Degradation and swelling of sulphate-bearing claystones

Degradacin e hinchamiento de rocas arcillosas sulfatadas

Eduardo Alonso Prez de greda & Ivn Rafael Berdugo De Moya
Dep. Ingeniera del Terreno, Cartogrfica y Geofsica, UPC, Barcelona (Espaa)

Abstract
A review of swelling phenomena in anhydritic-gypsiferous claystones is presented in the paper. The swelling is
analyzed as a phenomenon controlled by degradation in presence of sulphated water. Evidences of gypsum
crystallization in fissures generated due to the degradation of the materials are presented and their relationship
with long-term heaves and pressures are discussed. The importance of drying in both the degradation and the
swelling due to crystal growth is highlighted.

Resumen
En el artculo se presenta una revisin de los fenmenos expansivos en argilitas anhidrtico-yesfera.La expansin
se analiza como un fenmeno controlado por la degradacin en presencia de aguas sulfatadas. Se presentan
evidencias de cristalizacin de yeso en fisuras generadas por degradacin de materiales y se discute su relacin
expansiones y presiones de hinchamiento a largo plazo. Finalmente, se resalta la importancia del secado tanto en
la degradacin como en la expansin debida a crecimiento de cristales.

1 INTRODUCTION clayey rocks. Severe cases of expansive

The deleterious effects of the expansive
behaviour of rocks on excavations in general, and
tunnels in particular, have been demonstrated -
even better than in any other cases-, in those cases
in which anhydritic-gypsiferous claystones are
involved. Generally the magnitude of expansive
phenomena observed in sulphate-bearing rocks far
exceeds the expansivity threshold of most hard
soils and rocks, which are well-known because of
their high expansive potential. In Figure 1 several
cases of both underground and shallow
excavations in swelling rocks and soils are
presented, and the sharp distinction between
sulphate-bearing rocks and other expansive
materials facilitates a first assessment of the
complex phenomena considered in this paper.
Damage and failure of tunnels excavated
through Triassic rocks from both the Middle
Keuper (Gipskeuper) and the Muschelkalk
(Anhydritgruppe) in Baden-Wrttemberg
(Germany) and Jura Mountains (Switzerland)
have been analyzed by many authors during
decades. The recent contributions of Kovri &
Descoeudres (2001), Amstad & Kovri (2001) and
Wittke (2006), as well as the works of Sahores
(1962), Huder and Amberg (1970), Grob (1972,
1976), Henke (1976), Kaiser (1976), Krause
(1976), Einstein (1979), Wichter (1985, 1991),
Nagel (1986), von Fecker (1992), Steiner (1993),
Paul & Wichter (1996) and others in the recent
past, stand out from other contributions to the
study of swelling in hard anhydritic-gypsiferous
phenomena have been also observed in deep
excavations and tunnels in soft sulphate-bearing
siltstones and claystones from the Tertiary Lower
Ebro Basin (Catalonia, Spain). These experiences
have been reported in publications by Serrano et
al (1981, 1988), Lloret et al (1988), Esteban
(1990), Esteban et al (1991), Alonso et al (1993),
Gens et al (1993) and Alonso & Alcoverro (2002,
2004) -with regard to the heave affecting Asc II
Nuclear Power Station since 1976-; and, recently
by Alonso et al (2004, 2005), Alonso & Berdugo
(2005) and Berdugo et al (2006) -with regard to
the expansive phenomena which affected, during
construction, three tunnels of the new high-speed
railway Madrid-Barcelona.
Two cases which illustrate the enormous
destructive potential of expansive phenomena in
sulphate-bearing rocks are Belchen tunnel -in Jura
Mountain (Switzerland)-, and Lilla tunnel -in the
Lower Ebro Basin (Spain)-. During construction
of Belchen (1963-1967), swelling of rocks from
the Gipskeuper caused local failures in both the
drainage system and the invert, as illustrated in
Figure 2. After these episodes, the invert raised by
120 mm within 8 days and by 400 mm within
months (Kovari and Descoeudres, 2001). On the
other hand, the failure of the flat-slab in Lilla
tunnel, as a result of swelling of the underlying
Triassic claystone, was evident just after
construction and vertical displacements up to 800
mm -without stabilization signs-, were measured
in only a few months (Figure 3).

211
 SULPHATE-BEARING ROCKS
Anhydritgruppe & Ebro
OTHER EXPANSIVE MATERIALS
Molasse Opalinus Other Expansive proposal of mechanisms involved in swelling of
sulphate-bearing clay formations.
Gipskeuper Basin Marl Claystone Marls Clays

Wagenburg NT (1943-1970)

Kappelisberg (1919-1923)
Wagenburg ST E 360 (1951-1952)
Heave (mm)

Lilla pk 411+880 (2002-2003)

Wagenburg TT II E3 (1973-1979)
Hauenstein (1913)

Amdener
Effinger
Lias
Wagenburg ST E 387 (1962-1992)
Belchen (1963-1970)

Leonhardsplatz Cavern (1942-1946)

Freudenstein B XI (1987-1996)
1200

Asc II NPS E 18 (1976-2001)

Bzberg (1923-1954)
Storage Cavern (1970-1977)

Taubenbloch T8 (1976-1979)
1000 Bzberg (1923-1954)

Bzberg (1923-1954)

Bzberg (1923-1954)

Sunshine Clay (4 years)

800

Al-Qatif Clay (50 days)

Seelisberg (1979-1995)

Yazoo Clay (9 years)

Hauenstein (1913)
Belchen (1963-1970)

Tabuk Clay (1981)

Ricken (1916-1917)
600

400
(a) Grob (1972) (b) Amstad & Kovri (2001)
200

0
Clay content (%): 5-20 20-50 10-40 45-55 15-35 > 70
Figure 2: Failure of the drain and the invert during
(a) construction of Belchen tunnel (1963-1970).
SULPHATE-BEARING ROCKS OTHER EXPANSIVE MATERIALS
Gipskeuper & Ebro Opalinus Effinger Expansive
Anhydritgruppe Basin Claystone Marl Clays
Wagenburg ST (1987-1992)

Lilla pk 411+829 (2002-2003)

pressure (MPa)

Wagenburg TT I Abt (1973-1985)

Wagenburg TT II Abt (1973-1975)

Swelling

Wagenburg TT II AP (1973-1984)

0.5 m
Belchen P11 (1967-1969)
Belchen (1976-1986)

Freudenstein B VIII (1987-1992)

0.4
Heslach II (1987-1988)

0.3
Hauenstein (1912-1916)

Adler MQ 1313 (1999-2005)

Freudenstein B III (1987-1996)

0.2
6
0.1
Taubenbloch T8 (1976-1979)

5
0.0
Mont Terri (1989-1991)

Hauenstein (1968-1973)

Sunshine Clay (50 days)

4
Belchen (1967-1971)

Tabuk Clay (1981)

Chamoise (1986)

1
(a) March 2003 (b) september 2003
0

Figure 3: Heave and failure of flat-slab in section

Clay content (%): 5-20 20-50 45-55 15-35 > 70

(b)
411+880 of Lilla tunnel.
Figure 1: Field observations of extreme expansive
phenomena in tunnels, caverns, deep excavations
2 CASE STUDIES FROM BADEN-
and foundations in swelling rocks and soils,
WRTTEMBERG AND JURA
compiled by Berdugo (2006). In sulphate bearing
MOUNTAINS
rocks, measured heave and swelling pressures far
exceeds the values found in other expansive rocks.
Case studies such as Belchen and Lilla, have 2.1 The Gipskeuper and the Anhydritgruppe:
made it possible to a certain extent to typify the associated materials and expansive
phenomenology of swelling in sulphate-bearing behaviour
rocks and their complex evolution in time.
In the tunnels of Baden-Wrttemberg (Southern
Nevertheless, mechanisms underlying the
Germany) and Jura Montains (Northern
phenomena are not well-known and classical
Switzerland) materials involved in expansive
approaches on swelling due to the uncoupled
phenomena are Triassic hard rocks from the
contribution of clay hydration and transformation
Anhydritegruppe (Middle Muschelkalk) and the
of anhydrite into gypsum are often in conflict with
Gipskeuper (Middle Keuper). The name Triassic
either theoretical considerations or experimental
derives from the division of the sediments into
evidences (Alonso & Berdugo, 2005)
three typical stages: Bunter, Muschelkalk and
The purpose of this paper is to study the
Keuper.
expansive behaviour of sulphate-bearing clayey
The Muschelkalk mainly consists of limestones,
rocks and highlight their dependence on basic
dolostones and evaporites, alternating with clastic
mechanisms of chemo-mechanical degradation.
sediments (clays, marls). The Anhydritegruppe
Some case studies from Germany, Switzerland
(Middle Muschelkalk) mainly consists of
and Spain are presented, including both field
evaporites (gypsum or anhydrite and halite) and
observations and laboratory tests results. A critical
dolomite. The climate often caused high
review of the data presented leads to a preliminary
concentrations of salt and lack of oxygen in water

212
layers near the sea floor, leading to the formation
of micritic lime and marl muds. At the end of the
Muschelkalk, sedimentation nearly had met the
rate of subsidence within the Germanic Basin so
the Keuper sediments were deposited in wide, flat
areas. The clastic dominated ramp received
sediments from sea currents, rivers and deltas,
wind, processes of evaporation and flash floods.
At this time the climate was continental and arid,
but changed to semi-humid conditions until the
end of the Keuper (Geyer & Gwinner, 1991). The
Middle Keuper (Gipsakeuper) is a sequence of
fine clastics (clays and silty to dolomitic marls)
showing a wide range of colours. Red to violett
sediments indicate an oxidizing environment
while gray to greenish sediments are associated to
a reducing environment. Evaporation of the saline
sea water led to the formation of gypsum and
halite crystal pseudomorphs (Aigner, 1990).
(a)
(b)
Figure 4: (a) undisturbed sample from the Middle
Muschelkalk (Anhydritgruppe) (Madsen &
Nesch, 1990). (b) undisturbed sample from the
Middle Keuper (Gipskeuper) Amstad & Kovri
(2001).
In Baden-Wrttemberg a distinction must be
made between two different layers associated with
the Gipskeuper: (i) the leaching front (gypsiferous
level), and (ii) the anhydritic level. Above the
anhydritic level, this material has been converted
into gypsum in geological times. Above the
213
leaching front, the gypsum has been dissolved and
transported away by the groundwater (Wittke,
2000). Prommersberger & Kuhnhenn (1989) point
out that due to the considerable presence of water
in the leached zone, the rock shows no or only few
stability when opening a cavity. On the other
hand, below the anhydritic level the rock
problems can be considered nearly waterproof.
The material is compact and it is of sufficient
stability for tunnel driving.
In general, both the Muschelkalk and the
Gipskeuper are heterogeneous mixtures of
anhydrite and gypsum in hard clayey matrix, as
shown in Figure 4. In some deposits expansive
clays are partial components of the host material
[i.e. occurrence of Corrensite in Wagenburg
tunnel Gipskeuper (Gtz, 1972; Henke, 1976;
Lippmann, 1976), as well as in some evaporitic
rocks in Jura Mountains (Jordan & Nesch,
1989)]. Corrensite is a phylosilicate of the
smectite group which crystallizes in the
monoclinic system. However, Illite and Chlorite
dominate the clay fraction and non expansive
clays have been detected in many tunnels
excavated in the Gipskeuper and the
Anhydritegruppe [i.e. Adler, Belchen, Hauenstein
and Sissach (Grob, 1972, 1976; Madsen et al.,
1995; Nesch et al., 1995; Hauber, 1996; Nesch
and Ko, 2000); Kappelesberg (Krause, 1976; Kurz
and Spang, 1984); Freudenstein (Kirschke, 1987;
Kirschke et al., 1991)]. The mineralogical
composition and other index properties of these
materials are presented in Table 1.
Information related with chemical composition
of groundwater in tunnels excavated in the
Muschelkalk and the Gipskeuper is either
incomplete or inconclusive. Some data of sulphate
content have been reported by Amstad & Kovri
(2001), but only with regard to the possibility of
sulphate attack to concrete; and isolate values of
sulphate content in water from Belchen tunnel
were reported by Grob (1972) and Werder (1989).
Occurrence of macroconstituents as calcium,
magnesium, sodium and potassium -which have
an essential role in the interaction between
sulphate-rich waters and sulphate-bearing rocks-,
is, in general, not reported in the German and
Swiss literature on the subject. Values of sulphate
content reported by the forementioned authors are
presented in Table 2.
A series of long term swelling tests on
undisturbed samples from the Gipskeuper and the
Anydritgruppe were carried out since the 70s
until the 90s in the Otto Graf Institute, in the
University of Karlsruhe and in the ETH (Zrich)
in connection with several tunnels in Baden-
Wrttemberg and Jura Mountains. Figure 5
summarizes the results obtained in both free
swelling tests and swelling pressure tests. As can
be seen in this Figure, swelling strains greater
100% and swelling pressures of up 5 MPa can
occur under laboratory conditions, without signs
of stabilization in several cases.
High values of swelling pressure reported by by
Madsen and co-workers including Nesch et al
(1995), have a clear cause, but require the
description of some special details of the
experimental protocols. During swelling pressure
tests the samples were immersed in solutions
saturated in gypsum containing 2.4 g/l of
CaSO42H2O and tested in direct contact with the
laboratory relative humidity under a constant
temperature of 20 C. The criterion behind this
procedure is related with the dissolution
conditions for anhydrite and is explained with
detail in the Suggested Methods for Laboratory
Testing of Swelling Rock published by the ISRM
(1999) under the coordination of Prof. Madsen.
Textually this document point out that For rocks
containing clay and anhydrite using distilled
water may cause uncontrolled dissolution of
sulphates in the specimen. Normally a calcium-
sulphate solution of 2.4 g CaSO4 per litre of
distilled water is used to minimize dissolution of
the sulphate from within the specimen into the
container water. On the other hand, in swelling
pressure tests the compensation of axial strains
was only carried out during the first few days;
later, no corrections were made. This
methodology is supported by the theory of the
uncoupled physical and chemical swelling
mechanisms in sulphate-bearing rocks and was
justified by the ISRM (1999) in the following
terms: For rocks containing anhydrite the axial
strain of the specimen caused by transformation of
anhydrite into gypsum is not to be compensated as
a compensation will lead to an unreasonable high
swelling stress. In some cases it may however be
sensible to compensate the strain occurring
during the first days of the test as this is usually
caused by the clay-swelling process. After this
time however, no compensation is to be made.
The consequence of uses this methodology is a
permanent exposition of the samples to
evaporation of solutions saturated in gypsum into
discontinuities opened due to the no compensation
of displacements. Under this condition a
continuous gypsum growth is the cause of
observed high swelling pressure (see Figure 5c).
The same reasoning is applicable to the case of
free swelling test (see Figure 5f).

