Chapter 5

Ture Mode-II Fracture

The HF (hydraulic fracturing) technique has received widespread recognition and

applications in the extraction of shale oil/gas, coalbed methane, and geothermal
system [1–3]. The primary objective of HF is to optimize the fracture networks within
rock reservoirs, thereby enhancing productivity and recovery [4–6]. As a significant
mechanical indicator, the SIF (stress intensity factor) can weigh the stress and defor-
mation fields at the crack tip adjacency, and the onset of fracturing is imminent when
the SIF approaches its critical level (i.e., fracture toughness K c ) [7–17]. According to
classical definitions of fracture modes, the mode-I (tension mode) fracturing involves
the symmetrical opening of cracking sides, while the mode-II (shear mode) fracturing
involves the self-similar sliding of cracking sides [18–21]. At present, numerous test
techniques and corresponding specimen configurations have been established and
modified for determining the fracture toughness of engineering materials [22–28].
The combined mode I + II fracturing resistance has been emphasized using the
popular experiment fixtures, including the CCBD (centrally cracked Brazilian disk),
SCB (semicircular bending), ECTB (edge-cracked triangle bending), ENRBB (edge-
notched rectangular beam bending), and CCRD-DC (centrally cracked ring disk in
diametral compression) specimens [29–39]. Under specific geometry and loading
states, the aforementioned test specimens are capable of measuring the pure mode-II
fracturing toughness K IIc . However, the mode-II cracking under pure mode-II loading
deviates at an angle about 70° relative to original crack front and does not develop in
a self-planar and shear-driven manner, resulting in measured uncertainty regarding
the true mode-II fracturing. Moreover, the formation of the kinked fracture trajectory
is driven by the tension stress. This implies that the mode-II testing results of these
suggested specimens are based on the mode-II loading rather than the true mode-II
fracturing [40–44], as displayed in Fig. 5.1. Hence, the mode-II fracturing tough-
ness associated with these tension-based tests should be recognized as apparent K IIC
rather than true K IIC , is not considered an independently inherent material property,
and depends on the mode-I fracturing toughness K Ic [40].

© The Author(s) 2024 71

Y. Zhao et al., Rock Fracture Mechanics and Fracture Criteria,
https://doi.org/10.1007/978-981-97-5822-7_5
72 5 Ture Mode-II Fracture

Fig. 5.1 Comparison

between apparent mode II
fracture and true mode II
fracture

Since deep shale gas reservoirs with natural cracks are mostly subjected to
compressive stresses produced by tectonic stress and rock weight, the rupture of
rock bridges between two adjoining discontinuities within rocks easily develops
along the maximum shearing stress orientation in a sliding manner (true mode II)
[45–54]. To prevent the occurrence of curvilinear cracking trajectory, the qualified
mechanical system should be required for the evaluation of true K IIc . Only three
test specimens of true K IIc , unlike the measurement of K Ic , are applied because of
their capability to accomplish both the mode-II loading and shear-induced mode-II
fracturing. Available test specimens include (1) the PTS-CP (punch-through shearing
with confined pressure) specimen proposed by [55], (2) the DEND-DC (double-edge
notched disk in diametral compression) specimen developed by [42], and (3) the
SB-SENC or SB-DENC (shear-box with single-edge or double-edge notched cube)
specimen established by [56]. The DEND-DC test specimen is a successful method
for determining true K IIc , however, it needs to be further explored on the influences of
the size and stiffness of flexible jaw. While the SB-SENC or SB-DENC test specimen
requires complicated experiment techniques (e.g., cubic sample processing, fixture
alignment precision, and uncommon loading equipment). In addition, the compres-
sive and shearing stresses in DEND-DC and SB-SENC or SB-DENC tests cannot be
applied independently. Due to the limitations of DEND-DC and SB specimens, the
straightforward PTS-CP test specimen suggested by ISRM is relatively adapted for
the assessment of true K IIc [57].
5.1 Processing Methods of AE (Acoustic Emission) Signals 73

