Rock Mechanics Bulletin 3 (2024) 100111

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Rock Mechanics Bulletin

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Full Length Article

Experimental investigation of stress unloading effects on rock damage and

confining pressure-dependent crack initiation stress of porous sandstone
under true triaxial stress environments
Qingsheng Bai *, Max Friedel , Heinz Konietzky
Geotechnical Institute, TU Bergakademie Freiberg, Gustav-Zeuner-Straße 1, 09599 Freiberg, Germany

A R T I C L E I N F O A B S T R A C T

Keywords: This study investigates the impact of intermediate (σ 2) and minimum (σ 3) principal stress unloading on damage
Stress unloading behavior and the confining pressure influence on crack initiation stress (σ ci) in true triaxial stress conditions,
Damage behavior utilizing large-scale cubic samples. Two distinct true triaxial tests were executed, examining the effects of
True triaxial stress environments
confining stress (σ 2 and σ 3) unloading on porous sandstone damage and the correlation between confining stress
Wave velocity
Crack initiation stress
and σ ci. Acoustic emission (AE) parameters, signal characteristics, and wave velocity variations were utilized to
elucidate cracking mechanisms and damage development in the samples. Unloading tests reveal consistent ve-
locities in three orthogonal directions (V11, V22, and V33) during the initial two unloading stages. In the subse-
quent three stages, confining stress unloading leads to a decrease in wave velocity in the corresponding direction,
while velocities in the other two directions remain nearly constant. Notably, σ 2 unloading generates higher
amplitude AE signals compared to σ 3 unloading, with over 70% of the micro-cracks categorized as tensile. In the
incremental loading tests, σ ci is found to be contingent on confining pressure, with σ 2 playing a crucial role.
During σ 1 loading, V33 decreases, indicating additional crack formation; conversely, σ 3 loading results in V33
increase, signifying the continuous closure of existing cracks. Limitations of the experiments are summarized and
prospects in this domain are outlined.

1. Introduction Based on intensive experiments and field observations, σ ci typically

The utilization of deep underground engineering is growing across
various sectors such as traffic tunnels, mining, nuclear waste disposal,
energy storage, and underground laboratories. Excavation of hard rock in
a high-stress environment is prone to brittle failure, including spalling
and slabbing due to intensified stresses at excavation boundaries (Martini
et al., 1997; Jiang et al., 2017; P
erez Hidalgo and Nordlund, 2012; Naji
et al., 2019; Si et al., 2024a,b). Crack initiation stress (σ ci) is regarded as a
crucial parameter for failure evaluation and reinforcement design,
aligning well with observed spalling stress around underground openings
(Diederichs, 2007; Martin, 1997; Andersson and Martin, 2009; Martin
and Christiansson, 2009). A widely accepted concept is that the fracture
process in hard rocks involves four key inflections in the stress-strain
response: crack closure (observed in the axial strain), crack initiation
(observed in the lateral strain), unstable crack growth (observed in the
volumetric strain), and peak stress (Brace et al., 1966; Bieniawski, 1967;
Nicksiar and Martin, 2013), as shown in Fig. 1.
ranges from 20% to 60% of the unconfined compressive strength (σ c)
(Castro et al., 1997; Diederichs, 1999; Martin et al., 1999; Cheon et al.,
2007) and remains an intrinsic property of brittle rocks regardless of the
loading conditions (Martin and Christiansson, 2009). However, experi-
ments on hard rocks have shown that σ ci slightly increases with σ 3 (Hoek
and Martin, 2014; Nicksiar and Martin, 2013).
However, existing criteria overlook the impact of σ 2, a well-
established factor in rock strength (Mogi, 1967; Cai, 2008; Chang and
Haimson, 2000), and its potential influence on σ ci. Experimental results
on the role of σ 2 in crack initiation and rock damage diverge. While some
studies indicate an increase in σ ci with rising confining pressures (Cheon
et al., 2007; Kong et al., 2018), others argue for a potential decrease if σ 2
surpasses a critical value (Kong et al., 2018; Li et al., 2019; Lu et al.,
2020). Therefore, a critical question that remains unanswered is whether
(and how) σ 2 affects σ ci. While limited experiments have examined the
impact of σ 2 on σ ci, these investigations primarily focus on compact rocks
(e.g., granite rocks). Whether these findings are applicable to porous

* Corresponding author.
E-mail address: qingsheng.bai@outlook.com (Q. Bai).

