Permeability Evolution Laws and Equations during the

Course of Deformation and Failure of Brittle Rock

H. L. Wang1 and W. Y. Xu2

Abstract: Permeability tests on limestone and sandstone during the course of deformation and failure are carried out with a servocontrolled
testing machine. The permeability evolution of the two kinds of rocks with axial, lateral, and volumetric strains are investigated. The test results
show that the permeability has an obvious correlation with the strain. The permeability mechanisms during the course of deformation and failure
are discussed. According to the feature variations of permeability and strain of rock specimens, a conceptual model for the permeability evo-
lution with the strain is proposed. The test results of sandstone are used to validate this model, and the relevant permeability-strain equation
in the process of deformation and failure is fitted by using the mathematical method. The fitting precision is good. The proposed equation
may provide another important control equation for the stress-seepage coupling analysis. DOI: 10.1061/(ASCE)EM.1943-7889.0000608.
© 2013 American Society of Civil Engineers.
CE Database subject headings: Rock mechanics; Deformation; Failures; Permeability; Brittle failures.
Author keywords: Rock mechanics; Deformation and failure; Permeability mechanism; Permeability-strain equation.

Introduction
The permeability of rock specimens during the process of defor-
mation and failure is closely related to the growth and coalescence
of microcracks and macrofracture formations. This conception of
the process has been increasingly recognized among researchers. At
the same time, continual improvement of test instruments and
methods during the past 20 years has provided powerful support for
such views. Many tests have been made to reveal the laws of per-
meability variations of rock during the whole process of deformation
and failure (Barton et al. 1985; Zhu and Wong 1997; David et al.
2001; Ngwenya et al. 2003). The relationship between the stress or
strain and the permeability has also been investigated by many
researchers. These investigations show that the stress has an obvious
effect on the permeability, and some functions are used to describe
the relationship between the stress and the permeability (Gangi
1978; Tsang and Witherspoon 1981; Hicks et al. 1996; Shan et al.
2000). Constitutive equations for the relation between permeability
and the stress or strain have been done on concrete, but few on rock,
and even fewer numerical methods have been established for the
study of hydromechanical coupling during the evolution process of
rock permeability (Li et al. 1994). Therefore, establishing the
equations to study relations between stress or strain and permeability
is an important starting point for testing a hydromechanical coupling
model.
When the rock specimen is in the process of deformation
and failure, both pore structure and permeability may change, and
1
Associate Professor, Key Laboratory of Coastal Disaster and Defence,
Ministry of Education, Hohai Univ., Nanjing 210098, China (corresponding
author). E-mail: whl_hm@163.com
2
Professor, Institute of Geotechnical Engineering, Hohai Univ., Nanjing
210098, China. E-mail: wyxu@hhu.edu.cn
Note. This manuscript was submitted on May 14, 2009; approved on
February 14, 2013; published online on February 18, 2013. Discussion
period open until April 1, 2014; separate discussions must be submitted for
individual papers. This paper is part of the Journal of Engineering
Mechanics, Vol. 139, No. 11, November 1, 2013. ©ASCE, ISSN 0733-
9399/2013/11-1621–1626/$25.00.
correspondingly, the fluid flow pressure is also likely to cause de-
formation of the pore structure. Therefore, the influence of the stress
on the fluid flow is actually a coupled problem, which can be
explained theoretically from the test relation between the perme-
ability coefficient and the normal stress proposed by Louis (1974).
Many extensive and intensive discussions about the laws of per-
meability evolution of rock have been made (Brace et al. 1968;
Bieniawski 1967; Ayatollahi et al. 1983; Bernabe 1986; David et al.
1994; Souley et al. 2001; Gutierrez and Lewis 2002; Millard et al.
2005; Shao et al. 2005). These researchers attempted to establish the
relationship among permeability, porosity, volumetric strain, ef-
fective mean stress, confining pressure, and so on.
At present, some orthogonal polynomial equations are used for
fitting the relationship between the strain and the permeability. Al-
though the fitting precision is good, it is not enough to reflect the
variation mechanism of the permeability at the postpeak phase.
Therefore, further studies are necessary to establish the strain-
permeability equations to describe the laws of variation of perme-
ability during the complete process of rock failure. In this study, the
tests on the hydromechanical coupling of sandstone and limestone are
carried out. The permeability laws of the sandstone and limestone
during the course of deformation and failure are analyzed. Based on
the test results, a concept model for the permeability evolution of rock
during the process of deformation and failure is established, and the
relevant equations for the permeability-strain of rock during the
process of deformation and failure are fitted by means of the mathe-
matical method. The results of this study may provide a basis for the
establishment of a hydromechanical coupling model.
Test Materials and Methods
Permeability tests on rock specimens in the process of complete
stress-strain are carried out by a MTS815.02 electrohydraulic ser-
vocontrolled rock mechanics testing system (U.S. MTS Co., Eden
Prairie, Minnesota). This system is capable of uniaxial compression,
triaxial compression, and pore water-pressure tests, among others,
and it is one of the most advanced types of laboratory testing
equipment available for testing the mechanical properties of rock.

