Investigation of progressive cracking in sandstone under uniaxial loading using multidimensional AE-based analysis

Abstract

In rock engineering, joints in rock masses are inevitably encountered and often act as triggers for engineering instability. Quantitative characterization of the cracking process under compressive loading is fundamental to understanding rock fracture behavior. This study employs acoustic emission (AE) monitoring to track the progressive cracking process of sandstone samples. To achieve quantitative spatiotemporal characterization, we integrate temporal analysis with nonlinear theoretical methods. A multi-parameter characterization model is subsequently established, incorporating AE activity parameters (AE event rate and AE count rate) and a spatial parameter (single-link cluster correlation length). Building on this framework, a novel method is proposed for the simultaneous determination of three key stress thresholds, including crack closure, crack initiation and crack damage stresses. The stress thresholds obtained from the proposed method are validated against those derived from conventional methods. The results indicate that the proposed multi-parameter characterization model can comprehensively capture the progressive cracking process in rocks. Strong consistency between the stress thresholds identified by the proposed and traditional methods confirms the reliability and accuracy of this quantitative approach for crack stress threshold identification.

Keywords

rock cracking / multi-parameter characterization model / AE activity parameter / AE spatial parameter / stress threshold

References

[1] Li X-b, Gong F-q, Tao M, et al. . Failure mechanism and coupled static-dynamic loading theory in deep hard rock mining: A review [J]. Journal of Rock Mechanics and Geotechnical Engineering, 2017, 9(4): 767-782

[2] Wagner H. Deep mining: A rock engineering challenge [J]. Rock Mechanics and Rock Engineering, 2019, 52(5): 1417-1446

[3] Zhou Z-l, Wang P-y, Cai X, et al. . Influence of water content on energy partition and release in rock failure: Implications for water-weakening on rock-burst proneness [J]. Rock Mechanics and Rock Engineering, 2023, 56(9): 6189-6205

[4] Zhou Z-l, Wang P-y, Cheng R-s, et al. . Blast-induced damage and fracture of rock mass in cutting blasting with a large empty hole under high in-situ stress [J]. Tunnelling and Underground Space Technology, 2025, 166: 106942

[5] Raynaud S, Vasseur G. Shear failure mechanism in granite inferred from multi-scale brittle structures [J]. Journal of Structural Geology, 2014, 66: 42-57

[6] Zhou X-p, Zhang J-z, Qian Q-h, et al. . Experimental investigation of progressive cracking processes in granite under uniaxial loading using digital imaging and AE techniques [J]. Journal of Structural Geology, 2019, 126: 129-145

[7] Abbasi V, Ahmadi M, Mohtarami E, et al. . Experimental and numerical failure mechanism evaluation of anisotropic rocks using extended finite element method [J]. Theoretical and Applied Fracture Mechanics, 2024, 131: 104411

[8] Wang C-l, Zhou B-k, Zhu C-y, et al. . Crack nucleation mechanism of rock fracture [J]. Engineering Fracture Mechanics, 2025, 325: 111328

[9] Zuo J-p, Chen Y, Liu X-li. Crack evolution behavior of rocks under confining pressures and its propagation model before peak stress [J]. Journal of Central South University, 2019, 26(11): 3045-3056

[10] Dai J-h, Gong F-q, He Z-c, et al. . Quantitative estimation of potential rockburst pit depths during blasting excavation in deep tunnels [J]. International Journal of Rock Mechanics and Mining Sciences, 2024, 178: 105748

[11] Cai X, Chen L-y, Zhou Z-l, et al. . A feature fusion-based framework for robust prediction of underground pillar stability under small-sample conditions [J]. Rock Mechanics and Rock Engineering, 2025, 58(12): 13565-13586

[12] Cai X, Wang P-y, Zhou Z-l, et al. . Dynamic mechanical response and multiscale fracturing of pre-stressed rock: Implications for pillar burst mechanism and prevention [J]. Tunnelling and Underground Space Technology, 2026, 168: 107116