5.1 Processing Methods of AE (Acoustic Emission) Signals

5.1.1 AE Parameter Analysis

The microcrack in solids or structures can develop during the loading processes,
causing the accumulated elastic energy to be released quickly, thereby resulting
in the AEs (acoustic emissions). This indicates that the AE signal signatures are
considerably correlated with the initiation, growth, and intersection of cracking as
well as the type and magnitude of microcracks. Generally, the tension crack occurs
in a longitudinal wave manner, and the shearing crack happens in a shear wave
manner. Further, the longitudinal wave propagation precedes that of shear wave.
Hence, the mode-I (tension) crack will generate the AE waveform with shorter rise
time and higher frequency, whereas the mode-II (shearing) crack will produce the AE
waveform with longer rise time and lower frequency. Clearly, the above-mentioned
failure mechanisms can be synthesized by the RA–AF distribution, as displayed in
Fig. 5.2. The two significant AE indices (RA and AF) can be estimated via Eqs. (5.1)
and (5.2) [21, 58]:

RA = RT /A (5.1)

AF = AC/D (5.2)

where RA denotes the rising angle (ms/v), RT stands for the rising time (µs), AF
symbolizes the average frequency (kHz), AC marks the AE counts, D indicates the
durative time (µs), and A means the maximum amplitude (dB). To standardize their
units, Eq. (5.1) should be rewritten as follows [21]:

RA = RT /10A/20−1 (5.3)

Fig. 5.2 Conventional crack

identification method based
on the RA and AF values
Tensile
cracks
AF
Shear/Mixed-mode
cracks

RA
74 5 Ture Mode-II Fracture

5.1.2 KDE (Kernel Density Estimation) Method

The KDE (Kernel density estimation) method provides a systematically statistical

procedure for evaluating the damage and failure degree in structure and machine.
Note that this methodology has been gradually emphasized in civil engineering to
characterize the density distribution of AE signals. The essential principle of this
KDE algorithm is that each AE data contributes a probability density “atom” to the
estimation [59], and other introductions are omitted for the sake of brevity.

5.1.3 AE Spectrum Analysis

The AE spectrum analysis can effectively reveal the mechanical mechanisms based
on the collected AE signals of deformation processes. Since the FFT (fast Fourier
transformation) method is superior in analyzing nonstationary AE signals, each two-
dimensional AE spectrum can be extracted from the corresponding time domain
waveform of AE signals in conjunction with the MATLAB programming, and the
AE dominant frequency is interpreted as the frequency pertaining to the highest
amplitude of extracted AE spectrums (see Fig. 5.3). The computed principles of FFT
are briefly introduced as below [60]:

∑
N −1
X (k) = x(n)WNnk (5.4)
n=0

WN = e−2π j/N (5.5)

k+N /2
WN = −WNk (5.6)

WNn(N −k) = WNk(N −n) = WN−nk (5.7)

where X(k) is the input signal sequence in the frequency domain and is composed of N
AE data points, k is taken as 0, 1, …, N − 1, x(n) is the original signal sequence in the
time domain, n is the number of signal sequence, and W N is the twiddle coefficient.

5.1.4 Hierarchical Clustering Algorithm

The HC (Hierarchical Clustering) algorithm is an unsupervised approach to machine

learning. The fundamental principle of HC is to evaluate the similarity among tested
data points by computing their pairwise distances, followed by constructing a nested
5.2 Experiment Apparatus and Specimen Preparation 75

0.02 1.0

0.8 Dominant frequency

0.01

Amplitude (mv)
Voltage (v)

0.6
0.00
0.4
-0.01
0.2

-0.02 0.0
0.0001 0.0002 0.0003 0.0004 0.0005 0 100 200 300 400 500 600
Time (s) Frequency (kHz)
(a) Original time domain waveform of AE signals (b) Two-dimensional AE spectrum

Fig. 5.3 Extraction of AE spectrum using the FFT (fast Fourier transformation) method

clustering tree with hierarchy according to the degree of similarity. The procedures
of HC are generalized as follows [61]:
(1) Each tested data point is taken as a cluster, then the ED (Euclidean distance)
between pairwise clusters is determined from the following expression:
/
ED = (xi − xj )2 + (yi − yj )2 (5.8)

(2) The two nearest clusters are then merged to create a new cluster.
(3) Continue to perform step (2) iteratively until a solitary cluster encompassing all
data points is achieved.

