Kwaśniewski, M., Takahashi, M. & Li, X., Volume changes in sandstone under true triaxial compression conditions.

ISRM 2003–Technology roadmap for rock mechanics, South African Institute of Mining and Metallurgy, 2003.

Volume changes in sandstone under true triaxial compression

conditions
Kwaśniewski M. 1, Takahashi M. 2, Li X. 3
Silesian University of Technology, Gliwice, Poland 1,
National Institute of Advanced Industrial Science and Technology (AIST), Tsukuba, Japan 2
Research Institute of Innovative Technology for the Earth, Kyoto, Japan 3

Prismatic samples of a medium-grained sandstone from Śląsk Colliery (Upper Silesian Coal Basin,
Poland) were tested under uniaxial compression, conventional triaxial compression and true
triaxial compression conditions. The conventional triaxial compression tests were carried out at
confining pressure (p) equal to 12.5, 25.0 and 37.5 MPa. In the true triaxial compression tests the
minimum principal stress (σ3) was equal to 25.0 MPa and the intermediate principal stress (σ2) was
1.5, 2 and 2.5 times higher than σ3. Results of the studies show that confining pressure strongly
inhibited dilatant behavior of rock samples tested under conventional triaxial compression
conditions; the increasing confinement resulted in the growing compaction of the rock material.
The effect of dilatancy was also highly suppressed by the intermediate principal stress. While
important dilatant, negative volumetric strain corresponded to the peak differential stress at low
intermediate principal stress conditions, at high intermediate stresses the rock material was
damaged to much lesser extent. As a result, faulting of rock samples in the post-peak region was
much more violent and was accompanied by a strong acoustic effect.

Les échantillons parallélépipédiques du grès à grains moyens de la mine ‘Śląsk’ (Bassin Houiller
de Haute Silésie, Pologne) ont subi les essais de compression monoaxiale (compression simple),
de compression triaxiale conventionnelle (compression triaxale de révolution) et de compression
triaxiale vraie. Les essais de la compression triaxiale conventionnelle ont été effectués à la
pression de confinement de 12,5, 25,0 et 37,5 MPa. Dans les essais de compression triaxiale vraie
la contrainte principale minimale (σ3) était de 25,0 MPa et la contrainte principale intermédiaire
(σ2) était 1,5, 2 et 2,5 fois supérieure de σ3. Il résulte des essais que la pression de confinement
inhibe fortement le processus de dilatance dans les échantillons testés dans les conditions de
compression triaxiale conventionnelle; l’augmentation de la pression provoquait l’augmentation
du compactage du matériau rocheux. Le phénomène de dilatance était également limité de façon
significative par la contrainte principale intermédiaire. Alors que l’importante déformation
volumique négative correspondait à la contrainte différentielle ultime avec les faibles contraintes
principales intermédiaires, dans les conditions de fortes contraintes intermédiaires, le matériau
rocheux subissait l'endommagement de façon beaucoup moins importante. En résultat, la rupture
des échantillons rocheux au stade post-maximum était beaucoup plus violente et accompagnée
d’un fort effet acoustique.

Prismatische Probekörper des mittelkörnigen Sandsteines aus dem Bergwerk ‘Śląsk’ (das
Oberschlesische Kohlengebiet, Polen) wurden unter der einaxialen Druckbeanspruchung,
konventionellen dreiaxialen Druckbeanspruchung und der echten dreiaxialen Druckbeanspruchung
geprüft. Konventionelle dreiaxiale Druckversuche wurden bei dem Manteldruck von 12,5 25,0
und 37,5 MPa durchgeführt. Bei den echten dreiaxialen Druckversuchen betrug die kleinste
Hauptspannung (σ3) 25,0 MPa und mittlere Hauptspannung (σ2) war 1,5-, 2- und 2,5-mal höher als
σ3. Aus den durchgeführten Versuchen ergibt sich, dass der Manteldruck die Dilatanzentwicklung
bei den Probekörpern unter der konventionellen dreiaxialen Druckbeanspruchung stark bremst; die
Erhöhung des Druckes rief die ansteigende Kompaktion des Gesteinsmaterials hervor. Die
Dilatanz wurde auch durch die mittlere Hauptspannung beschränkt. Während die wesentlichen
volumetrischen, dilatanten Verformungen der Grenzdifferenzspannung bei den niedrigen mittleren
Hauptspannungen entsprachen, bei den hohen mittleren Hauptspannungen wurde das
Gesteinsmaterial viel weniger beschädigt. Im Ergebnis war der Scherbruch der Gesteinsproben im
Post-Peak-Bereich viel heftiger und mit kräftigen akustischen Effekten verbunden.