https://doi.org/10.1016/j.rockmb.2024.100111
Received 4 January 2024; Received in revised form 19 February 2024; Accepted 21 February 2024
Available online 27 February 2024
2773-2304/© 2024 Chinese Society for Rock Mechanics & Engineering. Publishing services by Elsevier B.V. on behalf of KeAi Co. Ltd. This is an open access article
under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
Q. Bai et al.
Fig. 1. Typical stress-strain response recorded of a uniaxial compressive test
showing the four inflections (modified from (Nicksiar and Martin, 2013)).
rocks remains uncertain. Furthermore, the exploration of the relationship
between confining pressure and σ ci necessitates numerous tests (each
confining pressure state requires a test), causing significant time and cost
expenditures, particularly for large-scale experiments. To address this
challenge, an incremental loading experimental method was proposed in
this study. This method facilitates the examination of the confining
pressure dependence of σ ci by incrementally increasing σ 2 (or σ 3) and σ 1,
enabling the evaluation of several confining stress states and their cor-
responding σ ci within a single experiment.
Traditional laboratory experiments simulate in situ rock mass
response induced by underground excavations through a loading regime.
However, stress unloading induced by excavations, dominating damage
and failure development, is often neglected (Young et al., 2000; Dai et al.,
2018; Cai, 2008). Stress path tests, including essential unloading, better
mimic field observations (Bai et al., 2019; Ivars et al., 2011; Young et al.,
2020). Recently, unloading tests, particularly true triaxial unloading
tests, have gained attention for their ability to replicate strain burst and
slabbing phenomena (He et al., 2010; Zhao et al., 2014; Du et al., 2015,
2016; Huang et al., 2001). However, These studies focus on the
unloading of the minor principal stress (σ 3) (Li et al., 2015; Du et al.,
2015; He et al., 2010; Xiao et al., 2020) and the maximum principal stress
(σ 1) (Feng et al., 2020; Gao and Wang, 2021; Meng et al., 2021; Zhao
et al., 2021), but often overlook the effects of intermediate principal
stress (σ 2) unloading, which usually occurs near the excavation face (Bai
et al., 2019; Eberhardt, 2001). Several experimental studies have shown
that σ 2 unloading could further damage the rock (Bai et al., 2019, 2022)
and enhance the failure violence of rock samples (Jiang et al., 2019),
impacting rock damage and σ ci, though these effects remain
unquantified.
This study delves into the influence of σ 2 and σ 3 on the damage
behavior and confining dependence of σ ci in true triaxial stress environ-
ments. Two types of true triaxial tests were conducted, focusing on
confining stress (both σ 2 and σ 3) unloading effects on sandstone damage
and the impact of confining stress (both σ 2 and σ 3) on σ ci. Acoustic
emission (AE) parameters and signal characteristics, along with velocity
variations, were employed to interpret cracking mechanisms and un-
derstand micro-crack development in the samples.
2. Laboratory experiments
Experimental tests were conducted on cubic samples of Postaer
sandstone with an edge length of 24 cm. Postaer sandstone is a homo-
geneous rock from the Elbe-Valley in Saxony, Germany. X-ray diffraction
analysis revealed a predominant quartz content of 97%, with approxi-
mately 3% kaolinite and ankerite (Zhang et al., 2020). The sandstone
exhibits siliceous inter-grain cement, as investigated in detail by G€
otze
and Siedel (2004), and possesses an average grain size of 0.37 mm, and a
2
Rock Mechanics Bulletin 3 (2024) 100111
porosity of around 22% (Wang et al., 2022). Key properties of Postaer
sandstone are summarized in Table 1 (Wang et al., 2021).
To investigate the influence of σ 2 and σ 3 on the damage behavior of
the sandstone, we conducted two true triaxial unloading tests: the σ 2
unloading test (S2U) and the σ 3 unloading test (S3U) test. In the S2U test,
σ 2 was unloaded incrementally to the σ 3 level with a reduction of 1 MPa;
in the S3U test, σ 3 was stepped unloaded to a low level (with a reduction
of 1 MPa) from the σ 2 level. To explore the dependency of σ ci on confining
pressure, we employed the incremental loading method in a true triaxial
test (CIT) with σ 2 set at 2 MPa, and a biaxial test (CIB) with σ 2 at 0 MPa.
During the incremental loading tests, σ 3 and σ 1 were alternately
increased. In each procedure, σ 3 was initially raised by 1 MPa, followed
by a gradual increase in σ 1 until reaching the corresponding σ ci level,
determined by the predefined AE rate threshold. Details of the test
methodologies can be found in Section 3.
The experiments were carried out using the true triaxial servo-
controlled machine at the Geotechnical Institute, TU Bergakademie
Freiberg. To avoid loading platen collisions and to allow the installation
of sensors, the edge length of the loading platens is 4 cm smaller than the
sample edge length, creating a 2 cm space between the platen boundary
and the sample edges, as illustrated in Fig. 2. Twelve acoustic emission
(AE) sensors were positioned near the sample edges, as depicted in Fig. 2.
The coordinates of these sensors can be found in Table 2.
We used the AMSY-6 multi-channel AE acquisition system from
Vallen, Germany, to collect AE parameters and waveform data. The
system records AE signals with a 40 dB amplification and a storage fre-
quency of 10 MHz. Each AE signal, comprising a 1024 sample point
waveform (25% pre-first arrival, 75% after post-first arrival), is stored in
a signal file. To eliminate background noises, a 40 dB threshold is
applied, ensuring only AE signals surpassing this threshold are recorded.
Velocity surveys, conducted at intervals of 30–60 s, involve one AE
sensor emitting a pulse (200 VPP, 150 kHz) received by other sensors.
Triggers were set on six channels (#1, #4, #5, #7, #11, and #12, see
Fig. 2), each containing four pulses with a 100 ms gap to prevent inter-
ference. The interval between consecutive triggers is 10 ms. The four
received pulses for each trigger channel were stacked to enhance the
signal-to-noise ratio (Aben et al., 2019). Wave velocity is calculated using
the known distance and the time difference between the pulse emission
and the received signal. The P-wave arrivals from an initial survey were
manually picked, and changes in arrival time for subsequent signals were
computed automatically using the waveform cross-correlation method.
Velocity variations in the three principal stress directions were calculated
during the tests. Due to the limitation of the sensor assignments, V11 is
measured along the line connecting sensors #1 and #4 (Fig. 2). However,
σ 2 may influence V11 changes, nevertheless σ 1 plays the dominant role
(see Section 3.1.2 for details).
Crack types (tensile or shear) can be discriminated by AE parameters.
The ratio between rise time and amplitude (RA) and average frequency
(AF) is used for that purpose, as shown in Fig. 3. AE events with low AF
and high RA correlate with tensile cracks, while high AF and low RA
identify shear cracking (Calabrese et al., 2014; Calabrese and Proverbio,
2020; Aggelis et al., 2011; Rodríguez and Celestino, 2019). RA and AF
are determined as follows (Hao et al., 2022):
Table 1
Typical properties of Postaer sandstone.
Parameters Value
Uniaxial compressive strength, σ c (MPa) 57.2
Young's Modulus, E (GPa) 11.1
Poisson's ratio, ν 0.20
Tensile Strength, σ t (MPa) 3.85
Cohesion, c (MPa) 12.0
Friction angle, φ (
) 45.0
Density, ρ (kg/m3) 2080.0
Q. Bai et al. Rock Mechanics Bulletin 3 (2024) 100111

