
The latter cleavage fracture system however, is usually overlooked.

5. 1st AND 2nd ORDER DISCONTINUITIES AND FRACTURES

Now we want to generalize the subject of adding an extra shear stress ..
Such a shear stress can generate along several kinds of discontinuities.
Bedding planes and fracture planes are good examples. See figure 81
They are clearly visible. However, internal movements, brought about by
inelastic deformations, appear to generate extra shear stress as well. And
so do abrupt local changes of the elastic stress pattern. They can generate
a

j. In those cases however, we can hardly speak of discontinuity, but

the effect is similar. See figure 83, 84, 86 and 87.

In our "Jargon" we will call the discontinuity, along which the shearing
movement has occurred, the 1st order discontinuity. This might be a bedding
plane or a fracture plane.
The axial fractures, caused by the shearing movements are called 2nd order
fractures or discontinuities. As a result of Internal movements 3rd order
fractures may be generated.
Continued movements will result in first crumbling, and ultimately in the
forming of mylonitic structures.

181

static load result of m o v e m e n t f r a c t m e condition t o r 2 n d o r d e r axial

"

k _

* "'

'

'

<S

ractunng

/
[JL
1

when h < v
than < 45*
and 4 5 '

* Alj^J-u
when (3h>0v
j than >4S'

and <43'
On.t
12

2 n d Order fracturing indicative for the state of stress

FIGURE 81

in the rock mass

Small shearing movements between the strata cause 2 n d order fractu
ring
Series 15: The original stress condition Cv

vert^

combined

with + (2) leads to 2 n d order fracturing (5) with an angle 45

to the bedding
Series 610: When in the original stress condition
then

3 >

< vert

^ *

45 (10)

Series 1115: If originally

Ohor > Overt

(11), then <45

Conclusion: The 2 n d order fractures are in a qualitative way indica

tive for the then prevailing stress condition in the rock mass
Notation in figure 81:
^h*

new, tilted stresses (^, a^)

182

6. 2nd ORDER FRACTURES IN TECTONICS AS A MEANS TO DETERMINE THE PREVAILING

STATE OF STRESS AT THIS TIME
In the meantime phenomena of the same kind of axial Iracturing has been
found in exposures at the surface. Thin, less competent layers between
thick, more competent banks showed the same type of parallel 2nd order
fracturing. The conclusion was, that there must have been small shearing
movements involved.
The rule
These observations lead to the constructions in figure 81. An important rule
was derived from these constructions.
1. If the angle between the 1st order discontinuity (bedding plane,
fracture plane) and the 2nd order fracture system is obtuse, then during
the shearing the principal pressure . in the rockmass, perpendicular to
the 1st order plane, must have been larger than the pressure along the dis
continuity (j)
2. If this angle is about 45 s , then both principal stresses were about
equal: Oj ~

Oj

3. If the angle

is sharp, then the largest stress O j must have been

parallel to the 1st order discontinuity, the bedding plane.

The conclusion is, that a 2nd order axial fracturing as a result of small
shearing movements between strata or between slabs is, in a qualitative way,
indicative for the then prevailing state of stress in the rock mass.

7. 2nd ORDER FRACTURES IN THE HIGHER STRATA OF A LONG WALL FACE OF A COPPER
ORE EXPLOITATION
Figure 82a has been copied from the photograph of a long wall copper ore
face at 600 m depth (Mansfelder Kupferschiefer).
The applied method was completely comparable with the long wall face in
coal mining.
A difference however was, that the copper bearing shale as well as the
hanging and footwall consisted of very hard rock.
The hanging wall was dolomitic with a compressive strength of about 2000
kgf/cm2 (200 MPa) and more.
Axial fracturing in the lower strata
The strata of the hanging wall direct on top of the stope showed an axial
2nd order fracturing of about 45* to the bedding plane.
The conclusion is, that in the zone of the stress wave in front of the
stope, the vertical and the horizontal stresses must have been about equal.

183

FIGURE 82

Hanging wall strata show differences in horizontal

pressure
a: Copper ore exploitation by means of the long wall method
(Mansfelder Kupferschiefer)
b: The lowest roof strata; the 2 n d order fracturing shows that in the
pressure zone a h o r ~ v e r t
c:

hor vert

d:

hor

yy

v e r t ; b u c k l i n g i s brought about by l o c k e d - i n s t r e s s

energy
e: The cause of the differences is the measure of the locking-up after
the strata regain their horizontal position
f : The development of the vertical stress in the lower strata of the
hanging wall

184

Axial fracturing in the higher strata

The inclinations of the axial 2nd order fracturing in the higher strata
show a systematic regression. This indicates an increasing upbuilding of
the horizontal pressures.
The reason is showed in figure 82e.
Namely, the lower strata can destress in a limited way because they cavein
behind the long wall stope in the goaf or gob.
In the higher strata however, the volume increase as a result of cleavage
fracturing has to be assimilated in the elastic way. These strata are
subject to a long Sshaped deformation, in which fracturing is involved.
At the end they regain their original horizontal position and also their
original length. The cataclastic volume increase must be assimilated then.
This brings about very high horizontal pressures. These pressures, in ad
dition to the oblique direction of the cleavage fracturing, causes a down
ward stress component and downward dilatation.
This mechanism may be responsible for rock bursts along the stope face.

8. LOCKEDIN ENERGY
Such high pressures in the strata of the hanging wall form an accumulation
of "lockedin" energy.
In our suggestion on "The balance of energies at the fracture edge" see
paragraph 13, appendix to chapter VII this kind of energy is denoted by
the term Y. If Y exceeds a certain level the crack propagation will have
an explosive character: rock burst.
Such phenomena were not unknown in coal mining by the long wall method.
Especially when the goaf was prevented from caving by filling it up with waste
in order to limit the subsidence of the surface, unexpected rock fall at
the coal face was not uncommon. The above mentioned release of "lockedin"
energy could have been the cause.
In the present days the support systems at the coal face appear to be so
solid, that such events might remain unobserved.

9. THE BENDING FRACTURE A RESULT OF n j

Leverage being the cause of .
As is shown in the picture of the bending test in figure 5, the bending
fracture plane consists of a planar part and a curved part.
It is easy to explain the planar part. It is generated in the tensile zone.

185

But, why does the fracture follow a curved path when It cuts through the
compressive zone ?
From another observation it was concluded that this curved shape is caused
by the effect of leverage. During the development of the planar part the
loading condition as well as the stress distribution changes. The material
in front of the fracture edge is subjected to leverage. Leverage means the
generation of transverse shearing forces or shear stresses in front of the
crack edge.
In figure 80 and 81 it is shown how an additional shear stress

j causes

the principal planes to tilt. Later on they may even rotate.