683
 Introduction
It has long been accepted that dilatancy is a microcracking-
related phenomenon that can be treated as an important
precursor of the brittle failure of rocks. Dilatancy is
interpreted as being due to the development of pervasive
microcracking within the rock, with a concomitant increase
in void space or voidage. It is understood as the increase of
volume relative to elastic changes caused by deformation1
or the inelastic increase in volume during deformation
under applied differential stress9.
The phenomenon of dilatancy in rocks is of
considerable practical importance since it is associated with
possible premonitory signs for earthquakes, mining-induced
rockbursts and mine collapses. In general, dilatancy-related
precujrsory phenomena (premonitory anomalies) include:
crustal deformation (rapid uplift rates, anomalous ground
tilts), changes in density of the earth and in the gravity
field, changes in the velocity of seismic waves, lowering of
the groundwater level, emission of radon and other gases,
changes in the magnetic field and electrical resistivity of the
earth, changes in pore pressure and flow rate, seismic
anisotropy and acoustic emission.
Fig. 1. Basics of the volumetric deformation of rocks at
different stress levels: OD - threshold of relative dilatancy
or onset of dilatancy (C'), TD - threshold of absolute
dilatancy, F - peak differential stress or ultimate strength.
(Note that increase in volume is taken as a negative
increment of volumetric strain.)
Although much research has been done to reveal
characteristic features of the volume changes in rocks under
triaxial stress conditions, there are few studies that have
systematically investigated the effect of confining pressure,
of minimum principal stress and of intermediate principal
stress on the dilatant behavior of rocks. In particular, data
for sedimentary rocks, including medium-grained clastic
rocks, are scarce. The phenomenon of dilatancy in
sandstones is of considerable practical importance for
mining and petroleum engineering. It is among sandstones
that coal seams most frequently occur. The sandstones are
also reservoir rocks for oil and natural gas. A knowledge of
the mechanical properties of these rocks and of their
behavior at depths is thus very important for the efficient
and safe extraction of natural energy resources. In this
paper initial results will be presented of the studies that
684 ISRM 2003 – TECHNOLOGY ROADMAP FOR ROCK MECHANICS
have been undertaken with the aim of clarifying, in both a
qualitative and quantitative sense, the dilatant behavior of
different granulometric varieties of Coal-Measure
sandstones under general triaxial stress conditions. The
overall objective of the studies is to elucidate the role of
dilatancy in the mechanism of rockbursts and its association
with possible premonitory signs of dynamic manifestations
of rock pressure in mines. Of crucial importance is
establishing a sound physical basis for reliable
interpretation of various geomechanical and geophysical
measurements usually taken in mines where rockburst
hazard is likely to occur.
Previous work
The early findings on basic qualitative and quantitative
features of dilatancy in rocks under uniaxial and axi-
symmetric triaxial stress conditions have been discussed
and summarized by Paterson9.
Mogi8 was the first to study, in detail, the volumetric
changes in rocks under true triaxial compression conditions.
The development of an ingenious, novel triaxial
compression technique4-7 enabled him to measure all
principal stresses and strains of rocks under general triaxial
stress states. On the basis of experimental results obtained
for Mizuho trachyte, Inada granite and Yamaguchi marble
Mogi found that lateral strain in the direction of the
minimum compressive stress (σ3) is larger than lateral strain
in the direction of the intermediate stress (σ2). He showed
that in true triaxial tests, as σ2 is increased from σ3 to σ1, the
dilatant lateral strain parallel to σ2 is progressively
suppressed until eventually all dilatancy occurs by
expansion in the σ3 direction. This effect, called anisotropic
dilatancy and explained as the opening of microcracks
perpendicular to the minimum principal stress, inspired
Mogi to propose a mechanism of the development of
different types of faults, depending on the orientation of
principal stresses.
The significant influence of σ2 on the dilatant behavior
of rocks was also observed by Takahashi and Koide11 in
their true triaxial compression tests on Shirahama sandstone
samples. It was found that the onset of dilatancy (C')
increases and the dilatant volumetric strain decreases with
increasing intermediate principal stress.
A similar observation was made by Haimson and
Chang3 for Westerly granite. A gradual increase in the
dilatancy onset (C') relative to the limiting or peak major
principal stress (Fσ1) was observed as the intermediate
principal stress was raised, from 0.48 Fσ1 when σ2=60 MPa
to 0.65 Fσ1 when σ2=249 MPa. The strong effect of
intermediate principal stress on the volumetric strain was
also revealed by Chang and Haimson2 for the KTB
amphibolite, a rock extracted from a superdeep hole drilled
near Windischeschenbach in Northern Bavaria within the
framework of the German Continental Deep Drilling
Program (KTB). Dilatancy onset in this rock generally
increased with the magnitude of σ2. For instance, for
σ3=100 MPa the onset of dilatancy increased steadily from
0.38(σ1-σ3)max for σ2=σ3 to 0.78(σ1-σ3)max for σ2=600 MPa.
The researchers concluded accordingly that the
intermediate principal stress appears to extend the pre- and 5.87%, respectively. Average uniaxial compressive
dilatant range of the pre-failure behavior for a given σ3, strength of the rock is about 90 MPa.
which results in a suppression and retardation of the Under uniaxial compression conditions Śląsk sandstone
microfracturing process. displays highly dilatant features. When loaded to stress