Table 1. Properties of the Gipskeuper and the Anhydritgruppe

Mineralogical composition (%) w pt
Gs
Anh Gyp Clay Carb Qtz Feld (%) (Mg/m3)
30 1 5 0 5 1 2.60 0.5 2.2
Gipskeuper
75 20 20 20 20 5 2.84 4.5 2.4
45 1 2 1 1 1 2.66 1.0 2.0
Anhydritgruppe
90 4 50 25 15 5 2.86 3.0 2.4

Table 2. Sulphate content in groundwater in the Gipskeuper and the Anhydritgruppe

SO4 concentration
Project Reference
(ppm)
Weinsberg tunnel up to 1500 Gremminger & Spang (1978)
Kappelesberg tunnel 1957 2755 Krause (1975)
Adler tunnel 2990 Chiaverio & Hrzele (1996)
Belchen tunnel up to 6000 Grob (1972)
Belchen tunnel 1290 Werder (1989)
Freudenstein tunnel up to 5600 Berner (1991)
Engelberg Base tunnel > 8600 Kuhnhenn (1979)

214
 50 6
Gipskeuper Gipskeuper
Belchen Tunnel Hauenstein TT
Belchen Tunnel Madsen et al Nesch et al (1995)
40 Madsen et al (1995)

Swelling pressure (MPa)

(1995)
Swelling strain (%)
4
Hauenstein TT
30 Nesch et al (1995) Freudenstein TG
Kirschke (1976)

Wagenburg TT
20 Henke (1976)
Freudenstein TG
Kirschke et al (1991)
2 Belchen Tunnel
Madsen et al (1995)
10

0 0
0 400 800 1200 1600 2000 0 200 400 600 800 1000
Time (days) Time (days)
(a) (d)

150 6
Weiach Weiach
Muschelkalk (Anhydritegruppe) Muschelkalk (Anhydritegruppe)
A: 70%; G: 1%; C: 11%
A: Anhydrite A: Anhydrite
Swelling pressure (MPa)
G: Gypsum G: Gypsum A: 70%; G: 1%; C: 11%
Swelling strain (%)

C: Clay C: Clay
100 4
A: 70%; G: 3%; C: 30%

A: 70%; G: 3%; C: 30%

50 2
A: 85%; G: 1%; C: 3%

A: 85%; G: 1%; C: 3%
Madsen & Nesch (1990) Madsen & Nesch (1990)
0 0
0 200 400 600 800 0 200 400 600 800
Time (days) Time (days)
(b) (e)

Weiach Weiach
A: 70%; G 1%; C: 11% A: 70%; G 1%; C: 11%

(c) (f)
Figure 5: Results of free swelling tests and swelling pressure tests on undisturbed samples from the
Gipskeuper and the Anhydritgruppe.

215
 Unfortunately, information on the hydrogelogical
2.2 Case studies from Baden-Wrttemberg regime in the rock massif is unknown.
Wagenburg-north tunnel
Wagenburg tunnel
The north tunnel has a length of 800 m, was
The Wagenburg tunnel connects the centre with
completed in 1942 and is still in the planning
the eastern part of Stuttgart and is located
stage. It has a horseshoe cross-section and a
completely within the Gipskeuper (see Figure 6
concrete lining that covers only the roof and walls,
and
but the floor was unlined and has remained this
Figure 7). Three independent structures must be
state ever since construction (Gtz, 1972). Under
distinguished in this case, each one characterized
these conditions the foundation material was
by particular cross sections but affected by similar
exposed to three important degradation agents: (i)
expansive phenomena: (i) the north tunnel, (ii) the
the stress relief due to excavation, (ii) the flow of
south tunnel, and (iii) the test tunnels. Strong
water from overburden, and (iii) the changes in
swelling affecting the Wagenburg tunnel system is
relative humidity imposed by local environmental
restricted to the innermost 250 m, just in the zone
conditions into the tube.
in which the tunnels cross the transition from the
leached Gipskeuper to the unleached anhydrite.

0 100 m sse
tr a
Wag
enbu ur gs
nb
rg s tras ge
se Wa

North tunnel
TT I TT II

South tunnel
TT I: test tunnel I
TT II: test tunnel II

Figure 6: Localization of structures in the Wagenburg tunnel system.

(m a.s.l)
350 W E
Untere Bunte Marl
Fill

Schilfsandstein

300 Estherienschichten
Colluvion
GIPSKEUPER

Middle
TT I TT II Gipskeuper
Unleached
Gipskeuper
250
leached Dunkelrote
gypsiferous level
anhydritic zone Marl
unleached
anhydritic level
Nagel (1986), Paul & Wichter (1996), Amstad & Kovri (2001)
200
0 100 200 300 400 500 600 700 800 (m)

Figure 7: Geological longitudinal section of Wagenburg tunnel system.

216
 E 391.04
1000 continuous monitoring puntual monitoring
Nagel (1986) Krause (1976)
Flat-slab heave (mm) 800 E 415.53

2.70 m E 385.91
600 control
point E 421.04
E 361.04
400 E 481.04
3.20 m
E 451.04
200

0
1943
1944
1945
1946
1947
1948
1949
1950
1951
1952
1953
1954
1955
1956

1970
Figure 8: Total floor heave in Wagenburg north tunnel after 27 years of monitoring (based on original
data by Krause, 1976 and Nagel, 1986).

0 unlined floor The expansive phenomena which affected the

1 floor heave in this tunnel was analyzed for this
1
2 Nagel (1986), and is presented in Figure 8. After
3 floor heave of 1029 mm was measured in the axis
2
4 displacements could not be defined. Figure 9
3 m
0 1
(a)
(b)
Figure 9: (a) Distribution of gypsum crystals
along the degraded subsoil profile according with
Krause (1977) & Nagel (1986): (1) segregate-
impure gypsum crystals and macrocrystals, (2)
segregate-pure gypsum crystals in fine sheets, (3)
gypsum macrocrystals and fibrous gypsum, (4)
transition between (1) and (2). (b) Wagenburg
north tunnel in 1970 in an image by Spaun (1974).
north tunnel since 1943 until 1970 were described
in detail by several authors (i.e. Gtz, 1972;
Krause, 1976 and Nagel, 1986). The evolution of
paper using original data by Krause (1976) and
twenty seven years of monitoring a maximum
of the section and, in general, a limit for vertical
illustrates the state of the cross-section in 1970.
In opinion of Wittke & Pierau (1979) the water
supplied by the natural ventilation was the key
2 3 m factor in the expansive phenomena which affected
the north tunnel of Wagenburg. These authors
assume that during the warm time of the year the
air flowing into the tunnel, with a water
concentration between 8 and 15 g/m3, provided to
the unlined floor approximately 6 to 10 m3 of
water daily and caused both the degradation and
the swelling.
This hypothesis has been discussed by Pimentel
(2003) as follows: In the past is was incorrectly
assumed by Wittke & Rissler (1976), that during
the driving of a tunnel and before lining was
placed, the swelling process will be activated on
the surfaces exposed to air circulation with high
but not saturated relative humidity. This concept
does not consider unloading and gravitation. On
the other hand, exposed clayey rock will in
contact with circulating wet air, although its
hygroscopic property, dry out and shrink but not
swell. The circulating air will evaporate the free
water and some molecules in the diffuse layer of
the exposed surfaces. Due to this evaporation, the
salinity in the diffuse layer will increase and the
217
thickness of the diffuse layer will shrink losing heave initiate in 1962 showed vertical
water molecules to the free water, which will be displacements up to 218 mm after thirty years of
also evaporated. Additionally it must be monitoring in the same station (Figure 11). In both
considered, that due to unloading, shrinkage of cases no asymptotic time-heave relationships were
the diffuse layer and due to the surface tension of observed.
water, negative pore pressure will be generated, 700
S eptem
producing water meniscus and tensile stresses. ber 11
-195 2
600
This tensile stresses can open some latent cracks.
In summary, the exposition of rock surfaces with 500

Floor heave (mm)

Mar c
wet air with relative humidity less than 90% will h2 6-19
52
Fe bru
contribute to a weathering process but not 400 ar y 7-
195 2
Dec em
activate a swelling process. 300
be r 1 0-
1 951
Both hypotheses are correct, but only partially. Oc tob er
12-195
As is illustrated in figure 9a degradation and 200 1