Rise time
RA ¼ (1)
Amplitude

Ringing count
AF ¼ (2)
Duration
Methods for determining σ ci can be classified into two groups: strain-
based and AE signal-based methods. Among strain-based methods,
volumetric strain (Brace et al., 1966), lateral strain (Lajtai, 1974; Stacey,
1981), and instantaneous Poisson's ratio (Diederichs, 2007) methods
suffer from subjective judgments due to the nonlinearity of the strain
curves. The less subjective crack volumetric strain method (Martin and
Chandler, 1994) relies on elastic constants (i.e., Young's modulus E and
Poisson's ratio v) and is especially sensitive to Poisson's ratio (Eberhardt
et al., 1998; Zhang et al., 2021). Recently, Nicksiar and Martin (2012)
proposed the lateral strain response (LSR) method. Its theoretical basis
and physical meaning are unclear, depending on the accurate determi-
nation of crack damage stress and precise polynomial fitting for the
maximum LSR value (Zhang et al., 2021; Zhao et al., 2015).
AE signal-based method focuses on the literal meaning of σ ci, the
stress level when cracking initiates. Eberhardt et al. (1998) demonstrated
that σ ci aligns with the beginning of significant AE activity. A marked
increase in AE signal magnitude, associated with larger event durations
and more ringdown counts, occurs at crack initiation. This method lead
to comparable σ ci values as obtained by the volumetric strain method
Fig. 2. Sample with loading platens, AE sensor locations and most interesting
(Eberhardt et al., 1998). Zhao et al. (2015) proposed a cumulative AE hit
ray paths for velocity monitoring.
method, adding an auxiliary line to the “S-shaped” cumulative AE hit
curve. However, environmental noises usually make an accurate identi-
Table 2 fication of σ ci difficult (Cai, 2010). Therefore, combined methods are a
Coordinates of AE sensors. better choice (Eberhardt et al., 1998).
No. X (cm) Y (cm) Z (cm) No. X (cm) Y (cm) Z (cm)
Additionally, strain-based methods require full strain-stress data,
meaning the sample must be subjected to stress levels significantly
1 3.5 12.0 11.0 7 12.0 1.5 11.0
exceeding σ ci. Conducting numerous tests to examine the confining
2 3.5 12.0 11.0 8 12.0 1.5 11.0
3 4.0 12.0 11.0 9 12.0 11.0 3.5 dependence of σ ci is, from the economical point of view, impractical for
4 4.0 12.0 11.0 10 12.0 11.0 3.5 large-scale true triaxial tests, as highlighted in this study. Consequently,
5 12.0 2.0 11.0 11 3.5 11.0 12.0 our incremental loading tests exclusively utilized the AE signal-based
6 12.0 2.0 11.0 12 12.0 11.0 6.0 method for practical reasons.

