STRESS (s) and ROCK FAILURE

Ir. BENYAMIN SAPIIE, Ph.D.

DEPARTMENT OF GEOLOGY - ITB

SHORT COURSE MANUAL

BANDUNG - 2006
SYSTEMATIC FRACTURES
FOLDING
FOLDED FOLIATION
EXPERIMENT ROCK DEFORMATION

EXPERIMENTAL RESULTS
(a) Tensional fractures
(b) Compressive fractures (shear fracture)
(c) Hybrid fractures
(d) No fractures (dilation)
STRESS VS. STRAIN DIAGRAM
DEFORMATION MECHANISM

CATACLASTIC AND PLASTIC

Internal
deformation could
be by grain-scale
fracturing or by
plastic flow of
mineral

BRITTLE DUCTILE

• Cataclastis (cataclastic deformation): rock deformation produced

by fracturing and rotating if individual grains or
grain aggregates meaning both brittle and ductile deformation
can be accomplished by cataclastic mechanism.
• Flow of individual mineral grains without fracturing or breaking i.e.
through dislocation glide and climb, and diffusion
 BRITTLE VS. DUCTILE

DISTRIBUTION OF DEFORMATION

LOCALIZED DISTRIBUTED

INCREASING STRAIN RATE

BRITTLE CATACLASTIC
MECHANISM OF
DEFORMATION

CATACLASTIC
FAULTING FLOW

INCREASING TEMPERATURE, CONFINING PRESSURE

CRYSTAL PLASTIC HOMOGENOUS

PLASTIC SHEAR ZONE PLASTIC FLOW
BRITTLE VS. DUCTILE

Brittle – Ductile Deformation in The Earth Crust

The strength of brittle rocks increases with confining pressure,
but decreases with temperatures.

Cataclasis Deformation Lithospheric Strength Profiles

Oceanic Continental
BRITTLE VS. DUCTILE

Strain-Stress Diagram
BRITTLE FRACTURE
 Formation of Fractures
s3 s
s s
s3

s3
s

A. Tension B. Longitudinal C. Extension D. Conjugate

fracture splitting fracture shear fracture

Relationship between fracture types and stress from rock experiments

MODERN VIEW OF DISCONTINOUS STRUCTURES

FRACTURE MECHANICS

• Fracture classification based on mechanics

• Crack propagations model
MODERN VIEW OF DISCONTINOUS STRUCTURES

Two basic types of discontinuous structures:

(1) FAULTS are discontinuities in which one blocks has slipped

past another.

(2) JOINTS are discontinuities where block move apart but do

not slip pas each other.

Faults are Mode II and III cracks while Joints are Mode I.
MOHR DIAGRAM

GMI (2001)
STRESS AND FRACTURE STABILITY

MOHR DIAGRAM IN 2D

Compressive Fractures

The Coulomb Law of Failure

sc = so + tan q (sn)

sc = critical shear stress

so = cohesive strength
tan q = coefficient
of internal friction
u = tan q
sn = normal stress
ss = shear stress

(Modified from Davis and Reynolds, 1996)

ROCK MECHANICS CONCEPTS
ROCK STRENGTH

GMI (2001)
ROCK STRENGTH MEASUREMENTS

GMI (2001)
ROCK STRENGTH MEASUREMENTS

GMI (2001)
COMPRESSIVE AND TENSILE STRENGTH COMPARISON

MODIFIED FROM GMI (2001)

THE CONCEPT OF EFFECTIVE STRESS

+ss
sN - pf, ss sN,ss

sN = normal stress
ss = shear stress
s3 - pf s1 - pf s3 s1 Pf = pore fluid pressure
-sN +sN
s1 = maximum principal stress
s3 = minimum principal stress

-ss

s11-Pf s12 s13

Effective Stress = sij = s21 s22-Pf s23
s31 s32 s33-Pf
ROLE OF FLUID PRESSURE (Pf)

Effective stress (s*)

sn* = sn - Pf

sc = so + tan q (sn- Pf)

sc = so + tan q (sn*)

If sn* = 0

sc = so = T0

sc = Critical stress

To = Tensile strength
of rock

(Twiss and Moores, 1992)

STRESS AND FRACTURE STABILITY

TENSION FRACTURE

Unstable sS sS sS

Stable

sn sn T0 sn

Tension fracture
envelope
A. Stable states of stress B. Critical states of stress C. Unstable states of stress

s 3  T0
ss

Normal to 2qf  180º

fracture plane
qf  90º
Tension s1  0
fracture x sn
f  0º

D. Physical diagram E.Critical uniaxial tension

HYDRAULIC FRACTURE EXPERIMENTS

MODIFIED FROM GMI (2001)

BRITTLE FAILURE

Failure Envelope and Development of Fracture at Different Condition

ss
Von Mises ductle
Brittle-ductile
MODE II failure criterion
transition

Yield stress
Coulumb
fracture
MODE III criterion

Parabolic E
fracture D
envelope C

B
T0
s1 sn
n qf f
A
MODE I s3

(Twiss and Moores, 1992)