At the same time

j brings about a change in the magnitude of the prin

cipal stresses. The minor principal stress may even become tensile.
This is the case indeed in bending.
As a rule leverage starts very faintly, but when the fracture proceeds it
increases in a fast tempo. This causes the fracture plane to curve pro
gressively which brings about that typical shape of the bending fracture
plane.
The mechanism of "peeling"
The above mentioned general explanation was induced by the analysis of a
special case, to which it has been referred above.
This forms again an example of the heuristic way, applied in this research.
Figure 83 shows a large chip which was expelled from a specimen of uniaxial
ly loaded granite. This chip showed a partly planar fracture plane which is
partly planar and partly curved. The planar part had the smooth surface of
the axial cleavage fracture in granite. This part was continued by the cur
ved part with the rough "crystalline" surface of the direct tensile fracture
in coarse grained granitic rock.
The rotation of the direction as well as the change in the nature of the
fracture plane pointed out that a transverse shear stress
been involved. Without doubt this

j must have

j was caused by leverage as a result

of large deformation. The effect was

that a tensile stress was generated

at the fracture edge at an angle to the original compressive stress in the

material. The fracture followed that tensile stress and it curved.
Through the propagation of the tensile fracture the leverage increased
rapidly and so did

J. This resulted in the curved shape of this bending

fracture.
Under special circumstances the curve develops more intensively, deeper.
We will denote this mechanism by the term "peeling". The peeling effect

186

Je.

ty

joi

J.
' l i n' i lot
| . 3
I
li
I
Tod^D
Cl/Q|.k0.1

II

Pi>i.
Ari

i'3i

complex
frocture zon

curved, rough turfoce:

direct tension

~$?::
tfad

<fc

tmoolh axial
'cleavage Iroctur

i%

Val 3i/

ia,

V
Pi

vX....'

bending or peelingoff effect in granitic rock

FIGURE 83

The peelingoff effect

a: The onset of failure in a specimen of granite by the generation of

a complex shear zone B; a large chip is expelled
b: The chip shows the complex fracture zone (), the smooth surface of
the axial cleavage fracture in granite and a curved rough fracture with
the "crystalline" surface of the direct tensile fracture in granite
c: Fracture zone B caused a leverage which brought about a

j in D,

in front of the fracture edge C

d,,f,g,: The sum of the stresses results in the stress condition in
D:

j > O p whereas 3 has become tensile, causing direct tensile

fracturing at an angle to the axis of the specimen; the effect of the

leverage increases, the influence of * increases; the fracture plane
curves
h,j,k.: The construction with Mohr circles
Note: If there is no Ta(j> then no chip will be formed, but a mono
fracture, multifracture, or a bunch of needles; see the figures 7,
66e,

74 and 75

Notation in figure 83:

( Op

3) + TadMiew, tilted stresses ( P p

187

P3)

(Cr)

direct t e n s
fracture
(secondary e f f

(R)

rim crack:
( p r i m a r y eff

generating
rim crack
FIGURE 84

destressing,
c.q. flow

The process of disking

a: The rotating drill hit and the pressure PVJ..

b: Friction F. on the bottom could cause oblique cracks
c: Friction F2 at the core side could cause vertical cracks; such
cracks have not been observed

188

plays an Importane role In the analysis of the shear zone; see chapter XI.

10. "DISKING" AS A RESULT OF DESTRESSING

Sometimes f when a core Is produced from the wall rock of an excavation at
great depth by core drilling, the core may show partings.
Such partings can divide the core into disklike elements.
In many cases this will be caused by the occurrence of axial cleavage multi
fracturing parallel to the wall of the excavation. This type of core parting
should not be called "disking".
True disking is expected to be the result of special processes in front of,
or at level with the drill bit, e.g. by destressing.
This type of disking was determined in two rock salt cores. These cores were
produced by core drilling in the side wall of an underground roadway at a
depth of 850 m In the rock salt mine Asse II in Germany.
Description of the rock salt cores
The core diameter was 50 mm; the length of each core was A.200 mm. The cores
wer taken perpendicular to the wall of a roadway in rock salt at a depth
of 850 m.
The cores were divided by partings into pieces of a length between 10 cm
and about 26 cm. The longer pieces showed a tendency to break easily into
smaller parts.
The partings were always of the cupandcone type. The cone was always direc
ted opposite to the direction of the drilling. The upstanding rim of the
cupside showed at many places the smooth surface of the axial cleavage
fracture, cutting through the grains.
The center part however, showed the "crystalline" structure of the direct
tensile fracture. This picture was found so frequently

that the situation

was clear; see figure 84d.

d: Rim cracks R may coincide and the complete cupandcone type

fracture may generate; the rim cracks are the primary effect, showing
the characteristics of the axial cleavage fracture, cutting through
the crystals; the center part shows the "crystalline" appearance of
the direct tensile fracture, being a secondary effect
e: Obviously the rim crack R is generated as a result of P b i t and

ad,

brought about by flow or destressing; see figure 86 and 87

189

Hfif
FIGURE 85

Only static load c onsidered

a,b,c: The analysis of Boussinesq in the case of static load; see

Timoshenko^7
c,d: The stress in points A and in front and aside of the drill hit,
, where the rim crack generates
e: Possible axial cleavage frac turing in point R in front of the drill
bit does not occur; axial cleavage fracturing in point would show
a sharp angle to the core axis, whereas the observed true angle is
obtuse

The cores showed at the outside a special type of axial cracks. They were
visible through internal reflection in the semi-transparent roc k salt.
We have called these cracks "rim cracks". They were found at every 2 to
4 cm. After '6 to 26 cm a set of these rim cracks would c oinc ide. The core
was much weakened at that spot, so that partings were formed there. Then
the central part broke by tension during the handling of the core. This
caused the "crystalline" fracture surfac e in the central part.
The conclusion was, that the rim cracks were generated first, the partings
later on.
The rim cracks had an estimated angle of 30 to 40 to the section plane
normal to the centerline. As already mentioned, they were of the axial
cleavage frac ture type.

190

"lp"
Pbit LU, s

rodtgi
.. T,TL.,low
II..!*

I!
FIGURE 86

. being a necessary component

a: Rim crack R shows an angle 6 to plane III; the stress element is

adapted to this observation
b: The conclusion is that a shear stress

. must be present as a

result of destressing or flow

c: The addition of aj to ^ 1 leads to the required result
d: The construction shows that ,

must be the largest pressure,

whereas ^ i t must be the minor one

Notation in figure 86:
( 7, O V J J

+ Tadnew tilted stresses ( P p P3)

Mechanics of the rim crack

The starting point is the observation that the rim cracks show the nature
of the axial cleavage fracture. They mark the position of the local

The oblique position to the center line of the core means that they do
not fit in the stress pattern of the high stresses in the wall of the
roadway.
Could the drill bit pressure be the cause 7
At first we tried to find a solution for their generation by means of the
current theory of elasticity. The pressure of the drill bit might be res
ponsible for the rim cracks.
We have proposed the theory of Boussinesq , see Timoshenko's "Theory of

191

pri

Situation
BL 1

Oyl
CJbit

BL 2

Horizontal drillholes
Situation of point R

Original principal
Stresses in point R

core

Gyjft

Pbit

Trajectories of deforma
tion at a large distance
in front of the coring bit.
FIGURE 87

The same trajectories direct

in front of the bit.

Plastic flow or destressing being the cause of disking

a: The situation: at a depth of 850 m the lithological pressure is

about 200 kg/cm 2 or 20 MPa, whereas

,, and a , might be 1,5 20 MPa

z
y

r 30 MPa; the drill bit pressure is much lower

b: The stress element at a large distance in front of the drill bit;

has a relatively small value

c: The stress element nearby the drill bit;

drops to virtual zero

whereas the material will at least be destressed and probably it will

even flow to the drill core; this destressing, c.q. flow causes j

An analysis of the relevant stress distribution however, did not lead to

a solution; see figure 85.
Destressing or even flow as a cause
The next possibility to explain the rim crack was the generation of an
additional shear stress

T _ J Figure 86 shows the required ..

In figure 87 it is shown that

may be brought about by flow in the

rock salt as a result of high tangential pressures in the wall of the

road way.
In the case of rock salt it is very tempting to suggest inelastic flow.
However, a local intensive change in the elastic stress pattern should
lead to a similar effect.