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The test principle of fluid flow is shown in Fig. 1, where s1 is the results in three aspects were obtained, as shown in Table 1, and they
axial pressure, s3 is the confining pressure, and p1 and p2 are the are described here in detail.
water pressures at the top end and the bottom end of the specimens,
respectively. At the top and bottom ends of the specimens there is a The Permeability Law in the Process of
permeable panel, which is a steel plate with many evenly distributed Complete Stress-Strain
small holes, and its function is to make the water pressure act evenly
at the end of the whole specimens. Plastic insulation tape and thermal The test curves of the stress-strain and permeability-axial strain in
shrinkage plastic wrap are used to seal the rock specimens. the process of deformation and failure are shown in Figs. 2 and 3. It
During the process of complete stress-strain testing of the rock can be seen that the curve shape and variation trend of stress-strain of
specimens, the strain values can be set in advance from 10 to 12 or limestone and sandstone are basically consistent, and the whole
more. The load along the direction of axial strain increases, and variation process includes four phases:
when the axial strain reaches the preset strain value, the axial loading 1. Microcrack compaction,
system retains the axial displacement to be constant. Using the pore 2. Elastic deformation,
pressure system, the pressures at the two ends of the rock specimens 3. Yielding failure, and
are p1 5 p2 5 p0 . The pressure at one end of pore pressure is then 4. Postpeak.
reduced, and the pore pressure difference Dp0 at the two ends of the
rock specimens is formed. The dates of variation of the pore pressure Table 1. Test Results
with time are collected. By releasing the pore pressure, the rock Specimen
specimens are continuously loaded by the next preset strain value, Peak Peak Variance range
size (mm)
and then the measurements of the permeable properties of the rock Rock stress strain of permeability
specimens are performed. specimens Diameter Length (MPa) (1023 ) (1026 Darcy)
The data collection during the test is automatically controlled by Limestone 48.4 81 110.29 0.013 0.303–1.559
the computer. When each axial stress is loaded, the axial stain of the Sandstone 49.4 100.3 141.91 0.098 0.0365–0.324
rock specimens and the variation process of permeable pressure with
time can be collected, and then the stress-strain and permeability-
strain curves can be obtained. In addition, a LVDT is adopted in
this test to measure the variation of the lateral strain with time and to
obtain the relationship between the lateral strain and the permeability.
According to registered data during the test, the permeability of
the rock specimens is computed.
The rock specimens are limestone and sandstone, and the fluid
flow tests are carried out under the same conditions. The test
parameters are as follows:
• Confining pressure 5 5 MPa;
• Pore pressure 5 4.8 MPa; and
• Ten or 15 test points are observed during the course of
deformation and failure of the rock specimens during the
measurements.

Discussion and Analysis of Results

Permeability tests on the rock specimens were carried out by means Fig. 2. The permeability law of limestone in the process of deformation
of the transient state method. According to the test objective, the test and failure