The Development of Through Going Fracture (Fault)

TENSILE CRACK, LOW CP Griffith Crack

t2 = 4st(st+s)

st = tensile strength

I. Pre-existing crack
II. Crack closed
III. Crack propagation
IV. Crack begin to interact
V. Fault forms

SHEAR FAILURE, HIGH CP

Twiss and Moores (1992)

 COMPRESSIVE FRACTURES

Principal Stresses s1 slip

s3 tmax planes planes
s1 > s2 > s3
s2

s1 s1 s3 s3

Triaxial
Test
s2 Stresses
s3 s1
Anderson’s Dynamic Fault Classification
BASIC PROBLEMS WITH ANDERSON’S THEORY

• Rocks are not homogeneous as implied by Coulomb failure but

commonly have planar anisotropies. These include bedding,
metamorphic foliations, and pre-existing fractures. If s1 is
greater than 600 to the planar anisotropy then it doesn’t matter;
otherwise the slip will probably occur parallel to anisotropy.

• There is an implicit assumption of plane strain in Anderson’s theory

-> no strain is assumed to occur in the s2 direction. Thus only two
faults directions are predicted. In three-dimensional strain, there
will be two pairs of conjugate faults as shown by work of Reches
Allmendinger (1996)
3D-STRAIN
 STRESS NOMENCLATURES

Principal Tensor
S2 GEOMECHANIC MODEL

x2
SV

S1 x2

x1
S3
Shmax
x3
x1

x3 Shmin
S1 0 0
S = 0 S2 0
0 0 S1
STRESS NOMENCLATURES

GMI (2001)
STRESS NOMENCLATURES

GMI (2001)

• s 1, s 2, s 3
STRESS TERM
• sv, shmax, shmin
COULOMB CRITERION – FRICTIONAL SLIDING

SLIDING OCCURS WHEN:

sn m = sS/sn

m= Coefficient of friction
(sliding friction)
sS
Coulomb Failure Function:

CFF = sS - msn

Effective Normal Stress:

sn = sn - Pp
Rocks Friction
FRICTIONAL SLIDING

Mohr diagram for showing failure envelopes

for intact rock and for reactivation of a
pre-existing fault.
Frictional Sliding Behavior (Byerlee’s law)

sc = tan qf (sn)
mf  tan qf

sc = critical
shear stress
mf  coefficient of
sliding friction

sn = normal stress

(Davis and Reynolds, 1996)

EFFECT PRE-EXISTING FRACTURES (WEAKNESSES)
FRICTIONAL SLIDING

Mohr diagram showing variation of fracture condition

resulting from the effect of differential stress and
pre-existing fractures
In Situ Stresses

GMI (2001)
STRESS AND FAULT TYPES
STRESS MAGNITUDES AND FAULT TYPES

GMI (2001)
In Situ Stresses

We usually assume
Sv is a principal stress
x
sv
sHMAX > shmin
sHMAX
shmin z

GMI (2001)
In Situ Stresses

GMI (2001)
SUMMARY STRESS (s)

Image of Stress 1
ss ss ss

s  s  s sn s  s s sn s s  s sn
p

p 0 0 a 0 0 0 0 0
0 p 0 0 0 0 0 0 0

0 0 p 0 0 0 0 0 -a
A. Hydrostatic stress B. Uniaxial compression C. Uniaxial tension

ss ss ss

s s sn s s sn s s s sn
s s
a 0 0 a 0 0 a 0 0
0 b 0 0 a 0 0 b 0
0 0 b 0 0 b 0 0 c
D. Axial or confined E. Axial extension or F. Triaxial stress
compression extensional stress
SUMMARY STRESS (s)

Image of Stress 2
ss ss
sn
Deviatoric Applied

s s s sn s  s s s sn
sn

a 0 0
0 0 0 s 0
 s - sn 0
=
0 0 -a 0 s
 0 s - sn
G. Pure shear stress H. Deviatoric stress
(two-dimensional)

ss ss

Effective Applied

s s s s s s sn s
E s
E Es s sn
s s

D s D s D s pf s 0 s -p f
0 0 0
E

D s  s  - s 0 Es  0 = 0 s -p f 0
I. Differential stress J. Effective stress 0 0 Es  0 0 s -p f
(Three examples)
REGIONAL TECTONIC STRESS

• Normal Faulting Regime

• Thrust Faulting Regime
• Strike-slip Faulting Regime
NORMAL FAULT (STRESS) REGIME

sv = s1

The normal fault regime is

shmin also called the extensional
sHMAX = s3 regime.
= s

Horst-graben structure
horst
graben

extension

SINGH (2002)
Normal Faulting Regimes

 High angle faults at surface (60°-70° dip)