192

CHAPTER XI

Stress differentiation

Beside Che phenomenon of the axial cleavage fracture as a primary effect

in uniaxial loading, the phenomenon of the primary conjugate, complex shear
zones has been observed.
These shear zones, when visible, consist of open tensile cracks, arranged
in the "en chelon" way; see figure 8 and 9.
This phenomenon is characteristic of the destruction type III. It shows up
rather clearly in Carrara marble; see figure 16 and 17.
The phenomenon of the conjugate shear zones links up with the view of failure
by shear, according to Mohr-Coulomb.
We will develop an analyses of the mechanisms which are involved in this
phenomenon.
We have studied these mechanisms predominantly in Carrara marble: Carrara
marble is our model-material and as it is usual in such studies, the
observed phenomena are strongly idealized and schematized.
Inelastic deformations in solid rock
We have grouped the rocks in a system of destruction types. This system is
based upon their inelastic behaviour. Some rocks follow the true plastic
way by means of recrystallization, such as rock salt. The most frequent
mode of inelastic deformation, however, is through brittle fracture. An
example of almost perfect brittleness is lithograptic limestone.
In between these two extremes we can form a series with increasing brittle
character; see figure 88.
1. The true plastic deformation by physical dislocations, i.e. by recrystallization; figure 88-a; see also figure 29.
2. The plastic deformation as a result of flattening and laminating or
stretching of weaker, argillaceous constituents; finally the effect of quasimicroboudinage may be reached; figure 88-b; see also figure 14.
3. The process of selective grain crushing; figure 88-c.
4. The process of crushing grains which are arranged in a special pattern;
figure 88-d.
193

k^jafegggq

m
FIGURE 88

3^

XX XX

limiting
condition
G m 1*sin
U2 1sin

I
I

"

A series between pure plastic and perfect brittle beha

viour at inelastic deformations

a: true plastic deformation through physical dislocations or recrystal
lization shows no signs of fracturing; compare figure 29
b: true plastic deformation as the result of flattening, stretching
and laminating of the weaker argilaceous constituents; the final
effect is quasi microboudinage; see figure 14
c: deformation by the process of selective grain crushing in granitic
rock; stress differentiation
d: deformation by the crushing of specifically arranged grains in a
monomineral rock (marble); stress differentiation
e: axial microcataclasis is limited to only one or two grains by crys
tal plasticity
f: the conjugate directions of the (future) shear zones SZ, result of
stress differentiation, being an element of plasticity; Carrara marble
g: parallel axial cleavage cataclasis, a proof of brittlness; granite
h: parallel axial multifracturing, a proof of perfect brittleness
i: schematic picture of a triaxially loaded loose granular mass (sand);
the conjugate directions after Coulomb are indicated
j: conjugate shear zones in the loose granular mass ;
the conjugate directions after Coulomb are indicated; the bearing
power is brought about by the "passive" stress

194

Oj

5. The generation of axial microcataclasis; figure 88n.

6. The generation of the "en chelon" arranged open tensile cracks in con
jugate shear zones (Carrara marble); figure 88f.
7. The generation of parallel axial cleavage cataclasis; figure 88g.
8. The generation of mono and multi axial fracturing; figure 88h.
This series represents the transition from true plastic to ideal brittle
behaviour.
In the examples (e) and (f) elements of plasticity are involved which have
been observed in Carrara marble.
The conjugate, oblique, special zones
The phenomenon of the oblique zones with "en echelon" cracks bears partly
a brittle character. However, the true plastic element of crystal plasti
city is present as well.
This mode of deformation can be compared with the deformation of the loose
granular mass, such as sand, in triaxial loading. In soil mechanics the
equilibrium in sand is often represented schematically as shown in
figure 88j.
The loose granular mass owes its bearing power to the outside confining
pressure

O j , being the "passive" stress in the cohesionless mass.

When this confining pressure is insufficient, the whole mass will collapse.
According to the schematic picture the mechanism of failure is shear along
the two conjugate directions, following the theory of Coulomb.
If the external confining by

0j, which brings about the bearing capacity

in sand, is thought to be replaced by the internal cohesion in Carrara

marble, the similarity of these systems is striking; see figure 88f.
The destruction pattern in Carrara marble
It has already been mentioned that the destruction pattern in Carrara marble
is controlled by a mixture of brittle elements and true plastic features.
The result is a very special behaviour. In our system we have called this
behaviour the "destruction type III", see figure 17.
A brittle element in Carrara marble: the microcataclasis
As all observed rocks Carrara marble passes through the phases A, B, C and D
of the e diagram; see figure 13.
By definition the elastic phase A must be present in every solid material.The
next phase, phase B, contains an Inelastic element. In true brittle rock this
element consists of the generation of axial cracks; see figure 7.
This is the case in Carrara marble as well. However, the usual cataclasis

195

^ . . f ft h. concentrated

___I__J

induced tension
border ellipse

r=th

FIGURE 89

A microcrack forms microcataclasis in Carrara marble

The microcrack is generated from a nucleus N; it extends through one

grain (a calcite crystal) as a result of the stress concentration
th'

w h e n the

crack enters the next calcite grain with a different

crystallographic orientation then crystal plasticity in the zone pi

causes the crack propagation to stop because of the reduction of

th t 0

1 ' t n e (l w e r ) extremum

^ has moved away from the crack

edge; see further figure 90h

does not develop in this material; instead a microcataclasis will He gene

rated, according to figure 88e and figure 89.
As a result of crystal plasticity in the calcite crystals, being the only
constituent of Carrara marble, the cracks cannot develop further than the
size of one or two grain diameters. Therefore, they are not conspicuous and
they are easily overlooked. They do not play any role in the process of des
truction.
These microcracks form the only connection between Carrara marble of the
destruction type III and the true brittle rocks of the destruction types I
and II, such as granite.
The transitional phase AB
During the research on the primary fracture phenomena in the destruction

196

types I and II the attention was focussed on the characteristics of the

axial cleavage fracture and on the theory of the induced tension. The
occurrence of the parallel system of the axial cataclasis was associated
with the randomly distributed fracture nuclei in the material. The stress
distribution as well as the definition of the conditions for the generation
of the induced or Indirect tensile stress formed the main point of interest.
The deformations of the cylindrical specimen stood only on the second place.
The randomly distributed fracture nuclei exist in Carrara marble as well.
However, as we have seen, the full development of the axial cracks was prevented by crystal plasticity. Therefore, the result was only an insignificant
microcataclasie. The axial microcracks lose their function in the destruction process whereas the material appears to have lost almost nothing of
its intact character of phase A. Therefore, the material is regarded to
find itself in a transitional quasi-intact phase AB. See figure 90-a.
The principle of "stress differentiation"
After the microcataclasie has lost its function the material must bring
its next posture of defense in position against the ever increasing load.
It will offer resistance to the destruction by means of larger and differentiated deformations.
The following sequence of events is concluded from the observed features,
partly in an indirect way.
At the end of the transitional phase AB, when the influence of the microcataclasie has been nullified, oblique zones SZ will begin to form in the
material; at first however, without fracturing. These zones follow conjugate directions, which will fit later on with the conjugate system, according to the Mohr-Coulomb failure by shear; see figure 88-f.
These zones could be compared with the "Luders' bands" in metals.
The capability to behave in this way must be regarded as a special characteristic of material belonging to the destruction type III.
However, the true brittle rocks like granite appear to follow the same
tactics when the generation of axial cleavage cataclasis is prevented by
high confining pressures, c.q. pressures of 600 to 1000 bar (60 - 100 MPa).
We call this phenomenon "stress differentiation".
The imposed large deformation forces the material to yield by means of special shear deformations. These deformations are concentrated locally in the
oblique future shear zones SZ. These zones are distributed throughout the
material. In terms of stress theory this locally intensified deformation is
brought about by locally increase of the shear stress, probably at the cost

197

z=D

<*A
,

ir

.2 G

\%X

c</ \ !
! G

G2 !

co
03

future SZ J *
shear zone

issiSfuSrdifferentiatin 3pi :
f '

' ^ s t r . differentiation causes

en echelon" fracturing;
inelastic effect
.