5.2 Experiment Apparatus and Specimen Preparation

The true mode-II fracture experiments are performed on the investigated sandstone
specimens via the mechanical testing machine with a compressive capacity of 100
kN, and true mode-II fracture testing procedures are displayed in Fig. 5.4. Meanwhile,
the fracture history is captured by the technologically advanced PCI-II AE detector
of the Physical Acoustics Corporation, and the monitoring values for AE threshold
and preamplifier are respectively adjusted as 30 dB and 40 dB [18], as portrayed in
Fig. 5.5. According to the conclusion of Khan and Al-Shayea [62], the variations of
fracture resistance were negligible at lower loading rates. Further, the rates of 0.05 ~
5 mm/min are commonly employed by scientists and investigators for the quasi-static
evaluation of fracturing resistance [29]. Hence, this research adopts the invariable rate
of 0.3 mm/min to accomplish the true mode-II fracture tests of sandstone specimens.
According to the descriptions of previous literature on the geometry and dimension
of true mode-II test specimens, the prepared sandstone blocks are processed into
specific specimens, as displayed in Table 5.1.
76 5 Ture Mode-II Fracture

Fig. 5.4 True mode-II fracture testing procedures

Fig. 5.5 PCI-II acoustic

emission detector

Table 5.1 Geometry and dimension of true mode-II test specimens

Specimen Diameter Height Length Width Thickness Notch Ligament Notch
type (mm) (mm) (mm) (mm) (mm) length length direction
(mm) (mm)
SCC 40 80 – – – R=ɑ C = 16 Horizontal
= 20
SB – – 70 70 70 ɑ = 21 28 70°
PTS 50 30 – – – d = 10 IP = 10 Vertical
ZCCDS 50 50 – – – ɑ= l2 = 5 Vertical
7.5

5.3 Experimental Results and Analyses

Figure 5.6 presents the curves of load-deformation for distinct sandstone specimens
under pure mode-II loading. The measured curves demonstrate that the rupture of
these tested sandstone specimens happens in a brittle manner. Taking the SCC and
SB testing methods as examples, the fractured sandstone specimens are displayed in
Fig. 5.7. It can be observed from Fig. 5.7 that the investigated sandstone specimens
are broken into two identical fragments and the macroscopic rupture surfaces are rela-
tively straight and smooth, indicating that a self-planar cracking propagation pattern
appears in each mode-II test specimen. However, the PTS sandstone specimen is
broken into two principal parts (internal solid cylinder and hollow centre cylinder).
The failure surface on internal solid cylinder between the upper and lower notch
5.3 Experimental Results and Analyses 77

3000 30000

2500 25000
Applied load (N)

Applied load (N)

2000 20000

1500 15000

1000 10000

500 5000

0 0
0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.0 0.2 0.4 0.6 0.8 1.0 1.2
Displacement (mm) Displacement (mm)

(a) SCC sandstone specimen (b) SB sandstone specimen

18000 3000

15000 2500
Applied load (N)

Applied load (N)

12000 2000

9000 1500

6000 1000

3000 500

0 0
0.0 0.2 0.4 0.6 0.8 0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35
Displacement (mm) Displacement (mm)

(c) PTS sandstone specimen (d) SCB ZCCDS specimen

Fig. 5.6 Curves of load-deformation for distinct mode-II test specimens

fronts is comparatively smooth along the vertical direction, implying a self-planar

cracking growth by shearing stress takes place in tested PTS bedded shale. While
the hollow centre cylinder is composed of fragments, which are separated by almost
vertical through-wall fissures (could be formed by the tensile stress). These obser-
vations are also reflected in PTS granite specimens tested by Yin et al. [57]. Note
that the regression lines presented in Fig. 5.7 are acquired from the box-counting
method using the 3D laser scanning technique [], and the slope of the regression
lines represents the fractal dimension of macroscopic rupture surfaces. The greater
the fractal dimension, the rougher the fracturing surface. Compared with the smallest
fractal dimension Df = 2 [63], the Df values for distinct mode-II test specimens are
fairly small, indicating that the rupture of these mode-II test specimens occurs in a
self-similar manner.
78 5 Ture Mode-II Fracture