3. Results and discussions

3.1. Stress unloading effect on damage behavior

We conducted two comprehensive true triaxial tests, namely the σ 2

unloading (S2U) and σ 3 unloading (S3U) tests, to examine their influence
on the damage behavior of sandstone. Each test comprised three stages,
as shown in Fig. 4. Stage I creates the initial stress states. In the S2U test,
σ 3 was set to 3 MPa, and σ 2 and σ 1 were set to 8 MPa. For the S3U test, all
three principal stresses were set to 8 MPa. In Stage II, while keeping σ 2
and σ 3 constant, σ 1 gradually increases until a significant AE rate appears.
Stage III involved stress unloading, either σ 2 unloading in the S2U test or
σ 3 unloading in the S3U test, with steps of 1 MPa while the other two
stresses remain constant. Each step comprises two phases: the linear
decrease of σ 2 (in the S2U test) or σ 3 (in the S3U test) by 1 MPa, followed
by a stabilizing phase where all three major stresses are kept constant.
Although the loading rate used was considerably smaller than the
suggested values (Kovari et al., 1983; Feng et al., 2019), we observed a
significant impact on the AE rate in the first two stages. In the S2U test,
with a loading rate of 0.0143 MPa/s, the AE rate reaches 100 bin/s in
Stage II, whereas this value is typically below 30 bin/s in the S3U test
with a loading rate of 0.005 MPa/s. Consequently, we set the termination
criteria for the S2U and S3U tests to 120 bin/s and 30 bin/s, respectively.

Fig. 3. Types of cracks defined by RA vs. AF plot (modified from Calabrese
et al. (2014)).
3.1.1. AE characteristics
In this study, our focus is on the AE parameters of Sensor #2. Fig. 4
illustrates the variations of AE rate and stresses with testing time. Both
tests exhibit similar AE rate behavior in the initial two stages. The AE rate

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Q. Bai et al. Rock Mechanics Bulletin 3 (2024) 100111