Fig. 2. Schematic view of the specimen assembly used in true triaxial tests: a - view in direction 3 (σ3), b and c - view in
direction 2 (σ2), d and e - view in direction 1 (σ1); 1 - top steel end piece, 2 - rock sample, 3 - thin copper foil, 4 - thin
teflon foil, 5 - silicone rubber jacket, 6 & 11 - lateral (σ2) steel end pieces, 7 - bottom steel end piece, 8 - strain gaged
displacement transducers for measuring axial strain (ε1), seated in sockets fixed to the top and bottom end pieces, 9 - strain
gaged displacement transducer for measuring lateral strain ε3, seated in coned sockets 12 cemented onto the sample, 10 -
strain gaged displacement transducers for measuring lateral strain ε2, seated in sockets fixed to the lateral end pieces.

levels above the threshold of absolute dilatancy, it

Test material
A macroscopically homogeneous, massive, medium-
grained, Carboniferous sandstone from Śląsk Colliery in the
Upper Silesian Coal Basin was selected for the studies. It is
a quartz arenite with predominantly angular grains,
cemented with clayey and dolomitic matter.
The mineralogical composition of the rock, determined
on the basis of a microscopic analysis of a thin section is as
follows (in % vol.): quartz - 79.6, orthoclase - 2.8,
plagioclase - 0.9, rock fragments - 1.7, dolomite - 5.4, illite
- 7.5, muscovite - 2.1.
Bulk density and porosity of Śląsk sandstone, measured
by mercury intrusion porosimetry, are equal to 2.438 gcm-3
undergoes an important, permanent, absolute increase in
volume.
Preparation of specimens
From large rock blocks taken from the strata at a depth of
about 975 m, specimens in the form of rectangular prisms
of the dimensions of about 35.5 mm × 35.5 mm × 70.5 mm
were cut using a laboratory cutting machine with a
diamond-impregnated sawblade. Both ends of each
specimen, and all the side walls were next flattened, and a
pair of faces were made parallel to each other and
orthogonal to the other pairs by means of a surface grinder