UOA

FIGURE 90

The generation of Che "en chelon" crack arrangement in

Carrara marble
a: the e diagram, showing the phases A, AB (covers ),,0 and D
b: deformation in the elastic way; critical oblique directions GG
and G2G2 bear the stresses

OQ

and

c: the Mohr circle for the load ; the image points G and G2 bear
on the critical directions in (b)
d: at a load

stress differentiation prepares the oblique

conjugate future shear zones SZ according to the critical directions

in (b); the shear stress is locally increased by a d ; the load incre
ment A stands for the small loading path of "quasiintact" beha
viour, the initial phase of stress differentiation AB ; is further
neglected
e: the stresses

and in the critical directions and the site

of a future zone SZ before stress differentiation

f: the quasielastic shearing movement shm causes a relatively large
shearing displacement in zone SZ; this displacement is accompanied by
the generation of an extra shear component

y,

in (c) the construc

tion of the changed stress distribution in zone SZ is shown; the ad

dition of

. brings about the required tensile stress

P3 as well

as the observed angle of tilt , being in this stage about 46

g: the first initial crack is generated within the tensile stress
field p 3; crystal plasticity prevents full development; a destres
sed zone is formed; compare figure 42a (3)(Griffith)
Initial crack 2 generates outside the stressless zone 1 in a weak
point of SZ, giving rise to the "en chelon" arrangement; etc.
h: see figure 89
Note:
The heuristic element is formed by the observation of the open initial
tensile cracks, indicating that there must exist an extra component

j the result of the construction (b) fits in with the actually

observed angle of tilt

Notation in figure 90:

( , 0) +

Tadnew, tilted stresses ( Pj, P3)

199

of receding shear in other parts: the enclosed diamond shaped elements.

In these special zones the average shear stress
amount

has increased by the

jj see figure 90d.

The result is that the stress condition inside the zone SZ changes signifi
cantly. According to our construction, which is the graphic equivalent of a
cumbersome calculation, the new major principal stress pi is increased and
tilted, whereas the minor principal stress p?

is reduced.

In uniaxial loading o will become negative, i.e. tensile, as required.

At the same time the principal planes will tilt over an angle of about
46; see figure 90f. Now the material is prepared to develop the "en
chelon" fracturing. Compare figure 80 and 81.
The generation of the tensile "en chelon" arranged cracks
At a certain moment the first small tensile crack will open at the weakest
spot in the zone SZ; see figure 90g.
This is probably the first true irreversible inelastic element, marking the
onset of the true phase 6.
The first crack in the zone SZ opens within the tensile stress field p,;
see figure 90g.
According to Griffith's original concept see figure 42 , there will form
a stress concentration at the fracture edge. As a result of the crystal
plasticity of calcite the material at the edge will deform in the plastic
way. The stress peak will decrease, whereas the reduced extremum

moves

away from the edge.

A destressed zone is formed. Within this surrounding circular zone fractures
cannot generate.
The next tensile initial crack has to start in a weak spot outside that
unstressed zone. The process is repeated, resulting in an "en chelon"
arrangement of the initial small tensile cracks.
They mark the zone SZ; see figure 90g.
The reader should remember that the zone SZ must have been prepared during
the loading path

Ojg by stress differentiation before the initial cracks

opened.
The quasiintact loading path of P A R
The idea of the existence of a loading path ^, between the true intact
phase A and the true cataclastic phase is based upon the observation of
the "en chelon" arrangement of open cracks. These cracks are not randomly
distributed throughout the Carrara marble; their location must have been
prepared.

200

The fact thac these cracks are open proves the existence of very local ten
sile loading. This local tensile loading must have existed before the
opening of the cracks. The material was still intact then; see figure 90f.
Therefore, there must exist a smaller or larger "quasiintact" loading path
U^JJ in order to prepare the generation of these special crack arrangements.
This path of "quasiintact" behaviour ends in true plastic materials, like
metals, in the generation of "Lders' bands". In Carrara marble the end is
marked by the "en chelon" cracks.
In uniaxial compression this loading path appears rather small. However, in
triaxial compressive loading it could extend over a wider range, preparing
the crushing of mineral grains; see figure 88c and d. It forms the initial
phase of "stress differentiation".
Although the recognition of that "quasiintact" behaviour appears for the
present only a rather futile point, it could lead in the future to sharper
analyses in other cases.
The development of the sigmoid shape of the "en chelon" cracks
Just after initiation the cracks are still small.
However, they have already marked the forming of laminae.
The increasing axial load brings about an increase of the receded stress
concentration at the crack edge. At last the value of

o t _ is reached again.

The cracks are forced to develop further and true laminae are formed; figure
91a.
Through the increasing shear deformation these laminae are torn loose, in
the way a banana is being peeled: the "peeling effect". As a result of this
peeling effect the ends of the cracks will bend, forming a curve; see figure
91b.In this way the sigmoid shape is formed. This process is similar to the
mechanism in the bending fracture; see figure 5d and figure 83.
The curvature can develop further, until the shape, shown in figure 91c is
reached.
The Internal confining pressure j

During the generation of the sigmoid shaped open tensile "en chelon" cracks
the laminae have been subjected to increasing tilt. They force the "walls"
of the zone SZ to be pushed aside.
The width W of the sone is increased by the lateral expansion A d , , i d ? and
3 in figure 91
This mechanism generates the internal confining pressure

Oj.; see figure

91d.
This selfconfinement brings about higher resistance to the shear deforma

201

V Adj

C3

FIGURE 91

^3

The development of the sigmoid open cracks, lateral

expansion and 0 j ,
a: increased pressure makes the initial cracks develop further and
open more; by their opening the cracks cause lateral expansion

Adi

b: the .peeling effect; increase of shear movement shm makes the

cracks curve as a result of the tilt of the laminae: the laminae are
"peeled off"; the cracks acquire a sigmoid shape; the tilting laminae
cause a larger lateral expanion Ado; note the torsional moment
c: larger shear movement shm makes the laminae almost to be torn free
and the lateral expansion increases to Ado by wringing the zone SZ
further open;d: four zones SZ enclose a diamond shaped body D; this
body is compressed triaxially; the.laminae are loaded uniaxially by
the much increased pressure i a m ; the overall result is the inter
nal confining pressure

(Jj

202

tion. This Increasing resistance causes growing stiffness in the axial

direction. This means that the Young's modulus increases. This phenomenon
is called "strain hardening". See the lines a and a, in figure 10 and 92.
The laminae
The internal confining pressure is maintained by the strength of the laminae.
These laminae are subjected to elevated uniaxial compression __

see

figure 91d.
As the laminae consist of the strongest parts of the material, their bearing
capacity is far better than the average of the material.
They may be regarded as uniaxially loaded pillars, which are subjected to
torsion; see figure 91b and d.
The diamond shaped elements
The zones SZ enclose diamond shaped elements. These elements are loaded
triaxially by pressure. They are not liable to fail. See figure 91d.
The cataclastic equilibrium and failure
As long as the laminae will bear the complicated loading, the cataclastic
plastoelastic equilibrium will be maintained: phase in the diagram.
It is imaginable that, when one lamina fails, a kind of dominoeffect will
happen.

The lateral expansion d will reduce and so will the in

ternal confining pressure 3 i The resistance to shear decreases rapidly

and the material will fail suddenly.
The debris show no splinters like granitic material, but powder, being the
remains of the failed laminae.
This behaviour corresponds rather well with that of the loose granular mass,
such as sand, when the passive

confining pressure

, drops off suddenly.

The volume increase

When, during the compressive test, phase is entered, the volume in
creases as a result of the opening of the initial cracks. These cracks de
velop into first sigmoids and later on into open fissures between the til
ting laminae.
From the foregoing it is clear that there is a relationship between the
volume increase, the internal confining pressure and as a consequence, the
resistance to internal shear. These elements will be more or less propor
tional. Therefore, by plotting the volume increase we will get an insight
into the development of the internal confining pressure O j^ as well as in
the development of the internal local shear stress

+ see figure 92.

The influence of the width of the shear zone SZ

W may rather well imagine that the development of the internal local shear

203

OSI

p h O ^

'7000 + 49.1

^--""".;

- J|

6000 - {

, '
\

3/

5000 35.1^

volume
\<$\ ! $2>'.<\
\ _,
.000+2,, \ Q 2 - /
ph.

