David A. Lockner

Bio: David A. Lockner is an academic researcher from United States Geological Survey. The author has contributed to research in topics: Slip (materials science) & Fault (geology). The author has an hindex of 54, co-authored 140 publications receiving 11420 citations.

Quasi-static fault growth and shear fracture energy in granite

Abstract: The failure process in a brittle granite sample can be stabilized by controlling axial stress to maintain a constant rate of acoustic emission. As a result, the post-failure stress curve can be followed quasi-statically, extending to hours the fault growth process which normally would occur violently in a fraction of a second. Using a procedure originally developed to locate earthquakes, acoustic emission arrival-time data are inverted to obtain three-dimensional locations of microseisms. These locations provide a detailed view of fracture nucleation and growth.

The role of acoustic emission in the study of rock

Abstract: The development of faults and shear fracture systems over a broad range of temperature and pressure and for a variety of rock types involves the growth and interaction of microcracks. Acoustic emission (AE), which is produced by rapid microcrack growth, is a ubiquitous phenomenon associated with brittle fracture and has provided a wealth of information regarding the failure process in rock. This paper reviews the successes and limitations of AE studies as applied to the fracture process in rock with emphasis on our ability to predict rock failure. Application of laboratory AE studies to larger scale problems related to the understanding of earthquake processes is also discussed. In this context, laboratory studies can be divided into the following categories. 1) Simple counting of the number of AE events prior to sample failure shows a correlation between AE rate and inelastic strain rate. Additional sorting of events by amplitude has shown that AE events obey the power law frequency-magnitude relation observed for earthquakes. These cumulative event count techniques are being used in conjunction with damage mechanics models to determine how damage accumulates during loading and to predict failure. 2) A second area of research involves the location of hypocenters of AE source events. This technique requires precise arrival time data of AE signals recorded over an array of sensors that are essentially a miniature seismic net. Analysis of the spatial and temporal variation of event hypocenters has improved our understanding of the progression of microcrack growth and clustering leading to rock failure. Recently, fracture nucleation and growth have been studied under conditions of quasi-static fault propagation by controlling stress to maintain constant AE rate. 3) A third area of study involves the analysis of full waveform data as recorded at receiver sites. One aspect of this research has been to determine fault plane solutions of AE source events from first motion data. These studies show that in addition to pure tensile and double couple events, a significant number of more complex event types occur in the period leading to fault nucleation. 4) P and S wave velocities (including spatial variations) and attenuation have been obtained by artificially generating acoustic pulses which are modified during passage through the sample. (A) This paper was presented at the 34th U.S. Symposium on rock mechanics, 27-30 June 1993, University of Wisconsin-Madison. For the covering abstract see IRRD 863389.

Frictional slip of granite at hydrothermal conditions

Abstract: Sliding on faults in much of the continental crust likely occurs at hydrothermal conditions, i.e., at elevated temperature and elevated pressure of aqueous pore fluids, yet there have been few relevant laboratory studies. To measure the strength, sliding behavior, and friction constitutive properties of faults at hydrothermal conditions, we slid laboratory granite faults containing a layer of granite powder (simulated gouge). Velocity stepping experiments were performed at temperatures of 23° to 600°C, pore fluid pressures PH2O of 0 (“dry”) and 100 MPa (“wet”), effective normal stress of 400 MPa, and sliding velocities V of 0.01 to 1 μm/s (0.32 to 32 m/yr). Conditions were similar to those in earlier tests on dry granite to 845°C by Lockner et al. (1986). The mechanical results define two regimes. The first regime includes dry granite up to at least 845° and wet granite below 250°C. In this regime the coefficient of friction is high (μ = 0.7 to 0.8) and depends only modestly on temperature, slip rate, and PH2O. The second regime includes wet granite above ∼350°C. In this regime friction decreases considerably with increasing temperature (temperature weakening) and with decreasing slip rate (velocity strengthening). These regimes correspond well to those identified in sliding tests on ultrafine quartz. We infer that one or more fluid-assisted deformation mechanisms are activated in the second, hydrothermal, regime and operate concurrently with cataclastic flow. Slip in the first (cool and/or dry) regime is characterized by pervasive shearing and particle size reduction. Slip in the second (hot and wet) regime is localized primarily onto narrow shear bands adjacent to the gouge-rock interfaces. Weakness of these boundary shears may result either from an abundance of phyllosilicates preferentially aligned for easy dislocation glide, or from a dependence of strength on gouge particle size. Major features of the granite data set can be fit reasonably well by a rate- and temperature-dependent, three-regime friction constitutive model (Chester, this issue). We extrapolate the experimental data and model fit in order to estimate steady state shear strength versus depth along natural, slipping faults for sliding rates as low as 31 mm/yr. We do this for two end-member cases. In the first case, pore pressure is assumed hydrostatic at all depths. Shallow crustal strength in this case is similar to that calculated in previous work from room temperature friction data, while at depths below about 9–13 km (depending on slip rate), strength becomes less sensitive to depth but sensitive to slip rate. In the second case, pore pressure is assumed to be near-lithostatic at depths below ∼5 km. Strength is low at all depths in this case (<20 MPa, in agreement with observations of “weak” faults such as the San Andreas). The predicted depth of transition from velocity weakening to velocity strengthening lies at about 13 km depth for a slip rate of 31 mm/yr, in rough agreement with the seismic-aseismic transition depth observed on mature continental faults. These results highlight the importance of fluid-assisted deformation processes active in faults at depth and the need for laboratory studies on the roles of additional factors such as fluid chemistry, large displacements, higher concentrations of phyllosilicates, and time-dependent fault healing.