1604 as σ 2 decreases in the S2U test, while the S3U test witnesses a
relatively small increase from 1166 to 1653 during σ 3 unloading. Table 3
provides a summary of the AE rate and cumulative AE counts in each
unloading phase for both tests.
In the S2U test, the average AE signal amplitudes decrease from 0.7
mV to approximately 0.3 mV during σ 2 unloading. Conversely, the mean
amplitudes of the AE signals rise from 0.45 mV to 0.50 mV with
increasing σ 3 in the S3U test, as shown in Fig. 5. Stronger signals signify
more released energy and larger produced micro-cracks (Eberhardt et al.,
1998). Thus, the created cracks in the S3U test are smaller than those in
the S2U test, probably due to the higher constrained pressure in the S3U
test (σ 2 ¼ 8 MPa) compared to the S2U test (σ 2 < 8 MPa). Laboratory tests
also showed that microcrack sizes decrease with the increases in
confining pressure (Zheng et al., 1989).
Both variations (AE counts and signal amplitudes) indicate that σ 3 has
a more pronounced effect on damage development in the sample. In the
S3U test, most cracks are produced parallel to the σ 1 direction and
perpendicular to the σ 3 direction, given that σ 2 remains constant
(Browning et al., 2017). Therefore, there is a strong probability that some
cracks extend from existing ones created in previous unloading steps.
In the S2U test, initially, cracks follow the same direction as observed
in the S3U during the first two unloading steps. In subsequent steps, a
preferred orientation for new cracks gradually disappeared as σ 2 ap-
proaches σ 3 (Bai et al., 2022; Browning et al., 2017), indicating that a
large number of new cracks are created in intact parts instead of propa-
gating further from existing ones. Crack types support this interpretation.
In the S2U test, approximately 70% of the cracks fail in tensile in the first
two steps, increasing to 80% in the subsequent three steps, as shown in
Fig. 6. These findings agree with the concept that intact rock failure is
Fig. 4. Principal stresses, AE rate, and cumulative AE events versus time. (a) σ 2 typically generated by failure in tension (Lan et al., 2019; Hoek and
unloading test (S2U test), (b) σ 3 unloading test (S3U test). Martin, 2014). Meanwhile, the ratio of tensile cracks remains unchanged
(approximately 78%) for the S3U test (Fig. 6). This phenomenon may
prominently increases in the initial stage (Fig. 4), attributed to the result from the inherent microstructure of the sandstone. Numerous
compaction of pre-existing cracks or pores closure. Another contributing micro-cracks exist, and shear AE signals result from the slipping of these
factor could be local stress concentrations near the sample edges because cracks. Although the count of tensile cracks continuously increases as σ 3
the loading platens are slightly smaller than the sample faces. In stage II, decreases, newly created cracks also slip in this process, causing an in-
the AE rate continually rises with increasing σ 1. The stress loading is crease in shear signals.
terminated when AE rates reach 120 bin/s (S2U test) and 30 bin/s (S3U
test) at σ 1 values of approximately 29.5 MPa and 28.0 MPa, respectively. 3.1.2. Variation of wave velocity
In stage III, the AE rate experiences a pronounced drop to a low level The velocity variations of the two unloading tests are depicted in
(<30 bin/s in the S2U test, and <10 bin/s in the S3U test). During the Fig. 7, alongside stress changes. In the S2U test, stage I reveals a velocity
first two steps, stress loading does not induce significant AE rate changes increase across all three ray paths, with V11 increasing from 3.18 km/s to
(Fig. 4). Specifically, the AE rate of approximately 5 bin/s during the 3.27 km/s, V22 from 3.09 km/s to 3.43 km/s, and V33 from 3.23 km/s to
unloading phase, is comparable to that in the stabilizing phase. However, 3.48 km/s, as shown in Fig. 7a. In Stage II, V11 linearly rises with σ 1,
in the subsequent three steps, stress unloading is consistently accompa- reaching 3.65 km/s, while both V22 and V33 exhibit a gradual decrease to
nied by an AE rate increase, gradually decreasing to the background 3.18 km/s (V22) and 3.41 km/s (V33) until σ 1 reaches approximately 15
noise level in the stabilizing phase. As σ 2 or σ 3 decreases, the AE rate in MPa, maintaining stability as σ 1 approaches 20.5 MPa. Subsequently, in
the unloading phase increases. Stage II, both velocities (V22 and V33) experience a significant decrease as
In the S2U test, the maximum AE rate in the unloading phase rises σ 1 increases to 29.5 MPa, with V22 decreasing to 2.87 km/s and V33
from 3.3 bin/s (σ 2 ¼ 8 MPa) to 15.14 bin/s (σ 2 ¼ 3 MPa). Meanwhile, the decreasing to 2.43 km/s.
S3U test shows a small rise in the maximum AE rate in the unloading During Stage III, V11 remains approximately constant at 3.64 km/s in
phase from 4.10 bin/s (σ 3 ¼ 8 MPa) to 4.61 bin/s (σ 3 ¼ 3 MPa). The the first three σ 2 unloading steps, as shown in Fig. 7a. In the last two
accumulative AE counts in the unloading phase increase from 276 to steps, it shows a slight decrease by 80 m/s probably resulting from the
unloading of σ 2, because the ray path of V11 (Fig. 2) also reflects micro-
structural variations in the σ 2 direction. V22 and V33 remain constant
Table 3
before the second σ 2 unloading step. In the subsequent four unloading
AE rates and cumulative counts during unloading in the two tests.
steps, V22 exhibits a stepwise decreasing tendency with decreasing σ 2,
Items Step 1 Step 2 Step 3 Step 4 Step 5 stabilizing finally at 2.57 km/s. Conversely, V33 fluctuates in the
S2U AE rate 3.20 3.53 6.36 12.80 15.14 following four steps, with a slight increasing tendency, ultimately rising
test AE 276 306 551 1284 1604 by approximately 70 m/s.
counts (210/ (212/ (444/ (1045/ (1294/
In the S3U test, all three velocities experience a significant increase in
66)a 94) 107) 239) 311)
S3U AE rate 4.10 3.98 4.18 4.31 4.61 stage I as the confining stress establishes a hydrostatic pressure envi-
test AE 1166 1170 1236 1357 1652 ronment of 8 MPa, as shown in Fig. 7b. Then V11 gradually rises from 3.5
counts (870/ (917/ (969/ (1058/ (1288/ km/s to 3.63 km/s in Stage II as σ 1 reaches 28 MPa. Afterward, V11 re-
296) 253) 267) 299) 364) mains almost constant in Stage III.
a
(210/66) signifies 210 tensile cracks and 66 shear cracks. V22 and V33 exhibit distinct changes in stage II, as shown in Fig. 7b.

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Q. Bai et al. Rock Mechanics Bulletin 3 (2024) 100111

Fig. 5. Characteristics of AE signal amplitudes during five unloading steps: (a) the S2U test, (b) the S3U test.

Fig. 6. Crack types determined by AF vs. RA plot for unloading step 1 and step 5 for (a) S2U test and (b) S3U test.

V33 converges at 3.62 km/s when σ 1 reaches 14.2 MPa, then subtly de-
creases to 3.53 km/s as σ 1 rises to 20.4 MPa. Following this, V33 un-
dergoes a notable reduction from 3.53 km/s to 2.54 km/s in stage II.
Similarly, V22 experiences two decreasing phases in stage II. Initially, it
drops from 3.42 km/s to 3.2 km/s, keeping constant until σ 1 reaches 16.7
MPa. Subsequently, it linearly decreases to 2.9 km/s as σ 1 reaches its
peak. In Stage III, V22 and V33 exhibit comparable variations. They
remain relatively stable during the initial two unloading steps, followed
by a decreasing tendency with slight fluctuations in the subsequent three
steps, with V22 ranging from 2.89 km/s to 2.79 km/s and V33 from 2.53
km/s to 2.3 km/s, respectively.
The decline in V33 and V22 during stage II results from the continuous
creation of micro-cracks with increasing σ 1. Their distinct decreasing
patterns may be attributed to the anisotropy of the Postaer sandstone.
Despite being traditionally viewed as an isotropic rock (G€otze and Siedel,
2004; Wang et al., 2021), a recent study (Baumgarten, 2015) has iden-
tified evident anisotropic structures and mechanical behavior. The more
significant decrease in V33 (compared to V22) in the last three steps