Ln( N ) 2.0147Ln( ) 6.3274 ( R 2 0.9959) Ln( N ) 2.0079Ln( ) 7.5496 ( R 2 0.9951)

Fractal dimension Df 2.0147 Fractal dimension Df 2.0079
15 15

12 12

9 9
Ln(N)

Ln(N)
6 6

3 3

0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Ln() Ln()
(a) SCC sandstone specimen (b) SB sandstone specimen

Fig. 5.7 Fractured sandstone specimens under distinct mode-II loadings

5.3.1 Evaluation of Fracture Resistance

To evaluate the fracture resistance of the investigated sandstone under distinct mode-
II loadings, this work adopts the two important fracture parameters, namely shear
strength and fracture toughness. The true mode-II fracture toughness K IIc can be
evaluated by Eqs. (3.5)–(3.9), and the shear strength can be estimated by the following
formulas:
⎧
⎪ Pmax
⎪
⎪ τ=
⎪
⎪ C ×D
⎪
⎪
⎪
⎪ P(sin α − tan ψ cos α)
⎪
⎨τ =
BW
(5.9)
⎪
⎪ Pmax
⎪
⎪ τ =
⎪
⎪ 2π × ID × IP
⎪
⎪
⎪
⎪ Pmax
⎩τ =
2l2 × D

According to Eqs. (3.5)–(3.9) and (5.9), the values of shear strength and true
mode-II fracture toughness for the investigated sandstone are presented in Fig. 5.8.
One can be concluded from this figure that the average values for τ are 4.11 MPa,
2.21 MPa, 10.31 MPa, and 5.36 MPa relative to the SCC, SB, PTS, and ZCCDS sand-
stone specimens, respectively, and those for K IIc are 0.51 MPa·m1/2 , 0.91 MPa·m1/2 ,
1.30 MPa·m1/2 , and 2.44 MPa·m1/2 . The true mode-II testing results show that the
fracture resistance is dependent on the loading and geometry configurations of test
specimens.
5.3 Experimental Results and Analyses 79

3.0 12
10.31
2.5 2.44 10
(MP·m0.5)

(MP·m0.5)
2.0 8

1.5 1.30 6 5.36

4.11
1.0 0.91 4
KIIc


0.51 2.21
0.5 2

0.0 0
SCC SB PTS ZCCDS SCC SB PTS ZCCDS
Ture mode-II testing methods Shear strength

Fig. 5.8 Values of shear strength and true mode-II fracture toughness for the investigated sandstone

5.3.2 Distribution of AE Amplitudes

The AE amplitude can be employed to evaluate the level of energy release in the
fracturing processes using a statistical method. The AE amplitudes in the SCC testing
are categorized as nine groups: 30–39, 40–44, 45–49, 50–54, 55–59, and 60–99 dB.
Then this research adopts the frequency to weight each AE amplitude group, and the
distribution of AE amplitudes is formulated by the typical and common Gaussian
function in statistics as below [18]:
( ) [ ( )2 ]
G dB = G0 + A exp − dB − B /2C 2 (5.10)

( )
Where G dB denotes the frequency of the corresponding AE amplitude group,
dB represents the arithmetic mean for each AE amplitude group, and the matching
coefficients (A, B, and C) can be acquired from the regression analysis.
Taking the SCC testing method as an example, Fig. 5.9 shows that the Gaussian
function can adequately reveal the distribution laws of AE amplitudes for the SCC
sandstone. The maximum frequencies appear in 40–49 dB groups for the SCC sand-
stone. This indicates that these AE signals with aforementioned AE amplitudes are
generated by the predominant microcracks within the SCC sandstone and can be
interpreted as the characteristic signals of fracturing and damage.