Nucleation and growth of faults in brittle rocks

Abstract: We present a model for the nucleation and growth of faults in intact brittle rocks. The model is based on recent experiments that utilize acoustic emission events to monitor faulting processes in Westerly granite. In these experiments a fault initiated at one site without significant preceding damage. The fault propagated in its own plane with a leading zone of intense microcracking. We propose here that faults in granites nucleate and propagate by the interaction of tensile microcracks in the following style. During early loading, tensile microcracking occurs randomly, with no significant crack interaction and with no relation to the location or inclination of the future fault. As the load reaches the ultimate strength, nucleation initiates when a few tensile microcracks interact and enhance the dilation of one another. They create a process zone that is a region with closely spaced microcracks. In highly loaded rock, the stress field associated with microcrack dilation forces crack interaction to spread in an unstable manner and recursive geometry. Thus the process zone propagates unstably into the intact rock. As the process zone lengthens, its central part yields by shear and a fault nucleus forms. The fault nucleus grows in the wake of the propagating process zone. The stress fields associated with shear along the fault further enhance the microcrack dilation in the process zone. The analysis shows that faults should propagate in their own plane, making an angle of 20°–30° with the maximum compression axis. This model provides a physical basis for “internal friction,” the empirical parameter of the Coulomb criterion.

The Mechanics of Earthquakes and Faulting

Abstract: This essential reference for graduate students and researchers provides a unified treatment of earthquakes and faulting as two aspects of brittle tectonics at different timescales. The intimate connection between the two is manifested in their scaling laws and populations, which evolve from fracture growth and interactions between fractures. The connection between faults and the seismicity generated is governed by the rate and state dependent friction laws - producing distinctive seismic styles of faulting and a gamut of earthquake phenomena including aftershocks, afterslip, earthquake triggering, and slow slip events. The third edition of this classic treatise presents a wealth of new topics and new observations. These include slow earthquake phenomena; friction of phyllosilicates, and at high sliding velocities; fault structures; relative roles of strong and seismogenic versus weak and creeping faults; dynamic triggering of earthquakes; oceanic earthquakes; megathrust earthquakes in subduction zones; deep earthquakes; and new observations of earthquake precursory phenomena.

Modeling of rock friction: 1. Experimental results and constitutive equations

Abstract: Direct shear experiments on ground surfaces of a granodiorite from Raymond, California, at normal stresses of ∼6 MPa demonstrate that competing time, displacement, and velocity effects control rock friction. It is proposed that the strength of the population of points of contacts between sliding surfaces determines frictional strength and that the population of contacts changes continuously with displacements. Previous experiments demonstrate that the strength of the contacts increases with the age of the contacts. The present experiments establish that a characteristic displacement, proportional to surface roughness, is required to change the population of contacts. Hence during slip the average age of the points of contact and therefore frictional strength decrease as slip velocity increases. Displacement weakening and consequently the potential for unstable slip occur whenever displacement reduces the average age of the contacts. In addition to this velocity dependency, which arises from displacement dependency and time dependency, the experiments also show a competing but transient increase in friction whenever slip velocity increases. Creep of the sliding surface at stresses below that for steady state slip is also observed. Constitutive relationships are developed that permit quantitative simulation of the friction versus displacement data as a function of surface roughness and for different time and velocity histories. Unstable slip in experiments is controlled by these constitutive effects and by the stiffness of the experimental system. It is argued that analogous properties control earthquake instability.

The Rock Physics Handbook: Tools for Seismic Analysis of Porous Media

Abstract: Preface 1. Basic tools 2. Elasticity and Hooke's law 3. Seismic wave propagation 4. Effective media 5. Granular media 6. Fluid effects on wave propagation 7. Empirical relations 8. Flow and diffusion 9. Electrical properties Appendices.

Earthquakes and friction laws

Abstract: The traditional view of tectonics is that the lithosphere comprises a strong brittle layer overlying a weak ductile layer, which gives rise to two forms of deformation: brittle fracture, accompanied by earth- quakes, in the upper layer, and aseismic ductile flow in the layer beneath Although this view is not incorrect, it is imprecise, and in ways that can lead to serious misunderstandings The term ductility, for example, can apply equally to two common rock deformation mechanisms: crystal plasticity, which occurs in rock above a critical temperature, and cataclastic flow, a type of granular deformation which can occur in poorly consolidated sediments Although both exhibit ductility, these two deformation mechanisms have very different rheologies Earthquakes, in turn, are associated with strength and brittleness—associations that are likewise sufficiently imprecise that, if taken much beyond the generality implied in the opening sentence, they can lead to serious misinterpretations about earthquake mechanics Lately, a newer, much more precise and predictive model for the earthquake mechanism has emerged, which has its roots in the observation that tectonic earthquakes seldom if ever occur by the sudden appearance and propagation of a new shear crack (or 'fault') Instead, they occur by sudden slippage along a pre-existing fault or plate interface They are therefore a frictional, rather than fracture, phenomenon, with brittle fracture playing a secondary role in the lengthening of faults 1 and frictional wear 2 This distinction was noted by several early workers 3 , but it was not until 1966 that Brace and Byerlee 4 pointed out that earthquakes must be the result of a stick-slip frictional instability Thus, the earthquake is the 'slip', and the 'stick' is the interseismic period of elastic strain accumula- tion Subsequently, a complete constitutive law for rock friction has been developed based on laboratory studies A surprising result is that a great many other aspects of earthquake phenomena also now seem to result from the nature of the friction on faults The properties traditionally thought to control these processes— strength, brittleness and ductility—are subsumed within the over- arching concept of frictional stability regimes Constitutive law of rock friction In the standard model of stick-slip friction it is assumed that sliding begins when the ratio of shear to normal stress on the surface reaches a value ms, the static friction coefficient Once sliding initiates, frictional resistance falls to a lower dynamic friction coefficient, md, and this weakening of sliding resistance may,