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Q. Bai et al. Rock Mechanics Bulletin 3 (2024) 100111

Fig. 7. Principal stresses and wave velocities versus time for S2U test (a) and S3U test (b).

results from the unloading of σ 3, generating additional cracks oriented

along the normal direction of σ 3.
It is evident that stress paths and inherent micro-structures govern
velocity variations during unloading tests. In the S2U test, V33 experi-
ences a more substantial velocity decrease than V22 (decreasing by 1070
m/s versus 570 m/s) in stage II, as σ 2 exceeds σ 3, causing cracks aligned
primarily with σ 3. Conversely, in the S3U test, V33 also experiences a
larger decrease (by 1090 m/s) than V22 (by 550 m/s) although σ 2 equals
σ 3 in stage II, indicating that sandstone micro-structure also influences
velocity variations under external pressure. However, in stage III, the
stress path dominates velocity changes. In the S2U test, V22 shows a
larger decrease than V33 (decreased by 300 m/s versus increased of 80
m/s) with the reduction of σ 2. Conversely, V33 experiences a more sub-
stantial decrease than that of V22 (decreasing by approximately 230 m/s
versus 110 m/s) during unloading of σ 3.

3.2. Crack initiation stress in a true triaxial stress environment

Fig. 8. Principal stresses and strains as well as AE rates and counts versus time
In this study, we conducted crack initiation stress tests in two distinct for the CIT test.
stress environments: true triaxial stress (CIT) and biaxial stress environ-
ment (CIB). The objective was to explore the impact of confining stresses
distinguishing background noise from AE activities during σ 3 increments.
(σ 2 and/or σ 3) on σ ci. To maximize the outcome of our large-scale tests,
Although this introduces a degree of subjectivity, it is an unavoidable
we subjected the samples to varying confining pressures. σ 3 was sys-
consideration to determine σ ci for all strain-based methods (Zhao et al.,
tematically increased from 2 MPa to the σ 2 level (6 MPa) in 1 MPa in-
2015). For the sake of brevity, we will focus on the CIT test because
crements. At a constant confining stress level (i.e., σ 2 and σ 3 remain
similar AE activities and velocity variations were observed in both ex-
unchanged), the AE rate increases with increasing σ 1, as shown in Fig. 8.
periments. This incremental loading test also raises the question of
The determination of σ ci at this specific confining stress involved the
whether the preliminary damage (from previous steps) affects the crack
setting of σ 1 when the AE rate reached 20 bin/s, a threshold crucial for