D(21.05

)
o

TT^ph.AB

y ).

',

\l000702
ph.

' \
d 2 /

\ '

C N = 9.5MPa

G= 9.1

FIGURE 92

A rough estimation of the possible course and magnitu

des of T a d
A: the volume changes of Carrara marble measured by Bridgman

, see

figure 10
B: assumed course of the volume decrease of the intact material, ob
tained by extrapolation of the stretch a'1 of the intact phase A
(line 1)
C: measured directions G1 and G2 of the critical combinations

(,);

the average of 7 measurements

D: construction of the value of i n t a c t " 19 MPa for a theoretical
intact structure of Carrara marble at (uniaxial) 49.1 MPa, corres
ponding with the above mentioned assumption (B )
E: the possible courses of

T . . and

Line 1: the true volume increase is EFHFEH; the percentile is

EH/EF 100Z 43 I
Basic assumption: the volume increase is brought about by the sigmoid
"en chelon" arranged openings; these openings cause an increase of

jj therefore

J will be a function of the volume increase; for

the sake of simplicity it is assumed that

. should be proportional

to the percentile volume increase; example: j 43% th. intact

shear stress

intact

Line 2: the assumed course of the theoretical shear stress i

under the assumption (B )

Line 3: the hypothetical course of j as the calculated percentile
of

J nt

(line 2 ) ;

j increases dramatically at the end of the phase

C
Line 4: it must be expected that

. will drop suddenly in the

phase C, when the laminae fail "en masse".

Note:
(1) This picture is no more than a very rough estimation, based on
the analysis of the shear zone, see figure 91.
(2) The nature of the resistance to shear shows up correctly (line 3)
(3) The stress of selfconfinement
T

3 ^ could be proportional to

ad

(4) The difference between the destruction process of this destruc

tion type III (Carrara marble) and the destruction process type II
(granite, quartzite) is clear

205

stress + j depends on the width W of the zone SZ.

In the tested Carrara marble the width W was about 0,5 1mm. The wider the
zone, the more pronounced the effect of the stress differentiation will be.
The stronger the laminae, the longer the resistance to failure will be
maintained.
The reverse is also true. The narrower the zones SZ, the shorter the lami
nae, the smaller the lateral expansion Ad and the smaller the generated

31.
The structure of the material, the kind of the minerals, as well as the
loading will control these conditions.
When the material is very finegrained, the tendency exist to develop very
narrow zones SZ.
When only one shear plane is involved in failure, coarse grained rock
produces mylonite, whereas fine grained rock shows only slickensides.
The extreme case is formed by shear planes in argillaceous materials.
Thereby is the zone SZ so narrow, that it is not perceptible. Most probably
such a zone has not been formed at all.
The result is a very remarkable lineation on the shear planes. This linea
tion does not show the parallel streaks of pulverized powderlike material
such as slickensides do.
The lineation on shear planes of argillaceous luaterial such as old, hard,
fossiliferous clay, shows a pattern of rising and diving smoothly rounded
ridges. They are not quite parallel. The cross section gives an impression
of well rounded undulations. The material does not fall apart. Yet these
shear planes form planes of weakness.
However, they do not show any sign of such a mechanism as was found in
Carrara marble.
We will call them "argiltype" shear planes.
Most probably any lateral expansion and volume increase is absent and so
is the internal confining pressure.
Occurrences of the argiltype shear planes
In the European continental coal mining we are almost continuously confron
ted with these argiltype shear planes in the coal. They must have generated
during the period of folding of the carboniferous strata, when the coal had
the constitution of hard clay.
They show up as beautiful

shining and glittering lineated, conjugate shear

planes. These planes have still some cohesion.

During a younger geological period of folding, when the coal had already

206

gained its brittle character, another type of fracture planes were genera
ted: the dusty planes, which the miner takes into account when working the
seam. (English: "cleats", German: "Slechten"). The dust or powder might be
the remains of crushed laminae.
Another example of the argiltype shear planes are found in the coneincone
structures. The surface of the cones shows exactly the same type of linea
tions as coal does.
Effects of triaxial loading
In triaxial loading the effects shown in figure 88c and d become dominant.
Granite showed oblique shear markings on the outside of the cylindrical
specimens at confining pressures of 600100 bar (60 to 100 MPa). These
markings were of the same type as was found in Carrara marble.
The inside of the specimen gave the impression of selective grain crushing.
Therefore, grain crushing might be related to stress differentiation.
We might B tate, that rock, behaving in uniaxial compression according to
the destruction types 1 and II, will behave in high confining conditions
more or less as type III. This is indicative of rule number 4, as mentioned
in chapter I.
The

value of solid rock

The phenomenon of stress differentiation and the related process of grain

crushing shows that the value as a parameter to express the limiting
load for failure, has also significance for rock under special conditions.
The value is borrowed from Soil Mechanics and it is widely used in rock
mechanics as well.

207

CHAPTER XU

Fracture and fracture-plane analysis, diamonds and personal data

FRACTURE-AND-FRACTURE-PLANE ANALYSIS APPLIED TO THE LARGEST DIAMOND EVER

FOUND
During one of his travels the author, joining a party, visited the "Premier" diamond mine near-by Pretoria. In the museum of the mine a.o. a glass
replica of the famous Cu11inan diamond was shown. The author was struck by
the fact this fragment of a larger crystal was partly bounded by planar
planes. Most probably these planes would show the structures and the lineations of brittle fracture: nucleus and radial traces.
Standing at the border of the open pit, the second "Big Hole", the spot was
pointed out where in 1905 the Cullinan, the biggest diamond every found,
was plucked from the side wall. On that occasion the ever lasting question
was put: where could the other pieces of the original diamond be found and
where could more Cullinan-eize diamonds be collected?
In order to gather more information about that subject the author decided
to carry out a fracture-and-fracture-plane analysis. However, because of
the transparency of this type of replica the strutures could not be made
visible by means of slanting light. To this end an opaque replica would be
required.
Back home in Delft a similar glass replica of the Cullinan was borrowed
from the Mineralogical Museum of the Mining Institute. That formed the base
for an opaque replica.
The replica from the replica
The opaque replica was a success. By means of a beam of bright oblique
light many markings became visible.
A series of drawings of the replica, showing the markings, are given in
figure 93.
There are 6 clearly planar planes, connnected by a curved undulating boundary Cb.
The planar planes are numbered 1-6. By means of measuring the angles between these planes the image points could be plotted into the stereographic

209

the Cullinan
3106

FIGURE 93

carat

The Big One

In 1905 the largest diamond ever found, the Cullinan, was plucked
from the sidewall of the Premier open pit diamond mine.
It was as big as a fist. The most dramatic cleavage in diamond history was made by Joseph Asscher in Amsterdam on February 10th, 1908.
The Cullinan was King Edward VII's birthday present from South Africa.
It is kept now among the Crown Juwels of England.

210

OIO

100
FIGURE 94

Application of the Stereographic net.