Fig. 3. The permeability law of sandstone in the process of deformation

Fig. 1. Principle of fluid flow experiment and failure

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 However, sandstone shows more brittleness than the limestone in in Figs. 6 and 7. It is clear that the evolution of the permeability is
the postpeak. The reason may be that, based on the different struc- closely correlated with the volumetric strain. Four phases of evo-
tural natures of the two materials, the material intensity in the rock lution can be identified. In the first phase of deviatoric loading, there
specimens is quite different. For the limestone, when strain is ap- is a decrease of permeability attributed to progressive closure of
plied, the materials with a lower strength reach their supporting the initial microcracks, and the corresponding volumetric strain is
capacity first and become weakened, resulting in plastic defor- compressive. During the second phase, the permeability remains
mation. With further increase of the strain, the materials with a stable and nearly constant, and the volumetric strain continues to
higher strength will then reach their supporting capacity and be-
come weakened, so the yielding, weakening, and deformation
processes within the rock materials will tend to be homogeneous,
resulting in plastic deformation. However, for the sandstone, be-
cause the particles within the rock specimens are relatively smooth,
with the increase of the strain the yielding, weakening, and de-
formation processes within the rock materials will not tend to be
homogeneous; instead, they will exhibit a strong tendency toward
brittleness in the postpeak phase.
The permeability-strain curves in Figs. 2 and 3 show that when
the rock specimens are in the state of elastic deformation, the
permeability of the limestone decreases, and that of the sandstone
remains constant, indicating that the rock specimens are in the state
of compaction and the initial microcrack does not grow. With the
increase of the axial strain, the initial microcrack within the rock
begins to grow and coalesce. At the same time, new cracks are
formed, and the connectivity of the crack network is enhanced. Thus
the permeability shows the feature of slow increase at first and then
rapid increase afterward. The peak value of the permeability is close Fig. 4. The permeability-lateral strain behavior of limestone
to that of the rock strength, and for the sandstone, it is behind the
peak value of the strength, but for the limestone, it is prior to the peak
value of the strength. The reason lies in the two different materials.
In the postpeak phase, the continuous straining results in frictional
sliding on fractures. Under the effect of confining pressure, the
permeability decreases; this is perhaps because the particles of the
sandstone are relatively smooth, meaning that the crack can further
slide with the increase of the axial deformation, and the variation of
the permeability has fluctuations.

The Influence of Lateral and Volumetric Strain

on Permeability
The lateral deformation of the rock specimens from another angle
reflects the yielding, weakening, and failure characteristics during
the process of their axial compression and failure. Because of the
limitations of test instruments, there have been not many inves-
tigations on the relationship between the permeability and the lateral
deformation under triaxial stress, and even fewer studies are made Fig. 5. The permeability-lateral strain behavior of sandstone
about the influence of lateral deformation on the permeability in the
postpeak phase.
For better analysis and comparison, the curves of lateral strain-
permeability and axial strain-permeability are overlaid in the same
figure, shown in Figs. 4 and 5 (k ∼ ɛ3 ) where the lateral deformation
is set to be positive. It can be seen that the variation tendency of the
curve of lateral strain-permeability is basically the same as that of the
axial strain-permeability, and the peak permeability is near the peak
differential stress. A careful comparison of the preceding two figures
indicates the lateral elastic strain is much smaller than the axial
elastic strain, and the lateral deformation is earlier and quicker to
leave the linear elastic state than the axial deformation. Accordingly,
the increase of deformation of the rock specimens is relatively faster,
and the generated lateral strain is much smaller than the axial strain
when the permeability reaches the peak. Therefore, the lateral strain
can be more sensitive than the axial strain to reflect the variation in
permeability of the rock specimens.
Based on the test results, the evolutions of stress-volumetric Fig. 6. The permeability change with the volumetric strain of limestone
strain and permeability-volumetric strain are compared, as shown