 Indicates that sv = s1 when the fault formed

 Characteristic of surface extensional strain

 Also, typical of non-tectonic basins

 Hydraulic fractures are vertical,  to shmin

 However, high angle surface faults may “flatten” at

greater depth

 Many continental margins, passive basins, regions of

crustal “pull-apart” .
THRUST FAULT (STRESS) REGIME

The shale bed in zone A has gone through

one hinge point, through two in zone B, and
through three hinge bends in zone C. sv = s3
sHMAX = s1
hinge points

overthrust sheet highly fractured zone

strong
lateral B
thrust C
A

largely unfractured shale

high-p static basal sheet
shale
compression

SINGH (2002)
Thrust Faults

 Low angle faults (dip of 0° to 30°)

 Indicates sv = s3 (sHMAX = s1) when the fault formed

 Characteristic of compression regions, associated with

thrust mountain ranges

 Same stress condition can often be found at shallow

depths in eroded basins

 Usually normal and strike-slip faults are found bounding

the thrust fault “sheets”

 Hydraulic fractures will be horizontal

STRIKE-SLIP FAULT (STRESS) REGIME

Block diagram sv = s2
shmin = s3
sHMAX
acute = s
angle

~vertical
fault plane
shmin

sHMAX
Associated Surface
normal faults view
SINGH (2002)
Strike-Slip Stress Regime

 Very high angle faults (>80°)

 Indicates sv = s2 (sHMAX = s1) when the fault formed

 Characteristic of plate margins

 Common at depth in eroded basins

 Common some distance from compression

 Normal faults are common found nearby at the

surface, away from the main fault trace

 Hydraulic fractures vertical,  to shmin

SUMMARY TECTONIC STRESS

• The tectonic condition and the nature and orientation of

faults give important clues:

 The principal stress directions

 The relative magnitude of the stresses
 Whether stresses are intense or relaxed

• To be confident of the stress conditions, the faults must

be shown to be “active”

• Geological history can be complex, giving different stress

fields at different depth

• The first task in a new area is to study the stresses and

tectonic features
BURIAL AND DIAGENETIC HISTORY

• Magnitude and orientation of stresses ?

• Effect Uplift and erosion

• Behavior pore pressures

• Effect loading and unloading to stratigraphy

• Fluid effect (i.e. Hydrocarbon generation)

DIAGENESIS AND ROCKS

• Mechanical compaction, most important in shales, drives the

particles closer together

• Pressure solution, important in sands but not shales, lowers

porosity substantially

• Cementation, usually SiO2 or CaCO3, bonds grains together,

reducing porosity as well, most important in sands -> sandstone

• Very deep, clay minerals change, leading to fracturing & stress

changes (shales only)

• Diagenesis rate and intensity is function of T, s (i.e.: depth,

t, chemistry]
Diagenesis, Strength, Stiffness

• Mechanical compaction in the early burial stages

increases the friction angle, 

• Chemical effects increase cohesion, c, often cementing

particles together

• The sediments also become stiffer (higher Young’s

modulus)

• In general, rocks become stronger

• However: deep, intense shale diagenesis often generates

shrinkage fractures; they become weaker, shmin and
sHMAX , k, even though they are lower porosity
Diagenesis and Strength

sa = s1 slip
tmax planes planes
shear stress - t diagenesis
effects on the
sr = s3 sr
chemical cementation strength
Triaxial
densification sa
Test
(more interlock) Stresses

original
sediment
cohesion diagenetic
strength
increase

normal
strength stress - sn
s3 s increase

Principal stresses – see inset

SINGH (2002)
LESSONS LEARNED

• Stresses in the earth arise from:

– Gravity effects (rock bulk density – sv)
– Tectonic effects (compression, extension, etc.)

• Recent faults indicate stress patterns

• Basin shape is a stress pattern indicator

• Geology and history allow us to estimate relative stress

magnitudes and orientations

• Stress is involved in many basin processes

– Basin fabric, diagenesis, overpressure, oil migration, gas
and oil valving (migration).
LESSONS LEARNED

• In compressive experiment failure occurs when the compressive

stress exceeds the compressive strength.

• Poorly-consolidated sands are characterized by a high

coefficient of internal friction. Weak rocks are weak because
they lack cohesion.

• Under special circumstances, anisotropic rock strength (finely

laminated shales) can be important, especially for wellbore
stability studies.

• Tensile strength of rock is extremely low and can generally be

assumed to be zero.

• Rock Friction – it is always 0.6

• The frictional strength of faults in Earth’s crust limits the

maximum difference between stress magnitudes.
COMMON SYMBOL IN ROCK MECHANICS

E, n: Young’s modulus, Poisson’s ratio

: Porosity (e.g. 0.25, or 25%)
c’, ,To: Cohesion, friction, tensile strength
T, p, po: Temperature, pressure (initial p)
sv, sh: Vertical and horizontal stress
s1,s2 ,s3: Major, intermediate, minor stress
r, g: Density, unit weight (= rg)
k: Permeability
These are the most common symbols used