Aug ust 2-195

swelling certainly affected the foundation material 100
1

in the north tunnel, but in a more complex form Juny 14-1 951

than only due condensation/evaporation of pure

April 23-1951
0
A B C D E
water. Growth of gypsum crystals into Control point
discontinuities and fissures of the expanded rock (a)
is an indicator of clay matrix degradation and 700
C
swelling in presence of sulphate-rich water. As 600
D
will be explain in this paper, degradation and B

swelling of sulphate-bearing rocks depends 500

Floor heave (mm)

stalwartly on vapour exchange between the
environment and the groundwater at discontinuity
level, in addition to osmotic process occurring at
diffuse layer level.
Wagenburg-south tunnel
The Wagenbourg southern road tunnel was
constructed parallel to the north tube in the period
1951-1957 and has a length of 824 m. During
excavation of the calotte section the foundation
material was exposed to the environmental
conditions imposed by the natural ventilation
because the floor was not protected with a
concrete lining -just as in the north tunnel-.
Vertical displacements at the floor of station E
360, located in the innermost transition from the
gypsiferous level to the anhydritic level, were
monitored between April 1951 and September
1952 (see
Figure 7 and Figure 10). In the course of
seventeen months a maximum floor heave of 659
mm was measured in the section axis, and signs of
stabilization were not observed.
Important expansive phenomena also affected
the south tunnel during operation, the all of them
situated in the innermost transition from the
gypsiferous level to the anhydritic level. Complete
studies of these phenomena are presented in Gtz
(1972), Krause (1976), Paul & Wichter (1996) and
Paul & Walter (2004). Since 1957 until 1992 the
road surface (platform) showed a maximum
increase in elevation of 342 mm in station E 387.
On the other hand, measurements of the invert
218
400
300
200
A B C D E
100 Calotte
station E 360.5
0
0 100 200 300 400 500 600
Time (days)
(b)
Figure 10: Floor heave in section E 360 of the
south tunnel of Wagenburg during excavation
(after Krause & Wurm, 1975). (a) Heave
measured in several control points shown in (b).
(b) Evolution of heave at points C, D and B.
Construction joints distributed in a regular form
along the longitudinal section of the south tunnel
were particularly affected by swelling, as
mentioned by Paul & Wichter (1996). For these
authors the role of the construction joints was only
related with the possibility of water flow to enter
or to leave the tunnel. Actually, construction joints
connect the environmental conditions prevailing
the tunnel with the foundation material and act as
effective source-sink for both the water and the
vapour, whit independence on the tunnel seal.
This idea is illustrated in Figure 12, modified after
the original interpretation presented by Paul &
Wichter (1996).
 250 E 375
invert failure
E 387
200 E 375
Invert heave (mm)

E 413
150

100 control invert

point reconstruction

1962

1992
50
Paul & Wichter (1996)
0
1957

1960

1965

1970

1975

1980

1985

1990
Figure 11: Invert heave of the south tunnel of Wagenburg during operation (after Paul & Wichter, 1996).

station 328 348 368 8.05

20 m 20 m
0.90 m
seal
flow of moist air into the tunnel (a)

Temperature Ta and RelativeHumidity HRa

1.70 m 10 m
source-sink
0.00
0.45 m

original invert level

ventilation
swelling chamber
-3.05
active zone with sulphate-rich water (w)
Temperature Tw and Relative Humidity HRw
0.35 - 0.50 m

Figure 12: Effect of construction joints on the mass transfer of water and vapour during swelling in
Wagenburg tunnel (Berdugo, 2006 after an original Figure by Paul & Wichter, 1996).

During a series of repair works of sections
affected by failures of inverts in the middle 80s
some stations of the south tunnel were
instrumented by means of extensometers and load
cells. Data from these devices revealed that both
heave and swelling pressure were reactivated as a
result of the repair works, which included a new
exposition of the foundation material to the
relative humidity into the tunnel. Both, the
evolution and transversal distribution of swelling
pressure in two instrumented stations, as well as
both the magnitude and the evolution of the active
zone in time are presented in Figure 13 and Figure
14. A very important aspect of the swelling
pressures in sulphate-bearing rocks is their
heterogeneous distribution in both the transversal
and the longitudinal direction. This situation is
responsible of high stresses into the concrete and,
in extreme cases, causes local failures in the
lining, such as the failures observed in the south
tunnel before 1986.
Wagenburg-test tunnels
Large scale in situ tests were carried out in two
test tunnels excavated from the floor of the north
tunnel. Both tunnels are located below the
anhydritic level of the geological profile of
Wagenburg. The test tunnels, 20 m long, were
constructed between 1970 and 1971 adopting a
horseshoe cross-section. Roofs and walls were
lined with unreinforced shotcrete, but the flat floor
was only protected in a zone of the test tunnel II,
were an anchored concrete slab was constructed.
Both the geometry and the instrumentation of the
test tunnels are presented in Figure 15.

219
 3 6
station E 375 station E 409 5

Total radial pressure (MPa)

Total radial pressure (MPa)

4
2 5 4 4
1 5 3 1 5
2 3 4 2 3 4
2
3
2

1 2
1

1
0 0
1987

1988

1989

1990

1991

1992

1987

1988

1989

1990

1991

1992
(a) (b)

Figure 13: Swelling pressure evolution in the south tunnel of Wagenburg during operation (Paul &
Wichter, 1996; Paul & Walter, 2004).

1 5 0 5 10 15 20 25
2 3 4
0
a)

1
Expansion (mm)
(MP

2
E 3 75
e
res l
al p Tota
sur

3
10
4 5 E4
Depth (m)

5
E 40 73
i
rad

9 6
E3

10
1987 - 1992 1987 - 1992

a) (b)
15

Figure 14: Swelling pressure and active zone in the south tunnel of Wagenburg after reconstruction in
1986 (Paul & Wichter, 1996; Paul & Walter, 2004).
longitudinal section
0.20 m
2.7 m

2.7 m
2.0 m

(a)

3.0 m Scale (m)

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

E2
A5 A1
2.0 m

3.0 m

A6 A2 L total: 10 m E3 E1
(b) A7 A3 L anchored: 5 m
L total: 10 m
A8 A4
E4

plan of the test tunnels 2.0 m anchored slab A: anchor

test tunnel II E: extensometer

Figure 15: Test tunnels I and II in Wagenburg tunnel system (modified after Henke, 1976; Wichter, 1985
and Nagel, 1986). (a) Longitudinal section and (b) Plan view.
220
 The test tunnel I was kept free of artificial water during the monitoring program. A maximum
supply whereas the floor of the test tunnel II was heave close to 575 mm was observed in the tunnel
kept wet by watering once a week (Henke, 1976; floor after 6 years of measurements. The swelling
Wichter, 1985, Nagel, 1986). Geochemical pressure beneath the abutment of this test section
properties of the water used during wetting are not showed a rapid increase up to 3 MPa during the
reported in the technical literature related with the first two years but a notorious decline when the
case. A summary of the observations in the test cells were destroyed by the major deformations of
tunnels is presented in Figure 16. the floor, in the course of which the abutments
600 were drawn into the test tunnel. Finally, the
extensometer E 3
tests tunnel II
floor anchor forces rose as a result of the heaving of the
Nagel (1986) foundation material beneath the concrete plate and
reached a value of 2.8 MPa after seven years of
400 monitoring since 1973; then the pressure
Heave (mm)

decreased slightly until the failure of three bolts in

-1m 1984 (Wichter, 1985).
200 Freudenstein test gallery
The Freudenstein tunnel has a length of 6.8 km,
-2m it is located in the high speed railway line
0 Mannheim-Sttutgat and traverses the Keuper
formation, including unfractured-unleached
1973

1974

1975

1976

1977

1978

1979

sulphate rocks containing layers of anhydrite and

(a)
clay with high swelling potential in the first 4.1
4 km. In the eastern zone the material is the strongly
abutment abutment leached Gipskeuper consisting on alternating
test tunnel II test tunnel I
layers of water-bearing and variably weakened
Total radial pressure (MPa)

3 rocks (Kovri & Amstad, 1993). As in Wagenburg

tunnel, the leached and the unleached strata are
pressure
separate by the so-called gypsiferous level. The
2
displacement
30
phreatic surface in the formation is about 60 m
over the main tunnel. These geological details are
of the plate (mm)
Displacement

20
1 anchored plate presented in Figure 17.
tests tunnel II
10
In the chainage 62+813 a test gallery parallel to
the main tunnel, located within the unleached
0 Wichter (1985) 0 Gipskeuper, was constructed in the 80s to try out
different design concepts in the swelling sulphate-
1973
1974
1975
1976
1977
1978
1979
1980
1981
1982
1983
1984
1985

bearing rock, including both resisting support and

(b)
yielding support (Kirschke, 1987;
Figure 16: Summary of observations in the test Prommersberger & Kuhnhenn, 1989; Wittke,
tunnels of Wagenburg. 2000). The test sections in the test gallery have
half the size of those in the main tunnel and are
In spite of the similar conditions imposed to divided into four sections and fifteen blocks, each
both the north and the test tunnel I, vertical of one with a different shape and thickness of
displacements of only 25 mm were measured in lining, designed with a different support criterion.
the latter after two years of monitoring since 1973. The characteristics of the test gallery were
This contradictory result has been attributed by described in detail by von Fecker (1992) and
Wittke & Pierau (1979) to the absence of Wittke (2000) and are summarized in Figure 18.
ventilation, which leads to high levels of relative All test sections in the gallery were instrumented
humidity into the test tunnel I. Actually, this by means of extensometers and load cells. The
behaviour is consistent with low strains observed rock swelling was artificially initiated since 1987
in this structure and, consequently, with the by means of an extensive watering system. As in
swelling pressure measured beneath the abutment test tunnels of Wagenburg, geochemical
of this tunnel (3.4 MPa), the highest value properties of the water used during wetting are not
obtained during the monitoring of the test tunnels. reported in the technical literature related with the
In test tunnel II vertical displacements of the case.
foundation material evolved without a clear limit

221
 (m a.s.l) km 3: Bunte Marl
km 2: Schilfsandstein
300 km 3 km 1: Gipskeuper
W E
GWT
km 2
test gallery
250 km 1

GIPSKEUPER
leached
gypsiferous level

U1

200 unleached
anhydritic level

km 62 63 64 65 66 67 68

Figure 17. Geological longitudinal section of the Freudenstein tunnel.

0 10 20 30 40 50 60 70 80 90 100

scale (m) test gallery U1

block: I II III IV V VI VII VIII IX X XI XII XIII XIV XV

section: 1 2 3 4

main tunnel
U1 main tunnel

W E 10 m

km 62+813 67.5 m

Figure 18: Test gallery U1 of Freudenstein tunnel (modified after von Fecker, 1992 and Wittke, 2000).

Section 1 was constructed according with the
principle of yielding support and a deformable
zone was placed underneath the invert, which
allowed large swelling strains and therefore
reduced the swelling pressure acting on the
section (Figure 19).
Section 2 was constructed according with the
principle of resisting support with an internal
lining of reinforced concrete able to resist the
swelling pressure under low strain conditions
(Figure 20).
In blocks XI-XIV of section 3 anchorages were
installed in order to impose approximately
constant stresses underneath the invert of 0.75,
0.5, 0.25 and 0.1 MPa by means of a controlled
release of anchor forces (Figure 21).
At first sight, data from the test gallery of
Freudenstein tunnel do not add relevant
information and they confirm the lessons learned
from Wagenburg tunnel with regard to both the
magnitude and the evolution of expansive
phenomena in sulphate-bearing rocks. However,
two important aspects should be highlighted: (i) a
yielding support certainly reduces the magnitude
of both heave and swelling pressure, but is not
guaranty for their long-term stabilization, and (ii)
the extent of the active zone was not affected
significantly by the shape of the test sections and
remained relatively constant since the beginning
of the induced swelling. Consequently, it is
reasonable to assume that degradation of the
foundation material is also limited to a fixed
depth. The consequences of this observation on
the evaluation of the swelling mechanisms of
sulphate-bearing rocks are discussed later.