[13] Chaurasia A, Walton G, Sinha S, et al. . Large-scale laboratory investigation of pillar-support interaction [J]. Journal of Rock Mechanics and Geotechnical Engineering, 2025, 17(1): 71-93

[14] Wang C-l, Cao C, Li C-f, et al. . Experimental investigation on synergetic prediction of granite rockburst using rock failure time and acoustic emission energy [J]. Journal of Central South University, 2022, 29(4): 1262-1273

[15] Gong F-q, Xu L, Wang S-r, et al. . Rockburst proneness index of surrounding rock considering rock mass quality and excavation disturbance factor [J]. Underground Space, 2025, 24: 1-21

[16] Wu W-x, Gong F-q, Ren L, et al. . Dynamic triggering mechanism of rockburst in highly stressed rectangular tunnel under impact load [J]. Tunnelling and Underground Space Technology, 2025, 165: 106908

[17] Sayadi S, Baghbanan A, Delgado-Martín J. Experimental investigation of fracturing processes under compression of granite specimens containing combined defects using DIC and AE techniques [J]. Rock Mechanics and Rock Engineering, 2026, 59(2): 1483-1506

[18] Shams G, Rivard P, Moradian O. Micro-scale fracturing mechanisms in rocks during tensile failure [J]. Rock Mechanics and Rock Engineering, 2023, 56(6): 4019-4041

[19] Yang H-q, Liu B-l, Karekal S. Experimental investigation on infrared radiation features of fracturing process in jointed rock under concentrated load [J]. International Journal of Rock Mechanics and Mining Sciences, 2021, 139: 104619

[20] Khan N M, Ma L, Cao K, et al. . Early violent failure precursor prediction based on infrared radiation characteristics for coal specimens under different loading rates [J]. Rock Mechanics and Rock Engineering, 2022, 55(11): 6939-6961

[21] Liu C-y, Zhao G-m, Xu W-s, et al. . Experimental investigation on failure process and spatiotemporal evolution of rockburst in granite with a prefabricated circular hole [J]. Journal of Central South University, 2020, 27(10): 2930-2944

[22] Ghamgosar M, Erarslan N. Experimental and numerical studies on development of fracture process zone (FPZ) in rocks under cyclic and static loadings [J]. Rock Mechanics and Rock Engineering, 2016, 49(3): 893-908

[23] Mahanta B, Vishal V, Sirdesai N, et al. . Progressive deformation and pore network attributes of sandstone at in-situ stress states using computed tomography [J]. Engineering Fracture Mechanics, 2021, 252: 107833

[24] Shao Y-l, Yang J-w, Kim J, et al. . Quantitative analysis and 3D visualization of crack behavior in 3D-printed rock-like specimens with single flaw using in-situ micro-CT imaging [J]. Rock Mechanics and Rock Engineering, 2024, 57(9): 7271-7291

[25] Moradian Z, Einstein H H, Ballivy G. Detection of cracking levels in brittle rocks by parametric analysis of the acoustic emission signals [J]. Rock Mechanics and Rock Engineering, 2016, 49(3): 785-800

[26] Yang J, Mu Z-l, Yang S-qi. Experimental study of acoustic emission multi-parameter information characterizing rock crack development [J]. Engineering Fracture Mechanics, 2020, 232: 107045

[27] Yu X, Zuo J-p, Mao L-t, et al. . Uncovering the progressive failure process of primary coal-rock mass specimens: Insights from energy evolution, acoustic emission crack patterns, and visual characterization [J]. International Journal of Rock Mechanics and Mining Sciences, 2024, 178: 105773

[28] Zhang Y-b, Yao X-l, Liang P, et al. . Fracture evolution and localization effect of damage in rock based on wave velocity imaging technology [J]. Journal of Central South University, 2021, 28(9): 2752-2769

[29] Zhou Z-l, Zhao C-c, Huang Y-hua. Nonlinear time series analysis of limestone rock failure process [J]. Measurement, 2023, 206: 112259