5.3.3 Evolutions of RA and AF Values

Taking the SCC testing method as an example, Fig. 5.10 shows the temporal evolu-
tions of RA and AF values for the SCC sandstone. Herein, the RA and AF values are
obtained using the moving average of 10 AE events to properly reduce the scatter
80 5 Ture Mode-II Fracture

Fig. 5.9 Distributions of AE 45

amplitudes for the SCC Frequency
sandstone
Gaussian distribution function
36
G0  3.53

Frequency (%)
27 A  32.35
B  45.24
C  4.64
18
R2  0.97

0
30 40 50 60 70 80
Amplitude (dB)

of AE signal data. It is observed from this figure that there is an opposite devel-
opment tendency in RA and AF values, and the phenomenon is consistent with
previous research [64]. When relatively higher RA values are monitored, indicating
that the partial stress drop and large-scale or more intense cracks take place in the
tested specimens, which can furnish certain precursory information for engineering
failure diagnosis [65]. According to the conventional crack classification criterion
(see Fig. 5.1), the tensile and shear/mixed-mode cracks can be recognized using the
correlation between RA and AF (i.e., manually straight line of 45°), as depicted in
Fig. 5.11. On can conclude from this figure that the number of tensile cracking is
significantly greater than that of shear/mixed-mode cracking. These phenomena also
implies that the conventional crack classification criterion can be interpreted as a
qualitative analysis rather than a quantitative analysis. One reasonable explanation
is that this traditional criterion has not been justified in rocks because it is initially
deduced from the exploration of concrete, which is suggested as an approximate and
empirical methodology [67–69].

5.4 Discussion

As investigated earlier, the spectrum analysis of AE waveform signals possessed

great potential in cracking pattern identification and damage mechanism judgement
because the AE waveform can comprehensively reflect the cracking behaviors and
energy-releasing level. For various types of rocks (marble, granite, and diorite) under
the uniaxial compression, the double characteristic bands of AE dominant frequen-
cies were detected by Zhang et al. [69, 70] as originators who established a quan-
titatively novel criterion for discerning the failure modes. Specifically, AE signals
with H-type spectrums were driven by micro-shear (mode II) failure events, and
5.4 Discussion 81

30 100 2500
RA
AF
24 80 2000

Applied load (N)

18 60 1500
RA (ms/v)

AF (kHz)
12 40 1000

6 20 500

0 0 0
0 20 40 60 80 100
Time (s)

Fig. 5.10 Temporal evolutions of RA and AF values for the SCC sandstone

Fig. 5.11 Classification 100

results of cracking modes (or
failure mechanisms) using Tensile cracks
the conventional RA-AF 80
method

60
AF (kHz)

40

20
Shear/Mixed-mode
cracks
0
0 5 10 15 20 25
RA (ms/v)

AE signals with L-type spectrums were released by micro-tension (mode I) failure

events. Similar phenomena are observed in the PTS testing of the SCC sandstone
specimen, as illustrated in Fig. 5.12. According to the distribution signatures of
AE dominant frequencies for flawed sandstone under the uniaxial compression, AE
dominant frequencies were categorized by Niu and co-workers [60] as three char-
acteristic hierarchies: low (0 ~ 60 kHz), medium (60 ~ 120 kHz), and high (120 ~
180 kHz). To quantitatively identify the fracturing modes, the AE signals with low
frequencies are interpreted as L-type spectrums, and the AE signals with medium
and high frequencies are defined as H-type spectrums. For coal specimens under the
82 5 Ture Mode-II Fracture

Fig. 5.12 Distributions of 0.020

AE dominant frequency for
the SCC sandstone specimen
0.015

Amplitude (v)
0.010

0.005

0.000
0 50 100 150 200 250 300 350
Dominant frequency (kHz)