222
 40 3
Bloque
von III (1992)
Fecker Bloque III
von Fecker (1992)
0.6 m

Total radial pressure (MPa)

Wittke-Gattermann (1998)

30 B
2

Heave (mm)
m
7.3 m

05
3.
concrete 20
key K 18
1
K 15 10
K 18 K 12 K 12
A A K 15
B 0 0

1987
1988
1989
1990
1991
1992
1993
1994
1995
1996

1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
yielding support: 0.6 m

Figure 19: Swelling phenomena in block III of section 1 constructed with a yielding support. Test Gallery
U1 of Freudenstein tunnel.
7.3 m

K 16
Expansion (mm)
K 18
6 8 10 12
K 19
0.0 m 14 3
0.0 m Bloque VIII
0.7 m

Total radial pressure (MPa)

12 0.7 m
1.7 m 1.7 m
2
10
Expansion (mm)

2
8
K 19
4
Depth (m)

6 K 18
K 16
1
4
6
von Fecker (1992)
Nov 1988 2
ref: Jan 1987

May 1990 Wittke-Gattermann (1998) von Fecker (1992)

8 0 0
Dec 1991
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996

1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
Wittke-Gattermann (1998)
1996
10

Figure 20: Swelling phenomena in block VIII of Section 2 constructed with a resisting support. Test
Gallery U1 of Freudenstein tunnel.
300
6.0 m von Fecker (1992)
a) Wittke-Gattermann (1998)
250
a XI = 0.10 MPa
XI
1.1 m a XII = 0.250 MPa
200
a XIII = 0.50 MPa
Expansion (mm)

Expansion (mm)
30 40 50 a XIV = 0.75 MPa
150

Block XIV (1987-1996) 100

2
a = 0.75 MPa
Depth (m)

XIII

50 XIV
XII
4
0
1987

1988
1989
1990
1991
1992
1993

1994
1995

1996

6 Wittke-Gattermann (1998)

Figure 21: Swelling phenomena in blocks XI-XIV of Section 3 constructed with a resisting support
consisting on an anchored invert. Test Gallery U1 of Freudenstein tunnel.

223
 BZBERG
N3
Basel
Motorway N2
ADLER TUNN EL
Liestel Sissach

Tecknau
HAUENSTEIN
BASE TUNNEL
UPPER HAUENSTEIN TUNNEL
WISEN BER G TU NNEL
Aarau
B ELCHEN TUNN EL
Olten

10 km
Bern Luzern

Figure 22: Location of main tunnels excavated in sulphate-bearing rocks in Jura Mountains (after Madsen
et al, 1995).
clays and illite are the main components of the
2.3 Case studies from Jura Mountains fine fraction. High quartz content (30 %) is
(Switzerland) usually reported in this material (Einstein, 2000).
Opalinus claystone is known to be an expansive
Several tunnels excavated in Northern
clay rock if it is initially unsaturated and it is
Switzerland have been affected by expansive
subjected to water saturation.
phenomena during construction and during
Only one year after tunnel opening, damage
operation since the late 19th century. The
became evident in several sections in the tunnel
phenomena, as well as technical solutions for
lining due to swelling, leading to initial
design and repair of these tunnels were recently
refurbishments between 1919 and 1923. During
compiled and analyzed by Kovri & Descoeudres
operation until the end of the 70s, swelling in the
(2001) and Amstad & Kovri (2001) in two
Gipskeuper led to heave in the tunnel floor
publications sponsored by the Swiss Tunnelling
averaging 1 cm/year, particularly in sections with
Society, the Federal Route Office of Nidwald and
flat-slab (Kovri & Descoeudres, 2001).
NAGRA.
Tunnels affected by the most severe expansive 1200
phenomena are located in Jura Mountains and in Point A
1200
Point A

the prealpine hills (Grob, 1976). The geological

1000
1000

26 Jun 1913
17 Apr 1913
Heave (mm)

800
formations involved in these cases are materials
13
n 19

800 600
from the Triassic (anhydrite-Keuper marl), the
21 Feb 1913
26 Ju

400
Jura (Lias; marl of lower Dogger, Opalinus 600
Heave (mm)

200
claystone; marl of Malm) and the complex
3
91

400 0
Molasse (marls of the lower and the upper fresh
r1

0 40 80 120 160 200

Ap

Time (days)
water levels). Figure 22 indicates the location of
17

200

some tunnels selected for this paper in order to 21 Feb 1913

examine the main mechanisms related whith the 

31 Dec

30 Nov
31 Jan
1913

1912

1912

EXCAVATION

swelling of sulphate-bearing rocks combined with GIPSKEUPER

Keuper
Marl
Lias OPALINUS CLAY
other expansive clayey rocks. 2.0 1.9 1.8 1.7 1.6 1.5
[km from
Hauenstein Base tunnel south portal]

During construction of Hauenstein Base railway

tunnel vertical displacements up to 1000 mm were
measured in the zone excavated through the
Gipskeuper; however, no important movements
were observed in the zone of Opalinus claystone
(see Figure 23). Unfortunately, information on the
hydrogelogical regime in the rock massif is
unknown. Opalinus is an overconsolidated
medium-activity claystone in with mixed layer
224
Figure 23: Hauenstein Base tunnel: floor heave
during construction (original Figures by Wiesman,
1917; modified after Amstad and Kovri, 2001).
Bzberg railway tunnel
The Bzberg tunnel was constructed between
1871 and 1875. It has a length of 2.5 km and
crosses a series of expansive materials varying early 70s and by Einstein (1979). The two tubes
from the Triassic to the Tertiary ages, as were constructed by excavating the invert drifts
illustrated in Figure 24a. This Figure clearly and then enlarging them to the full cross section.
shows the dependence of swelling phenomena on Just after the excavation swelling phenomena
the type of rock. As in Hauenstein tunnel, in caused the failure of the original inverts. Figure 25
Bzberg information on the hydrogelogical illustrates the heave measured during construction
regime in the rock massif is unknown. (1963-1967) in both the drainage pipe and the
Abutments in some sections were reconstructed floor (Grob, 1972, 1976). The conditions of both
several times and invert-arches were built between structures as a result of the swelling were
1903 and 1905. Einstein (1979) indicates that presented in Figure 2.
these inverts were rapidly destroyed by the highly After its failure, the invert (or countervault, as it
sulphated water and that these failures were is called by Grob, 1972) was raised 120 mm
associated with the destruction of the drainage within 8 days and 400 mm within months (Kovari
channel. Measurements taken during a period of and Descoeudres, 2001). The drainage pipe
31 years since 1923 showed a maximum heave exhibited also significant swelling in Opalinus
rate of 14 mm/year in the Gipskeuper. The claystone and other formations.
increase of displacements was practically linear Swelling in clayey materials often presents a
with time (Figure 24b). Between 1963 and 1967 maximum value after saturation and this could be
new invert-arches were constructed in zones an interpretation of the phenomenon observed in
affected by the strongest vertical displacements. the zone of Belchen excavated in Opalinus clay
after invert construction. The maximum swelling
TRIASSIC JURASSIC TERTIARY JURASSIC was generated during hydration of the clay as a
BIRMENSDORFERSCHICHTEN

result of leakage from the drainage pipe. After

GEOLOGY
KEUPER - LETTENKOHLE

KEUPER

HAUPTROG. - VAR

EFFINGERSCHICHTEN
HAUPTMUSCHELKALK
TRIGONODUSDOLOMIT

HELICITENMERGEL
ANHYDRITGRUPPE

MOLASSEMERGEL

ROCK UNLINED
OBERER MALM

OBERER MALM
OPALINUSTON
LIASMERGEL

construction of the invert on a deformed

(MOLASSE)
DOGGER

foundation material additional swelling was

MALM

400
stations destroyed supported by the rigid base.
near 1939 while
A new invert-arch with a radius of r = 10.4 m
Invert heave (mm)

300 levelling the rails

and a thickness of t = 0.45 m was constructed after
200 the first expansive phenomena were detected;
100
however, it was sheared off shortly after
construction and a further 600 mm of invert heave
0 occurred. This required the construction of
0 [km from south portal] 1 2
another cross-section with an invert-arch having a
(a) radius of r = 8.12 m and a thickness of t = 0.85 m
300
Helicitenmergel (Einstein, 1979).
1925
1926

1939

1950

At different places instrumented sections were

Anhydritgruppe
Helicitenmergel
Anhydritgruppe
Molassemergel equipped with load cells between the invert and
Invert heave (mm)

200 Helicitenmergel the rock, as well as within the concrete. These

Opalinuston
Oberer Malm
data -reported by Huder and Amberg (1970) and
Opalinuston Grob (1972)-, are presented in Figure 26. The
100 difference between the pressures measured in
Gipskeuper and Opalinus claystone is close to one
1954

Keuper order of magnitude.

Lettenkohle
An extensive study of the heave affecting
0
0 5 10 15 20 25 30 Belchen tunnel began in 1986 to check the
Time (years) conditions of the foundation material eighteen
(b) years after construction (Kovri & Amstad, 1993).
Figure 24: (a) Geological longitudinal section of Unfortunately, swelling pressure was not
the Bzberg railway tunnel, and (b) distribution of measured during the monitoring program. The
heaves (Grob, 1976). result of observations by means of sliding
micrometers revealed that swelling was active in
Belchen tunnel some sections in the Gipskeuper almost until 1995
-just before the latest repair tasks, initiated in 2001
Expansive phenomena during construction of and finished in 2003-, (Figure 27).
the two tubes of Belchen tunnel were analyzed in
detail by Prof. Grob and co-workers at ETH in the

225
 1000
800
West Tube
600
East Tube
400

Heave (mm)
200 (a)
Invert heave
0
Geology
800
Water inflow Gipskeuper
600 Opalinusclay
400
200 (b)
Drainage heave
0

0 [km from 1 2 3
north portal]
Figure 25: (a) Heave of the original invert during construction of Belchen tunnel (1963-1970). (b) Heave
of the drainage pipe before construction of the invert (original Figures by Grob, 1972, 1976; modified
after Amstad and Kovri, 2001).
4
Gipskeuper
P 11
August 20 1967

3 P 14
P 20
Total radial pressure (MPa)

0
Opalinus clay
0.3 P 31
April 29 1968

P 32
0.2 P 24
0.1 Huder & Amberg (1970)
Grob (1972)
0
1967 1968 1969 1970 1971 1972
Figure 26: Total radial pressure in the reinforced invert-arch of Belchen tunnel (t = 0.85 m).

km 0.269 km 1.540 0.8

C
0 0 A
1 1
2 2 E 0.6
D
Swelling strain (%)

3 B 3
C 4 4
A
5 5
6 6 0.4 D
7 7 B
8 8
4 3 2 E
1 0 9 4 3 2 9
1 0 0.2
10 0 10
3 2 1
11 4 11 1 0
12 4 3 2
12
13 m 13 m 0
7 6 5 4 3 2 1 0 7 6 5 4 3 2 1 0
1986

1987
1988
1989
1990
1991

1992

1993
1994
1995

Relative displacement (mm/m) Relative displacement (mm/m)

1986-1995 1986-1995
(a) (b) (c)

Figure 27. Extensometric measurements in two sections of Belchen tunnel located in the Gipskeuper
(modified after Amstad & Kovri, 2001). (a) and (b) show the strains within the rock measured in
chainages 0.269 and 1.540 km, (c) shows the development of swelling strains in time at some particular
locations in (a) and (b).