This picture shows the image points of the 6 planar planes (circles)
of the Cu11inan in the stereographic net; the planes 1-5 lie very
close by the theoretical image points of the octahedron (within the
dotted squares)

net. Five of the six planes fitted in with the directions of an octahedron;
see figure 94.
One plane, plane nr 1 is completely smooth. Parallel lineations S on the
boundary prove that plane nr. 1 must be the outside of an enormous diamond
crystal (Cat.I).
The other planes the curved boundary included, showed lineations or other
markings.
All markings had been faded as a result of resorbtion. The measure of the
intensity of the resorbtion could be used as a means to date the origination relatively. The sequence might have been as follows. The undulating

211

230mm

FIGURE 95

The Cullinan within the triangular side of the

octahedron; the measure of fading-out of the lineations on the sides

deliver an estimate of the sequence of the generation
The possible original octahedral crystal might have had a largest
dimension between 29,1 cm and 33,3 cm, corresponding with edge lengths
of 21 and 23 cm and a distance ab of 17 to 19,5 cm

212

curved boundary must be the oldest one, then nr. 6, then nr. 5 and nr. 3,
then nr. 2 and lastly nr. 4, looking most fresh; (Cat.III).
The curved boundary Cb
The undulating curved boundary Cb does not show special llneatlons except
the parallel lines S, marking the growth of the crystal.
The undulations are most probably the remains of the sharp points of an
once hackly surface, typical for fracture by direct tension (Cat.II).
In our opinion this unsystematic shape must be due to an explosion in the
inside of the crystal (Cat.II).
Not only one crack was produced by that explosion, but a substantial volume
of material must have been crushed. The remains were repelled to all sides
in the fast streaming kimberlite magma in the diatreme.
Perhaps there were four or five big fragments after this first violent event.
The planar planes

26

The llneatlons on the planes 26 show the characteristics of the brittle

axial cleavage fracture (Cat.I). The convergence of the observed radial
traces point to a probable nucleus for every plane, see figure 93. Within
that region the material could have received a blow from another large
piece of hard material floating in the flowing Kimberlite.
This could have been a diamond as well (Cat.III).
Reconstruction of the possible size of the original diamond
As a starting point we assume that the original diamond was a perfect
octahedral crystal. The 8 sides should have an equilateral triangular shape.
The outline of plane nr. 1 has been drawn within such a triangle. Regarding
the large dimensions of the Cullinan's fracture planes without any sign of
a bending fracture as a result of chipping, the former material at the
other side of the plane must have been substantial.
Further, we consider the diameter of the exploded volume to have had about
the same size or even more than the height of the Cullinan. The cross sec
tion of the octahedron might have been about 3 times that height, i.e. 3
abt. 6,5 cm. or 19,5 cm. and even more.
We have decided on an edge side of 23 cm. for the triangles (Cat.Ill); see
figure 95.
The depth of the origin of the Kimberlite
It is known from literature (Keith Cox

) that the Kimberlite, the rock that

contains these diamonds, should originate from a depth of more than 150 km.
below the surface.
This has been deduced from the presence of coesite as minute inclusions
in these diamonds; see figure 96.

213

The Cullinan's origin

Diamonds are found in the most deep-seated ultrabasic rock, brought up
from great depths in the volcanis vents known as kimberlite pipes.
The diamonds occasionally contain minute inclusions of coesite, a high
pressure polymorph of quartz, but do not contain stishovite, another polymorph forming at even higher pressures.
Experimental work on the stability fields of diamond and the highpressure
polymorphs of quartz indicates that at least some of the material in
kimberlite pipes originates from depths within the Earth of more than 150
km where the confining pressure is 50 kb or so. See figure 96.

TEMPERATURE C

BOQ,

13&

JUL

FIGURE 96
PT diagram to illustrate the range of conditions under which natural
diamonds probably form
Two curves show the quartz-coesite and coesite-stishovite inversions
The temperature at depth is likely to lie between the other two
curves, one of which represents probable minimum temperatures, and
the other maximum temperatures
Temperature is unlikely to rise far above the curve showing the
onset of melting because of buffering by latent heat of fusion

214

In search of more Culllnans

In order to form Che idea of if and where we could find more Cullinan-size
diamonds we muse reconstruct the events around the only one which ever
has been found.
Mineralogical analyses determined the depth of origin to be between about
150 km. and perhaps 600 km.
Obviously, a channel through the mantle of the earth, a diatreme, has allowed a local upward flow of the magma from that depth.
The uprising material was subjected to decompression from about 40 to 150
kilobar to perhaps 10 to 1 bar.
At the same time the material was cooling.
The ascent could have lasted less than 24 hours. The current in the diatreme
must have been rather strong.
Small diamonds would stand this process, but larger ones would explode.
The question arises as to whether there had been only one large crystal or
whether there might have been more. The latter possibility is supported by
the observation that the only fragment which has been found, the Cullinan,
appears to have collided at least 4 times: the planes nr. 2,4, 5 and 6
appear to have been brought about by collisions from the outside. The plane
nr. 3 could have been caused from the inside during the explosion - see
figure 93-c.
The collisions must have taken place at different times with relatively
large time intervals. This is proven by the differences in resorbtion.
Considering these observations it must be regarded as rather probable that
there were a great number of large hard objects, c.q. diamonds or pieces
of diamond, floating at least in that specific quantum of Kimberlite.
Because of the decompression the viscosity of the Kimberlite must have become relatively low. Therefore, the upward stream must have been so fast
that the large diamond pieces had no chance of being trapped in the wall of
the channel. With only one exception: the Cullinan, which stuck in the wall.
There it could cool and decompress in the right way so that it was saved
for mankind.
The other large crystals and the larger fragments must have exploded, for
they could not lose their heat content within the short period before and
during the outpour of the Kimberlite lava.
This analysis deprives us from any hope to find more Culllnans within our
reach.

215

THE AUTHOR'S PERSONAL DATA

The author:
I was born in 1911 and studied for Mining Engineer at the Delft University
of Technology, Holland. My first work was as a Mining Engineer in Indonesia.
After my return from the tropics as an ex-P.O.W. I received an underground
training in one of the coal mines of the D.S.M. (Dutch State Mines).
From 1948 to 1950 I worked with the pickhammer and handled the crew at the
long wall coal face. Then, in 1950, I was nominated as an assistant to
Professor Th.R. Seldenrath who was one of the first to teach "Rock Pressure"
for the term

"Rock Mechanics" did not yet exist. After a few years I was

appointed to investigate rock strength. The start was difficult, without

any knowledge of the subject, without tools, without funds and without a
laboratory!
Every year, at regular intervals, the underground workings were visited in
each of the ten coal mines which were being exploited in Holland in those
days. In that way the theoretical problems and the applied methods could
be compared continuously. Some discrepancies became evident, especially in
the concept of rock fracture.
For a limited working facility such as ours, the only possibility to carry
out significant research appeared to be to concentrate on a very limited
number of fundamentals. In that context, I focused on the following two
questions:
a) What is the meaning of "compressive strength"?
b) What is "fracture"?
On 23-XII-1953 the first significant result was obtained. It appeared then
that rock failure is usually not the result of instantaneous, collapse, but
it is as a rule brought about by a longer or shorter lasting cataclastic
process. Between 1955 and 1957 the principle of the Axial Cleavage Fracture
came within view.
In my opinion* the date 23-XII-'53 has to be considered as the birthdate
of the ideas which form the subject of this report.
In 1970 I received my Ph.D. at the Delft University of Technology.
My thesis

"Klastische en kataklastische processen en hun betekenis voor

de gesteentemechanica" ("Clastic and cataclastic processes and their

meaning as pertaining to rock mechanics") was published with the financial
support of the C.E.C.
I received many reactions. Some of them are very dear and important to me.

216

They contain much encouragement and they have had a great influence on my
work. These reactions came from Professor Dr. C.B. Biezeno (Applied
mechanics and specialist in stress theory, T.U.D.) Professor Dr. C.Zwikker
(Physicist, T.U.Eindhoven), Professor Dr. W.G. Burgers (Physicist T.U.D.),
Professor Dr. W.L.H. Schmid (Mechanical Engineer, among other things
specialist in underground coal handling systems, T.U.D.).
1 will recite the salient passages from their letters here.
Biezeno: "

Feeling myself always incapable to go into this

subject, the more respect I have for the work achieved by others and yourself and wish to congratulate you heartily for your contribution
Zwikker: "

I have read your dissertation with interest and I

have to testify that it has evolved into an impressive work

Schmid:

"

"
"

It occurs to me that your book is of fundamental

significance and it will be credited to the classic literature before

long, such as is the case with the works of Coulomb, Mohr and Von Terzaghi".
These reactions formed to me a very strong encouragement and this implied an ocligatin to go on.
One of the results is this publication.