uniaxial compression, the peak frequencies of AE signals are identified as four char-
acteristic bands of 0–50 kHz, 50–150 kHz, 150–200 kHz, and 200–300 kHz, which
respectively correspond to low (L-type), intermediate, high (H-type), and ultrahigh
frequencies [71]. In the direct shear testing, the percentage of AE signals with domi-
nant frequencies around 300 kHz increased considerably and the percentage of AE
signals with dominant frequencies below 100 kHz decreased dramatically as the
normal load increased [72]. Based on the AE response signatures of the NANO-30
sensor, Guo and co-workers [73, 74] suggested that the frequency corresponding
to 1 v was referred to the foundation of partitioning the AE dominant frequency
range. To explore the AE signal characteristics of thermally-treated granite under
the Brazilian disk tension, the AE dominant frequencies were recognized as three
characteristic bands: low (<160 kHz), intermediate (160 ~ 410 kHz), and high (>410
kHz) [73]. In previous literature, the demarcation of AE dominant frequency range
was determined in a subjective manner.
The aforementioned phenomena indicate that the magnitude of AE dominant
frequency is relative and is significantly influenced by both loading conditions and
material types. However, the determination of AE dominant frequency range seems to
be questionable because there is no uniform division standard. Considering the hierar-
chical phenomena of AE dominant frequency distribution, this research develops the
HC (hierarchical clustering) algorithm for better AE data classification. According
to the correlation between the AE dominant frequency range and damage mecha-
nisms (or cracking modes), the AE dominant frequencies in the SCC testing can
be segmented by the developed HC algorithm as three groups: low, intermediate,
and high, with corresponding tensile, tensile-shear, and shear cracks, respectively.
Consequently, the AE dominant frequency distributions of the SCC sandstone spec-
imen acquired from the HC and KDE methods are portrayed in Fig. 5.13. Although
the signals of low and intermediate frequencies are mainly monitored in the whole
loading processes of the SCC sandstone specimen, the onset of high dominant
frequencies can be generally interpreted as the precursor of macroscopic fracture.
5.5 Conclusion 83

350 3000 350 0.3010

High frequency Cluster 3
300 300 0.2634
2500
Dominant frequency (kHz)

Dominant frequency (kHz)

0.2258
250 250

Applied load (N)

2000
0.1881
200 200
1500 0.1505
150 Intermediate
150
frequency 0.1129
1000
100 Cluster 2 100
0.07525
50 500
50 0.03763
Low frequency Cluster 1
0 0 0 0.000
0 20 40 60 80 100 120
0 15 30 45 60 75 90
Time (s)
Time (s)

Fig. 5.13 Evaluation of damage mechanisms (or cracking modes) using the frequency-domain-
based hierarchical clustering algorithm

In other words, the signals of high dominant frequencies are mostly detected when
the macroscopic failure is imminent, and shear cracks dominate the ultimate failure
of the SCC sandstone specimen. Accordingly, the proposed HC approach in failure
mechanism assessment is superior to the conventional AE index analysis (i.e., the
classical RA-AF method). What’s more, the present frequency-domain-based hierar-
chical clustering algorithm can independently solve the demarcation problem of AE
dominant frequency ranges.

5.5 Conclusion

In this work, the SCC, SB, PTS, and ZCCDS test methods are employed to evaluate
the true mode-II fracture properties, and the AE (acoustic emission) monitoring
technique is applied to explore the true mode-II fracture mechanisms. The primary
conclusions are obtained as follows:
(1) The average values for τ are 4.11 MPa, 2.21 MPa, 10.31 MPa, and 5.36 MPa
relative to the SCC, SB, PTS, and ZCCDS sandstone specimens, respectively,
and those for K IIc are 0.51 MPa·m1/2 , 0.91 MPa·m1/2 , 1.30 MPa·m1/2 , and
2.44 MPa·m1/2 . The true mode-II testing results show that the fracture resistance
is dependent on the loading and geometry configurations of test specimens.
(2) The Gaussian function can well reveal the distribution characteristics of AE
amplitudes, and the maximum frequencies appear in 40–49 dB groups for the
SCC sandstone.
(3) Although the signals of low and intermediate frequencies are mainly moni-
tored in the whole loading processes of the SCC sandstone specimen, the onset
of high dominant frequencies can be generally interpreted as the precursor of
macroscopic fracture.
84 5 Ture Mode-II Fracture

(4) The dominant frequency-based hierarchical clustering algorithm is adopted in

this work to address the demarcation problem of AE dominant frequency ranges,
which overcomes the subjective judgment in previous research. The AE domi-
nant frequencies in the SCC testing can be segmented by the developed hier-
archical clustering algorithm as three groups: low, intermediate, and high, with
corresponding tensile, tensile-shear, and shear cracks, respectively.

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