226

Ib
eri
an
0 50 100 km
Figure 28: Location of the Ebro Basin.
3 CASE STUDIES FROM THE LOWER
EBRO BASIN
3.1 The Lower Ebro Basin: associated
materials and expansive behaviour
Important deposits of sulphate-bearing hard
soils and soft rocks occur in the Tertiary Lower
Ebro Basin, northeast Spain. The formation of the
basin began during the Paleocene by flexural
subsidence related to the growth of the Pyrenees
to the north, and the Catalan Coastal Range and
Iberian Range to the SE and SW, respectively
(Figure 28). The converging and partially
synchronous tectonic shortening along the
Pyrenees and the Iberian Range closed the western
connection of the basin to the Mediterranean sea
in the earliest late Eocene, starting a long
intraorogenic-endorheic period that lasted through
the Oligocene and most of the Miocene. Shallow
lagoons were generated in the basin where
limestones and marls were deposited during
humid periods, whereas evaporitic materials were
deposited in a clay matrix during arid periods
(Garca-Castellanos et al, 2003).
Sulphated rocks from the Lower Ebro Basin
range from Early Eocene to Late Miocene in age
and consist mainly in clays containing anhydrite,
gypsum and carbonates interbedded with
limestones and sandstones (Figure 29). The
mineralogical composition of two materials from
the basin, the Asc siltstone and the Lilla
claystone, is presented in Table 3. Groundwater in
the basin is highly mineralized, with sulphates,
calcium, magnesium and sodium as principal
macroconstituents (Table 4).
227
Pyrenees
Lilla Ba rcel ona
Asc
ge
lR n
an
sta ala
Ra
Co Cat
ng 45
e
3
M editerrane an
Sea
(a) (b)
Figure 29: (a) undisturbed sample of Asc
siltstone (Oligocene). (b) undisturbed sample of
Lilla claystone (Eocene).
Extensive laboratory tests on undisturbed
samples from Asc siltstone were carried out
during the 80s and the 90s in the context of the
expansive phenomena affecting Asc II Nuclear
Power Station since its construction (i.e. Serrano
et al, 1981; Esteban 1990). Recently, special
swelling tests with cycles of wetting and drying
were carried out at the Geotechnical Laboratory of
UPC to characterize the effects of degradation on
the expansive behaviour of Lilla claystone, a
material involved in expansive phenomena which
affected three high speed railway tunnels during
their construction. A summary of the results of
some of these tests are presented in Figure 30 and
Figure 31.
From Figure 30 is clear the evolution of
swelling strain without a clear limit and
particularly the immediate reactivation of swelling
pressure after drying. However, the dependence of
these phenomena on anhydrite content is not clear
(Figure 31). This suggests that an intrinsic
swelling nature of anhydrite can not be postulated
and that environmental boundary conditions
playing a key role in both degradation and
swelling of sulphate-bearing rocks.
Table 3: Properties of two typical sulphate-bearing rocks from the Lower Ebro Basin.
Asc Siltstone Lilla Claystone
Mineralogical composition, relative content (%)
Quartz 8.1 Quartz 27
Calcite 34.3 Calcite
Dolomite 18.2 Dolomite 11 13
Anhydrite 11.1 Anhydrite 13 28
Gypsum 9.1 Gypsum 07
Clay (Illite, Paligorskite &
16.2 Clay (Illite & Paligorskite) 51 67
Smectite)
Other 3.0 Other
Physical and mechanical properties
Gs 2.71 Gs 2.82 2.90
Water content (%) 2.4 4.3 Water content (%) 0.5 4.5
Total density (Mg/m3) 2.56 Total density (Mg/m3) 2.40 2.86
qu (MPa) 19 50 qu (MPa) 17 170

Table 4: Groundwater composition in Asc II NPS and Lilla tunnel (Esteban 1990, Alonso & Berdugo
2005).
Macroconstituent Asc II NPS Lilla tunnel
Concentration (ppm)
Sulphates 2800 1783
Bicarbonates 215 302
Chlorides 25700 39
Carbonates 40 10
Nitrates - 6
Calcium 202 500
Magnesium 568 141
Sodium 13486 29
Potassium - 3

20 1.0
pk 411+600
pk 412+500
16 0.8
Swelling Pressure (MPa)

Asc siltstone
Swelling strain (%)

Esteban (1990)
12 0.6

8 0.4

Lilla claystone Lilla claystone

4 0.2 Berdugo (2006)
Berdugo (2006)

0 0.0
0 200 400 600 800 1000 0 20 40 60 80 100 120 140 160
Time (days) Time (days)
(a) (b)
Figure 30: Results of swelling tests on undisturbed samples from the Lower Ebro Basin. (a) free swelling
tests, (b) swelling pressure tests with cycles of wetting and drying using water from the rock massif.

228
 16 2.5

2.0

Swelling pressure (MPa)

12 Asc Siltstone Asc Siltstone
Swelling strain (%)

(Serrano, 1981) (Serrano, 1981)

Asc siltstone 1.5 Asc siltstone
(Esteban, 1990) (Esteban, 1990)
8 Lilla claystone Lilla claystone
(Berdugo, 2006) (Berdugo, 2006)
1.0

4
0.5

0 0.0
0 10 20 30 40 0 10 20 30
Anhydrite content (%) Anhydrite content (%)
(a) (b)

Figure 31: Relationship between the anhydrite content and (a) swelling strains and (b) swelling pressures
of undisturbed samples from Asc siltstone and Lilla claystone.

(a) initial condition (b) after two minutes of flooding

Figure 32: Effect of the flooding whit distilled water on degradation of Lilla claystone (Tarrag, 2006).
When undisturbed, both Asc siltstone and Lilla
claystone are moderately hard rocks showing
unconfined compression strengths similar to good
quality concrete. When exposed to atmosphere,
both rocks become progressively looser materials.
In the case of Lilla claystone this evolving nature
is clearly appreciable in Figure 32. The sample
was subjected to flooding using distilled water and
in only a few minutes it was completely degraded
due to the sudden drop of suction.
3.2 Asc II Nuclear Power Station
The station is located on the left margin of the
Ebro River near Asc (Catalonia) in a semi-arid
area with negative Thornthwaite evapo-
transportation index (between 10 and 20). The
foundation material is an Oligocene anhydritic-
gypsiferous siltstone layered horizontally,
occasionally interstratified with sandstone
layers.Gypsum is present in horizontal and
subhorizontal veins with maximum dips of about
30 but it is also distributed within the rock mass.
Smectite was identified into the clay matrix but its
relative content is only 3%. The porosity of the
material is low, between 7 and 11%, and the water
content varies between 2 and 4%.
The construction required an excavation of 70
m to establish a general platform for the station,
which applies a mean contact pressure of a
maximum of 440 kPa. A general view of the
excavation in Asc II PNS is presented in Figure
33. The siltstone was protected against weathering
by a concrete pad extended over the exposed
surface; however, it cracked rapidly.

229
 De pt h (m) Cut Sectio n
0
10 original
20 ground profile
30
40
50
60
70
80 gyps iferou s-anhyd ritic
90 s ilts t one with
le vels c alc re nite Se rran o et al (198 8)
1 00
(a) (b)
Figure 33: Excavation for the construction of Asc II Nuclear Power Station. (a) Excavation profile and
(b) building foundation slabs.

ECM 35
AUXILIARY

CONTAINMENT
BUILDING
EAM 8
CONTROL

ECP-1
D 28
DIESEL contours of heave in mm
(1980-1993)
Alonso et al (1993)
1

Figure 34: Distribution of heave in Asc II NPS between 1980 and 1988.

The monitoring program of points fixed to the
different structures and long term swelling tests on
undisturbed deep samples revealed that the
underlying expansion mechanisms were complex.
In a period of eight years since 1980 a floor heave
up to 60 mm was measured at the foundation level
of the Diesel building located in the south-west
corner of the Station (see Figure 34). During the
following twenty one years until 2001 vertical
displacements evolved in a gradual but systematic
form, as is illustrated in Figure 35a.
Data provided by vertical extensometers
indicated that the zone immediately below the
foundation where the expansions take place had a
maximum thickness of 10 m, with no important
advances of the active zone during years (Figure
35b and Figure 36). The upper level of this active
zone consists in a network of open fissures, filled
230
with water. They were formed principally along
sedimentation planes once a threshold vertical
deformation was attained after the strong stress
relief caused by the excavation (Alonso et al.
1993). Important swelling displacements were
also measured in laboratory on both undisturbed
and powdered-compacted specimens. After an
initial swelling stage a sort of transition without
important vertical displacements was observed
just before the start of the main expansive
response (Figure 37).
Block samples of Asc siltstone were taken in
January 2002 close to the surface of a highway
excavation cut in the proximity of the Power
Station. The differences between undisturbed and
disturbed conditions of the material are illustrated
in Figure 38 and Table 5.
 140 35
Foundation
ECM 35 level
120 D 28 30 Foundation
EAM 8 level
100
Floor heave (mm)

25

Elevation (m)
80
20
60

Ref: August 1988

Ref: April 1985
15
40 IPSN1 ECP-1

10 Jun 1992 Jul 1992

20 Aug 1997 Aug 1997
Feb 2001 Apr 2001
0 5
2 4 6 8 2 4 6 8
1976

1980

1985

1990

1995

2001
Relative displacement (mm/m)
(a) (b)

Figure 35: (a) evolution of heave in fixed points of the foundation of Asc II NPS. (b) heave profiles
obtained by means sliding extensometers.
Elevation (m)
100 1

75
Containment
Diesel Control Building 1
50
= 0.37 MP a = 0.47 MPa
32.0 32.0

25
Active zone

0
Figure 36: Cross section along profile 1 of Asc NPS (Alonso et al, 1993).
0.15 60
v = 0.001 MPa
S12T3
Vertical displacement (mm)

S12T11
S12T5
Swelling strain (%)

0.10 40
a

0.05 20
powdered-compacted material
undisturbed material maximum size: 0.15 mm
Asc II NPS compacted at 39 MPa
S12T12 flooded with sulphate-rich water
Alonso et al (1993) (modified after Esteban, 1990, 1991a)
0.00 0
1 10 100 0.001 0.01 0.1 1 10 100
Time (days) Time (days)
(a) (b)
Figure 37: Free swelling tests on samples from Asc siltstone: (a) undisturbed sample, (b) reconstituted
samples.

231
 (a) unweathered deep sample (b) weathered surface block sample
(Esteban, 1991) (Garca, 2001)
Figure 38. Asc siltstonein unweathered and weathered conditions.

Table 5. Properties of Asc siltstone in unweathered and weathered conditions

Unweathered deep samples (Esteban, 1991) Weathered surface block samples (Berdugo, 2006)
Mineralogy
Quartz 8.1% Quartz 8%
Calcite and
Calcite 34.3% 54-76%
Dolomite
Dolomite 18.2% Bassanite 7%
Anhydrite 11.1% Clay:
Gypsum 9.1% Illite 11%
Clay 16.2% Chlorite 3%
Interbedded:
Other 3.0% illite-smectite 6%
chlorite-smectite
Physical properties
Porosity 7-11% Porosity 22-29%
Water content 2.4-4.3% Water content 10-19%
Degree of saturation 70-97 % Degree of saturation 94%
In situ suction 25 MPa In situ suction 0.4-7.1 MPa
Unconfined
compression strength 19-50 MPa

No significant changes in mineralogy were
detected between the undisturbed and the
weathered material. However, the material close
to the surface is significantly more porous. The
recorded increase in porosity may be, in part, the
result of some mineral leaching (sulphates in
particular) and the result of clay expansion. The
increased porosity is essentially filled with water,
which maintains a moderate in situ suction.
The heave of Asc siltstone is now thought to
be the result of a more complex phenomenon than
initially thought. Clay expansion was probably
one of the underlying basic expansion
mechanisms. However, the growth of carbonates
and gypsum crystals in fissures, has probably
contributed to the total expansion. An indirect
support to this conclusion is offered by the growth
of carbonate and gypsum crystals observed in one
face of a core exposed to a long term suction
controlled swelling test in an oedometer cell.
Crystal growth was noticed on the face exposed to
pressurized air (Figure 39). However, crystal
growth is probably associated in this case to the
evaporation conditions present in the specimen
edge and it is not clear if this environment was
matched by in situ conditions. In addition, the
induced damage on the rock matrix by the large
unloading implied by the excavation and the
additional damage associated with the expansion
of minerals, contributed to facilitate crack
openings which offer a potential for crystal
precipitation and further expansion. These
processes are thought to be part of general
weathering processes which eventually transform
the initially undisturbed hard siltstone into a soft
weathered material.

232
 3.3 Lilla tunnel
Recently, the authors were involved in the
analysis of swelling problems which affected
three tunnels located in the Lleida-Tarragona
section of the new Madrid-Zaragoza-Barcelona
high-speed railway (see Figure 40). The case of
Lilla tunnel, the largest of the three tunnels, is
presented in this paper.
Geology of Lilla tunnel
The Lilla tunnel crosses a relief composed by
hills and valleys on the left bank of the Francol
river -near Montblanc (Tarragona)-, following a
N-S route with a maximum gradient of 2.5%.
The tunnel runs mainly through Early Eocenic
argillaceous rocks containing anhydrite and a
complex system of cross-shaped moderately
dipping fibrous gypsum veins. The excavated
Figure 39: Co-precipitation of carbonated- material consists basically of a horizontally-
sulphated species at the outer face of a sample of oriented monotonic series of gypsum-bearing
Asc siltstone. brown argillaceous rocks (see Figure 41).