JOURNAL OF ENGINEERING MECHANICS © ASCE / NOVEMBER 2013 / 1623

be compressive but deviates from the linear elastic and shows
nonelastic increase. During the third phase, the growth and co-
alescence of microcracks occurs. This leads to progressive volumetric
dilation from the opening of microcracks, with the permeability
also reaching its peak at this phase. In the postpeak phase, mainly
influenced by the confining pressure and changing pore structure of
the rock specimens, the variation of the permeability coefficient is
complex. Their permeability has different reductions, but the re-
lationship between the permeability and the volumetric strain after
the peak is not a linear one.
The Permeability Mechanism in the Process of
Deformation and Failure of Rock
Both the limestone and sandstone are heterogeneous materials with
multicracks and multiholes within the rock specimens. Their de-
formation and permeability failure essentially exhibit a dynamic
evolution process, that is, initiation, growth, and coalescence of
microcracks, leading to failure. The influence of the variation of
the stress state on the permeability can be seen directly from the
curves of stress and axial strain-permeability, stress and lateral strain-
permeability, and stress and volumetric strain-permeability. When
the stress-strain undergoes the phases of microcrack compaction,
elastic deformation, yielding failure, and postpeak, permeability also
changes correspondingly at each phase. At the phase of microcrack
compaction, the permeability is relatively low based on the closure of
the cracks, and becomes lower and remains stable at the phase of
elastic deformation based on the opening of the cracks within rock
being compressed to a minimum. With the increase of the strain, the
cracks begin to grow and coalesce; at the same time, new cracks are
formed, and the connectivity of the crack network is enhanced. These
make the permeability reach the maximum at this phase and show the
jumping phenomenon. In the postpeak phase, the strain continues to
increase and the generated cracks begin to close and the permeability
gradually decreases under the effect of confining pressure.
In addition, for reaching the permeability peak, the lateral strain is
earlier and quicker than the axial strain under the same strain, which
means that the lateral strain is more sensitive than the axial strain to
reflect the variation of the permeability of the rock specimens. The
evolution of the permeability is closely correlated with the volumetric
strain, and the evolution feature of each phase is obvious.
In fact, the variation of stress-strain state is only the exterior
condition that causes the variation of the permeability of rock. The
fluid flow failure of the rock specimens also relates to their own
properties. It involves the fluid flow characteristics from the
Fig. 7. The permeability change with the volumetric strain of sandstone
1624 / JOURNAL OF ENGINEERING MECHANICS © ASCE / NOVEMBER 2013
microscopic views of topological structure; distribution of pores
and fissures of pore media; roughness of fissure surface and re-
lation between porous media and fluid (as in surface wetness, ad-
sorption, and desorption properties); saturation distribution; and
details of distribution of various phases. They are all included in
the improvements of the Darcy’s equation.
The limestone and sandstone have no visible microcracks in the
surface before testing. The variations of the permeability are dif-
ferent in the postpeak phase. The permeability of the limestone
continues to decrease under the effect of confining pressure, while
that of the sandstone first increases and then decreases. Because of
its own properties in the microcosmic scope, the particles of the
sandstone are smoother, with pores developing. Pores and cracks
then slide easily under this force. Moreover, during the process of
fluid flow failure, the largest permeability of the rock specimens
does not appear with the peak value of the stress but near the peak
value of the stress. The permeability peak of the sandstone is behind
the peak value of the stress, but that of the limestone is ahead of the
peak value of the stress. This phenomenon is caused by the nature of
the rock specimens.
In short, studies on the permeability mechanism of rock specimens
during the process of deformation and failure are very instructive for
hydropower, mining, and oil and gas development projects, just to
name a few.
Conceptual Model for Variation of Permeability and
Permeability-Strain Fitting Equation
Conceptual Model for Variation of Permeability with
Axial Strain
Based on the preceding test results, a conceptual model for perme-
ability evolution with the axial strain is shown in Fig. 8, in which
the permeability evolution can be divided into the following four
phases.
Elastic Compression Phase
The initial microcracks and pores within the rock are compressed to
reduce the volume of the rock specimens, which leads to the de-
crease of the permeability.
Compression Stability Stage
The opening of microcracks within the rock specimens is compacted
to the minimum, and the variation of the permeability is very small.
Although the cracks can be further compressed, the compressibility
Fig. 8. Conceptual model of permeability change with axial strain
is far less than that in the first phase. This phase can be considered to
be linear elastic deformation of rock materials, and the permeability
can be approximated to be a constant.
Dramatic Increase Phase of Permeability
With the further increase of the stress and strain, the initial cracks
within the rock begin to grow and progressively coalesce, and at