685
with a diamond disk; water was used as a flushing and
cooling agent. Finally, the edge of a square base of the
specimens reached a length equal to 35.0 mm, whereas the
specimen height was equal to 70.0 mm. The deviation from
parallelism of the end faces and opposite sides of the
specimens did not exceed 0.01 mm.
Fig. 3. Examples of stress-strain curves of Śląsk sandstone tested under CTC (a) and TTC (b) conditions.
Experimental program
Samples of the medium-grained Śląsk sandstone were
subjected to loading and unloading tests to/from different
levels of differential stress (σ1-σ3) in the pre- and post-
failure stage under uniaxial compression (σ1>σ2=σ3=0),
conventional triaxial compression (σ1>σ2=σ3=p>0) and true
triaxial compression conditions (σ1>σ2>σ3>0). The
conventional triaxial compression tests were carried out at
confining pressures (p) equal to 12.5, 25.0 and 37.5 MPa. In
the true triaxial compression tests the minimum principal
stress (σ3) was equal to 25.0 MPa and the intermediate
principal stress (σ2) was 1.5, 2 and 2.5 times higher than σ3.
The objective of the present study was to determine the
effect of confining pressure and of intermediate principal
stress on the differential stress - volumetric strain
characteristics of rocks:
• the threshold of dilatancy;
• the volumetric strain at the threshold of dilatancy and
at peak stress;
• the permanent volumetric strain induced in rock
samples loaded to different differential stress levels in
the pre-peak and post-peak regions. (Due to space
limitations in the present paper, the issue of permanent
volumetric strain will be discussed in another article.)
It should be noted that the term ‘threshold of dilatancy’
is used in this paper to denote the differential stress level
TD
(σ1-σ3) at which the contractant (positive) volumetric
strain attains maximum value, i.e. the volume of the rock
material tested reaches minimum and the instantaneous
Poisson's ratio assumes a value equal to 0.5. With further
686 ISRM 2003 – TECHNOLOGY ROADMAP FOR ROCK MECHANICS
increase of the differential stress the volumetric strain
normally starts to decrease and the volume of the rock
becomes greater and greater, that is the rock undergoes
absolute dilatancy (Fig. 1). This understanding of the notion
of the threshold of absolute dilatancy should be stressed
very clearly here, the more so as since the pioneering work
of Brace, Paulding and Scholz1, the onset of dilatancy,
commonly designated C' (OD in Fig. 1), is treated by many
as the stress level at which the curve relating volumetric
strain to differential stress starts to deviate from the elastic
reference line towards the negative or dilatant quadrant of
strain-stress coordinates.
Apparatus and testing procedure
The triaxial tests were carried out using the servo-
controlled true triaxial compression apparatus developed by
the second author in the 1980s10, as a modernized version
of Mogi's original design, at the Geological Survey of Japan
(which in 2001 was incorporated into the newly established
National Institute of Advanced Industrial Science and
Technology in Tsukuba).
In the triaxial cell of the apparatus, three principal
stresses can be generated independently in rock samples.
The maximum and intermediate stresses are each induced
by a pair of rigid pistons, while the minimum principal
stress is induced by oil pressure (for technical details see
Takahashi and Koide11). The axial or vertical load, as well
as load in direction 2, i. e. the direction of the intermediate
principal stress, are applied through prismatic end pieces
made of toughened tool steel. It should be noted that the
height of the lateral end pieces is 4 mm shorter than the
height of the specimen to allow for the deformation of the
rock. To eliminate friction, between each of the lateral end
pieces and the specimen, a thin strip of teflon (0.05 mm)
was inserted. To prevent the teflon from penetrating the
rock at high loads, the walls of the specimens were
protected with a thin (0.05 mm) copper foil (Fig. 2).
The pair of faces exposed to the action of the confining
pressure of oil, and all other uncovered areas of the
specimen assembly were coated with a few millimeter layer
of silicone rubber (Fig. 2). This formed a tight jacket
protecting against the entry of the confining liquid into the
voids in the rock.
During loading and unloading, the axial load (i.e. the
load acting in the direction of σ1) was applied to rock
samples with a constant displacement rate of the vertical
piston equal to 5.8·10-4 mms-1. Axial (ε1) and lateral strains
(ε2 and ε3) were measured and recorded, thus providing a
basis for the calculation of the volumetric strain (εV). Strain
gaged displacement transducers shown in Fig. 2 were used
for strain measurement.
Fig. 4. Effect of confining pressure (a) and intermediate principal stress (b) on the ultimate strength (F) and the threshold of
absolute dilatancy (TD) of Śląsk sandstone.
Experimental results and discussion