6
Q. Bai et al.
creation in the next step, i.e., affecting the determination of σ ci. It should
be noted that limited damages (i.e., dispersed micro-cracks) are created
in these tests. Therefore, most damages (in a specific step) are produced
in the intact parts within the sample instead of crack extension from
existing fractures. No macro fractures (even near the loading platen
edges) are observed after the tests, validating this supposition. Another
factor, that may affect the determination of σ ci, comes from the stress
concentration due to the dimension difference between the rock size and
the loading platen. However, AE activities coming from the stress con-
centration are included in the background noise in this study, and they
are eliminated by setting a threshold AE rate.
Each step in the CIT test comprises four phases: (1) σ 3 loading phase,
(2) σ 3 stabilizing phase, (3) σ 1 loading phase, and (4) σ 1 stabilizing phase.
Fig. 8 vividly illustrates that both σ 3 and σ 1 increases result in a notice-
able increase in AE activity. While σ 3 loading has minimal impact on
maximum principal strain (ε1) and intermediate strain (ε2), σ 1 loading
consistently leads to a substantial decrease in minimum principal strain
(ε3) and a limited decrease in ε2. ε2 exhibits a declining trend throughout
the test, becoming negative after the second step, signifying expansion.
The volumetric strain (εv) exhibits continuous growth throughout the
test.
An intriguing observation is the increase in AE activity with σ 3
loading (Fig. 8), contradicting the common expectation that elevated
confining pressure would impede cracking. These AE events may arise
from crack closure, pore collapse, or even crack creation in regions
experiencing adverse stress states. Fig. 4 illustrates that AE activity
maintains a relatively high level even under high hydrostatic pressure.
Additionally, the monotonically increasing volumetric strain suggests
active strain adjustment during the σ 3 loading phase, typically indicative
of new crack formation or extension before sample failure.
In Fig. 9, σ ci is approximately 12.5 MPa under unconfined compres-
sive conditions, resulting in a ratio of 0.22 for σ ci/σ c. This value is notably
lower than reported ratios for hard rocks such as igneous and meta-
morphic rocks, which typically range from 0.4 to 0.6 (Nicksiar and
Martin, 2013; Wen et al., 2018; Zhao et al., 2015). This deviation can be
attributed to the high porosity (~20%) of the Postaer sandstone. The
pervasive micro-flaws, conducive to stress concentrations and
micro-crack extensions, contribute to the lower σ ci. Laboratory tests on
quartz mica schist reveal ratios as low as 0.24 under adverse loading
conditions (Zhang et al., 2011). Peng et al. (2018) also observed a
decrease in σ ci/σ c ratio with increasing porosity for sedimentary rocks,
despite significant data scatter. Wen et al. (2018) noted that sedimentary
rocks typically exhibit a low σ ci/σ c ratio of around 0.37. It is worth
mentioning that the effect of confining pressure on crack initiation stress
varies among rock types (Taheri et al., 2020).
Fig. 9 illustrates the dependency of σ ci on confining pressure (σ 2 and/
or σ 3). In the CIT test, a 1 MPa increment of σ 3 results in a 2.64 MPa
increment of σ ci; in the CIB test, this value decreases to 1.88 MPa,
Fig. 9. σ ci versus σ 3 for CIT and CIB tests.
7
Rock Mechanics Bulletin 3 (2024) 100111
indicating the influence of both σ 2 and σ 3 on σ ci. Micro-cracks tend to
form along the direction with the least restraint. In the CIT test, σ 3, rising
in each step, represents the least restraint, while in the CIB test, the free
surface with zero pressure remains the least restraint. This inherent
mechanism explains the different confining dependence of σ ci.
Numerous studies have reported the confining dependence of σ ci.
Laboratory tests show a positive relation between σ ci and confining
pressure for Lac du Bonnet granite (Hoek and Martin, 2014),
meta-granodiorite (Nicksiar and Martin, 2013), and mica gneiss (Nick-
siar and Martin, 2013). However, under true triaxial stress conditions, a
distinct pattern may emerge when σ 2 reaches higher values. Li et al.
(2019) explored the effects of confining stress conditions on the damage
behavior of sandstone. They found that under conventional triaxial test
conditions (σ 2 ¼ σ 3), σ ci shows a positive linear relation with confining
pressure. Under true triaxial stress conditions, σ ci increases with rising σ 2
with the peak at σ 2 ¼ 40 MPa, and subsequently decreases with further
increase in σ 2. They concluded that, under these specific conditions, σ 2
does not constrain but promotes crack development. It seems, that σ ci
follows the same trend in respect to σ 2 as the failure envelope in general.
V11 gradually increases from 3.26 km/s to 3.56 km/s until σ 1 reaches
19.9 MPa (see Fig. 10). Afterward, V11 remains nearly constant with
small fluctuations during increase of σ 1, particularly in the last two
loading phases with a 10 m/s decrease in V11. In contrast, V22 displays
two distinct steps. It swiftly decreases from 3.36 km/s to 3.13 km/s as σ 1
increases from 8 MPa to 9 MPa, maintaining this level until σ 1 reaches
14.5 MPa. Subsequently, it further decreases to 2.84 km/s in stage I. In
stage II, it remains constant.
Velocity along the σ 3 direction (V33) shows intricate changes, as
shown in Fig. 10. The variation of V33 mirrors that of V22 in stage I,
gradually decreasing from 3.38 km/s to 3.30 km/s as σ 1 approaches 9
MPa, and further decreases to 2.95 km/s with σ 1 increasing to 14.5 MPa.
In stage II, V33 increases in the σ 3 loading phase and decreases in the σ 1
loading phase at each step. It remains relatively unchanged in the two
stabilizing phases. For example, in the third step, V33 rises from 2.97 km/
s to 3.16 km/s as σ 3 increases from 3.0 MPa to 4.0 MPa. It then fluctuates
only slightly in the σ 3 stabilizing phase. Subsequently, V33 decreases from
3.2 km/s to 2.65 km/s with an increase in σ 1, followed by a stabilizing
phase again without distinct changes in V33, as shown in Fig. 10.
A significant decrease in V33 during the σ 1 loading phase indicates the
creation of numerous cracks, oriented normally to the σ 3 direction.
Conversely, a velocity increase during the σ 3 loading phase suggests the
closure of a substantial number of cracks as confinement intensifies. In
the final σ 1 loading phase, V33 experiences a modest decrease from 2.66
km/s to 2.50 km/s. This could be attributed to the fact that σ 2 equals σ 3 in
this phase, resulting in newly formed cracks lacking predefined di-