Length Maximum Excavated Cross-

Tunnel (m) Cover Section
(m) (m2)

Camp Magre 954 52 140

Lilla 2034 110 117

Puig Cabrer 607 191 137

Figure 40: The tunnels of Montblanc (Catalonia, Spain).

m a.s.l.
440 North Portal South Portal
(Lleida) (M artorell)
400
360
320
280

411+100 weathere d 412+000 413+000 413+300

+ 20 4

+ 36 8

+ 7 35

+ 88 8

+ 7 43

+ 8 68

+ 9 53

+ 2 38

horizontal and alaba strine gy psum dip: 35 -5 0 N

s ubhorizontal stratific ation with lime stone and ma rl. dip: 60 -80 S
Quaternary Middle Eocene Early Eocene with sands tone and carbonate-ceme nted
mic roconglomerate. dip: 5-1 0 S

Colluvion Limestone Claystone & Siltstone

Marl Anhydritic-Gypsiferous (fibrous)

Claystone

Figure 41: Geological longitudinal section of the Lilla tunnel.

233
 (a) (b)
Figure 42: Details of Lilla claystone: (a) cross-shaped fibrous gypsum veins into the clayey matrix, (b)
slickenside surfaces.
0.06 Groundw ater
m ea n properties
Sat uration index f or gy ps um,

0.04
Sulphates: 1783 ppm
Bica rbonates: 302 ppm
SI = log (I AP / K)

0.02 C hlori des: 39 ppm

Preci pi tation C arbonate s: 10 ppm
0.00 N itrates: 6 ppm
Dissolution
C alc ium : 500 ppm
-0.02 Sampling M ag nesi um : 14 1 ppm
March 2003 Sodi um : 29 ppm
-0.04 April 2003 Potassium : 3 ppm
pH: 7
September 2003
-0.06 EC ( 20 C ): 2700 m S/cm
5 10 15 20 25 R H (20 C): 92%
Temperat ur e (C)
Figure 43: Groundwater properties and gypsum saturation conditions in Lilla tunnel.

Gypsum is mainly present as millimetric and
centimetric fibrous veins, as well as small nodules
and flakes (Figure 42a). Locally, grey alabastrine
gypsum occurs in subhorizontal strips in the host
rock. An important aspect is the existence of a
persistent system of open low-angle slickensided
surfaces (see Figure 42b). It is related to strong
kneeling folds produced by high curvature radius
tectonics in the regional Horst (Priorato-Gay).
The role played by these surfaces in expansive
phenomena is discussed later.
Two main components were identified in the
mineralogical characterization of the material: (i)
the host argillaceous matrix, and (ii) the sulphated
crystalline fraction. The first is constituted by
phyllosilicates (illite and paligorskite), by
minerals rich in magnesium and calcium
(dolomite) and, to a lesser extent, by quartz.
Expansive clays were only detected in isolated
points of the matrix. The second is mainly made
up of anhydrite and gypsum.
It is believed that the highly sulphated nature of
the water coming from the host rock formation
around the tunnel was a key factor in the
behaviour of the excavated materials. The results
of an analysis of gypsum precipitation/dissolution
over a range of temperatures, representative of
existing conditions in the tunnel, are presented in
Figure 43.
Water samples were collected in the vault; they
are believed to correspond to initial groundwater
geochemical conditions just before any interaction
with foundation material as a result of the
construction works. In Figure 43 the saturation
index (SI) is the dimensionless relationship
between the ion activity product (IAP) and the
solubility product of the mineral (K). Under
equilibrium between the aqueous solution and the
mineral SI = 0.
Subsaturation and supersaturation are
characterized by SI < 0 and SI > 0, respectively.
Subsaturation is related with the possibility of

234
mineral dissolution whereas supersaturation is an
indicative of precipitation and, eventually,
crystallization of minerals. The analysis shows
that under the conditions imposed by the water
composition gypsum in Lilla tunnel tends to
precipitate below 10C. However, temperature in
the tunnel is slightly over 10C. The real
significance of this analysis for the in situ
conditions is however difficult to establish with
certainty.
A further mechanism which may lead to the
crystallization of gypsum is the evaporation of
sulphated waters due to suction changes. In fact,
the opening of the tunnel implies the existence of
a relative humidity lower than 100% acting on the
tunnel surface; which is systematically being
wetted by a groundwater imposing a relative
humidity of 92%. This mechanism is discussed in
detail in Section 4.
Technical features of Lilla tunnel
The tunnel has a length of 2 km and it was
originally excavated whit a horseshoe cross-
section of 117.3 m2 (radius of the vault: 6.76 m).
Overburden varies between 10 m and 110 m.
Support design was carried out in accordance with
the Convergence-Confinement Method and
excavation was created by drill and blast from the
two portals, dividing the section into head and
bench.
Temporal supports consisted in sprayed
concrete and rock bolts; steel arch ribs (HEB 160)
were only installed in zones of low quality rock.
Lining consisted in 300 mm thick mass concrete
(25 MPa). A 300 mm thick flat-slab constructed in
mass concrete (20 MPa) was placed on the tunnel
floor, but it was only concreted after the total
excavation of the bench. Therefore, the floor of
the tunnel was exposed to the action of
environmental agents for most of the construction
period.
Due to the low permeability of the massif,
waterproofing of the excavated section was
restricted to portals using a geotextile of 500g/m2
placed over a 1.5 mm thick PVC sheet located
between the support and the lining. The
longitudinal drainage system was composed of a
= 500 mm PVC collector, located 1.4 m below the
floor. Underneath, a 200 mm gravel filter layer
was constructed. Water from the vault was
collected in box-type manifolds, uniformly
distributed along the tunnel floor. An illustration
of the initial cross-section of the tunnel is
presented in Figure 44.
235
sprayed concrete
(300 mm)
m
46
casing mass
6.
concrete 25 MPa
=
R
(300 mm)
5% 5%
flat-slab
mass concrete
20 MPa (300 mm)
Figure 44: Initial cross-section of Lilla tunnel.
Expansive phenomena in Lilla tunnel
The first expansions were detected in the flat-
slab in September/October 2002, just after it was
built. Large expansive phenomena occurred in a
generalized way at floor level, but movements
were only slight in the unlined vault. The heave
was followed by damage of the longitudinal
drainage system and, finally, by local failures of
flat-slabs. The study conducted aimed at clarifying
the following aspects: (i) the stability conditions
in the tunnel at the beginning of the expansive
phenomena, (ii) the most probable cause of the
expansions, (iii) the foreseeable evolution of the
swelling, and (iv) the technical alternatives to
reinforce the tunnel cross-section.
In situ measurements and laboratory tests were
undertaken to achieve a good understanding of the
mechanisms underlying the phenomena and to
study the extent of the expansions. In a first stage
tests sections with flat-slab and invert-arch were
constructed; then, circular cross-sections with
both resisting and yielding support were
constructed and subjected to a flooding test using
water from the rock massif. Vertical strain profiles
and radial pressures in both the foundation
material and the vault were obtained by means of
sliding micrometers and load cells, respectively.
Continuous undisturbed core specimens of the
foundation material were recovered during
boreholes drilled in October 2002 and March
2003, and a comprehensive set of laboratory tests
was performed in order to obtain quasi-continuous
profiles of geotechnical properties of the samples -
including the mineralogical composition of the
solid phase-. A summary of actions conduced
during the study of the expansions which affected
Lilla tunnel is presented in Figure 45.
 First heaves after Construction Construction and Evaluation of tests
concreting the flat and instrumentation of sections with flat-
slab in stations instrumentation three circular test slab, invert,
411+598, 411+685 of test sections sections with resisting resisting support
and 412+540 with invert and yielding support and yielding support

Construction
of the Complementary Complementary Flooding
Drainage and subsoil subsoil the circular
investigation investigation test
2003

2004
2003
concreting the
flat-slab program program sections

May Sep Oct Nov Jan Mar May Aug Sep Dec Jul

m
m

m
46

46

46
6.

6.

6.
=

=
R

R
Invert since January 2003 Circular since Juny 2003
Slab Slab until November 2002 Slab Slab until May 2003 Slab
+ 204

+ 560

+ 860

+ 545
+ 593

+ 238
411+100

+200

+300

+400

+500

+600

+700

+800

+900

412+000

+100

+200

+300

+400

+500

+600

+700

+800

+900

413+000

+100

+200

+300
Abscissa (km)

Figure 45: Summary of the study of expansions in Lilla tunnel during construction.

SLAB
+ 204

+ 878

+ 238
zone with lining until May-03

SLAB SLAB
until Nov-2002
+ 556

+ 860

+ 150

+ 500
+ 545
+ 593

200
Mar-03
left abutment
150
Heave (mm)

100

50
Oct-02 flat slab axis reference: 9/20/02

0
Dra inage:
-2 -1 .40 m
Depth (m)

fresh rock level: Oct-02

-4 (boreholes analysis)
active zone limit: Mar-03
-6 (sliding micrometers)
-8
-10
411+100 412+000 413+000 413+300

Figure 46: Heave of the flat-slab and their connection with degradation of the foundation material.

236
 Feb-03

Jan-04
Oct-02

Jan-03

Jan-04

May
May

Nov
Dec
Aug
Sep
Mar
Aug
Sep
Mar
Nov
Dec

Nov
Dec
Feb

Jun

Oct
Apr
Jun
Apr

Oct

Jul
Jul
800 30
411+880 411+663
700
411+420
600

Invert-arch heave (mm)

Flat-slab heave (mm)
411+900
20
500
411+688
400 411+540 411+832
411+713
411+380 411+638
300 10
411+920
200

100 Invert axis reference at 1/27/03

0
Slab axis reference at 9/20/02
0

0 100 200 300 400 500 0 100 200 300 400

Time (days) Time (days)
(a) (b)

Figure 47: Evolution of heave in tests sections with (a) flat-slab, and (b) invert-arch.
Jan-03

Jan-04
Dic-02

May

May
Nov

Dec
Feb

Aug

Sep

Feb
Mar

Mar
Jun

Jun
Oct
Apr

Apr
Jul

Jul
6.0

411+829 CPTR-3
5.0
Concreting the inverts

411+609 CPTR-1
Total radial pressure (MPa)

411+629 CPTR-1
4.0 411+669 CPTR-1
3 2 1
411+769 CPTR-1
3.0 411+749 CPTR-3

2.0

411+589 CPTR-3
1.0
Invert: 60 cm
Invert: 40 cm
0.0
0 100 200 300 400 500 600
Time (days)

Figure 48: Evolution of swelling pressure in tests sections with invert-arch.

Figure 46 illustrates the magnitude of the floor evolved systematically at high rates. In December
heave and the estimated damage of the foundation 2003 critical sections with flat-slab (411+420 and
material at two different stages during the 411+880) showed heaves above 600 mm with a
swelling problems: October 2002 at the rate near 2 mm/day; whereas in the critical section
beginning of the monitoring program, and March with invert-arch (411+663) a maximum heave of
2003 just after the construction of test sections 27 mm was measured 10 months after their
with invert-arch. The depth of damaged rock construction. In this case, the value of the heave
shown in Figure 46 was first estimated on the rate was only 0.1 mm/day (see Figure 47). In spite
basis of a series of borings performed along the of the relatively high values of vertical
tunnel. Large diameter continuous cores were displacements measured in sections with invert-
recovered and they were systematically described arch, high swelling pressures were measured in
and tested. The plotted active zone was derived several points (4 5 MPa). It appears, however,
from continuous extensometer data. The active that the pressure against the invert reached a
zone corresponds to depths in which swelling maximum value in some points, perhaps
strains were measured. Data shown in Figure 46 indicating a limiting critical pressure for the
indicate that the damaged zone experiences a development of further swelling phenomena
initial progressive deepening in the short-time. (Figure 48). Although invert-arch was designed
More importantly, they indicate clearly that for pressures smaller than the measured swelling
expansions are associated whit rock degradation. pressures, it was very effective in reducing
Expansive phenomena in the foundation material vertical displacements.