Examples of stress-strain curves obtained from the
conventional and true triaxial compression tests on samples
of Śląsk sandstone are shown in Fig. 3a and 3b,
respectively.
Tests in which the minimum (σ3) and intermediate (σ2)
principal stresses were equal (the conventional triaxial
compression tests) revealed a typical monotonic increase in
the strength of Śląsk sandstone as the confining pressure
was raised from 0 to 37.5 MPa (Fig. 4a). The influence of
confining pressure on the dilatancy threshold was similar,
with the ratio TD(σ1-σ3)/(σ1-σ3)max increasing, at a gradually
decreasing rate, from 0.68 for unconfined conditions to 0.87
for confining pressure equal to 37.5 MPa.
To higher confining pressures correspond also higher
values of the volumetric strain at the threshold of absolute
dilatancy (Fig. 5). These are positive values, which means
that greater compaction of rock material corresponds to
higher confining pressures, thus at higher and higher
thresholds of dilatancy the tested samples had a smaller and
smaller volume.
Results of true triaxial compression tests show that
lateral strain ε2, that is strain induced in the direction of the
intermediate principal stress (σ2), is significantly smaller
than lateral strain ε3 (Fig. 3b). The macroscopic shear
fractures formed at an acute angle to the major principal
stress and parallel to the intermediate one.
Both ultimate strength and threshold of absolute
dilatancy increase as the intermediate principal stress
increases (Fig. 4b). However, this effect is considerably
weaker than that caused by the increasing confining
pressure. In particular, the ultimate strength does not seem
to increase any more at intermediate principal stresses
higher than 50 MPa. Similarly, the volumetric
deformability of the rock tested was affected by
intermediate principal stress to a much lesser extent. As is
shown in Fig. 6, values of volumetric strain at the threshold
of absolute dilatancy (TDεV), equal to about 0.2% for
σ2=37.5 MPa, increase by only about 0.1% with σ2
increasing to 62.5 MPa. As these are contractant strains,
increasing the intermediate principal stress resulted in a
small decrease in volume of the tested samples at the
(slightly increasing) threshold of absolute dilatancy.
However, at differential stresses higher than the threshold
of dilatancy an important increase of the volume of the rock
occurred, particularly at low values of the intermediate
principal stress. At σ2=37.5 MPa, dilatant volumetric strain
(FεV) of about -0.2% corresponded to the differential stress
at strength failure of the tested sandstone (Fig. 6).
Increasing the intermediate principal stress led to a
significant weakening of the effect of dilatancy; in the case
of samples tested at intermediate principal stress equal to
62.5 MPa, values of the volumetric strain at peak
differential stress were close to zero. It can be inferred from
this observation that at high intermediate principal stresses
687
the process of microcracking and deterioration of the rock
was arrested to some extent. Suppression of dilatancy under
high intermediate principal stresses was additionally
evidenced by an auditory observation: faulting of rock
samples in the post-peak region was much more brittle and
violent, and was accompanied by a strong acoustic effect.
Fig. 5. Contractant volumetric strain of Śląsk sandstone
at the threshold of absolute dilatancy as a function of
confining pressure.
Fig. 6. Volumetric strain of Śląsk sandstone at the
threshold of absolute dilatancy (TD) and at the peak
differential stress (F) as a function of intermediate
principal stress.
Final conclusions
In general, the tested medium-grained Śląsk sandstone
belongs to clastic sedimentary rocks of moderate uniaxial
compressive strength and a high ability to undergo inelastic
volume increase under applied differential stress. However,
confining pressure strongly inhibited the dilatant behavior
of rock samples tested under conventional triaxial
compression conditions.
688 ISRM 2003 – TECHNOLOGY ROADMAP FOR ROCK MECHANICS
The effect of dilatancy was also suppressed by the
intermediate principal stress. While important negative,
dilatant strain corresponded to the peak differential stress at
low intermediate principal stress conditions, at high
intermediate stresses the rock material apparently
underwent microcracking to a much lesser extent and
behaved in an increasingly brittle manner.
Acknowledgements
The authors thank Miss Ruriko Arai from the Laboratory of
Rock Deformation, Research Center for Deep Geological
Environments, AIST, for her unfailing readiness to help and
gracious cooperation during the entire course of the study.
The excellent machine work of Mr Ireneusz Szutkowski
from the Laboratory of Rock Mechanics, the Silesian
University of Technology, was essential for the successful
preparation of the prismatic rock samples. Dr Weiren Lin
carried out the mercury intrusion porosimetry
measurements at the AIST.
References
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