217

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222

Photographs

PHOTO I
THE EFFECT OF OBLIQUE OR SLANTING LIGHT
1. A large slate block from Martelange was cut into 6 pieces with edges between 16 and 35 cm,

the pieces were put together, forming the original

block again
The photograph is taken with the lighting perpendicular to the block front
2. The same block, photographed with oblique or slanting light; the frontsurface shows systems of nonparallel lines, the so called radial traces or
orthogonal trajectories; these.lines are due to the mechanism of brittle
fracturing; at some places the pattern appears not to continue; this is
brought about by the splitting off of thin slivers during the sawing
3. A large block of carboniferous rock from the hanging wall of a long
wall coal face, fallen down in the goaf (see figure 80), shows the diverging lineation of the axial cleavage fracture; note the protruding concretions; they from a clear proof that shear stress has not been involved

224

225

PHOTO II
DESTRUCTION TYPE I; Lithographic limestone and glass at uniaxial loading in
the special loading device (see figure 15); specimen diameter is 3 cm
1. Axial cleavage monofracturing; the specimens 1 and 2: lithographic
limestone; specimen 3: glass; note the long glass needle from the center
of the specimen
2. The lineation on the axial cleavage fracture plane, due to induced tension; note the place of the fracture source (nucleus R in figure 7-b and
8-b)
3. Axial mono- and multifracturing in glass; the latter resulted in a
bunch of needles, brought about by parallel fracture development; compare
the figures 66-c and 75; noisy collapse of a specimen resulted in a heap
of small granular fragments, which are in principle different from sharp
splinters; they do not cut when rubbed between the fingers, because they
are bounded by quasi- radial, quasi-tangential principal planes and bending fractures, the latter being the result of buckling; these fracture
planes form no sharp cutting edges; one of the granular fragments shows
a trapezoid shape, bounded by the three principal planes
226

3
227

PHOTO III
DESTRUCTION TYPE II; granite at uniaxial loading
1. The polished section of a rest-cone of a failed specimen, diameter
3 cm; it is the result of the "peeling-off" of the splinters, formed by
axial cataclasis
Note that the. axial fractures of a limited size penetrate into the zone 4
(see figure 35 and 38-B) of the rest-cone; this could indicate
k = 0,2 to 0,3 (compare page 106)
2. The cataclastic structure of a specimen before collapse; note the
limited size of the axial fractures, which form together an axial cataclasis
3. A picture from on top of a rest-cone, diameter 4 cm; the "peeling-off"
process is followed by shearing off of the remaining part with intensive
cataclastic structure, zone 5 in figure' 35
Note the circular structure of the "peeled-off" slabs and needles, formed
by the axial cataclasis, according to the rotational symmetry of the tangential and radial principal stresses
228

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229

PHOTO IV
DESTRUCTION TYPE II; "Kohlenkalk", failed at uniaxial loading in the
special loading device (figure 15)
1. An enlarged picture of the polished section of a failed 3 cm diameter
cylindrical specimen of "Kohlenkalk" (a carboniferous, fossiliferous bituminous limestone); the pieces have been cemented together; by means of
skimming light the axial cataclasis shows up; the cataclasis concentrates
in zone 5 (see figure 35); zone 1 is unaffected; zone 4 is only sparsely
penetrated indicating k being about 0,2; (compare page 106); zone 6 is almost unaffected; this is different from granite
Note that the directions of the fracturing in the top-side corners of the
section show the presence of centripetal shear stresses on the endplanes;
compare the paragraph "The effect of the special loading device" on page 81
2. An uniaxially loaded 3 cm diameter specimen of lithographic limestone
provided with steel bands, confining the end planes; the confining bands
delayed the generation of cleavage fractures; therefore, after the first
fracture type, the radial ones, the second type could develop: the concentric fractures
a: The specimen after loading; a piece, bounded by two radial fractures,
one concentric fracture and the surface, was thrown out; the thrown-out
piece showed a trapezoid cross section
b: The fracture pattern on an end planei marked by drying-up water after
wettening shows a perfect configuration according to the principal
planes
See figure 17-(B-C) and 39-b

230

2-b

2-a

231

PHOTO V
DESTRUCTION TYPE III; Carrara marble at uniaxial loading; cataclastic
structures on the outside
1. A 3 cm diameter specimen 3 , has been subjected to three different
loadings in order to develop the outside cataclastic structure at its best;
the specimen weakened from first 5,75 ton or 82 MPa to 4 ton or 57 MPa
2. Detail of the outside structure, showing the "en chelon" arrangement
of the open cracks as well as the enclosed diamond-shaped bodies
3. A 4 cm specimen has been loaded until failure, but complete collapse
was prevented; the pieces were cemented together; then the restored remainder was saturated under vacuum with "black Indian ink; afterwards it
was cut into pieces; the stained parts show the internal decay of the
material; especially zone 5 (see figure 35) proofs to be intensively affected by cataclasis
Both tests date from:

23-XII-1953; these observations formed a crucial

point in the author's researches into cataclastic processes

232

233

PHOTO VI
DESTRUCTION TYPE III; Carrara marble at uniaxial loading; cataclastic
structures in the inside
1. A 5 cm diameter specimen has failed in the classic manner by shearingoff, as represented schematically in figure 38-C
2. A zone of larger "en chelon" cracks, preparing future shearing-off
failure
3. The inside of a uniaxially loaded specimen before collapse, a section
shows a multi-shear cataclasis; a stain has been used to penetrate into
the smallest cracks; then the section was exposed to hard X-rays and it
was put upon a photographic plate; what we. see here are the shadows of the
absorbed stain; the angles between the black zones were measured 7 times;
resp. 56,5, 52, 52, 49, 52,5, 46 and 49; the average is 51"; this
figure has been used in figure 92-C

234

 rrm
235

PHOTO VII
DESTRUCTION TYPE VI; slate and shale at uniaxial loading
1. A 3 cm diameter specimen of slate from Martelange shows the features
of quasi-microboudinage within the zones 3, 2, 4 and 1 (see figure 35);
possibly the process of squeezing started in point 7 and in zone 3, the
zone subjected to the axial pressure extremum combined with radial tension
and small tangential pressures; the squeezing process may have caused extra
yield, which may have resulted in the displacement of the pressure extremum towards the center of the specimen, causing more quasi-microboudinage
there; yield by squeezing causes radial and tangential tensile stresses;
this has resulted in an axial cleavage fracture, starting from a special
point; this axial cleavage fracture is without doubt an indirect, induced
tensile fracture; compare figure 38-D
2. An about 25 cm long sample of copper bearing shale from the "Mansfelder
Kupferschiefer" out of the pressure zone of the long wall ore winning; the
sample shows a zone with quasi-microboudinage combined with zones showing
axial cleavage fracturing; obviously the quasi-microboudinage plays a
special role in the cataclastic process
3. An enlarged picture of the result of quasi-microboudinage; the sharp
ridges of the hackeled surface show the parallel lineations of the shearing off by squeezing

236

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237

PHOTO VIII
THE DISK TEST OR BRAZILIAN INDIRECT TENSILE TEST with lithographic limestone, compared with the axial cleavage fracture.
1-a, b: The disk test, compare figure 12;
a: The way of loading; two pieces of plywood served to divide the pressure evenly;
b: The tensile fracture plane shows the characteristics of brittle tensile
fracturing:
a nucleus and the typical lineation
The tension is brought about by the applied pressure; this can be proved by stress theory; therefore this tension type has been called indirect or induced tension
c: For comparison an axial cleavage fracture is shown;
note the similarity of the lineations
2,3. Because of the importance for our reasoning we want to point out the
similarity of these lineations in more detail; both of them show one
nucleus R and two systems of radial traces in the shape of chevron- or
herringbone structures: Chi and Ch2; the zones along the borders of the
disk test specimen (2), which has been called "delayed fracture propagation" zones (see figure 12-b), match with the top- and bottom side
zones of the axial cleavage fracture (3), where the lineation shows an
onion-type curvature; this curvature is due to the delayed fracture penetration of the compression zone 1, see figure 34 and 35.
All these features form a proof that the axial cleavage fracture must be
the result of indirect or induced tension, brought about by compression;
besides, the symmetrical position of the fracture plane excludes the
presence of shear stress