237
 Water content Specific gravity Total density Solid phase Relative vertical
Depth w (%) Gs t (Mg/m3) components (%) displacement (mm/m)
(m) 0 2 4 6 8 10 12 14 2.7 2.8 2.9 1.8 2.0 2.2 2.4 2.6 2.8 3.0 0 20 40 60 80 100 -7 -6 -5 -4 -3 -2 -1 0 1
0
Conditions at Mar-2003
Gypsum
1
Anhydrite
Matrix
2

active zone
3

5 stable zone

ref: Feb-2003
8

9
Oct-2002 Mar-2003
Mar-2003 Dec-2003
10

Figure 49: Characterization and vertical expansive profile of station 411+600 (invert-arch).

(a) (b)

Figure 50: (a) gypsum needles on an open slickenside surface located into the active zone, (b) gypsiferous
aggregations in a confined discontinuity located in the lower part of the active zone.
100 70
stable zone stable zone
active zone 60 active zone
80
qu, (1-3)max (MPa)

50
CaSO4 [total] (%)

60 40

30
40

20
20
10

0 0
0 2 4 6 8 10 12 14 0 2 4 6 8 10 12 14
Water content, w (%) Water content, w (%)
(a) (b)
Figure 51: Indicators of chemo-mechanical degradation of Lilla claystone: (a) relationship between the
water content and the total calcium sulphate content, (b) relationship between the water content and the
unconfined compression strength.

238
 Sliding micrometers lectures, as well as to the mean value in the stable zone (see Figure
laboratory tests on undisturbed samples, permitted 51a). Additionally, degradation of mechanical
to evaluate both the extent and the geotechnical properties of the expanded material was
properties of the active zone in the foundation unequivocally related with the fall in the
material. Expansions below the invert-arch in unconfined compression strength of the rock (see
section 411+600 were associated with the increase Figure 51b).
of the water content in an active zone of 4 to 5 m The dependence of swelling pressure on rigidity
thick, which remained basically invariable in time of the support system was clear in circular tests
(see Figure 49). sections, as illustrated in Figure 52. In this case
Degradation of foundation rock material in this expansions began before the artificial flooding
section is clearly illustrated by changes in possibly due to groundwater flow induced by the
gravimetric and volumetric properties with regard tunnel excavation. At first sight, the benefits of
to both time and depth. In all studied rock profiles using a yielding support as an alternative to
the active zone was characterized by occurrence reducing swelling pressures is indisputable, in
of neo-formation gypsum needles on relic spite of the linear increase of pressure detected in
slickenside surfaces opened by the excavation some cells installed in the sections with slots.
(Figure 50a). Another outstanding aspect was the Figure 53 shows that the low relative magnitude
existence of neo-formation gypsiferous of swelling pressure in yielding support systems is
aggregations in relatively confined discontinuities related to the increase in extent of the active zone
of samples recovered from the lower part of the with regard to the case of a resisting support. The
active zone, which could be related with a sort of consequence of facilitating the occurrence of
wedge effect capable of moving parts of the displacements in order to minimize the swelling
pressure is the exposure of the foundation material
rock mass as a rigid body in addition to the
to the degradation associated with swelling, just as
expansive mechanisms occurring into the active was observed in test sections with flat-slab.
zone (Figure 50b). The occurrence of neo-
formation gypsum needles is in agreement with
changes in CaSO4 in the active zone with regard
May-03

Jan-04

May
Nov

Dec
Aug

Sep

Feb

Mar
Jun

Jun
Oct

Apr
Jul

Jul
2.00
Phase 1: Resisting support 4
1.60 412+552 5
Concreting

Flooding

3
1.20
2
0.80

0.40 1
5 1
4 3 2
Total radial pressure (MPa)

Phase 2.1: Yielding support - Slots

0.16 412+574
Flooding
Concreting

0.12 4
5 SLOTS
0.08 1
2
0.04 5 1
4 3 2

Phase 2.2: Yielding support - Foam

0.80 412+590
Flooding
Concreting

0.60
FOAM
0.40 1
3
0.20 5 5 1
4 4 3 2
0.00
0 100 200 300 400
Time (days)

Figure 52: Evolution of swelling pressure in circular tests sections subjected to a flooding test.

239
 Depth (m) Depth (m) Depth (m) Depth (m)
1 1 1 1
2 2 2 2
3 3 3 3
4 4

Jan 2004
Jan 2004
4 4

Oct 2003

Dec 2003
5 5 5 5
6 6 6 6
7 7 7 7

Sep 2003

Sep 2003

Sep 2003

Sep 2003
8 8 8 8
9 9 9 9
EIC2 EIC1 EIC2 EIC1

-4 -3 -2 -1 0 -4 -3 -2 -1 0 -4 -3 -2 -1 0 -4 -3 -2 -1 0
Extension (mm/m) Extension (mm/m) Extension (mm/m) Extension (mm/m)
412+552 412+552
Resisting support Yielding support - Slots
(a) (b)

Figure 53: Heave profiles in circular tests sections with resisting and yielding support.
4 SWELLING MECHANISMS
SULPHATE-BEARING ROCKS
4.1 Main phenomenological features
The possibility of characterizing the main
phenomenological features of the expansive
behaviour of sulphate bearing-rocks has as great
importance in the identification of the
mechanisms underlying the swelling and their
triggering mechanisms. The relevant features of
swelling in these materials are summarized as
follows.
The first relevant feature is related to both the
sudden activation and the variation in time of the
expansive phenomena, in spite of differences in
confinement conditions. In situ measurements in
both tunnels and deep excavations indicate that
swelling evolves at high rates and, in some cases,
a limit value for either displacements or pressures
can not be clearly defined, (Figure 54 and Figure
55). Laboratory observations reveal the same
situation just mentioned. Figure 56 illustrates this
aspect by means of a comparison between the
typical swelling behaviour of some expansive
rocks (Esna shale, Al-Qatif shale and Opalinus
Claystone) -characterized by a clear limit for both
swelling strain and swelling pressure-, and the
non-asymptotic swelling response of sulphate-
bearing rocks from the Gipskeuper (Belchen
claystone) and the Lower Ebro Basin (Asc
siltstone and Lilla claystone).
Laboratory tests on both undisturbed and
powdered-compacted samples subjected to free
swelling have shown second special feature of the
expansive behaviour of sulphate-bearing
OF materials. A transition from an initial swelling
stage characterized by low displacements, to a
stage of large displacements is frequently
observed (Figure 57). The linear increase of
swelling with time is not typical of clay hydration
phenomena, governed essentially by a transient
flow of water in a deforming porous medium. This
behaviour is an indication of either a different
swelling mechanism or the coupling of different
mechanisms.
Long term observations in tunnels reveal that
expansive phenomena affect exclusively the floor.
Both abutments and vaults remain unaffected even
under strong swelling in the foundation material.
This third feature is unequivocally related to
preferential water flow toward the bottom of
excavations, where it is able to soak the material
initially affected by the stress relief.
The fourth feature is the heterogeneous
distribution of swelling -particularly the
distribution of swelling pressure-, even in cases of
homogeneous layers of sulphate-bearing rocks
(i.e. Lilla tunnel). This can be related with the role
played by discontinuities of the rock massifs on
the preferential seepage flow.
These special features of the expansive
behaviour of sulphate-bearing rocks have an
enormous practice importance in tunnel design
and construction, specifically in the selection of
the appropriate support systems between two
basic alternatives: resisting support and yielding
support. In both cases the definition of accurate
stress-strain relationships for the swelling
phenomena is the key factor. However, the
uncertainties on both the maximum value for
swelling pressure and their spatial distribution in
240
time frequently leads to designs based on either to optimize the design of the definitive structures
empirical formulations or historical data. Only in (i.e. Wagenburg tunnel and Freudenstein tunnel in
some fortunate cases test tunnels and galleries Germany, as well as Lilla tunnel and Puig Cabrer
have been constructed and instrumented in order tunnel in Spain).

1200 1200
Ebro Basin Ebro Basin
Gipskeuper Gipskeuper (5)
1000 (1) 1000
Anhydritgruppe
Floor heave (mm)

floor heave (mm)

800 800
(2)
(3)
600 600 (4)

400 400
(7)
200 200 (6) (8)
(9)
0 0
0 1 2 0 5 10 15 20 25 30 35
Time (years) Time (years)
Figure 54: Field data of floor heave in tunnels and deep excavations in sulphate-bearing rocks: (1)
Hauenstein Base (Wiesmann, 1917), (2) Lilla pk 411+880 (Alonso et al, 2004), (3) Wagenburg ST E 360
(Krause & Wurm, 1975), (4) Wagenburg TT II (Nagel, 1986), (5) Wagenburg NT E 391 (Krause, 1976 &
Nagel, 1986), (6) Freudenstein TG B XI (Wittke-Gattermann, 1998), (7) Bzberg (Beck & Golta, 1972),
(8) Wagenburg ST E 387 (Paul & Wichter, 1996), (9) Asc II NPS E 18 (Berdugo et al, 2006).

6 6
(5)
(1)
(2)
Swelling pressure (MPa)
Swelling pressure (MPa)

4 4
(3) (6)

(4) (7)
2 2
(8)
(9)
Ebro Basin
Gipskeuper Gipskeuper
0 0
0 1 2 0 4 8 12 16
Time (years) Time (years)
(a) (b)
Figure 55: Field data of swelling pressure in tunnels in sulphate-bearing rocks: (1) Lilla pk 411+829
(Alonso et al, 2004), (2) Lilla pk 411+609 (Berdugo, 2006), (3) Belchen (Huder & Amberg, 1970), (4)
Wagenburg TT II Abt (Wichter, 1985), (5) Wagenburg ST E 409 (Paul & Wichter, 1996), (6) Wagenburg
TT I Abt (Wichter, 1985), (7) Wagenburg TT II AP (Wichter, 1985), (8) Adler MQ1430 (Noher et al,
2006), (9) Freudenstein TG B VIII (von Fecker, 1992).

241
 Pressure ratio ( /max) (%)
Strain ratio (/max) (%)
100 (1) (2) (3) 100

80 80
(2) (3) (1)
60 60

40 40 (6)
(4)
20 20 (5)
(5) (6)
0 0
0.001 0.01 0.1 1 10 100 1000 0.001 0.01 0.1 1 10 100 1000
Time (days) Time (days)
(a) (b)

Figure 56: Examples of normalized swelling strains and swelling pressures relationships for swelling
rocks obtained in laboratory tests. (1) Esna shale (Wst & Mclane, 2000), (2) Al-Qatif shale
(Abduljauwad et al, 1998), (3) Opalinusclay (Grob, 1976), (4) Asc sulphate-bearing siltstone (Esteban,
1990), (5) Gipskeuper-Belchen Tunnel (Madsen et al, 1995), Lilla sulphate-bearing claystone (Berdugo,
2006).
0.15 12
presin de preconsolidacin (1)
CN Asc II 10 (1) v = 120 MPa (2)
Expansin (mm)

Expansin (%)
S12T12
0.10 Alonso et al (1993) 8 (2) v = 80 MPa
6 (3) v = 20 MPa (3)
a

expansin expansin
0.05 4 fsica qumica
Tnel de Lilla
pk 411+880 T1 M3 2
Berdugo (2005) Smoltczyk (1992)
0.00 0
1 10 100 1 min 10 min 100 min 1 da 10 das
Tiempo (das) Tiempo
(a) (b)