rections with respect to the σ 2 – σ 3 plane. This phenomenon may also
explain the slight decrease in V22 during this phase, as shown in Fig. 10.
Fig. 10. Principal stresses (lines) and P-wave wave velocities (symbols) versus
time for the CIT test.
Q. Bai et al.
4. Conclusions and perspectives
4.1. Conclusions
We explored the impact of confining stress unloading on damage
behavior and confining stress-dependent crack initiation stress of sand-
stone under true triaxial stress conditions. Both, σ 2 and σ 3 unloading lead
to increasing AE activities, with AE rate positively correlated with the
confining stress level. Over 70% of the generated micro-cracks are
identified as tensile, given that the applied σ 1 is considerably lower than
the peak strength of the sandstone.
In the S2U test, AE signal amplitudes decrease from 0.70 mV to 0.30
mV when σ 2 is reduced from 8 MPa to 3 MPa. Conversely, in the S3U test,
the averaged signal amplitudes rise from 0.45 mV to 0.50 mV when σ 3 is
reduced from 8 MPa to 3 MPa. This suggests that σ 2 unloading produces
larger cracks than σ 3 unloading, possibly by extending existing ones in
the S3U test and failure of intact grains in the S2U test, triggered by the
different confining.
Under σ 1 loading in Stage II (with σ 2 and σ 3 remaining constant), we
observed a continuous increase in V11 and reductions in V22 and V33 in
two steps in both tests. The increase in V11 results from the progressive
closure of pre-existing flaws in stage I, while the two-stepwise decreases
in V22 and V33 may be attributed to the inherent micro-structure of the
sandstone. There may exist threshold stresses, and closed cracks or pores
reopen until the deviator stress exceeds these levels. However, this
interpretation lacks direct evidence, and investigating the micro-
structure effects is beyond the scope of this study and waits for further
investigation.
During the unloading steps, velocity variations in both tests display
similar patterns. V11 remains constant in the first two unloading steps and
slightly decreases in the subsequent three steps. V22 and V33 also remain
unchanged in the initial two steps, followed by a decrease when the stress
level decreases. The other velocity (V22 in the S3U test and V33 in the S2U
test) shows small fluctuations during the unloading stages.
The crack initiation stress tests clearly demonstrate the confining
stress-dependence of σ ci, aligning with numerous already reported re-
sults. Our experiments highlight the significant role of σ 2 in the stress-
dependence of σ ci, an aspect that has not been fully investigated and
remains to be quantified.
During the incremental loading test, the consistent levels of V11 and
V22 suggest that severe damage is absent in the sample. This implies that
the applied stress remains well below the threshold for unstable macro-
scopic cracking. Consequently, the incremental loading method,
although applied to a single specimen, proves to be effective in assessing
the confining stress dependence of σ ci. Notably, V33 exhibits an increase
during the σ 3 loading phase and a subsequent decrease during the σ 1
loading phase. This behavior signifies the closure of numerous cracks
with the rise of σ 3, followed by their reopening and the creation of new
cracks as σ 1 increases.
4.2. Limitations and perspectives
In this study, AE sensors are positioned in the small space between
loading platens and sample edges, where stress concentration commonly
occurs. This positioning inevitably leads to more cracks near the edges,
impacting the accuracy of calculated velocities and the determination of
σ ci. On the other side, the direct attachment of the sensors to the rock
improves the quality of the registered signals. Further tests will aim to
mitigate edge effects by embedding sensors into the platens (Bai et al.,
2019; Dong et al., 2023). In this study, the damage behavior of the
sandstone is indirectly represented through AE counts and velocity var-
iations, while the cracking mechanism is determined through AE signal
parameters. For more precise insights into damage behavior and cracking
mechanism, localization and determination of the source mechanism of
AE events should be performed (Bai et al., 2019; Kwiatek et al., 2014; Ren
et al., 2021). However, accurate interpretation of AE data requires a
8
Rock Mechanics Bulletin 3 (2024) 100111
precise knowledge of the inhomogeneous and changing velocity field in
the sample, which is a challenging task and not available for this study. In
further studies, we plan to determine the velocity field and its
time-dependent variations by conducting joint inversion of AE locations
and the anisotropic wave structure (Brantut, 2018; Aben et al., 2019).
Additionally, micro-structural observations, like those performed in
previous works (Baumgarten, 2015), will be employed to enhance our
understanding of the structural impact on velocity variations and damage
evolution.
The incremental loading method offers a streamlined approach to
assessing the confining pressure dependence of σ ci through a single
experiment encompassing multiple confining pressure states, thus mini-
mizing time and cost. However, a comparative analysis with traditional
tests is imperative to gauge the adaptability and accuracy of this test
method. The numerous traditional tests, each addressing a sole confining
stress state, can be conducted on small-scale samples (e.g., with a
dimension of 10 cm). Our findings underscore the significant influence of
σ 2 on σ ci, a factor often overlooked and deserving of thorough exami-
nation. In this study, we only explored two levels of σ 2, which albeit
insightful, are insufficient to construct a comprehensive σ ci envelope
considering all three principal stresses, similar to ultimate failure enve-
lopes. Further investigations will encompass numerous tests with varying
σ 2 levels, facilitating the construction of σ ci envelope in true triaxial stress
environments.
CRediT authorship contribution statement
Qingsheng Bai: Writing – original draft, Visualization, Project
administration, Methodology, Investigation, Funding acquisition, Formal
analysis, Conceptualization. Max Friedel: Methodology, Data curation,
Conceptualization. Heinz Konietzky: Writing – review & editing, Vali-
dation, Supervision, Resources, Methodology.
Declaration of competing interest
The authors wish to confirm that there are no conflicts of interest with
this research article.
Acknowledgments
This work was financially supported by the German Research Foun-
dation (DFG, No. 491064630).
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