238

239

PHOTO IX
THE FRACTURE SOURCE OR NUCLEUS in specimens of lithographic limestone,
being a fine grained natural material
1-a.b. The axial cleavage fracture shows a fracture source, .situated in
the zones 2 and 3 (see figure 34 and 35); the impression is that the
fracture source, brought about by compressions has a more or less spatial
character; it appears difficult to indicate one specific point where the
separation of the atoms started; the nucleus is inside the material
2. The fracture source of a Brazilian indirect tensile test or disk test
shows the same spatial character as mentioned above
3. The fracture source of the bending test shows a more or less linear
shape; it concerns here direct tension; the nucleus is at the surface
4. The source of the direct-tension fracture as a result of torsion seems
to be threefold, which would match the idea of linear shape; this nucleus
is at the surface

240

l-b

l-a

m*. '

241

PHOTO
SOME TYPICAL FEATURES OF THE AXIAL CLEAVAGE FRACTURE
1. Experiment with a cylindrical specimen machined out of an artificial
crystal halite (NaCl), following the diagonal of a cube,
see figure 72a, b and figure 73
2a,b4 Examples of the axial cleavage fracture in the cases of good con
tact and bad contact;
a: A conglomerate, consisting of quartz pebbles in a weaker sandy matrix,
has conducted the cleavage fracture very well under high pressure,
cutting cleanly through the matrix as well as through the pebbles
b: Breakage of the same conglomerate by hammer blow shows a fracture plane
with protruding pebbles; the fracture front has not cut through the hard
pebbles because of insufficient contact;
see figure 76 and 77

242

2-b

2-a

243

PHOTO XI
RELAXATION IN THE AXIAL DIRECTION
The photograph of a section through a triaxially loaded 4 cm diameter
specimen of Swedish red granite; the confining pressure was 15 MPa and
the maximum axial loading was 391 MPa.
One half of the loaded specimen was impregnated with Zyglo Pentrix ZL-22
and photographed under ultraviolet light.
The picture shows three different features:
(1) Small, relatively straight axial cracks, being the axial micro-cataclasis
(2) White patches presumably standing for crushed mineral grains, containing more ZL-22 than the average
The distribution of both the axial cracks and the white patches shows
a relationship to the zones 1-6 from the figures 34 and 35;
(3) Small horizontal cracks with a more or less irregular shape, about
evenly spread throughout the specimen; these cracks must be ascribed
to relaxation in the axial direction, as has been pointed out in
figure 61'; these cracks must be the result of the relatively minor
variations in the axial compressive strain; see figure 33 and 34.
An interesting point is that the performer of the test, Brczes
(then still being a student) reported, that during the (short) period
of unloading no cracks were registered; this observation implies that
there must have been a longer time interval between the unloading and
the crack generation; this is in accordance with the nature of the
process of relaxation

244

245

PHOTO XII
SOME DETAILS: Microcracks, crushed grains and the development of sigmoid
cracks as a result of shear
1. Microcracks in Carrara marble, generated under triaxial loading condi
tions; the diameters of the calcite grains varied between 1/5 and 1/10 of
a millimeter; compare figure 88e and figure 89
2. Grain crushing within a confined cone of the same Carrara marble; the
crushed grains are arranged according to the MohrCoulomb shear direc
tions; the enclosed angles 90 show values of about 60 to 79, corres
ponding with values of resp. 30 and 11
3. The generation of the shear zone in an about 8 mm large fragment within
a failing specimen of slate from Martelange
a: the "en chelon" arrangement of the first cracks; see figure 91a
b: the further devlopment into the sigmoid shape; see figure 91b
c: full developed cracks by means of the "peeling effect"
4. The result of stress differentiation in a Triassic limestone;
note the open sigmoidshaped fractures (Mallorca)

246

247

PHOTO XIII
SPECIAL TYPES OF SHEAR ZONES AND SHEAR PLANES
1. Luders' bands in uniaxially loaded steel show up after etching; they
are voluminous; in our view they must be comparable with the future shear
zones SZ during the transitional phase AB; see page 197 and figure 90-a,e,f
2 and 3. Typical lineations on shear planes in argillaceous materials show
a pattern of rising and diving smoothly rounded ridges, not quite parallel;
they are quite different from the well known parallel slickensides in hard
rock;
2. "Argil-type" shear planes in coal; they prove that coal once must have
had the constitution of a hard clay;
the white patch at the upper side of the coal in this picture is an
axial cleavage fracture plane, showing a nucleus and radial traces;
this fracture plane must date from a much later period, when the coal
had become hard and brittle
3. "Argil-type" shear planes in a fragment of a "cone-in-cone" structure
(argillaceous material)
4. Cone-in-cone structure; cone-in-cone is thought to be generated during
the concretion forming process in argillaceous sediments; out of a
wide zone the metal ions travel to one point or small zone; there they
concentrate and form new hard minerals by crystallization; thus a concretion is formed; by further growing the concretion pushes the wet
clay outward; the radial pressure rises within a more or less globular
zone; the clay appears to behave in a way more or less
soil mechanical way, slipping along conical-shaped, "argil"-type slip
planes; the cones enclose each other; this brings about the cone-incone structure

248

249

PHOTO XIV

"

CUPANDCONE FRACTURE IN ROCK SALT as a

result of "disking" in a rock

salt drill core

Left side: the cup; the slanting rims show an angle of 30 to 40 to the
section plane, normal to the center line, i.e. 50 to 60 to the vertical
in the picture; these rims are formed by axial cleavage cracks as a
result of induced or indirect tensile stress; these rim cracks have a
smooth surface because they cut cleanly through the crystals; this obser
vation has led to the drawing in figure 84 and to the construction in
figure 86

'_

; . ' '

Right side: the cone; the central part of the cone shows a rough "crystal
line" fracture surface, due to direct tension; the fracture followed the
crystal boundaries and the intracrystalline cracks; this part of the
fracture is a secondary effect; it must have been generated later on, e.g.
as a result of handling the core

250

This book deals with fracturing and failure at compressive loading of brittle
materials, based on research on rock and glass. Much attention is paid to the
destruction process.
The primary brittle fracture phenomenon, the 'axial cleavage fracture' or the
'extension fracture', i.e. the brittle fracture parallel to the pressure-axis, Is the
focus of this work. Axial fractures are present everywhere in the earth's crust
as diaclases or joints, and the phenomenon also appears in the wall rock of
tunnels and underground mine workings as well as in overloaded supporting
pillars.
However, no theory existed for this phenomenon. In order to fill this gap and to
develop an acceptable theory, the mathematical models for the distribution of
the internal forces in loaded materials (Boscovich, Gauchy and De Saint
Venant) are analysed again. To make the connection between stress theory
and brittle fracture, Griffith's original ellipse model for the brittle fracture was
used. A model for the axial cleavage or extension fracturing was then developed: the 'ellipse-with-notch-and-variable-axis-ratio-model'.
The systematic occurrence of the phenomenon of axial fracturing is generally
not realised by physicists and engineers. This leads to a lack of understanding
of the true causes of observed fracture and failure phenomena. As a result
unexpected and often even dangerous situations may arise. This book provides a clear insight into this kind of fracture. As natural phenomena they form
an inevitable structural element in the rock wall of tunnels, underground mine
workings as well as in the earth's crust. They should, however, be avoided
scrupulously in buildings and in civil constructions.