Figure 57: (a) free swelling tests on undisturbed samples from the Lower Ebro Basin. (b) free swelling
tests on powdered-compacted samples from the Gipskeuper.
Theoretical considerations and experimental
4.2 The classical interpretation evidences reveal that transformation of anhydrite
into gypsum is an isovolumetric process in which
According to the classical interpretation of the
anhydrite is dissolved as fast as secondary gypsum
phenomenological features summarized in Section
precipitates. Along those lines the excess in
4.1, two uncoupled mechanisms occur when
calcium sulphate dihydrate (60 - 63% in volume)
sulphate-bearing argillaceous rocks are soaked: a
could be either transported in aqueous solution or
short term physical swelling due to the
it could precipitate partially in the form of fibrous
expansion of clay minerals, and a long term
gypsum in open discontinuities of the host rocks
chemical swelling due to the transformation of
(Ort Cabo, 1977). On the other hand, recent
anhydrite into gypsum in an open system, with a
contributions to the study of epytaxial growth
volumetric increase of approximately 60% (see
confirm the impossibility of volumetric changes
Figure 37 and Figure 57). The interdependence of
when anhydrite is exposed to sulphate-rich water
these mechanisms is not clear; however, for some
since gypsum generates a protective thin surface
authors the existence of certain optimum clay
film on the anhydrite (Pina et al., 2000). These
content is assumed necessary to maximize the
and other theoretical considerations have been
volumetric effects of the dissolution of anhydrite
discussed in detail by Alonso & Berdugo (2005).
and the precipitation of gypsum.
Inspections of foundation materials in
This distinction seems, at first sight, correct.
Wagenburg tunnel and Kappelesberg tunnel
The first mechanism is possible even in the
during the early 70s confirm the validity of the
absence of active clay minerals and is
isovolumetric approach: the original
characterized by relatively low limiting values for
anhydrite has converted almost completely to
both swelling strain and swelling pressures.
gypsum in the heaving floors without showing any
However, the direct transformation of anhydrite
visible increase in volume. Except for strongly
into gypsum accompanied by a volumetric
leached sections, the sulphate rocks have
increase of approximately 60% is highly unlikely.
242
remained essentially compact (Krause, 1976).
This observation can be explained if epitaxial
growth of gypsum on anhydrite is taken into
account.
The dependence of the transformation of
anhydrite into gypsum on clay content is a
hypothesis presented by Madsen and co-workers
(Madsen and Nesch, 1990, 1991; Madsen et al.,
1995; Nesch et al., 1995; Nesch and Ko, 2000).
Based on longterm swelling tests on various
materials from the Gipskeuper and other sulphate-
bearing units from Switzerland and Austria, these
authors postulate that a certain amount of clay is
necessary to generate the dissolution of anhydrite
and the precipitation of gypsum. Specifically, the
clay content which in anhydritic marls produces
the largest swelling parameters is about 15%
(Madsen et al., 1995). Actually, the nucleation and
growth of gypsum crystals in porous media is
dependent on the supersaturation gradient and
hence depends on the transport properties of the
medium in which crystallization takes place
(Prieto et al., 1990; Putnis et al., 1995). In other
words, no theoretical bases exist to formulate
cause-effect relationships between clay content,
dissolution/precipitation of calcium sulphate
species, and gypsum growth in porous media.
Finally, dissolution of anhydrite due to
groundwater flow is not an absolute guarantee of
gypsum crystallization.
The fact is that precise mechanisms of swelling
in sulphate-bearing argillaceous rocks are difficult
to establish because they are strongly related to
both the mineralogical composition and the
structure of the rocks, as well as with the
groundwater chemical composition. Nevertheless,
it is clear that triggering events are unequivocally
related with degradation of the rocks due to either
loading-unloading cycles or wetting-drying
process.
4.3 A new interpretation
Some mechanisms could be isolated as potential
causes of swelling in sulphate-bearing rocks: (i)
osmotic phenomena and cationic exchange in
clayey fractions in presence of sulphate-rich
water, (ii) precipitation of several hydrated forms
of sulphated minerals into fissures due to
temperature drop of sulphate-rich water, or (iii)
crystal growth due to evaporation of aqueous
solutions into either exposed fissures or
slickenside surfaces. Along those lines chemo-
mechanical degradation of the involved materials
can be properly taken into account in the analysis
of both field and laboratory data and more
243
consistent cause-effect relationships could be
possibly formulated.
Degradation is a general term for a number of
phenomena due to either natural or anthropic
causes: (i) reduction in strength, (i) volume
change, (iii) loss of stiffness, (iv) loss/gain of
mass continuity due to the opening of fissures and,
(v) instability phenomena affecting finite volumes
of exposed materials (Alonso and Alcoverro,
2004). Experience indicates that degradation is
often associated with unloading, which is typically
the case in surface and underground excavations.
Two important aspects of swelling in sulphate-
bearing rocks are: (i) the degradation of both
chemical and mechanical properties of the
material into the active zone, and (ii) the boundary
conditions for this process.
The active zone involves a finite volume of
rock subjected to extreme suction conditions. Both
wetting due to water inflow and drying due to
environmental conditions imposed by the natural
ventilation coexist, even in presence of a lining
covering the excavation floor. In this sense, both
the concrete permeability and the construction
joints play an effective role of source/sink, as was
illustrated in Figure 12. Under these conditions
the direction of the mass transfer depends on the
difference between the relative humidity imposed
by the groundwater hydrating the rock and the
relative humidity of the air flowing into the
tunnel.
The dependence of relative humidity imposed
by Lilla groundwater on the temperature was
experimentally determined in laboratory under
controlled conditions according with the method
suggested by Delage et al (1998) and Tang & Cui
(2005) . On the other hand, the range of
temperature within Lilla groundwater is
supersaturated in gypsum was obtained by means
of the geochemical analysis presented in Figure
43. Finally, long term measurements effectuated
by UPC in Lilla tunnel have made it possible to
evaluate the evolution in time of both temperature
and relative humidity (Oldecop, 2006). This
information has been integrated in Figure 58 and
reveals some important details on the interaction
between the environmental conditions induced by
the tunnel construction and the groundwater
hydrating the active zone:
i. Precipitation of gypsum due to a drop in
temperature is only theoretically possible
during winter. However, this period is also
characterized by the lower mean values of
relative humidity imposed by the natural
ventilation.
 ii. Within the temperature range measured in
the tunnel the groundwater can impose a
mean relative humidity of 92%, a value
above the maximum relative humidity
measured in the tunnel. Then, vapour
transfer is only theoretically possible from
the groundwater to the tunnel.
iii. Under these conditions the supersaturation
of groundwater with respect to all the
mineral species detected is more effective
due to evaporation than due to a drop in
temperature.
iv. Since evaporation is the most likely reason
for super-saturation conditions in the
groundwater, the most probable cause of
the occurrence of gypsum crystals in the
active zone is a mechanism of crystal
growth induced by drying in the active
zone.
In Lilla, stress relief due to excavation was the
main cause of opening of both slickensided
surfaces and fissures in the foundation material
(mechanical degradation). The flow of sulphate-
rich water coming from overburden was the
responsible for changes in relative composition of
the solid phase due to precipitation of gypsum
(chemical degradation). Therefore, swelling
phenomena is mainly associated with crystal
94
calculated
Relative humidity
93
uv/uvo (%)
92
Evaporative
91 domain
SI = log (IAP/K)
0.04 15 20
SI for Gypsum
0.02 Precipitation
0.00
Dissolution
-0.02
-0.04
-0.06
5 10 15 20
Temperature, T (C)
(a)
Figure 58: (a) geochemical and thermodynamical properties of Lilla groundwater, (b) interaction between
the atmosphere and the groundwater into Lilla tunnel.
growth and evolves systematically in time as
discontinuities remain open.
The possibility of evaporation of groundwater
in Wagenburg tunnel was also evaluated. Data on
extreme values of vapour density suggested by
Wittke & Pierau (1979) were used for this
analysis. The partial pressure of vapour was
calculated using the law of ideal gases assuming a
constant vapour density in the range between 20
and 40C; in other words, the tunnel was assumed
as a closed system. Under these conditions a
theoretical variation of the relative humidity with
the temperature was obtained. Since the
geochemical properties of groundwater at
Wagenburg are unknown, typical values of
relative humidity imposed by saturated sulphate
solutions have been used as representative of the
in situ conditions. The results of this analysis are
presented in Figure 59.
It appears that the relative humidity of the
incoming flow of air is lower than the relative
humidity in equilibrium with the massif water.
Therefore, as it was the case in Lilla tunnel, in
Wagenburg the vapour transfer is only
theoretically possible from the groundwater to the
tunnel. This is a reasonable explanation for the
crystal growth observed in the degraded
foundation material indicated in Figure 9.
100 range of RH imposed by Lilla groundwater
Relative humidity
vapour
80 transfer
uv/uvo (%)
measured
60
40
Temperature, T (C)
30
25 30
20
10
Precipitation of Gypsum
0
25 30
Oct
Nov
Dec
Jul-06
Aug
Sep
Jan-07
Feb
Mar
(b)
244
 100

Relative humidity, u v /u vo (%)

80
extreme
conditions
60 into the
tunnel

v
=
15
40

g/
saturated solutions

m
3
CaSO 42H2 O v
K2SO 4 =
20 8g
MgSO4 7H2O /m 3
NaSO 4
0
0 10 20 30 40 50
Temperature (C)

(a)
Figure 59: Evaporation analysis for Wagenburg tunnel (a) data by Wittke & Pierau (1979), (b) estimative
for a ideal closed system.
5 SUMMARY AND CONCLUSIONS
Degradation is a more general term for a
number of phenomena due to either natural or
anthropic causes: (i) reduction in strength, (i)
volume change, (iii) loss of stiffness, (iv) loss/gain
of mass continuity due to the opening of fissures
and, (v) instability phenomena affecting finite
volumes of exposed materials. Experience
indicates that degradation is often associated with
unloading, which is typically the case in surface
and underground excavations.
Some mechanisms could be isolated as potential
causes of swelling in sulphate-bearing rocks: (i)
osmotic phenomena and cationic exchange in
clayey fractions in presence of sulphate-rich
water, (ii) precipitation of several hydrated forms
of sulphated minerals into fissures due to
temperature drop of sulphate-rich water, or (iii)
crystal growth due to evaporation of aqueous
solutions into either exposed fissures or
slickenside surfaces.
Some cases of underground and deep
excavations in both hard and soft anhydritic-
gypsiferous clayey rocks have been presented and
discussed in order to gain a better understanding
of these phenomena and to isolate the most
relevant ones. The main phenomenological
features of the observed swelling have been
summarized, and the roles of both chemical
composition of groundwater and degradation of
the exposed materials on the expansive response
have been highlighted. A framework that explains
the principal characteristics of the expansive
behaviour of sulphate-bearing rocks has been
(b)
presented. The framework emphasizes the
importance of the conditions leading to super-
saturation conditions of the groundwater. It
appears that the relative humidity (in other words,
the water suction or the water potential) of the
tunnel atmosphere is the key factor controlling the
water evaporation at interfaces (namely the tunnel
invert), thus leading to high salt concentrations in
the groundwater, which are the first step towards
crystal formation in existing fissures. Swelling
(induced by crystal growth) is then a consequence
of drying, an opposite concept to the standard
consequences of drying in argillaceous materials,
namely the development of shrinkage strains. This
understanding seems to be consistent with a large
number of field observations and laboratory test
results summarised in the paper.
It is concluded that the most important
mechanism in the observed long term expansive
phenomena in sulphate-bearing rocks is
precipitation of sulphated minerals, although co-
precipitation of sulphated-carbonated species is
also possible. It has been shown that under
appropriate relative humidity conditions, the
precipitation of gypsum and other types of
hydrated sulphates from rock massif water is
thermodynamically possible. Therefore, swelling
phenomena could be related partially with crystal
growth in discontinuities and evolve
systematically in time if an effective vapour
transfer from the groundwater to the atmosphere is
permitted.
Finally, it should be added that the swelling
behaviour of sulphate bearing rocks cannot be
fully identified at the scale of laboratory

245
experiments. The field scale is needed to
understand the relevant processes.
ACKNOWLEDGEMENTS
The Ministry of Public Works of Spain is the
financial supporter of this study. Authors are
grateful to the Administradora de Infraestructuras
Ferroviarias de Espaa (ADIF) for their technical
assistance. Finally, the authors wish to thank the
support provided by Dr. Enrique Romero, Dr.
Marcos Arroyo and Miss Mar Obrador.
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