the same time, new cracks are formed and the connectivity of the
crack network is enhanced. These make the permeability increase
2–4 magnitudes and reach the maximum, displaying the jumping
phenomenon.
Postpeak Phase
The variation of the permeability is more complex in this phase, and
it is closely related to the confining pressure. When the confining
pressure is greater, the generated macro fractures are further com-
pacted by sliding, and the permeability decreases. If the confining
pressure is lower, the permeability will increase with the increase of
Phase 1: y ¼ 0:25354 þ 0:03983x 2 0:01849x2 þ 4:3537E 2 4x3
Phase 2: y ¼ 56,379:33123  expð2x=0:32993Þ þ 0:02164
Phase 3: y ¼ 1:4066E 2 11  expðx=0:43454Þ 2 0:00103
Phase 4: y ¼ 90,541,667:87746  expð2x=0:55975Þ 2 0:03991
Through the mathematical fitting, two kinds of empirical equa-
tions for the relationship between the permeability and the strain are
obtained:
1. Polynomial equation, which can better describe the initial
phase of elastic compression; and
2. Exponential equation, which includes two types: the expo-
nential decay and the exponential rise. The former describes
the phases of permeability stability and postpeak, and the latter
describes the phase of the permeability with dramatic increase.
Therefore, the polynomial equations by fitting can be expressed
as y 5 a 1 bx 2 cx2 1 dx3 , which better describes the initial phase
of elasticity compression. The exponential equations can be
expressed as y 5 A1 3 expðHx=t1 Þ 1 y, which describes the other
deformation phases. The coefficients are different for different rock
specimens.
Conclusions
1. The permeability evolution of the rock specimens under the
complete stress-strain process exhibits a quite logical feature
and can be divided into four phases of microcrack compaction,
elastic deformation, yielding failure, and postpeak, with the
permeability having different variations at various phases.
According to the variation features of the permeability with
axial, lateral, and volumetric strains, the permeability evolu-
tion of the rock specimens is closely correlated with the strain.
2. The variation tendency of the curve of lateral strain-
permeability is basically the same as that of the axial strain-
permeability. Because the lateral elastic strain is much smaller
than the axial elastic strain, and the lateral deformation is
earlier and quicker to leave the linear elastic state than the
axial deformation, the generated lateral strain is much smaller
JOURNAL OF ENGINEERING MECHANICS © ASCE / NOVEMBER 2013 / 1625
rock deformation. However, because the connectivity of the fracture
network is already very high, the increase of permeability is very
slow, small, and limited.
Fitting Equation
Based on the test data, the following program is taken to fit the
equation for the permeability-axial strain of the sandstone:
1. The Newtonian difference method is used to interpolate the
certain number of key and test points;
2. The orthogonal polynomial methods are employed on the basis
of least-squares fit to approximate a certain number of key and
test points; and
3. The exponential equations are used to fit a certain number of
key points and obtain the equation.
According to the proposed conceptual model, the curve of
permeability-axial strain of the sandstone is divided into four phases
to fit, and the fitting equation in each phase is as follows:
1:79 # x # 5:08 R2 ¼ 0:98
5:48 # x # 7:48 R2 ¼ 0:98
8:18 # x # 10:47 R2 ¼ 0:98
11:22 # x # 16:45 R2 ¼ 0:91
than the axial strain when the permeability reaches the peak.
Therefore, the lateral strain can be more sensitive than the
axial strain to reflect the variation of the permeability of the
rock specimens.
3. The permeability mechanism of rock in the process of de-
formation and failure can be analyzed from two aspects. One is
the exterior condition, such as the variations of pores and
cracks resulting from the variation of stress-strain state. The
other is involved in the fluid flow characteristics of microcos-
mic scale related with the properties of rock itself, such as the
topological structure of pore media, distribution of pores and
cracks, roughness of fissure surface, and the relation between
porous media and fluid. In addition, these are all included in the
improvements of the Darcy’s equation.
4. According to the variation features of the permeability with
axial strain, a conceptual model is proposed. Test data of
sandstone permeability are used to simulate this model. The
permeability-strain equation in the process of deformation
and failure is fitted by means of the mathematical method.
This empirical equation can better describe the process of the
deformation and failure of the sandstone. This expression is
not for the universal application, and its coefficients are dif-
ferent for various test conditions and rock specimens. The
establishment of permeability-strain equation may provide
another important control equation for the stress-seepage
coupled analysis, which will make the coupling calculation
more realistic.
Acknowledgments
This work is financially supported by the National Basic Research
Program of China (973 Program) (Grant No. 2011CB013504),
the State Key Laboratory for GeoMechanics and Deep
Underground Engineering, China University of Mining & Tech-
nology (SKLGDUEK1108), the Natural Science Foundation of
China (Grant Nos. 51009052, 11172090, 11272113), the Natural
Science Foundation of Jiangsu Province (Grant No. BK2012809)
and the National Key Technology R & D Program of China (Grant
No. 2012BAK03B04).
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