[30] Wang L-c, Wang L, Xu M, et al. . Damage evolution and destabilization precursors in granite under splitting load at different temperatures [J]. Transactions of Nonferrous Metals Society of China, 2024, 34(3): 977-994

[31] Sun B, Yan Y, Wang S-y, et al. . Self-organized criticality and b-value characteristics of acoustic emission of rocks under different stress paths [J]. Rock Mechanics and Rock Engineering, 2025, 58(1): 851-866

[32] Rui Y-c, Pu Y-y, Chen J, et al. . Locating acoustic emission sources in pseudo-triaxial experiments with the shortest path and orthogonal constraint [J]. Journal of Rock Mechanics and Geotechnical Engineering, 2025, 17(9): 5453-5464

[33] Zhou Z-l, Zhao C-c, Cai X, et al. . Three-dimensional modeling and analysis of fractal characteristics of rupture source combined acoustic emission and fractal theory [J]. Chaos, Solitons & Fractals, 2022, 160: 112308

[34] Manthei G. Application of the cluster analysis and time statistic of acoustic emission events from tensile test of a cylindrical rock salt specimen [J]. Engineering Fracture Mechanics, 2019, 210: 84-94

[35] Xue D-j, Lu L, Gao L, et al. . Prediction of fracture and dilatancy in granite using acoustic emission signal cloud [J]. Journal of Rock Mechanics and Geotechnical Engineering, 2021, 13(5): 1059-1077

[36] Xue D-j, Zhang Z-p, Chen C, et al. . Spatial correlation-based characterization of acoustic emission signal-cloud in a granite sample by a cube clustering approach [J]. International Journal of Mining Science and Technology, 2021, 31(4): 535-551

[37] Li Y H, Liu J P, Zhao X D, et al. . Experimental studies of the change of spatial correlation length of acoustic emission events during rock fracture process [J]. International Journal of Rock Mechanics and Mining Sciences, 2010, 47(8): 1254-1262

[38] Wang C-l, Wang B, Li C-f, et al. . Investigation of the spatial correlation of rock crack propagation based on graph theory [J]. Rock Mechanics and Rock Engineering, 2023, 56(3): 1981-1993

[39] Triantis D, Kourkoulis S K. An alternative approach for representing the data provided by the acoustic emission technique [J]. Rock Mechanics and Rock Engineering, 2018, 51(8): 2433-2438

[40] Zhang Z-b, Wang E-y, Li N, et al. . Damage evolution analysis of coal samples under cyclic loading based on single-link cluster method [J]. Journal of Applied Geophysics, 2018, 152: 56-64

[41] Li X F, Li H B, Liu L W, et al. . Investigating the crack initiation and propagation mechanism in brittle rocks using grain-based finite-discrete element method [J]. International Journal of Rock Mechanics and Mining Sciences, 2020, 127: 104219

[42] Zhou Z-l, Wang P-y, Cai X, et al. . Estimating crack closure and damage stress thresholds of rock during uniaxial compression based on axial plastic strain [J]. Journal of Central South University, 2023, 30(10): 3335-3348

[43] Zhang Z-h, Liang Z-z, Tang C, et al. . A comparative study of current methods for determining stress thresholds of rock subjected to compression [J]. Rock Mechanics and Rock Engineering, 2023, 56(11): 7795-7818

[44] Peng J, Cai M, Rong G, et al. . Stresses for crack closure and its application to assessing stress-induced microcrack damage [J]. Chinese Journal of Rock Mechanics and Engineering, 2015, 34(6): 1091-1100(in Chinese)

[45] Zhao X G, Cai M, Wang J, et al. . Damage stress and acoustic emission characteristics of the Beishan granite [J]. International Journal of Rock Mechanics and Mining Sciences, 2013, 64: 258-269

[46] Wu C, Gong F-q, Luo Y. A new quantitative method to identify the crack damage stress of rock using AE detection parameters [J]. Bulletin of Engineering Geology and the Environment, 2021, 80(1): 519-531

RIGHTS & PERMISSIONS

Central South University